2 Today’s Discussion Regulatory Authority Organization Staff ; Qualifications; and TrainingCertified Airports and Canada’s RegulationsAerodrome Certification ProceduresAirport Operations ManualsInspections, Audits and ChecklistsSafety Management SystemsExemptions and Risk Assessments
3 Regulatory Authority Organization Headquarters in OttawaMinister of Transport - Deputy Minister - Assistant Deputy MinisterDirector General Civil AviationDirector Aerodrome SafetyChiefs ofAerodrome StandardsPrograms and AuditsWildlifeEngineeringNoise and EnvironmentInspectors and EngineersTo develop and administer policies, regulations and programs for a safe, efficient and environmentally responsible transportation system
4 Regulatory Authority Organization (cont’d) HeadquartersHas Functional Authority over the Regions - not Line AuthoritySets PolicyDevelops Regulations; Provides Regulatory InterpretationResearches new technologyResponsible for Inspection ProgramConducts National AuditsICAO ResponsibilitiesCARAC ResponsibilitiesRegions – Inspectors, no EngineersFive Regions spread out across the countryCarries out Inspection ProgramIdentifies Interpretation Difficulties
5 Staff and Qualifications Delegations of Authority to InspectCivil Aviation InspectorsAirline Transport Pilot LicenseProject, Management or Other Airport ExperienceTechnical InspectorsSpecific Airport Experience or SpecialtyAirport ManagementAirport Fire ChiefHuman & Organizational Factors, Safety Management SystemsSpecialists that Support the Inspection ProgramEngineersWildlife SpecialistNoise and Zoning Specialist
6 Requisite Employee Training Phase IDevelop core, business & job specific CompetenciesPhase IITo enhance and fully master CompetenciesPhase IIIFor ongoing maintenance of all CompetenciesPhase IVNecessary for Career Development
7 Training Programs Basic Aviation Enforcement Communications Skills Introduction to Risk ManagementTransport Canada OrientationAerodrome Specialty CourseFormal “On The Job” Training ProgramInitial Audit ProceduresProject Management CourseHuman and Organizational Factors TrainingFlight Training – Currency for those with ATPLFirst Three Mandatory for Basic DelegationNext Four Mandatory for Full DelegationFinal Three for Project Management Assignments, SMS, and Special training for pilots.
8 Canada’s Certified Airports Land AirportsIncluded International and “Far North”HeliportsIncludes Hospital and RooftopWater AirportsIce Airports (Better known in the summer as “water”)TOTAL 652
9 Aerodrome Regulations Canadian Aviation Regulations (CARs) Part III Regulations, Standards & Advisory MaterialStandards (TP312) mirror Annex 14 with additionsWildlife; Winter Maintenance; Construction; Airside Access and Vehicle ControlSeparate Regulations for Fire FightingMeets or Exceeds Annex 14 requirementsAirport Security is regulated by different Directorate
10 Present Canadian Regulations Airports Eligible for CertificationReceive scheduled passenger carrying aircraftAre in a built-up area; orIn the Public InterestIncorporates “Standards” by reference
11 Future Canadian Regulations New Applicability of Airport Certification RegulationsInternational AirportsReceiving Commercial Passenger-Carrying Aircraft 10 seats and overIn a Built-up AreaIn the Public InterestThose that Choose to be Certified
12 International Airports These Airports must meetICAO Annex 14Plus additional Canadian Regulatory requirementsICAO Annex 9 requirements for Customs and ImmigrationCARs Part 303 for Aircraft Rescue and Fire FightingThese airports will be listed in a Schedule to the Regulation and submitted to ICAO for inclusion as an International Airport
13 Commercial Passenger-Carrying These Airports must meet standardsAppropriate to the size of aircraft it serves or largerSafety Management SystemBased on the number of annual movementsApplicable to the regulated level of fire-fighting at the site
14 Other Certified Airports Built-Up; Public Interest; and Operator ChoiceMust meet standards appropriate to theLocationSituationTraffic needsSafety Management System
15 Built-Up & Public Interest Neither term has any fixed meaning in Canadian lawFor Built-Upwe use a matrixFor Public InterestThe simple private interests of the aerodrome are not, in themselves, sufficient to meet this testAll potentially affected stakeholders input must be addressedMust include all economic and environmental impactsTransport Canada review and concurrence required
16 Heliports and Water Airports Canada has separate Regulations and Standards for the Certification ofHeliports; andWater AirportsThese primarily relate to “Built-Up and “Public Interest” situationsCopies are provided on the CD
