Transcript FAA BASA Technical Assessment
What SMS means for an Operator’s relationship with the CAA
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Terms
Operator = certificate holder
ICAO : operator = air operator and maintenance service provider = ATS, aerodromes, security, navigation
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Civil Aviation Act
s12(4)(a) “Every participant shall .... establish and follow a management system that will ensure compliance with the relevant prescribed safety standards...”
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Civil Aviation Rules
Already contain key SMS safety requirements for operators / organisations including:
Safety Standards
Senior Person Accountability Safety Policy
Safety Occurrence Reporting & Investigation
Internal Quality Assurance South Pacific Aviation “Safety Management Systems” Symposium
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C IL V T A T O Y E Z A D
Certification “Raising the bar”
Must have a solid SMS framework for certification Established and effective SMS for re-certification Key additional elements - Risk/change management - Safety performance targets & monitoring - Training (hazard identification, risk management, human factors) - Safety education & communication
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Certification (cont’d)
C IL V T A T O Y E Z A D
SMS applies to support and 3 rd party contractors Operator Resource requirements - proportional to size of organisation - dedicated SMS personnel - systems (data collection & action tracking) - training & documentation CAA will assess against a certification matrix based on Rules/AC (including new SMS components)
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Surveillance Safety Monitoring will include
1.
2.
Review of Operator SMS structure, processes, documentation; and Outcome /performance based surveillance - site visits /inspections/ en-route checks - observing activity - sampling - record reviews - assessment (effectiveness in addressing hazards / findings)
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Surveillance (cont’d)
SMS is not just a management tool, it applies to everyone in the organisation – CAA surveillance will include interviews with front line & support staff CAA Risk Profile approach will not change, but additional elements added Assessment of Operator risk management programmes (process, training, risk register) Acceptable mitigation of risk
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Surveillance (cont’d)
C IL V T A T O Y E Z A D
CAA will be able to more accurately target high risk operators Routine auditing will still continue CAA will look for opportunities to combine audit modules to obtain a wider perspective on the safety “health” of an organisation (a more holistic approach) Some scope for reduced audit frequency (per current policy) but not a substantive change
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C IL V T A T O Y E Z A D
Use of Regulatory Tools
CAA will continue to apply a range of regulatory tools – appropriate to the situation Decision making - now: Surveillance Policy - future: Use of Regulatory Tools Policy CAA decision will take into consideration Operator action in response to event / finding Operator corrective actions must focus on addressing system failures /organisational deficiencies
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Airlines
Airlines vs. GA
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C IL V T A T O Y E Z A D
Airlines vs. GA
Airlines
Some have systems in place already Aligned with international initiatives Larger organisations with numerous components have a greater challenge Consistent application of SMS (e.g. risk management) across entire organisation Managing large amounts of data Getting the safety message to front line staff
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Airlines vs. GA
General Aviation
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C IL V T A T O Y E Z A D
Airlines vs. GA
General Aviation
Some have systems in place already Evolutionary process, not revolutionary (i.e. natural progression from certification) A move from “reactive QC/QA” to “proactive QA” Proportional to size of organisation Some costs, but proportional (not comparable to costs of certification)
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C IL V T A T O Y E Z A D
Benefits of SMS
For the CAA
Operators have safety management framework in place before entering aviation system Operators must set safety goals and be responsible for them Operator proactive approach to risk will identify issues before they are a concern for the regulator NZ becomes aligned with international community – a positive factor for bi-lateral agreements and mutual recognition
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Benefits of SMS
For the Operator
Safety & Efficiency are positively linked Improvements from staff participation in SMS Reduced losses/downtime and enhanced productivity Anticipate safety issues before they lead to an unacceptable situation
C IL V T A T O Y E Z A D
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C IL V T A T O Y E Z A D
Benefits of SMS
For the Operator (cont’d)
SMS improves framework for integration of existing disparate systems (aviation safety, security, HSE, HSNO, labour, environmental) Information from CAA on industry / global trends increases operator’s awareness of risks NZ aviation becomes aligned with international community – access to markets, acceptance of products overseas
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SMS
Final Thoughts
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A “top-down” approach to safety
C IL V T A T O Y E Z A D
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Involves all aspects of the organisation
C IL V T A T O Y E Z A D
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Proactive Risk Assessment
C IL V T A T O Y E Z A D
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CAA – Industry “A shared approach for safety”
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Thank you
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