Transcript FAA BASA Technical Assessment

NZ’s STATE SAFETY PLAN
What the CAA has to do to
implement its SMS
Simon Clegg
General Manager - Government Relations, Planning
& Strategy
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SMS & State Safety
Programmes
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 Safety Management Systems are about
information and risk management
 Regulators have to implement their own
version of an SMS
 ICAO calls this the State Safety Programme (SSP)
 The SSP embodies the same risk based
approach as required for operators
 Regulators have to identify and target risks within
national aviation systems
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SMS & SSP (2)
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 ICAO is implementing its version of a SMS
to target aviation risks at the global level
 National and global systems to identify risks that may
not be visible within operators or even countries due to
small number of events
ICAO global
level SMS
National
Regulator
SSP
Operator
SMS
National
Regulator
SSP
Operator
SMS
Operator
SMS
Operator
SMS
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SSP elements
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Four main elements with 15 components
1. An overall safety policy and set of
objectives comprising
1.1
1.2
1.3
1.4
Safety standards and rules;
Clear responsibilities and accountabilities;
No-fault accident & incident investigation; &
An enforcement policy.
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SSP elements (2)
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2. Parameters for safety risk management comprising
a) Actual identification of risks; &
b) Approval of a target level of safety.
3. Processes to provide safety assurance through
a) Oversight;
b) Safety data collection & analysis; &
c) Targeted oversight on areas based on that data
4. Active safety promotion through
a) Training;
b) Communication; &
c) Dissemination of safety information.
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NZ SSP implementation
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 New Zealand meets 9 of the 15 component
elements already
 1 element is not met
 5 elements are partially met
 Element not met
 e2.1 Safety requirements for operators/service
providers SMS
 CAA in the process of developing the rules for this
 SMS Rule Scope statement issued on 12 March 2009
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e2.2 Operator SMS
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 Rule action required
 Management accountability
 CEO made accountable for safety
 Expanded role of senior person for safety investigation
 Corporate safety Committee
 Systems
 Emergency response
 Document system required
 Hazard identification process
 Risk assessment and mitigation process
 Safety monitoring
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e2.2 Operator SMS (2)
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 Change Management process
 Safety promotion
 Training
 NB The Rule will only set out the desired outcomes
 CAA guidance material (Advisory Circular) will
provide the detail on how these can be met
 SMS AC will be developed in parallel with the draft rule
 First version will be issued Q2 2009
 This will enable industry to implement SMS voluntarily in
advance of the legal requirement
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NZ SSP Implementation (2)
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 Elements partially met
 e1.4 Enforcement Policy
 e2 Safety risk management
 e2.2 Approval of operators/service providers
acceptable levels of safety
 e3.2 Safety data collection, analysis &
exchange
 e4.1 Internal training, communication &
dissemination of safety information
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e1.4 Enforcement Policy
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 CAA in the process of developing a “regulatory
tools” policy
 This will outline the various ways in which the CAA
can influence safety behaviour in the aviation sector
 CAA regulatory tools include:
 Education and safety promotion - eg




GAP (Good Aviation Practice) Booklets
Articles in Vector magazine
Aviation Safety Coordinator (ASC) Course
Seminars
 Increased surveillance and/or spot checks
 Audit findings
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Regulatory Tools Policy




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Critical Audit findings
Warning Letter
Grounding of aircraft (eg after AD)
Aviation Document Changes



Imposition of conditions/restrictions
Suspension (for a fixed period or until a condition is
met)
Cancellation
 Legal Enforcement Letter of Warning
 Infringement Notice
 Prosecution
(NB Tools in yellow italic typeface are collectively called “Legal
Enforcement” tools)
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Regulatory Tools Policy (2)
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 The Regulatory Tools policy will
 Provide guidance for CAA staff in the field
 Function as a guide to industry on what
regulatory response they can expect (depending
on the surrounding circumstances)
 Aim to foster a corporate and aviation sector
culture of positive action, consultation and
cooperative action with the CAA
 Clarify the role of Legal Enforcement tools
within the CAA’s full “regulatory toolbox”
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e2 Safety Risk Management
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 CAA has adopted operator risk profiles
 Currently based on 39 safety factors
 CAA will be developing a change/risk
management policy
 to actively manage and assess changes in risk
due to proposed changes
 in both industry subsectors and the operations of
individual document holders
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e2.2 Levels of safety
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 CAA has safety targets expressed as “social cost”
targets
 CAA needs to develop guidance for operators to
determine their acceptable levels of safety within
their organization’s SMS
 CAA will seek operators to set an acceptable level of
safety that is consistent with the broader safety goals
for the subsector in which it operates
 This work is linked to CAA’s work on Safety
Information – as safety data will be required to
support these measures at both the operator level and
the national/CAA level
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e3.2 Safety data
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 CAA is currently working on a comprehensive
Safety Information Policy
 Aims to consolidate all safety information currently
received by the CAA
 Improve our ability to analyse and identify NZ civil
aviation risks
 Through a common data “taxonomy” will ultimately
allow the CAA to aggregate safety information with
other national regulators & ICAO
 Will allow identification of safety trends & risks globally
or in areas with similar operating conditions to NZ
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e4.1 Safety information –
training & internal use
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 CAA required to monitor technological
developments & best industry practices
 CAA considering Investors In People standard
to ensure training is linked to broader CAA
strategy
 Dissemination of Safety Information
 Safety Information Policy will address staff use
of safety data for risk assessment and audit
preparation
 An IT Data Warehouse project will provide
easier interface for internal CAA users
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Status report & future steps
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 All projects to implement SMS & the SSP
are in the CAA’s internal business plan
 Will be consulting with industry on content
of various policies
 eg Regulatory Tools, Legal Enforcement, Safety
Information
 Have commenced the rule writing process
 Will be consulting with industry using
normal rule processes
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Future steps (2)
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 Aim to issue 1st version of SMS AC mid year
 Plan to issue GAP booklet on SMS later this
year
 This joint CAA / AIA / GAPAN Symposium
is part of our industry engagement on SMS in
New Zealand
 The start of our dialogue with industry
 Anticipate that this will be the first of many
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Good News !
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 New Zealand operators & the CAA have
less work to implement SMS than many
overseas authorities and operators
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