17 Certification Procedures Airport Certificate issued where:Airport Operations Manual accurately describes the physical specifications of the aerodrome;Airport Operations Manual is approved where the physical specifications outlined in the AOM conforms to the requirements in the Standards (TP312);Inspection on-site to determine that the Airport actually meets the standards; orExemption considerations, based on an Aeronautical Study
18 Airport Operations Manuals The Canadian Aviation Regulations (CARs) Part III specify that the AOMAccurately describes the physical specifications of the aerodrome;The physical specifications must conforms to the requirements in the Standards (TP312) (Annex 14);Contain the required approved “Plans”;Contain signed Agreements & MOUs
19 Airport Operations Manuals (cont’d) An electronic version of the new Draft “Suggested Format for an AOM” is providedConsists of Four PartsPart I - Administrative InformationPart II - Airport SpecificationsPart III - Airside ServicesPart IV - Airside Operational Plans and Procedures
20 Operational Plans Performance Based Examples: Emergency Response PlanningWildlife Management and Control PlanningWinter Maintenance and PlanningAirside Access and Vehicle Control Planning
21 Safety Management Systems References:ICAOAnnex 14; andManual on Certification of AerodromesIntroduction to Safety Management SystemsSafety Management Systems for Flight Operations & Aircraft Maintenance Organizations
22 International Civil Aviation Authority (ICAO) Annex 14“1.3 Certification of Aerodromes1.3.6 As of 20 November 2005, a certified aerodrome shall have in operation a safety management system.”Manual on Certification of AerodromesEssential features of an aerodrome safety management systemIn Part 5 of the Manual on Certification of Aerodromes, ICAO describes the requirements of a safety management systemSafety policyStructure or organization of the SMS (roles and responsibilities)SMS implementation (process, systems)Measures for safety promotion and accident prevention and a system of risk controlThe internal safety audit and review systemDocumentation systemTraining and competency
23 What is a Safety Management System? Most Definitions highlight the following:A business approach to safetyA systematic, explicit and comprehensive process for managing risksProvides for goal setting, planning and measuring performanceConcerns with organizational safety rather than the conventional health and safety at work concernsWoven into the fabric of an organizationPart of the CultureBenefits of a SMSProvides for a more holistic approach to safety oversight;Enables identification of the most effective and efficient ways of managing risks within the context of its own business;Provides a framework for the systematic management of risk.
24 Key Features of SMS Senior Management Commitment Safety Policy Safety InformationEstablishing Safety as a Core ValueHazard Identification and Risk ManagementSenior Management Commitment:Management commitment plays a major role in determining the company's safety culture.Example: Management should attend presentations on SMS (CASS ).Safety Policy:A safety policy allocates responsibilities and holds people accountable for meeting safety performance goals.Should be communicated to all employees.Example: The airport operator could develop an organizational chart that shows both the chain of safety responsibilities and the linkages to ensure that responsibilities are understood.Safety Information:Managers and staff should be able to access and use safety information relating to the organization's own performance.Examples: Database, record keeping.Establishing Safety as a core Value:Safety involves everyone.The best way to establish safety as a core value is to make safety an integral part of the management plan.Examples: Airport employees should be consulted in setting annual safety targets and identifying safety initiatives.Hazard Identification and Risk Management:Hazard identification and risk management will provide the information needed to control risk at acceptable levels.Hazard identification and risk management should be undertaken, at a minimum:During implementation of the safety management system and then at regular intervals;When major operational changes are planned;If the organization is undergoing rapid change;When key personnel change.Examples: Mechanisms for employees to identify safety issues and concerns on an on-going basis.
