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AbbreviationsAAB Airprox Analysis BoardAAIB Federal Air Accident Investigation BureauABIS Austria, Benelux, Ireland, Switzerland, Portugal, Croatia ICAO country groupADREP Accident/Incident Data ReportingAIWG Airspace Infringement Working GroupAOC Air Operator CertificateATC Air Traffic ControlATIR Air Traffic Incident ReportCASO Civil Aviation Safety OfficeDABS Daily Airspace Bulletin SwitzerlandDETEC Federal Department of the Environment, Transport, Energy and Com municationsEASA European Aviation Safety AgencyEASP European Aviation Safety ProgrammeEC European CommunityECAC European Civil Aviation ConferenceECCAIRS European Coordination Centre for Accident and Incident Reporting SystemEGAST General Aviation Safety TeamEHEST Helicopter Safety TeamEPAS European Plan for Aviation SafetyESSI European Strategic Safety InitiativeEU European UnionFOCA Federal Office of Civil AviationGASP Global Aviation Safety PlanHIF Hazard Information FormHRR Hazard and Risk Register
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ICAO International Civil Aviation 0rganisationIRFBA Investigation Bureau for Railway, Funicular and Boat AccidentsNASP National Aviation Security ProgrammeNOTAM Notice(s) to AirmenROJCA Reporting Office for Just Culture in Civil AviationSAFA Safety Assessment of Foreign AircraftSASCON Swiss Aviation Safety ConferenceSES Single European SkySMS Safety Management SystemSOC Safety Oversight CommitteeSPI Safety Performance IndicatorSR Compilation of Swiss legislationSRM Safety Risk ManagementSSP State Safety ProgrammeSTSB Swiss Transport Safety Investigation BoardSTSB-AV Swiss Transport Safety Investigation Board – AviationSTSB-RS Swiss Transport Safety Investigation Board – Railways and ShippingUN United NationsUSOAP Universal Safety Oversight Audit Programme
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ContentsAbbreviations 2Introduction 51. Safety policy, objectives and resources 71.1 Legislation 81.1.1 Legal basis 81.1.2 Enforcement of legal provisions 91.2 Specific operational regulations 111.3 System and functions within the FOCA 111.3.1 The Swiss State Safety Programme (SSP) 111.3.2 Policies 121.3.3 Organisation of the authorities 151.3.4 The Federal Office of Civil Aviation 161.3.5 International integration of the Swiss civil aviation sector 181.3.6 Tasks, processes and instruments 221.4 Qualification of technical personnel 271.5 Technical guidelines, working aids and provision of safety information 282. Safety and risk management 302.1 Licensing, certification, authorisation and criteria for permits 312.2 Criteria for safety management systems 322.3 Investigation of accidents and incidents 332.4 Collection and management of safety-related data 362.4.1 Reporting and “just culture” 362.4.2 Mandatory reporting 372.4.3 Input of safety-relevant data 382.4.4 Data exchange 392.5 Identification of hazards and assessment of safety risks 402.6 Management of safety risks 423. Safety assurance 443.1 Supervision 453.2 Safety performance 464. Promotion of safety 484.1 Internal communication and distribution of safety data 494.2 External communication and distribution of safety data 50
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INTRODUCTION
1. EXECUTIVE SUMMARYThe Swiss State Safety Programme (SSP) maps out how the agreed safety objectives can be achieved by the supervisory authorities (including the STSB and the CASO) and the instruments to be used. This report on the SSP (the previous version was published in 2012) describes the regulatory environment with respect to requirements and the national/in-ternational obligations (ICAO, EASA, Eurocontrol) of the Federal Office of Civil Aviation (FOCA), plus the activities currently being undertaken in the supervision of the safety of players in the civil aviation sector.
The SSP is subordinate to the overall strategy formulated in the Aviation Policy Report, while the Swiss Aviation Safety Plan and other guidelines that contain specific instructions for action are subordinate to the SSP.
The diagram below depicts the structure and organisation of the SSP as a “plan/do/check/act” system. The SSP report comprises four chapters corresponding to this model.
Figure 1: State safety management system
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Chapter 1 (top left quadrant) deals with the legal requirements and enforce-ment of legal provisions in Switzerland and international integration in the avi-ation environment. It also maps out how the declared safety objectives arising from the FOCA’s mandate are to be achieved. The second part of this chapter describes the responsibilities, resources, instruments and bodies of the super-visory authority.
Chapter 2 describes the key task of Safety & Risk Management: identifying risks and associated scenarios through risk assessments based on a broad variety of data for the purpose of acquiring information. This information is used to maintain a risk portfolio for Swiss aviation and to determine how to deal with these risks, including mitigation measures. Reference is made here to the reporting system and the approach to confidential incident reporting (EU Regulation 2014/376 on Occurrence Reporting and Just Culture) in the Swiss civil aviation sector.
Chapter 3 describes how audits and inspections are used to measure the safety levels prevailing among industry partners on the basis of standards and performance. A comparison is made between the current situation (results of the audits) and the target status (acceptable level of safety performance) and, where necessary, corrective measures are introduced. Good safety performan-ce in the aviation sector can only be achieved by sharing relevant, validated data internally and externally in the correct form and through suitable channels.
Chapter 4 describes the internal and external (national and international) com-munication channels. The FOCA is responsible for preparing and publishing the SSP, and the DETEC General Secretariat (via the CASO) and the STSB assist in the preparation. Im-plementation of the processes described in the programme is the responsibility of the relevant authorities, players in the civil aviation sector and individual par-ticipants. FOCA Safety Risk Management (SRM) is responsible for updating the SSP on behalf of the FOCA Management Board and providing the resources needed. It is also responsible for securing coordination with the other involved parties, in particular the STSB. In an annual controlling process, adjustments are noted and adopted by the FOCA Management Board as necessary.
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1. Safety policy, objectives and resources
This chapter describes the first quadrant (top left) in Figure 1, which deals with the “plan” segment of the “plan/do/check/act” system. It focuses on the activities and priorities relating to the safety policy, objectives and resources.
Figure 2: State safety policy, objectives and resources
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1.1 Legislation
1.1.1 Legal basis
The Swiss Federal Constitution stipulates that the federal government is the sole institution empowered to enact laws and ordinances relating to civil aviation. The Federal Civil Aviation Act (SR 748.0) was enacted accordingly and subsequently supplemented by various ordinances.
Article 3 of the Federal Civil Aviation Act assigns responsibility for super-vision of the civil aviation sector to the Federal Council, which fulfils this obligation via the Federal Department of the Environment, Transport, Energy and Communications (DETEC). The Federal Office of Civil Aviati-on (FOCA) is responsible for direct supervision. The Federal Council may also conclude international agreements on crossborder aviation opera-tions, aviation safety and the exchange of aviation data and delegate supervisory duties.
The DETEC Organisation Ordinance (SR 172.217.1) specifies the duties and objectives of the various federal authorities. In Article 7 it designates the FOCA as the authority responsible for private and public civil aviation. One of the objectives of the FOCA is thus to ensure a high safety stan-dard in the Swiss civil aviation sector in accordance with declared political parameters.
Switzerland became a member of the ICAO on 6 February 1947. The ICAO’s standards (and some of its recommendations) have been integra-ted into Swiss law.
