Safety Management Systems

CAA Update

Scope Background Benefits Policy development / RIS NPRM Advisory Circular Sector engagement &

participation SMS Implementation State Safety Programme (SSP)

Safety Management Systems

“SMS is a systematic approach to managing safety, including necessary organisation structures, accountabilities, policies and procedures” [ICAO]

SMS description• Holistic • Risk-based• Data-driven • Goes beyond compliance• Tailored to operating environment

Benefits Builds on quality management, and

provides a framework for managing all safety-related processes

Hazards identified and risks managed before they impact safety / business

Avoid human and financial cost of negative safety event

Improved decision-making Data-driven performance targets and

monitoring provides basis for assessing and improving safety performance

SMS can be integrated with other systems Foundation for a positive safety culture

Background SMS and risk based oversight are now the

cornerstones of ICAO regulatory philosophy ICAO required States to implement SMS as of

01 January 2009 New Zealand aviation sector has solid

foundation of Quality Management Many participants have voluntarily adopted

SMS CAA has been developing SMS foundational

requirements for 2 – 3 years This work has, and will continue to be,

informed by industry experience and the lessons learned by other regulators

Policy Development Transport Rules Redesign Project• Policy work done up front• Must consider other options to Rules

Policy work• CAA (with Castalia assistance)• Industry consultation

Cabinet paper → Regulatory impact Statement (RIS)

Cabinet paper will propose a framework for consequential changes related to SMS (including Rules)

Rule Development SMS will be implemented through series

of amendments to CARs supported by a comprehensive single AC

SMS Rules will replace QA Rules Rule amendments have been divided

into three Groups There will be a transition period for each

Group Voluntary adoption of SMS by

participants in advance of Rule implementation is encouraged

Rule Development

Group 1• Part 119 – 121 &

125• 139• 145 (supporting

121/125 ops)• 172

Group 3• Part19• 137

Group 2• Part 119 – 135• 141• 145 (supporting

other ops)• 146• 148• 149• 171/174/175

NPRM Update

The Rule Project Working Group was instrumental in the creation of NPRM

NPRM is modeled off ICAO SMS 13 elements; 11 ICAO plus:• Audit programme• Management review

Subject to Cabinet approval of proposals, NPRM will be released for consultation (target August 2012)

ICAO SMS Elements

SMS Advisory Circular Draft AC completed with Aerosafe

assistance AC will provide acceptable means of

compliance with SMS Rules Guidance material also included Scalable for size and complexity Tools and practices not prescribed AC will be released for consultation –

feedback is requested

Industry engagement Industry participants have provided

input to NPRM and AC (e.g. PWG) Wider consultation on AC and NPRM SMS promotion by CAA• Forums

• Support materials

• Vector

Support and leadership by industry groups

Sharing of practices and experiences is encouraged

SMS Implementation CAA personnel trained in SMS/risk (complete) NPRM and AC development (complete) Policy and RIS development (in progress) Policy proposal to Cabinet (July/August 2012) NPRM & AC for consultation (once policy / RIS

accepted) Final Rules signed and issued, transition period

commences (est. last quarter 2012 calendar yr.) Participants submit Exposition changes (SMS) to

CAA for acceptance prior to Rule effective date Rule effective (est. 2014) → CAA monitoring

State Safety Programme (SSP)

State framework to support SMS SSP main components:

• State safety policy & objectives• State safety risk management• State safety assurance• State safety promotion

Gap Analysis completed & submitted to ICAO

NZ already has many of requirements in place

Gaps will be addressed through CAA change programme (most underway)

SSP (cont’d)Key areas of workSMS Rules (∆ risk management)Risk-based monitoringSafety performance targets for industry• Descriptive rather than numerical

Effectiveness of interventionsSafety data collection, analysis and exchange (e.g. sector safety initiatives)Regulatory Operating Model and Regulatory Tools Policy

Questions?

Thank you