What SMS means for an Operator’s relationship with the CAA South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium Terms Operator = certificate holder ICAO : operator = air operator and maintenance service provider = ATS, aerodromes, security, navigation South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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...” South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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

South Pacific Aviation “Safety Management Systems” Symposium 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 South Pacific Aviation “Safety Management Systems” Symposium

Certification (cont’d) SMS applies to support and 3rd 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) South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium Surveillance Safety Monitoring will include 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) South Pacific Aviation “Safety Management Systems” Symposium

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 South Pacific Aviation “Safety Management Systems” Symposium

Surveillance (cont’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 South Pacific Aviation “Safety Management Systems” Symposium

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 South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium Airlines vs. GA Airlines South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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 South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium Airlines vs. GA General Aviation South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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) South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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 South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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 South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium 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 South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium SMS Final Thoughts South Pacific Aviation “Safety Management Systems” Symposium

A “top-down” approach to safety South Pacific Aviation “Safety Management Systems” Symposium

Involves all aspects of the organisation South Pacific Aviation “Safety Management Systems” Symposium

Proactive Risk Assessment South Pacific Aviation “Safety Management Systems” Symposium

CAA – Industry “A shared approach for safety” South Pacific Aviation “Safety Management Systems” Symposium

South Pacific Aviation “Safety Management Systems” Symposium Thank you South Pacific Aviation “Safety Management Systems” Symposium