On 21 June 1999, Switzerland and the European Community concluded Bilateral Agreements I, which included an agreement on civil aviation. After these agreements had been approved by Parliament, they were accepted by the Swiss electorate in a referendum held on 21 May 2000. The conclusion of these agreements meant that Swiss civil aviation com-panies were granted access to the European civil aviation market. The EC/Switzerland Air Transport Committee is responsible for supervising the implementation of the bilateral civil aviation agreement. At meetings of this Committee, resolutions are passed concerning Switzerland’s adoption of European legal provisions. Switzerland adopts the latest legal develop-ments in the EU relating to the civil aviation sector.
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This largely concerns technical standards and provisions, e.g. relating to operational and technical safety, air traffic control and safety inspections for people and air freight. In accordance with the bilateral civil aviation agreement, these legal provisions are adopted directly into Swiss law immediately after they enter into force.
Switzerland is not a full member of the European Aviation Safety Agency (EASA), but it has a representative on the EASA Management Board, which is responsible for formulating the Agency’s priorities and budget. Switzerland is also involved in the development of EU legal provisions that are prepared for the EU Commission and submitted to the EU Parliament for approval. In this work, ICAO standards have to be complied with.
The state has a variety of penalties and sanctions at its disposal for enfor-cing the legal requirements, including administrative and penal measures.
The legal foundations for such administrative measures are provided in various EU laws and regulations and in the Federal Civil Aviation Act. In Articles 92 ff of the Federal Civil Aviation Act, under the heading “Adminis-trative measures”, the FOCA is empowered to temporarily or permanently withdraw licences, permits, certificates, etc., and to seize aircraft if natio-nal and international legal regulations are violated. All police forces and courts are obliged to report all offences to the FOCA that could result in the withdrawal of licences, permits and certificates.
The applicable penal provisions are stipulated in various Swiss laws: the Swiss Penal Code (SR 311.0), the Federal Administrative Penal Code (SR 313.0) and the Federal Civil Aviation Act. Depending on their severity, violations may be penalised in the form of fines or imprisonment.
In Switzerland, responsibility for the prosecution of offences against civil aviation law is divided between the Office of the Federal Attorney, the respective cantonal attorney’s office and the FOCA. The FOCA is respon-sible for dealing with misdemeanours. The Office of the Federal Attorney is responsible for prosecuting crimes and offences committed on board an aircraft.
1.1.2 Enforcement of legal provisions
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The respective cantonal attorney’s office is responsible for dealing with offences committed on the ground.
Based on the legal provisions and instruments cited above, the FOCA has an internal enforcement process in place which regulates the indivi-dual procedural steps in handling misdemeanours. In order to secure the uniform application of legal provisions within the FOCA, individual cases are subjected to a validation procedure. For frequently occurring infringe-ments such as airspace violations, flying without a valid licence or unruly behaviour of passengers, the FOCA has defined specific penalty guide-lines. Twice a year, a report on the status of pending penal proceedings and coherency in the enforcement of legal provisions is submitted to the FOCA Management Board.
When considering possible measures and penalties, due regard has to be given to Regulation (EU) No. 376/2014, which under certain circumstan-ces offers protection against FOCA sanctions to people who voluntarily report infringements that were not committed wilfully or through gross neg-ligence (cf. chapter 2.4.1). However, if a person who is obliged to report an infringement fails to do so, he or she must be fined for non-compliance with this obligation. The privileged treatment of people who voluntarily report infringements is intended to enhance aviation safety by identifying errors and weak points in the system so appropriate measures can be developed and promoted.
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1.2 Specific operational regulations
1.3 System and functions within the FOCA
Compliance with the international regulations of the ICAO and EU/EASA is regarded as a prerequisite for efficient safety supervision. The FOCA has a system in place that applies such processes to ensure that changes in international standards and European regulations relevant to safety are treated appropriately and to verify their implementation on an ongoing ba-sis. A variety of ordinances based on the Federal Civil Aviation Act are in force which, for example, regulate areas that are not subject to internatio-nal regulations. These ordinances are periodically reviewed and adapted where necessary.The FOCA issues directives and guidance material as necessary, which are posted on the FOCA website or distributed directly to the parties for whom they are intended. In the course of their regular supervisory activity, the FOCA sections in question also examine whether the directives and guidance material are still relevant and appropriate.
The FOCA bears overall responsibility for the preparation and publication of the SSP, and the head of DETEC receives a copy for information purpo-ses. The relevant authorities, players in the civil aviation sector and indivi-dual participants are responsible for the implementation of the processes described in the programme. On behalf of the FOCA Management Board, Safety Risk Management is responsible for updating the SSP and for providing the corresponding resources. It is also responsible for securing coordination with the other involved parties, in particular the STSB. Any necessary adjustments are noted in an annual controlling process and adopted as necessary by the FOCA Management Board.
The SSP is published on the web site of the FOCA and incorporated into the FOCA management system.
1.3.1 The Swiss State Safety Programme (SSP)
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1.3.2 Policies
2016 Aviation Policy Report
In its 2016 Aviation Policy Report, the Federal Council specified the priori-ties of the federal government for the coming years, including the requi-rement that the Swiss civil aviation sector be operated on the basis of sustainability and longterm planning and assure a high level of safety by international standards. It must also meet the mobility requirements of the population and the business sector and at the same time avoid harmful impacts on human beings and the environment to the greatest possible extent. It must also fulfil the safety needs of the population and air travel-lers.
The report draws the following specific conclusions relating to safety:
Switzerland has attained a high level of safety in comparison with other countries of Europe. This high standard must be maintained even with the increasing traffic volume and, where possible, be improved upon with the aid of reasonable measu-res.
Compromises in the area of noise abatement policy and maxi-misation of capacity must not be allowed to give rise to safety risks. Safety has to take priority when planning and adapt-ing flight procedures.
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Overlying issues that have a far-reaching influence on civil aviation safety, and potentially on the SSP too, are discussed at safety management mee-tings (cf. chapter 1.3.6). The activities of the Safety Oversight Committee (SOC, cf. chapter 1.3.6) also include periodically providing information about the SSP and its effectiveness.
To supplement the SSP, the FOCA is also required to establish a National Aviation Security Programme (NASP) which specifies measures to coun-ter external threats such as aircraft hijackings, acts of sabotage and ter-rorist attacks. This programme is strictly confidential and is not published. Instead it is provided to the relevant players on a need-to-know basis. The interfaces between safety and security, e.g. in the area of cyber attacks, are also described in the NASP.
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At the European level, Switzerland is endeavouring to ensure that the safety regulations are enforced throughout Europe at a high standard.
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FOCA Safety Policy
The principles cited in the Aviation Policy Report form the basis for the formulation of the FOCA Safety Policy, which reflects the authority’s com-mitment to safety and contains clear statements regarding the handling of risks, open communication and the promotion of a positive safety culture.
Its content is periodically reviewed and adapted where necessary. This document is publicly accessible via the FOCA web site and is handed out to all new employees. It is binding for all FOCA personnel, as well as for persons entrusted with mandates.
The FOCA also publishes internal policies for its personnel, for example concerning supervision, airspace and wetleasing.
14Figure 3: FOCA Safety Policy
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1.3.3 Organisation of the authorities
The FOCA is Switzerland’s civil aviation supervisory authority. It is a unit of the Federal Department of the Environment, Transport, Energy and Communications (DETEC). In addition to the FOCA, the Civil Aviation Sa-fety Office (CASO) also reports directly to the head of DETEC. The CASO performs audits of the FOCA on behalf of DETEC relating to civil aviation safety issues. The STSB is administratively affiliated to DETEC.
