NZ’s STATE SAFETY PLAN W hat the CAA has to do to implement its SMS

1. NZ’s STATE SAFETY PLAN What the CAA has to do to implement its SMS CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS Simon CleggGeneral Manager - Government Relations, Planning & Strategy

2. SMS & State Safety Programmes • 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

3. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

4. SSP elements Four main elements with 15 components 1. An overall safety policyand set of objectivescomprising 1.1 Safety standards and rules; 1.2 Clear responsibilities and accountabilities; 1.3 No-fault accident & incident investigation; & 1.4 An enforcement policy. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

5. SSP elements (2) 2. Parameters for safety risk managementcomprising • Actual identification of risks; & • Approval of a target level of safety. 3. Processes to provide safety assurancethrough • Oversight; • Safety data collection & analysis; & • Targeted oversight on areas based on that data 4. Active safety promotionthrough • Training; • Communication; & • Dissemination of safety information. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

6. NZ 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

7. e2.2 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

8. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

9. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

10. e1.4 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

11. Regulatory Tools Policy • 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) CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

12. 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” CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

13. e2 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

14. e2.2 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

15. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

16. e4.1 Safety information – training & 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

17. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

18. 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 CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS

19. Good News ! New Zealand operators & the CAA have less work to implement SMS than many overseas authorities and operators CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS