What SMS means for an What SMS means for an Operator’s relationship with Operator’s relationship with

the CAAthe CAA

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TermsTermsOperator = certificate holder

ICAO : operator = air operator and maintenance

service provider = ATS, aerodromes, security, navigation

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Civil Aviation ActCivil Aviation Acts12(4)(a) “Every participant shall .... establish and follow a

management system that will ensure compliance with the relevant prescribed safety standards...”

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Civil Aviation RulesCivil 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

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CertificationCertification“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

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Certification (cont’d)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)

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SurveillanceSurveillanceSafety Monitoring will include1. Review of Operator SMS structure, processes,

documentation; and

2. Outcome /performance based surveillance- site visits /inspections/ en-route checks

- observing activity

- sampling

- record reviews

- assessment (effectiveness in

addressing hazards / findings)

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Surveillance (cont’d)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

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Surveillance (cont’d)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

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Use of Regulatory ToolsUse 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

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Airlines vs. GAAirlines vs. GAAirlines

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Airlines vs. GAAirlines 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

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Airlines vs. GAAirlines vs. GA

General Aviation

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Airlines vs. GAAirlines 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)

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Benefits of SMSBenefits of SMSFor 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

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Benefits of SMSBenefits 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

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Benefits of SMSBenefits 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

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SMSSMS

Final Thoughts

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A “top-down” approach to safetyA “top-down” approach to safety

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Involves all aspects of the Involves all aspects of the organisationorganisation

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ProactiveProactive Risk Assessment Risk Assessment

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CAA – IndustryCAA – Industry“A shared approach for safety”“A shared approach for safety”

Thank youThank you

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