Figure 4: Overview of authorities in the Swiss civil aviation system
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1.3.4 The Federal Office of Civil Aviation
In its capacity as supervisory authority, the FOCA is responsible for ensu-ring that players in the Swiss civil aviation sector comply with the relevant national legal provisions and international standards. It also negotiates bilateral civil aviation agreements with other countries, further develops national legislation and creates optimal conditions for civil aviation activi-ties.
The 2016 Aviation Policy Report stipulates that the supervisory authority is responsible for ensuring a high safety standard in the Swiss civil aviation sector and for promoting an attractive range of civil aviation services in line with users’ needs, in particular by enhancing the competitive capacity of Swiss civil aviation operators at both the domestic and the international level.
In the civil aviation sector, safety and options for development depend to a large extent on the expertise and resources of the supervisory authority, which has to be capable of enforcing the applicable safety regulations. In addition to its duty of supervision of safety in the civil aviation sector, the FOCA also has to create favourable conditions for the development of aviation companies. The organisation of these two functions is clearly separated within the FOCA (cf. chap-ter 1.3.5).
Consequently, the focus of the FOCA’s activities on safety and sustainable development drills down from the highest hierarchical level of the 2016 Aviation Policy Report via the safety policy, strategy and vision of the FOCA to its corporate culture, so that the various documents convey a uniform message.
The FOCA regards the Swiss civil aviation sector as a comprehensive system in which the involved players are strongly networked at both the national and the international level, and it performs its supervisory duties in accordance with this concept.
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As a federal authority, the FOCA has a mandate from DETEC. In the peri-od from 2008 to 2016, its mandate and budget were based on the princip-les of management with a service level agreement and global budget, but with effect from 2017 the entire federal administration has been subject to the new federal management model. In both models, strategic priorities and objectives are defined and separated into two categories: aviation development and aviation safety.
With respect to aviation safety, the strategic priorities defined in the new federal management model include a contribution towards a high standard of safety in the Swiss civil aviation sector as measured against European standards, plus support for sustainable enhancement of aviation safety and an increase in the efficiency of Switzerland’s civil aviation system, as well as the development and implementation of measures to optimise airspace.
As supervisory authority and regulator, the FOCA has to create the neces-sary conditions for ensuring operational safety in the civil aviation sector. Here, it has to find the right balance between economic, ecological and social interests.
Figure 5: Networking within the civil aviation system
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Air transport is essentially international in nature, and this means that international cooperation is of great importance. Practically every activity in the civil aviation sector today is governed by international regulations. In addition to the ICAO, the EU plays an important role in defining the conditions governing civil aviation.
Switzerland’s international activities focus on the following organisations:
– International Civil Aviation Organisation (ICAO);
– European Civil Aviation Conference (ECAC);
– European Aviation Safety Agency (EASA);
– Eurocontrol;
– Mixed Committee of the EU
The basic mandate for the aviation safety service group is as follows: in order for the FOCA to make a contribution towards a high standard of safety in Switzerland’s civil aviation sector as measured against European standards, it has to licence and supervise infrastructure installations, air traffic control and aviation companies, and aviation personnel and materi-al. This means ensuring compliance with the relevant Swiss and interna-tional standards and legal provisions while taking a riskbased approach. Safety Division – Flight Operations is responsible for providing the techni-cal and operational prerequisites for promoting innovative landing and take-off procedures and the suitable training of aviation personnel.
The various objectives are performance-based and are described in chap-ter 3.2.
1.3.5 International integration of the Swiss civil aviation sector
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The roles played by Switzerland in these organisations vary considerably: the ICAO is a suborganisation of the United Nations and has 191 member states. Its governing body is the ICAO Council, with 36 seats. Switzerland has participated in this organisation since 1980 as a member of the ABIS Group (which comprises Austria, the Benelux countries, Croatia, Ireland, Portugal and Switzerland). Following the rotation principle, every three years another ABIS state nominates a candidate for election to the ICAO Council. Thus, Switzerland is able to represent its interests directly via its official representation, or at least indirectly via the representative of the ABIS Group currently serving on the Council. The ABIS Group is also re-presented in the Civil Aviation Commission, which is a technical advisory body.
Eurocontrol is responsible for coordinating air traffic control in Europe for all international flights in upper airspace and thus for ensuring the safe and efficient handling of air traffic. It currently has 41 member states. Switzerland is a member and is also represented on the corresponding management committees.
Figure 6: Switzerland’s international integration (status: August 2017)
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The ECAC is an independent regional organisation of the ICAO. It cur-rently has 44 member states, including Switzerland. Today, the ECAC is primarily a forum for debating the development of new concepts, mainly relating to security and the environment, which are adopted by the EU at a later date. It also fulfils a bridging function between EU member states and the countries of central and eastern Europe. Switzerland is actively involved in the activities of the ECAC.
The EASA is to an increasing extent defining and monitoring the Euro-pean civil aviation regulations and standards on behalf of the EU. Swit-zerland is able to participate in the EASA on the basis of the bilateral civil aviation agreement with the EU and, thanks to this involvement, it is also able to secure the integration and recognition of its civil aviation industry within the European internal market. Switzerland also holds a seat on the Board of Directors of the EASA, but does not have voting rights. Swiss aviation specialists have the opportunity to participate in workgroups in which the further development of regulations and standards is discussed.
In accordance with the 2016 Aviation Policy Report, Switzerland’s invol-vement in international bodies takes the following forms:
Switzerland actively codetermines international regulations and represents its own interests within the ICAO, the EASA, Eu-rocontrol and the ECAC, as well as in the development of the Single European Sky.
Certain fundamental safety concepts and regulations have to be prepared and implemented globally, i.e. within the scope of the ICAO. In such cases, it is important to exercise restraint with regard to European regulations and, especially, to avoid Europe-an unilateral actions.
Pan-European organisations such as Eurocontrol and the ECAC are still of particular importance to Switzerland as a non-EU member.
Switzerland favours international regulations with a reasonable degree of detail and scope (i.e. principle of reasonableness).
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Representation of the FOCA in international bodies is based on a concept formulated in an internal directive which specifies criteria for deciding on participation in international activities. The directive also reiterates gene-ral principles that have to be observed within the scope of international negotiations.
Through its participation in the EASA, Switzerland also participates in EA-SA’s legislative developments. European legal provisions are adopted by the Mixed EU-Swiss Committee into the Annex to the bilateral civil aviation agreement between Switzerland and the EU (SR 0.748.127.192.68). The Mixed Committee convenes once a year and has the task of monitoring the implementation of the bilateral agreement and integrating new regula-tions into it. The EU/EASA regulations consist of a “Basic Regulation” for which “Implementing Rules” are published.
In Switzerland, the ICAO regulations are also applicable in the civil avia-tion sector. In accordance with Article 6a of the Federal Civil Aviation Act, the Federal Council may, by way of exception, declare individual annexes, including associated technical regulations, of the Chicago Convention of 7 December 1944 on International Civil Aviation (SR 0.748.0) to be directly applicable; it may also order the special publication of such provisions and stipulate that a translation is not (or is only partially) required. The Chica-go Convention includes 19 annexes that are organised as standards and recommendations.
