Role of Stakeholders in Aviation Safety: Regulator Perspective

1. Role of Stakeholders in Aviation Safety: Regulator Perspective Presenter Biggie Zimvumi Aviation Safety Expert -Airworthiness Rwanda Civil Aviation Authority May 31, 2013

2. Outline • A Look into the Rear View Mirror • Understanding Safety • Aviation Safety Stakeholders • Definition of Safety Oversight • The Basis for Safety Oversight • ICAO and Its Role • Contracting States Responsibilities • Balanced Approach to Aviation Safety • Renewed Commitment to Aviation Safety May 31, 2013

3. Accident Records and Rates-2006-2012 Based on ICAO 2013 Safety Report, the marginal growth in traffic experienced in 2012 was coupled with a 21 per cent decrease in the number of accidents, resulting in an accident rate of 3.2 per million departures—a 24 per cent decrease compared to the previous year. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective

4. Accident Statistics & Accident Rates: 2012 Continued regulatory & aviation industry partnership is imperative to achieve continuous reductions in the global accident rate, with an emphasis on improving safety performance in our region This therefore gives us the impetus to focus on safety, individual states, specific organizations & as individuals if we are to make positive impact on safety. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective

5. SAFETY DEFINED: A state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and riskmanagement. Financial management Bankruptcy Safety space Protection $$$--- Safety management Catastrophe Production $$$+++ Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective

6. Partners in Aviation Safety May 31, 2013

7. What is Safety Oversight? • Safety oversight:- a function by means of which States ensure effective implementation of the safety-related standards and recommended practices (SARPs) contained in the Annexes to the Chicago Convention. • Individual State‘s responsibility for safety oversight is the foundation upon which safe global aircraft operations are built. • Lack of appropriate safety oversight in one Contracting State threatens the health (safety) of international civil aircraft operation. May 31, 2013

8. The Basis for Safety Oversight Chicago Convention of 7 December 1944 Article 37- Adoption of SARPs Each contracting State undertakes to collaborate in securing the highest practicable degree of uniformity in regulations, standards, procedures, and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in which such uniformity will facilitate and improve air navigation. May 31, 2013

9. The Basis for Safety Oversight Chicago Convention (Cntd) • Article 38 – Filing of Differences Any State which finds it impracticable to comply in all respects with any such international standard or procedure, or to bring its own regulations or practices into full accord with any international standard or procedure after amendment of the latter, or which deems it necessary to adopt regulations or practices differing in any particular respect from those established by an international standard, shall give immediate notification to the International Civil Aviation Organization of the differences between its own practice and that established by the international standard. May 31, 2013

10. The Basis for Safety Oversight The International Civil Aviation Organization (ICAO) • Established in 1944 under Article 43 of the Chicago Convention • Has 191 Contracting States (Member States) • All 5 EAC Partners are ICAO Contracting States • promotes co-operation between nations "in order that international civil aviation may be developed in a safe and orderly manner and that international air transport services may be established on the basis of equality of opportunity and operated soundly and economically." May 31, 2013

11. The Role of ICAO The International Civil Aviation Organization (ICAO) conducts an array of activities: To ensure Contracting States have effectively & consistently implemented the critical elements of a safety oversight system and determining the States’ level of implementation of ICAO’s SARPs. May 31, 2013

12. 1 Legislation Contracting State Responsibilities ESTABLISH The provision of a comprehensive and effective aviation law consistent with the environment and complexity of the State’s aviation activity and compliant with the requirements contained in the Convention on International Civil Aviation. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 12

13. 2 Regulations 1 Legislation Contracting State Responsibilities ESTABLISH The provision of adequate regulations to address, at a minimum, national requirements emanating from the primary aviation legislation and providing for standardized operational procedures, equipment and infrastructures (including safety management and training systems), in conformance with the Standards and Recommended Practices (SARPs) contained in the Annexes to the Convention on International Civil Aviation. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 13

14. Contracting State Responsibilities • Adoption of SARPsthrough the provision of national laws and regulations. The 18 Annexes adopted to date cover the entire spectrum of civil aviation activities. The basis of these responsibilities is the desire to promote and conduct safe and regular aircraft operations through the development and implementation of internationally acceptable certificating, licensing and operating processes. May 31, 2013

15. 3 Organization 2 Regulations 1 Legislation Contracting State Responsibilities ESTABLISH The establishment of a Civil Aviation Authority (CAA) and/or other relevant authorities or government agencies, headed by a Chief Executive Officer, supported by the appropriate and adequate technical and non-technical staff and provided with adequate financial resources. The State authority must have stated safety regulatory functions, objectives and safety policies. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 15

16. 3 Organization 4 Technical Staff Qual+ Training 2 Regulations 1 Legislation Contracting State Responsibilities ESTABLISH The establishment of minimum knowledge and experience requirements for the technical personnel performing safety oversight functions and the provision of appropriate training to maintain and enhance their competence at the desired level. The training should include initial and recurrent (periodic) training. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 16

