1. NZ’s STATE SAFETY PLAN W hat the CAA has to do to implement its SMS CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS Simon Clegg General Manager - Government Relations, Planning & Strategy

2. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 2 SMS & State Safety Programmes  Safety Management Systems are about information and risk management  Regulators have to implement their own version of an SMS  ICAO calls this the State Safety Programme (SSP)  The SSP embodies the same risk based approach as required for operators  Regulators have to identify and target risks within national aviation systems

3. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 3 SMS & SSP (2)  ICAO is implementing its version of a SMS to target aviation risks at the global level  National and global systems to identify risks that may not be visible within operators or even countries due to small number of events ICAO global level SMS National Regulator SSP Operator SMS National Regulator SSP Operator SMS

4. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 4 SSP elements Four main elements with 15 components 1. An overall safety policy and set of objectives comprising 1.1Safety standards and rules; 1.2Clear responsibilities and accountabilities; 1.3No-fault accident & incident investigation; & 1.4An enforcement policy.

5. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 5 SSP elements (2) 2. Parameters for safety risk management comprising a)Actual identification of risks; & b)Approval of a target level of safety. 3. Processes to provide safety assurance through a)Oversight; b)Safety data collection & analysis; & c)Targeted oversight on areas based on that data 4. Active safety promotion through a)Training; b)Communication; & c)Dissemination of safety information.

6. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 6 NZ SSP implementation  New Zealand meets 9 of the 15 component elements already  1 element is not met  5 elements are partially met  Element not met  e2.1 Safety requirements for operators/service providers SMS  CAA in the process of developing the rules for this  SMS Rule Scope statement issued on 12 March 2009

7. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 7 e2.2 Operator SMS  Rule action required  Management accountability  CEO made accountable for safety  Expanded role of senior person for safety investigation  Corporate safety Committee  Systems  Emergency response  Document system required  Hazard identification process  Risk assessment and mitigation process  Safety monitoring

8. CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 8 e2.2 Operator SMS (2)  Change Management process  Safety promotion  Training  NB The Rule will only set out the desired outcomes  CAA guidance material (Advisory Circular) will provide the detail on how these can be met  SMS AC will be developed in parallel with the draft rule  First version will be issued Q2 2009  This will enable industry to implement SMS voluntarily in advance of the legal requirement

9. NZ SSP Implementation (2)  Elements partially met  e1.4 Enforcement Policy  e2 Safety risk management  e2.2 Approval of operators/service providers acceptable levels of safety  e3.2 Safety data collection, analysis & exchange  e4.1 Internal training, communication & dissemination of safety information CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 9

10. e1.4 Enforcement Policy  CAA in the process of developing a “regulatory tools” policy  This will outline the various ways in which the CAA can influence safety behaviour in the aviation sector  CAA regulatory tools include:  Education and safety promotion - eg  GAP (Good Aviation Practice) Booklets  Articles in Vector magazine  Aviation Safety Coordinator (ASC) Course  Seminars  Increased surveillance and/or spot checks  Audit findings CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 10

11. Regulatory Tools Policy  Critical Audit findings  Warning Letter  Grounding of aircraft (eg after AD)  Aviation Document Changes  Imposition of conditions/restrictions  Suspension (for a fixed period or until a condition is met)  Cancellation  Legal Enforcement Letter of Warning  Infringement Notice  Prosecution (NB Tools in yellow italic typeface are collectively called “Legal Enforcement” tools) CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 11

12. Regulatory Tools Policy (2)  The Regulatory Tools policy will  Provide guidance for CAA staff in the field  Function as a guide to industry on what regulatory response they can expect (depending on the surrounding circumstances)  Aim to foster a corporate and aviation sector culture of positive action, consultation and cooperative action with the CAA  Clarify the role of Legal Enforcement tools within the CAA’s full “regulatory toolbox” CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 12

13. e2 Safety Risk Management  CAA has adopted operator risk profiles  Currently based on 39 safety factors  CAA will be developing a change/risk management policy  to actively manage and assess changes in risk due to proposed changes  in both industry subsectors and the operations of individual document holders CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 13

14. e2.2 Levels of safety  CAA has safety targets expressed as “social cost” targets  CAA needs to develop guidance for operators to determine their acceptable levels of safety within their organization’s SMS  CAA will seek operators to set an acceptable level of safety that is consistent with the broader safety goals for the subsector in which it operates  This work is linked to CAA’s work on Safety Information – as safety data will be required to support these measures at both the operator level and the national/CAA level CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 14

15. e3.2 Safety data  CAA is currently working on a comprehensive Safety Information Policy  Aims to consolidate all safety information currently received by the CAA  Improve our ability to analyse and identify NZ civil aviation risks  Through a common data “taxonomy” will ultimately allow the CAA to aggregate safety information with other national regulators & ICAO  Will allow identification of safety trends & risks globally or in areas with similar operating conditions to NZ CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 15

16. e4.1 Safety information – training & internal use  CAA required to monitor technological developments & best industry practices  CAA considering Investors In People standard to ensure training is linked to broader CAA strategy  Dissemination of Safety Information  Safety Information Policy will address staff use of safety data for risk assessment and audit preparation  An IT Data Warehouse project will provide easier interface for internal CAA users CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 16

17. Status report & future steps  All projects to implement SMS & the SSP are in the CAA’s internal business plan  Will be consulting with industry on content of various policies  eg Regulatory Tools, Legal Enforcement, Safety Information  Have commenced the rule writing process  Will be consulting with industry using normal rule processes CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 17

18. Future steps (2)  Aim to issue 1 st version of SMS AC mid year  Plan to issue GAP booklet on SMS later this year  This joint CAA / AIA / GAPAN Symposium is part of our industry engagement on SMS in New Zealand  The start of our dialogue with industry  Anticipate that this will be the first of many CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 18

19. Good News !  New Zealand operators & the CAA have less work to implement SMS than many overseas authorities and operators CAA/AIA/GAPAN South Pacific Aviation Symposium on SMS 19