In addition, by virtue of Switzerland’s full membership of Eurocontrol, the published regulations of Eurocontrol are also directly applicable.
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The FOCA is not only the direct civil aviation supervisory authority, it is also responsible for the preparation and implementation of decisions taken by the Federal Council and Parliament relating to the civil aviation sector. It is involved in the definition of the general conditions for safe and sustainable air transport. To document its activities, the FOCA uses “GEVER”, an official electronic business management system (monitoring, archiving and flow control).
The 2016 Aviation Policy Report stipulates that the supervisory authority must be able to fully perform its role in the future and assure a high level of safety, even if new technologies have to be regulated and monitored and the traffic volume should continue to increase. The supervisory autho-rity must secure sufficient expertise and qualified personnel for meeting future requirements, and its resources must be clearly focused on pre-venting, and where necessary eliminating, deficits within companies and organisations whose safety records call for improvement.
Responsibilities within the FOCA
1.3.6 Tasks, processes and instruments
Figure 7: Organisational chart
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FOCA Management Board
An internal FOCA directive regulates the tasks and responsibilities of the Director, the activities of the Management Board, as well as signatory powers and representation. The Management Board supports the Direc-tor with the executive management of the FOCA and is responsible for business activities, regarding official policies and strategies for example, including the approval of the State Safety Programme and the State Safe-ty Plan.
Organisational units
Aviation Policy and Strategy Division
The Aviation Policy and Strategy Division defines the general conditions for the development of civil aviation in Switzerland, which is based on the Federal Council’s sustainability strategy that encompasses the economy, the environment and society and is intended to secure the optimal integra-tion of Switzerland into the European and global centres.
Safety Division – Infrastructure
A well-developed infrastructure is essential in order to ensure that civil avi-ation operations can be carried out safely and efficiently, and this includes airports as well as airspace. Air traffic control is a crucial area of aviation safety in that it controls airspace and ensures that aircraft are kept at a safe distance from one another. The FOCA is responsible for certifying and supervising ATC providers, as well as for issuing operating licences for airports and airfields.
Safety Division – Flight Operations
Safety Division – Flight Operations is responsible for protecting passen-gers, the population and employees of the civil aviation industry against injury and material damage by ensuring a high level of safety in the follo-wing areas:
Qualification of flight personnel and certification of training institutionsOperation of commercial and private aircraft
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Safety Division – Aircraft
Flight safety depends to a large extent on the condition and reliability of aircraft. This division is responsible for certifying new aircraft and compo-nents, as well as for ensuring their proper maintenance.Companies that carry out maintenance work on aircraft or components require a licence from the FOCA, which also certifies companies that are active in the development and manufacture of aircraft components. In addition, the FOCA is responsible for issuing licences for maintenance personnel.
Safety Risk Management
Safety risk management is a tool that is intended to secure a high stan-dard of safety in the key areas of aircraft, flight operations and infrastruc-ture.
The Safety Risk Management Division performs a strategic function and therefore reports directly to the FOCA directorate, whose head supports and advises the Director in the coordination and management of all safetyrelevant activities of the FOCA. This division also operates and maintains the FOCA’s safety management system, details of which are published on the Intranet.
Registration and supervision (certificates, permits and licences) of aircraft, flight personnel and the related training institutions, training equipment, aeromedical specialists and centres, and functions related to the carriage of dangerous goods.
Securing the necessary aeromedical services for pilots, flight attendants and air traffic controllers.
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The safety objectives and the measures for attaining them are based on the applicable legal provisions (ICAO/EASA/EU/Swiss legislation) and on the principle of best practice. They form an integral part of a systematic and comprehensive safety management concept, which entails the follo-wing main activities:
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Compliance Management
Based on the applicable national and international legal provisions, the FOCA specifies the conditions for safe and sustainable civil aviation in Switzerland. Compliance with the international regulations of the ICAO and EU/EASA is regarded as a prerequisite for efficient safety super- vision. Based on the corresponding compliance management processes and with the aid of a Safety and Risk Management section, the FOCA has implemented a system that secures the necessary adaptation of internati-onal safety-relevant standards and European regulations and verifies their implementation on an ongoing basis.
Safety Oversight Committee
This supervisory committee comprises representatives of the FOCA and experts from the most important segments of the civil aviation sector. It forms a platform for the exchange of information within the industry. It is also responsible for carrying out situation analyses and taking steps aimed at enhancing the standard of safety in Swiss civil aviation, and is to be entrusted with the task of auditing the SSP and assessing its effective-ness.
Workgroups focusing on aviation safetySafety management meetings
The FOCA holds safety management meetings for the purpose of de-bating overlying issues that have a far-reaching influence on aviation safety. These meetings are attended by a steering committee comprising the Director of the FOCA, the heads of the three safety divisions and the head of Safety Risk Management. The steering committee is convened as required – as a rule, four times a year – and decides on highlevel safe-ty projects, monitors the influence of such projects on the State Safety Programme and orders any adjustments of the latter that may be requi-red. The main purposes of these meetings are to define policies, prepare decisions and specify priorities, but they may also adopt proposals and escalate issues where necessary. Topics for safety management meetings and other safety-related discussions are prepared at “safety corner” mee-tings, which are attended by the heads of the three safety divisions, the head of Safety Risk Management and, where necessary, the designated safety officers.
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Meetings of CASO, STSB, FOCA joint committee
These meetings provide a platform for exchanges between the Swiss Transport Safety Investigation Board (STSB – an extra-parliamentary commission), the Civil Aviation Safety Office (controlling body at Depart-ment level) and the Federal Office of Civil Aviation (FOCA). The main purpose of this joint committee is to discuss the results of STSB investiga-tions, the subsequent measures of the FOCA aimed at preventing future accidents, etc., and the effectiveness of controlling activities of the CASO. In addition, the recommendations submitted to the FOCA by the STSB are also discussed at these meetings (cf. chapter 2.3).
Airprox Analysis Board (AAB)
Details arising from incident reports that point to a frequent occurrence or typical combination of risk potentials relating to mid-air collisions are discussed within the Airprox Analysis Board (AAB). This interdisciplinary group of experts meets several times a year for the purpose of:
As representatives of the areas of airfields and aerodromes, air navigati-on services, business aviation, commercial operations, general aviation and military aviation, the involved players place their information and know-how at the disposal of the AAB for the purpose of analysing joint problems. Bringing together the findings and measures arising from the respective safety management systems to form an overall picture helps identify patterns and problems at the interfaces.
Facilitating interdisciplinary cooperation at the national level
Exchanging various perspectives regarding potential risks
Developing joint proposals for recommendations for preventing similar incidents or increasing the level of safety in the overall Swiss civil aviation system.
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Airspace Infringement Working Group (AIWG)
The AIWG functions as a supplementary analysis organisation for saf-ety risk management – based on the applicable national and internati-onal principles and strategies. Its main purpose is to prevent or reduce airspace infringements in Switzerland. It systematically and consistently analyses airspace infringements in order to identify possible causes. This expert group, which comprises representatives from general aviation, the airforce, air navigation service providers and the FOCA, normally conve-nes twice a year and prepares comprehensive decision-making criteria and recommendations based on the above-mentioned cause analyses which support the implementation of suitable measures by the operational safety divisions of the FOCA.