17. 3 Organization 4 Technical Staff Qual+ Training 2 Regulations 5 Technical Guidance & Tools 1 Legislation Contracting State Responsibilities ESTABLISH The provision of technical guidance (including processes and procedures), tools (including facilities and equipment) and safety-critical information, as applicable, to the technical personnel to enable them to perform their safety oversight functions in accordance with established requirements and in a standardized manner. In addition, this includes the provision of technical guidance by the oversight authority to the aviation industry on the implementation of applicable regulations and instructions. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 17

18. 3 Organization 4 Technical Staff Qual+ Training 2 Regulations 5 Technical Guidance & Tools 1 Legislation 6 Licensing, Certification, Approval Contracting State Responsibilities The implementation of processes and procedures to ensure that personnel and organizations performing an aviation activity meet the established requirements before they are allowed to exercise the privileges of a licence, certificate, authorization and/or approval to conduct the relevant aviation activity. ESTABLISH IMPLEMENT Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 18

19. Licensing, Certification , Approval 5-Steps Approach • During the certification/approval process, the CAA is to be satisfied that the applicant, who will have the ultimate responsibility for performing the granted certification / approval, has the ability and competence both to perform his activities and to comply with applicable regulations and rules. • The 5 step approach is a method that has proven its efficiency and effectiveness. • It is commonly used by a large number of civil aviation authorities for various licensing activities. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective

20. Certification and approval processes 5-Steps Approach • Pre-application • Formal application • Document evaluation • Demonstration and inspection • Approval/Certification The implementation of processes and procedures to ensure that personnel and organizations performing an aviation activity meet the established requirements before they are allowed to exercise the privileges of a license, certificate, authorization and/or approval to conduct the relevant aviation activity. Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective

21. 3 Organization 4 Technical Staff Qual+ Training 2 Regulations 5 Technical Guidance & Tools 1 Legislation 6 Licensing, Certification, Approval 7 Continuous Surveillance Contracting State Responsibilities The implementation of processes, such as inspections and audits, to proactively ensure that aviation licence, certificate, authorization and/or approval holders continue to meet the established requirements and function at the level of competency and safety required by the State to undertake an aviation-related activity for which they have been licensed, certified, authorized and/or approved to perform. This includes the surveillance of designated personnel who perform safety oversight functions on behalf of the CAA. ESTABLISH IMPLEMENT Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 21

22. 3 Organization 4 Technical Staff Qual+ Training 2 Regulations 5 Technical Guidance & Tools 1 Legislation 8 Resolution of Safety Concerns 6 Licensing, Certification, Approval 7 Continuous Surveillance Contracting State Responsibilities The implementation of processes and procedures to resolve identified deficiencies impacting aviation safety, which may have been residing in the aviation system and have been detected by the regulatory authority or other appropriate bodies. It is the core of all safety oversight activities. This would include the ability to analyse safety deficiencies, forward recommendations, support the resolution of identified deficiencies, as well as take enforcement action when appropriate. ESTABLISH IMPLEMENT Linking Aviation Safety & Security: Role of Stakeholders in Aviation Safety: The regulator Perspective 22

23. Regulator Responsibilities in Summary General responsibility under the Convention and its Annexes includes: • the licensing of operational personnel; • certification of aircraft including aircraft products, air operators, and aerodromes; service providers • the control and supervision of licensed personnel, certified products, and approved organizations; • the provision of air navigation services (inclusive of meteorological services, aeronautical telecommunications, search and rescue services, charts and the distribution of information); and • aircraft accident and incident investigation. May 31, 2013

24. Balanced Approach to Safety • A safety oversight system in which both the Regulator and the aviation community share responsibility and accountability for the safe, regular and efficient conduct of civil aviation activities. May 31, 2013

25. Renewed Commitment to Aviation Safety There are a number of forces at work that underline the importance of a renewed commitment to aviation safety: • an increased involvement of non-traditional sectors in civil aviation, necessitating a significantly increased attention to matters of aviation safety within the context of wider policy initiatives. • increasing globalization of civil aviation itself, exemplified by foreign and multinational ownership and alliances of airlines, joint marketing arrangements, multinational approaches to both technical and economic regulations, along with increasing interaction between domestic and international civil aircraft operations. May 31, 2013

26. Renewed Commitment to Aviation Safety • an increasing demand for flights and therefore the infrastructure and services that such demand generates. • increasingly intense social, economic, political, environmental and other pressures on civil aviation policy, particularly at the national and regional levels. • civil aviation is considered an essential public service, making a fundamental contribution to socio-economic development and, in some areas, providing service to otherwise inaccessible points. May 31, 2013

27. The Safety management dilemma Management levels Resources Resources Protection Production Bankruptcy Catastrophe

28. END THANK YOU FOR YOUR ATTENTION May 31, 2013