25 Key Features of SMS (cont’d) Establishing a Safety Reporting SystemSafety Audit/AssessmentAccident & Incident Reporting and InvestigationSafety Orientation and Recurrent TrainingEmergency Response PlanDocumentationEstablishing a Safety Reporting System:Employees must have a way to report hazards and safety concerns.The report should be acknowledge and analyzed.Example: The airport operator should ensure that employees have a means of reporting occurrences, hazards and other safety related issues.Safety Audit/Assessment:These assessments will ensure that correct procedures are being followed and resolve any problems or misunderstandings.Example: The airport operator should identify qualified employees who are impartial and objective to perform evaluations of the SMS.Accident and Incident Reporting and Investigation:Every accident and incident is an opportunity to learn valuable safety lessons.Every accident and incident should be reported and investigated.Example: The airport operator should develop procedures for reporting and documenting findings, conclusions and recommendations, and for ensuring implementation of recommendations and corrective actions.Safety Orientation and Recurrent Training:New employees should be trained in how safety is managed and encouraged to adopt the safety philosophy, policy, procedures, and practices of the company.The commitment to provide both relevant orientation training and ongoing refresher/recurrent training for all staff is an essential element of any safety plan.Example: The airport operator should develop procedures to ensure that employees have received the necessary training and certification and that qualifications are kept current.Documentation:The safety management system should be formally documented in appropriate manuals, directives and/or instructions.Example: The airport operator should consolidate descriptions of each elements of the system if the airport employees and the regulators are to understand how the whole system is integrated.PhilosophyPolicyProceduresPractices
26 Canada’s Objectives for SMS More proactive safety management by aviation professionalsConsultative approach to promote and establish a pervasive safety cultureTake account of human and organizational factorsNon-prescriptive, performance-based approach to safety regulation
27 SMS Initiatives in Canada Safety Management Systems Briefing CampaignIntroductory booklet on Safety Management SystemsCanadian Aviation Safety Seminar (CASS)Regulations and Standards for Flight Operations and Aircraft Maintenance OrganizationsGuidance Booklet “ A Guide to Implementation”Aerodrome Safety drafting Regulations and Standards for AirportsThe goals of this briefing campaign are to:Provide participants with an overview of SMS concepts and principles;Brief participants on current or proposed SMS requirements; andSolicit industry feedback and input on SMS related issues.The material in this booklet is used to introduce safety management systems principles and concepts.CASS is an international event featuring high-profile guest speakers. This year’s (2002) CASS was entitled Implementing Safety Management Systems and Making the Most of Lessons Learned. CASS 2002 brought together the aviation community’s different disciplines, specialties, and perspectives to share experiences on implementing SMS and making the most of lessons learned.
28 Evaluation of an Airport SMS Guidance for self evaluation as well as for Inspection evaluationWhat processes are in place enabling staff to raise safety concerns with senior management.Is there a formal safety policy statement?Current PracticesYes / NoAreas for ConsiderationA checklist will be developed and it will be used to monitor or evaluate airport safety management systems. This checklist will be made available to the airport operator as guidance material.
29 “The On-Site Inspection” Inspections are conducted to ensureInitialAOM reflects what’s on-siteSite meets the StandardsPlans meet the requirements of the siteAnnualOngoing complianceFollow-upDeficiencies correctedOtheri.e. During construction
30 Inspection Checklists Based on a National Database of Airport InformationRegions input all physical characteristics concerning the airports in their RegionDevelop a site specific checklist for each Inspection based onAreas that may have problemsSelected elements such as runways or taxiwaysA sampling of all elementsThe produced checklist identifies the standards to be met for the individual site
31 Exemptions from Standards Aeronautics Act5.9 (2) Exemption by Minister (of Transport)The Minister may, on such terms and conditions as the Minister deems necessary, exempt any person, aircraft, aerodrome, facility or service from the application of any regulation or order made under this Part if in the opinion of the Minister the exemption is in the public interest and is not likely to affect aviation safety.
32 Exemptions May be Granted Pursuant to a Regulation with Criteriaprovided within the particular regulation“unless authorized by the Minister”specific criteria on which it is basedExecutive Decision Pursuant to 5.9(2)only in unforeseen circumstanceswhich are unlikely to recur; orthe regulation is being amended5.9(2) states that it mustbe in the Public Interest; andnot affect Aviation Safety
33 Exemptions from Regulations Formal Exemption Process for all of Civil AviationCivil Aviation Directive No. 1Places responsibilities onAirport Operator (or applicant); andTransport Canada Official with Delegation of AuthorityDelegation Authorities relating to Aerodrome Safety and Exemptions
34 Exemption Process (Civil Aviation Directive No. 1) Applicant ResponsibilitiesMake compelling case why it should be grantedProvide supporting arguments forHow it’s in the Public InterestHow it would not affect aviation safetyPropose conditions that could mitigate risk
35 Exemption Process (Civil Aviation Directive No. 1) Transport Canada ResponsibilitiesDelegated officials who have Ministerial Delegation must exercise their delegated authority carefully and ensure thatthe need is justifiedall safety implications are fully consideredall applications are treated consistentlynational standardization for granting or denying is met by following Civil Aviation Directive No. 1
36 Aeronautical Study (Risk Assessments) In-depth analysis (Risk Assessment) designed toIdentify the risks with respect to proposed changesIdentify measures to eliminate or reduce those risksDetermine the most appropriate Risk Assessment toolRisk Management & Decision Making in Civil AviationShort Risk Management ProcessFull Risk Management ProcessIn-depth Risk Management Process
37 Thank You Peggy Wilson Chief, Aerodrome Standards Aerodrome Safety, Transport CanadaOttawa Canada (613)