The FOCA attaches a great deal of importance to recruiting highly-quali-fied personnel, to the induction and training of personnel commensurate with their specific jobs, and to systematic, targeted further development of their skills. Qualified, responsible, socially aware action is an integral part of the corporate strategy and culture of the FOCA.
The processes and instruments utilised in recruiting, induction, training and development of personnel ensure that the internationally applicable requirements (of the ICAO and the EASA) concerning the qualification of employees are fulfilled:
1.4 Qualification of technical personnel
Job profiles describe the personal, social, technical and ma-nagement qualifications needed for the function in question. These profiles serve as the basis for job descriptions and ads for job vacancies, which also stipulate the education and experi-ence re-quired for the job.
Training programmes for the safety divisions provide the neces-sary know-how for the respective functions. Modules for instruc-ting personnel in safety risk management form an integral part of the initial training for almost every function. In the basic FOCA safety risk management course, new employees are given an introduction to the system and the way in which safety risk ma-nagement is applied within the FOCA.
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The FOCA has implemented a management system as a basic working tool, the main purpose of which is to provide employees with a common, standardised practical basis.
The composition of this system is as follows:
1.5 Technical guidelines, working aids and provision of safety information
FOCA strategy (vision and strategic measures, strategic manda-tes for the divisions and operational mandates for the sections)
Internal directives, regulations and instructions
Internal processes (management, main and auxiliary processes)
Structure and management organisation (organisational chart, management instruments, operational rules)
Regulations governing competencies and signatory powers
In periodical courses, basic training elements are intensified and the employees receive information about new developments in safety risk management.
As part of the objectives agreement and performance assessment process, the individual status of training and need for further de-velopment of all employees are examined annually by the emplo-yees’ immediate superior – with the support of a competence analy-sis that is carried out every three years and development planning.
The planning and recording of each employee’s training and further education are supported via a specially developed IT application.
According to need, the Safety Risk Management organisational unit organises internal training in certain specialised areas such as safe-ty culture, “just culture” and the safety management system.
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The application of this management system is standard within the FOCA – all employees are required to work with it. Access to the current status of the management system is secured via network connection.
In addition to the various processes, the management system contains a broad variety of documents (policies, procedures, guidelines) and instruc-tions that employees can call up for support. Employees are required to carry out each activity that is described via a process in the management system in accordance with the specified criteria and must also use the corresponding instructions and tools. This is the only way in which high and constant quality can be secured and the error rate can be minimised.
New employees receive comprehensive training in the use of the manage-ment system as part of their induction programme. The FOCA’s manage-ment system meets the requirements of ISO 9001.2010.
Externally, the FOCA publishes a broad variety of relevant operational documentation on its website, including directives, guidelines, newsletters and information material, with the aim of improving safety in general and promoting a common understanding of safety in Switzerland’s civil aviati-on industry and among all involved players.
The Safety and Risk Management Division periodically publishes inter-nal reports containing data and statistics compiled from various sources. Other information of relevance to safety is published on the Intranet or is discussed in internal committees and communicated to employees.
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This chapter describes the second quadrant (upper right) of Figure 1, which deals with the “do” segment of the “plan/do/check/act” system. This segment concerns the actual core task of the safety management system.
2. Safety and risk management
Figure 8: State safety risk management
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2.1 Licensing, certification, authorisation and criteria for permitsA management system is the basis of a systematic approach for every organisation. As noted in chapter 1.5, the FOCA’s management system includes the processes according to which the FOCA works.
Service-defining processes (in blue) describe the basic development and process design in the FOCA’s divisions. They enable the FOCA to provide new and improved services. Services provided to other federal authorities are also counted among these processes.
Service-providing processes (in red-green) describe those services that the FOCA provides to third parties. In accordance with the business mo-del, these are divided into registration and supervisory processes (Safety Division), data processing and consolidation, creation of plans, forecasts and studies, and preparation of decisions of relevance to civil aviation development (Aviation Policy and Strategy Division).
The registration processes used in the Safety Division ensure that private individuals and organisations intending to carry out civil aviation activities meet the specified requirements before they may benefit from the privile-ges afforded by a licence, certificate or permit. In each of the safety divisi-ons, the generic registration processes are adapted to the respective circumstances in the supervised companies.
The supervisory processes are described in chapter 3.1.
Figure 9: The FOCA’s process environment
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2.2 Criteria for safety management systems
ICAO Annex 19 stipulates that the authority must require those companies that are subject to its supervision to introduce a safety management sys-tem. Based on the correspondingly designed registration and supervisory processes, the FOCA ensures that this requirement is duly met by the following companies:
The safety management system and associated safety performance indicators and targets are periodically examined as part of the FOCA’s auditing activities.
The framework within which a safety management system has to be developed and introduced is described in a supplement to ICAO Annex 19. The FOCA has to base its certification and supervision of the safety management system on the above ICAO criteria. ICAO Annex 19 also sti-pulates that a company’s safety management system has to be structured according to the size of the company and the complexity of its activities.
The FOCA audits safety management systems with the aid of a special assessment tool that is published on its website in order to provide trans-parency.
Training organisations in accordance with ICAO Annex 1
Commercial air transport providers
Aircraft maintenance companies
Aircraft manufacturing companies
Air traffic control providers
Airport/airfield owners
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2.3 Investigation of accidents and incidents
The Swiss Transport Safety Investigation Board (STSB) is the federal authority responsible for investigating accidents and serious incidents in the areas of air transport, rail transport and domestic and ocean-going shipping. It is independent of all other administrative units and takes the form of an extra-parliamentary commission. The main aim of its activities is to identify the immediate causes of accidents and serious incidents, as well as their underlying reasons and other associated risks. Its investi-gations are solely intended to enable it to obtain information that can be used for preventing the occurrence of such accidents and hazardous situ-ations in the future, and thus enhancing safety. However, the results of its investigations are not intended to clarify blame and liability issues. In the civil aviation sector, the activities of the STSB are based on the following legislative instruments in particular:
The Convention on International Civil Aviation, with special refe-rence to Annex 13 (Aircraft Accident and Incident Investigation) in its currently applicable version.
Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and the repeal of Directive 94/56/EC. Based on the bilateral civil aviation agreement of 21 June 1999 between Switzerland and the EU, this Regulation is binding and directly applicable. It was adopted into Swiss legislation on 1 February 2012.
Articles 25 to 26a of the Federal Civil Aviation Act of 21 Decem-ber 1948.
Ordinance of 17 December 2014 on the safety investigation of incidents in the transport sector (SR 742.161).
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The STSB was established on 1 November 2011. It was formed from the Federal Air Accident Investigation Bureau (AAIB), which was founded in 1960, and the Investigation Bureau for Railway, Funicular and Boat Accidents (IRFBA), which commenced its activities in 2000 based on the model of the AAIB. The amalgamation of these two services, both of which were experienced in safety investigation, resulted in a bundling of speci-alised know-how and gave rise to a unity of doctrine in the field of acci-dent and serious incident investigation. The aim behind this move was to improve safety investigations and strengthen their preventive effect, and to bring them into line with the latest international findings.
The STSB is a multi-modal investigatory board in the form of an ext-ra-parliamentary commission. It is administratively affiliated to the General Secretariat of DETEC and encompasses the Commission itself (Board) plus a Technical Secretariat which in turn is divided into two sections: avi-ation (STSB-AV) and railways and shipping (STSB-RS). The STSB also has a central services unit that performs administrative and organisational tasks on behalf of the overall institution.
