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

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. South Pacific Aviation “Safety Management Systems” Symposium
Airlines vs. GA
Airlines
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12. 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

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

14. 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

15. 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

16. 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

17. 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

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

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

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

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

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

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