NZ’s STATE SAFETY PLAN W hat the CAA has to do to implement its SMS CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS Simon Clegg General Manager -

NZ’s STATE SAFETY PLAN NZ’s STATE SAFETY PLAN WWhat the CAA has to do to hat the CAA has to do to

implement its SMSimplement its SMS

CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

Simon CleggGeneral Manager - Government Relations, Planning

& Strategy

C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN D

CAA/AIA/GAPAN South Pacific Aviation Symposium on SMSCAA/AIA/GAPAN South Pacific Aviation Symposium on SMS2

SMS & State Safety SMS & State Safety ProgrammesProgrammes

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



SMS & SSP (2)SMS & SSP (2)

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



SSP elementsSSP elements

Four main elements with 15 components

1. An overall safety policy and set of objectives comprising

1.1 Safety standards and rules;

1.2 Clear responsibilities and accountabilities;

1.3 No-fault accident & incident investigation; &

1.4 An enforcement policy.



SSP elements (2)SSP elements (2)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.



NZ SSP implementationNZ SSP implementation

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



e2.2 Operator SMSe2.2 Operator SMS 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



e2.2 Operator SMS (2)e2.2 Operator SMS (2) 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

C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN DNZ SSP Implementation (2)NZ SSP Implementation (2)

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN De1.4 Enforcement Policye1.4 Enforcement Policy

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN DRegulatory Tools PolicyRegulatory Tools Policy


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN DRegulatory Tools Policy (2)Regulatory Tools Policy (2)

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”


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN De2 Safety Risk Managemente2 Safety Risk Management

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN De2.2 Levels of safetye2.2 Levels of safety

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN De3.2 Safety data e3.2 Safety data

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



e4.1 Safety information – e4.1 Safety information – training & internal usetraining & internal use 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



Status report & future steps Status report & future steps

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN DFuture steps (2)Future steps (2)

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


C IVIL A VIATIO N AU TH O R ITYO F N E W ZE A L AN DGood News !Good News !

New Zealand operators & the CAA have less work to implement SMS than many overseas authorities and operators


Documents

NZ’s STATE SAFETY PLAN W hat the CAA has to do to implement its SMS CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS Simon Clegg General Manager -