The Commission is the highest body of the STSB and is responsible for its strategic management. It comprises three to five independent transport specialists and is appointed by the Federal Council for a term of four ye-ars. The Commission specifies the objectives and priorities of the STSB’s activities, as well as its structure, and employs its personnel. It is also responsible for securing an effective quality assurance system, monitoring the investigation service, approving final reports and preparing an annual report.
The aviation and railways & shipping sections each have their own mana-ger who is responsible for ensuring that all investigations are carried out in accordance with the applicable legal provisions and international regula-tions and duly comply with the respective quality standards. The aviation section has its head office at Payerne military airfield and operates other offices at Zurich and Geneva airports. The railways and shipping section has offices in Bern and Schlieren.
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Every safety investigation is carried out by full-time lead investigators who are experienced specialists from the respective transport segments and have been trained in accordance with the ICAO regulations. Due to their complexity, most investigations are carried out in teams. For this purpose, the STSB employs more than 100 qualified specialists from all transport segments who are called on as mandated investigators when required. A safety investigation takes the form of an independent clarification of the technical and operational circumstances, as well as any potential human actions and errors that may have given rise to the incident. Final reports are addressed to the respective transport specialists as well as the general public. They do not take the form of a ruling, and appeals cannot be lodged against them. In order to be able to draw attention to general systemic deficits and make corresponding safety recommendations, the STSB also conducts studies on critical safety-relevant topics. It may also prepare and distribute documents and instruments for the prevention of accidents and in order to enhance safety.
Safety recommendations
Due to the separation of powers between itself and the supervisory au-thority, a safety investigation body is not permitted to order measures to enhance safety, but only propose them. To do this, the safety investigation body – in Switzerland, the STSB – reports on any existing safety deficits to the relevant supervisory authority in an interim or final report and puts forward corresponding recommendations. It is up to the relevant super-visory authority to decide, together with the involved transport segment, whether and how the safety recommendations can be implemented.
According to Regulation (EU) No 996/2010, a safety recommendation ta-kes the form of a proposal for preventing accidents and incidents that has been put forward by a safety investigation body on the basis of informa-tion that has come to light in the course of a safety investigation or from other sources such as safety studies.
After a report containing a safety recommendation has been submitted by the Swiss or a foreign safety investigation body, the FOCA is required to notify the body concerned, within 90 days from the date of receipt of the communication, about the measures that have been taken or are envisa-ged and, where applicable, about the time required to implement the mea-sures in question, or, if no measures are to be taken, about the reasons for this decision (cf. Regulation [EU] No 996/2010).
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The following legal instruments contain regulations pertaining to safety re-commendations: at the international level, ICAO Annex 13; at the Europe-an level, Regulation (EU) No 996/2010; in Switzerland, Ordinance on the safety investigation of incidents in the transport sector (SR 742.161).
By collecting incident reports, the FOCA is able to assist with the early identification of potential precursors for serious incidents and accidents and, where possible, to take appropriate countermeasures. The greater the quantity of data, the more accurate the picture of the safety level in Switzerland becomes. National and European legal provisions and regula-tions form the legal basis for collecting the necessary data.
Regulation (EU) No 376/2014 specifies that, as the relevant supervisory authority, the FOCA is required to use the data placed at its disposal in or-der to enhance safety and to refrain from prosecuting people for reporting incidents. This commitment to “just culture” is intended to give players in the civil aviation sector the courage to openly report incidents of relevance to safety.
The FOCA adopted the principle of “just culture” immediately after it was introduced in 2007. No one who reports incidents of relevance to safety to the FOCA suffers any disadvantages as a consequence of their action. This principle applies as long as malicious intent or a serious lack of pro-fessional diligence did not contribute to the situation that threatened flight safety.
Both the EU and the FOCA require aviation companies to introduce this “just culture”. The aim here is to ensure that employees who report inci-dents will not be penalised by their employer.
2.4 Collection and management of safety-related data
2.4.1 Reporting and “just culture”
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The European ordinance on reporting stipulates that each member state must nominate an ombudsperson to whom suspected infringements against the principle of “just culture” can be reported. In Switzerland, this function is performed by the Reporting Office for Just Culture in Civil Avi-ation (ROJCA), which is affiliated to DETEC. Its purpose is to secure the practice of “just culture” and, in particular, protect the source of an incident report in Switzerland’s civil aviation sector. Anyone who becomes aware of possible infringements on the part of the authorities, or their company or organisation, against the protection of information sources can report this to the relevant office. After investigating the matter, the reporting office issues recommendations to the relevant national authorities.
In accordance with the applicable legal provisions, all incidents cited in Implementing Regulation (EU) 2015/1018 must be reported to the FOCA within the mandatory reporting system. Generally speaking, everyone who is active in the civil aviation sector is obliged to report incidents that represent a threat to aviation safety. This principle also applies to the light aviation segment.
Incidents that players in the civil aviation sector are required by law to report include near air collisions (AIRPROX), bird strikes and non-compli-ance with the regulations governing the carriage of dangerous goods.
2.4.2 Mandatory reporting
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In accordance with the applicable European regulations, the FOCA’s Safety Risk Management Division enters all data concerning incidents into the ECCAIRS (European Coordination Centre for Accident and Incident Reporting System) database. Here, all data must be compatible with the ADREP (Accident/Incident Data Reporting) system of the ICAO. In a second step, the finalised datasets are placed at the disposal of the safety divisions via a user-friendly interface.
As a general rule, an organisation is responsible for the analysis of inci-dents within the framework of its safety management system and for au-tonomously implementing remedial measures. The findings obtained from this analysis, plus any remedial measures that have been taken, must be automatically communicated to the FOCA in the form of an interim or final report if the incident was classified by the company as serious. The FOCA’s safety divisions thus primarily verify compliance with reporting deadlines and the transparency of the interim and final reports.
However, in order for a reliable picture to be drawn up of the safety level in Switzerland and Europe, every incident should be reported that repre-sents, or could represent, a threat to safety. Thus, incidents and observa-tions that are not subject to mandatory reporting but are of relevance to safety may also be reported voluntarily, including:
2.4.3 Input of safety-relevant data
Information about incidents that are not subject to mandatory reporting in accordance with Implementing Regulation (EU) 2015/1018
Other situations that the observer suspects could represent a threat to aviation safety
Incidents and observations that are not subject to mandatory re-porting in accordance with Regulation (EU) 376/2014 but could be of relevance to safety
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A safety division may at any time initiate an in-depth examination and request the organisation concerned to provide more detailed information if it regards the findings of the analysis and any implemented remedial mea-sures to be inadequate. It also responds to any apparent systemic causes and verifies compliance with reporting obligations within the scope of its routine auditing activities.
Individuals who are not answerable to an organisation are not subject to an investigation. Here, responsibility always lies with the FOCA.
The results of analyses of incident reports are placed at the disposal of internal and external parties via various media:
Internally, periodical reports are prepared concerning civil aviation inci-dents and their assessment, supervisory activities of the safety divisions, trends and developments, and recommendations by the Safety Risk Ma-nagement Division regarding supervisory activities.
Externally, the FOCA publishes an annual safety report which contains a summary of reported incidents, supervisory activities, safety levels and other safety-related activities. An annual report is submitted to Eurocontrol concerning reports relating to air traffic control. Annual statistics regar-ding reported incidents are published on the FOCA website. In addition, findings obtained from reporting activity are also incorporated into various safety promotion activities of the FOCA.
In accordance with Regulation (EU) 376/2014, information about incidents within the EU has to be exchanged in order to improve the identification of existing or potential risks. At the European level, data exchange takes place via the main European database (ECCAIRS).
The FOCA submits safety data (e.g. statistics on accidents and incidents) to the ICAO. Within the scope of the Universal Safety Oversight Audit Programme (USOAP), the ICAO uses the submitted data to draw up a risk profile for the respective country. The ICAO uses each profile as the basis for planning its auditing activity.
2.4.4 Data exchange
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One of the core activities of the Safety Risk Management Division of the FOCA concerns the use of available safety data for the identification and monitoring of hazards and the associated risks. The procedure for iden-tifying hazards and assessing risks is described in detail in the FOCA’s risk management process, and it is initiated if:
2.5 Identification of hazards and assessment of safety risks
An unacceptable risk or negative trend is identified in the incident data (from mandatory or voluntary reporting and the accident and incident data of the STSB).
An unacceptable risk or negative trend is identified in analyses by European or international organisations (EASA, ICAO) or internal workgroups (AAB, AWG, cf. chapter 1.3.5).
A particular finding from audits or inspections is repeatedly iden-tified and represents a potential threat.
A safety deficit is ascertained within the scope of an accident investigation or based on a recommendation by the STSB.
A change takes place in the aviation system (e.g. new or amen-ded regulations or introduction of a new technology).
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The FOCA uses a Hazard Information Form for the purpose of identifying hazards and analysing the associated safety risk. The data received are entered in the Hazard and Risk Register. The form itself comprises the following four parts:
To assess safety risks, the FOCA uses a 5x5 matrix based on ICAO Docu-ment 9859 (Safety Management Manual). This matrix shows the probabili-ty expressed in terms of frequency and severity of the consequences of a given hazard. This results in a division of each identified consequence into three risk categories: high, medium, low.The degree of acceptance is then assessed on this basis. This takes the form of a decision as to whether or not the risks are tolerable, and whether they can be kept as low as possible (principle of “as low as reasonably practicable”).
The following categories are applied:
Hazard identification – definition of the hazard in the context of the overall system and initial analysis of the hazard, including potential causes and consequences.
Risk assessment – identification, analysis and evaluation of the risk in the context of the consequences of the identified hazard scenario.
Actions – identification and mitigation of the risk (as low as rea-sonably practicable) in the context of the consequences identi-fied in the risk assessment.
Unacceptable – risks are not tolerable, regardless of the be-nefits of the associated activity. Every activity or practice that entails risks that are classified in this category must be halted unless it can be modified so that the associated risks can be mitigated and thus assigned to one of the lower categories or unless exceptional grounds exist for the activity or practice in question.
Post-mitigation assessment – assessment of the effectiveness of the actions taken in terms of mitigation of the risk identified in the risk assessment, and assessment of the extent to which the risk has been mitigated.
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In 2016, the FOCA developed a structure based on bow-tie models (or “monitoring structures”) for the purpose of classifying safety data obtained from the reporting of accidents by the industry and resulting from inves-tigations. Monitoring structures have been defined for mid-air collisions, runway incursions, runway excursions, collisions on the ground and loss of control in-flight. In 2018, a monitoring structure is to be developed for controlled flight into terrain. The main aim here is to bring about a stan-dardised classification of incidents and accidents with the aid of ADREP taxonomy, and thus make it possible to link incident data with the asso-ciated hazards via the bow-tie model. In this way it is also possible to determine whether triggering factors for a hazard originate from different areas of civil aviation (which would not be possible if incidents were to be analysed separately for the various areas using conventional methods). These monitoring structures also make it possible to identify precursors before an incident or accident occurs.
The FOCA manages safety risks by identifying and implementing strate-gies for their prevention, incorporating the principle of “as low as reaso-nably practicable”. It achieves this by mitigating either the severity of the consequences, the degree of probability of occurrence, or the degree of exposure to a risk. Mitigation strategies therefore focus on:
Tolerable – the risks are deemed to be acceptable if clear benefits are associated with the activity in question. These risks have to be periodically examined in order to determine whether they meet the “as low as reasonably practicable” criterion.
1 A bow tie model is used for visualising the causes and effects of risks
Broadly acceptable – risks that are not considered to be significant and can be kept under control.
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2.6 Management of safety risks
Elimination of the risk
Reduction of the risk
Transfer of the risk
Tolerance of the risk
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When considering mitigation strategies, the FOCA may select a combina-tion of the above points with the following additional elements in accor-dance with ICAO Doc 9859 (Safety Management Manual):
The effectiveness of the strategy for mitigating, eliminating or controlling risks is verified during a post-mitigation assessment (part 4 of the Hazard Information Form). Based on the result, the hazard either has to be moni-tored (via data from incident reports or findings) or a new risk assessment has to be carried out if it has not been possible to achieve an acceptable safety level.
EffectivenessCost/benefit ratioFeasibility of implementationAcceptanceEnforceabilityResidual risksUndesirable consequencesImpacts on other civil aviation areas (e.g. security)
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This chapter describes the third quadrant (bottom right) of Figure 1, which deals with the “check” segment of the “plan/do/check/act” system. It describes how, with the aid of audits and inspections, the FOCA verifies whether the existing safety level within the various companies corres-ponds to the specified target level. In addition to its official supervisory activities, the FOCA also applies risk- and performance-based methods.
3. Safety assurance
Figure 10: State safety assurance
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3.1 Supervision
Switzerland carries out integral supervision in the civil aviation sector en-compassing all areas, i.e. airports and airfields, air traffic control, aviation companies, development companies, manufacturers, maintenance provi-ders, training organisations and all flight personnel.
Within the scope of its supervision of Swiss aviation companies, the FOCA verifies with the aid of audits and inspections whether the holders of licen-ces, certificates and permits duly comply with the corresponding safety procedures and processes in accordance with the applicable national and international regulations and legal provisions.
Foreign airlines that are subject to supervision in their country of origin are subjected to random inspections of aircraft and flight crews by the FOCA.
Generally speaking, a performance- and risk-based approach applies to the planning of audits and inspections. In addition to carrying out audits and inspections of all companies, the FOCA focuses on companies or areas in which weak points have been identified. In the FOCA safety management system, the planning of these activities is described in the processes of the safety divisions.
Generally speaking, the planning of supervisory activities is based on the following criteria:
Compliance with the relevant legal provisions
Prioritisation of safety areas based on the safety risk portfolio
Results of previous licensing and supervisory activities and the effectiveness of safety and compliance management (per-formance-based criterion)
Consideration of system risks and complexity of the activities carried out by the company (risk-based criterion)
Need for action according to safety recommendations made by the STSB
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3.2 Safety performanceIn 2011, the FOCA developed safety performance indicators for runway excursions, runway incursions and mid-air collisions. Initially no targets were set because in the past these indicators had only been observed as part of the monitoring process. They are currently being revised, based on the collection of data from reporting activities and the redefined monitoring structure (cf. chapter 2.5). At the same time as the safety performance in-dicators are being reevaluated, work is being carried out on the definition of acceptable levels of safety performance. Here the criteria and backg-round conditions specified in the fourth edition of ICAO Doc 9859 (Safety Management Manual) are being applied (cf. Figure 11).
Safety-related topics specified internally (by divisions/sec-tions) Recommendations from Safety Risk Management
Feedback from the SAFA (Safety Assessment of Foreign Aircraft) and SASA (Safety Assessment of Swiss Aircraft) random inspection programmesInternational cooperation with EASA and ICAO workgroups concerning various safety issues.
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Figure 11: Acceptable levels of safety performance (draft ICAO Doc 9859, Safety Management Manual, 4th edition)
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The diagram depicts the various sources for safety performance indicators and acceptable levels of safety performance. The section on the left refers to operational risks, i.e. these safety performance indicators are derived from data obtained from reporting activities.
In the section on the right, the safety performance indicators are derived from the FOCA’s performance and effectiveness targets, e.g. compliance with the regulations or supervision of the implementation of safety ma-nagement systems in the civil aviation industry. In the area of process safety issues, indicators are developed from the targets specified for the FOCA.
In accordance with the new federal management model (cf. chapter 1.3.3), the following aviation safety targets have been specified for the FOCA and laid down in a service level agreement between the Director of the FOCA and the relevant minister of DETEC:
Strategic priority and objective: a high standard of safety in the Swiss civil aviation sector by European standards.Measurement variables:
These objectives are being translated in an ongoing project into indicators for the various divisions which in the future will be used for measuring the performance and effectiveness of the activities of the FOCA.
Work on the acceptable level of safety performance is expected to be concluded in 2018.
Number of accidents resulting in fatalities in commercial air transport (fixed-wing aircraft)
Number of accidents resulting in fatalities in commercial air transport (helicopters)
Compliance (yes/no) with the minimum level of effectiveness of safety management in air traffic control in accordance with Regulation (EC) 390/2013)
Average performance and risk profile of EASA airports/air-fields (scale from 1 to 10)
Number of complaints relating to compliance and safety ma-nagement associated with the international regulations of the EASA and ICAO
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Figure 12 depicts the fourth quadrant (bottom left) of Figure 1, which deals with the “act” segment of the “plan/do/check/act” system. This section focuses on internal and external communication.
4. Promotion of safety
Figure 12: State safety promotion
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4.1 Internal communication and distribution of safety data
Every year the FOCA prepares a safety report on the previous year. These reports contain information about safety in the areas of commercial flight operations, general aviation, helicopter operations, air traffic control, airports and airfields, and aircraft. They also include statistics concerning incidents and accidents, together with an assessment of the development of the safely level and safety risk portfolio of Switzerland’s civil aviation sector. Extracts are made accessible to the public and are published on the Internet (cf. chapter 4.2).
In addition to these safety reports, the Safety Risk Management Division also places other safety-relevant information at the disposal of personnel via the Intranet. If significant changes have taken place, these are com-municated in a newsletter.
For the purpose of assuring information flow, the Safety Risk Management Division also organises a special “Safety Corner”, a meeting between itself and the heads of the safety divisions, plus a safety management meeting (cf. chapter 1.3.1) attended by the Director of the FOCA and the division heads. Reports for the attention of the FOCA Management Board are also prepared on a periodical basis.
Those personnel of the FOCA who are active within numerous European and international bodies compile reports for the attention of the FOCA Management Board in order to pass on information they have obtained. In addition, annual reports are produced about Switzerland’s representation in such bodies.
Furthermore, the safety divisions’ safety officers and certain other person-nel also have direct access to the ECCAIRS database in which all repor-ted incidents are recorded. This ensures that the information concerned reaches the safety divisions responsible for supervision directly and without losses via the respective interfaces.
Employees of the FOCA receive information bulletins about any adapta-tions of the SSP. New employees receive the SSP as part of their inducti-on programme.
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4.2 External communication and distribution of safety data
The FOCA uses various channels for communicating with stakeholders. In addition to direct communication via post and e-mail, its Internet site and use of social media channels (Facebook and Twitter) are gaining in importance. On the FOCA website, all updated documentation is uploaded to the “Portal for Specialists”, including specific information concerning the EASA, plus a corresponding newsletter. A summary of the safety report is posted annually on the website.
For communicating information about amendments to legislation or safety regulations, the FOCA sends notifications by post or e-mail, or organises corresponding meetings (for example, an annual event for airport/airfield managers). In addition, workgroups and committees that meet on a regu-lar basis are also used for communicating important information.
Under the heading, “Stay Safe”, the FOCA has been conducting a sensiti-sation and information campaign on Facebook since 2013. In the meanti-me, more than 2,200 people have subscribed to this page, most of whom are pilots. On average, two articles are published each week. The page is intended for all players in the general aviation segment, and in the past two years it has also been addressed to drone pilots. Since the middle of 2016, articles on both Facebook and the FOCA website have been published in German and French, and in some cases, English. The FOCA repeatedly encourages readers to publish their own articles or submit any questions they may have. In this way it has already been possible to initiate dialogues with and between readers on a number of key topics. An important element of “Stay Safe” is the series of regularly published “Lessons learned” articles that enable pilots to learn from the experiences of their colleagues.
Certain topics such as weather, flying in mountainous areas and airspace infringements are addressed regularly, but “Stay Safe” also offers a chan-nel for reacting quickly and in a targeted manner when hotspots arise. For example, readers can be informed about temporary airspace closures (for example in the event of an accident) via special notices and bulletins (NOTAM, DABS).
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In addition, in the event of technical problems (for example a malfunction of a component in a particular engine type), the necessary information can be communicated quickly via this channel in addition to the official information channels. Some occurrences such as airspace infringements and incidents involving drones are also reported via the media, and this contributes towards an even broader sensitisation to potential hazards. Articles can also be broadly distributed through multipliers such as aviati-on associations (Aeroclub, Swiss Drones Association, Swiss Hang-Gliding Association) and thus reach a larger target group.
Other communication instruments include:
An annual safety seminar (Swiss Aviation Safety Conference, SASCON) which is organised and held by the FOCA
Swiss Aviation Days, an event that is held twice a year and at-tended by all stakeholders, including the airforce and Skyguide
Meetings of the SOC (cf. chapter 1.3.1)
An annual conference for all air operator certificate (AOC) holders
An annual full-day meeting for all airfield/airport managers and other involved players (CASO, STSB, airforce, Skyguide, etc.)
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The FOCA safety promotion website: the FOCA provides sa-fety-relevant information via various channels and promotes exchanges between users: https://www.bazl.admin.ch/bazl/de/home/fachleute/sicherheits--und-risikomanagement/safe-ty-promotion.html
The EASA also operates a safety promotion website: https://www.easa.europa.eu/easa-and-you/safety-management/saf-ety-promotion
This website replaced the activities of the ESSI (European Strategic Safety Initiative) at the end of 2016. However, the latter’s material is still of great interest and includes links to EGAST (General Aviation Safety Team) and EHEST (Helicop-ter Safety Team).
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Flyer and interactive map to help prevent incidents involving drones Films and posters dealing with airspace infringements – these articles are also distributed throughout southern Germany.
FOCA videos on YouTube: https://www.youtube.com/channel/UCT8AJFX4-uVvVKvzI-SbO6g
Technical notifications with publications of the FOCA on issu-es relating to airworthiness
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