Aerodrome Certification Workshop Trinidad 13 – 16 May, 2002 Canada’s Approach to Aerodrome Certification Peggy Wilson, Chief Aerodrome Standards Transport Canada, Ottawa, Canada

Today’s Discussion Regulatory Authority Organization Staff ; Qualifications; and Training Certified Airports and Canada’s Regulations Aerodrome Certification Procedures Airport Operations Manuals Inspections, Audits and Checklists Safety Management Systems Exemptions and Risk Assessments

Regulatory Authority Organization Headquarters in Ottawa Minister of Transport - Deputy Minister - Assistant Deputy Minister Director General Civil Aviation Director Aerodrome Safety Chiefs of Aerodrome Standards Programs and Audits Wildlife Engineering Noise and Environment Inspectors and Engineers                                                                                                                                                                                                                                                                                                                                                                                           To develop and administer policies, regulations and programs for a safe, efficient and environmentally responsible transportation system

Regulatory Authority Organization (cont’d) Headquarters Has Functional Authority over the Regions - not Line Authority Sets Policy Develops Regulations; Provides Regulatory Interpretation Researches new technology Responsible for Inspection Program Conducts National Audits ICAO Responsibilities CARAC Responsibilities Regions – Inspectors, no Engineers Five Regions spread out across the country Carries out Inspection Program Identifies Interpretation Difficulties

Staff and Qualifications Delegations of Authority to Inspect Civil Aviation Inspectors Airline Transport Pilot License Project, Management or Other Airport Experience Technical Inspectors Specific Airport Experience or Specialty Airport Management Airport Fire Chief Human & Organizational Factors, Safety Management Systems Specialists that Support the Inspection Program Engineers Wildlife Specialist Noise and Zoning Specialist

Requisite Employee Training Phase I Develop core, business & job specific Competencies Phase II To enhance and fully master Competencies Phase III For ongoing maintenance of all Competencies Phase IV Necessary for Career Development

Training Programs Basic Aviation Enforcement Communications Skills Introduction to Risk Management Transport Canada Orientation Aerodrome Specialty Course Formal “On The Job” Training Program Initial Audit Procedures Project Management Course Human and Organizational Factors Training Flight Training – Currency for those with ATPL First Three Mandatory for Basic Delegation Next Four Mandatory for Full Delegation Final Three for Project Management Assignments, SMS, and Special training for pilots.

Canada’s Certified Airports Land Airports 379 Included International and “Far North” Heliports 253 Includes Hospital and Rooftop Water Airports 18 Ice Airports (Better known in the summer as “water”) 2 TOTAL 652

Aerodrome Regulations Canadian Aviation Regulations (CARs) Part III Regulations, Standards & Advisory Material Standards (TP312) mirror Annex 14 with additions Wildlife; Winter Maintenance; Construction; Airside Access and Vehicle Control Separate Regulations for Fire Fighting Meets or Exceeds Annex 14 requirements Airport Security is regulated by different Directorate

Present Canadian Regulations Airports Eligible for Certification Receive scheduled passenger carrying aircraft Are in a built-up area; or In the Public Interest Incorporates “Standards” by reference

Future Canadian Regulations New Applicability of Airport Certification Regulations International Airports Receiving Commercial Passenger-Carrying Aircraft 10 seats and over In a Built-up Area In the Public Interest Those that Choose to be Certified

International Airports These Airports must meet ICAO Annex 14 Plus additional Canadian Regulatory requirements ICAO Annex 9 requirements for Customs and Immigration CARs Part 303 for Aircraft Rescue and Fire Fighting These airports will be listed in a Schedule to the Regulation and submitted to ICAO for inclusion as an International Airport

Commercial Passenger-Carrying These Airports must meet standards Appropriate to the size of aircraft it serves or larger Safety Management System Based on the number of annual movements Applicable to the regulated level of fire-fighting at the site

Other Certified Airports Built-Up; Public Interest; and Operator Choice Must meet standards appropriate to the Location Situation Traffic needs Safety Management System

Built-Up & Public Interest Neither term has any fixed meaning in Canadian law For Built-Up we use a matrix For Public Interest The simple private interests of the aerodrome are not, in themselves, sufficient to meet this test All potentially affected stakeholders input must be addressed Must include all economic and environmental impacts Transport Canada review and concurrence required

Heliports and Water Airports Canada has separate Regulations and Standards for the Certification of Heliports; and Water Airports These primarily relate to “Built-Up and “Public Interest” situations Copies are provided on the CD

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; or Exemption considerations, based on an Aeronautical Study

Airport Operations Manuals The Canadian Aviation Regulations (CARs) Part III specify that the AOM Accurately 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

Airport Operations Manuals (cont’d) An electronic version of the new Draft “Suggested Format for an AOM” is provided Consists of Four Parts Part I - Administrative Information Part II - Airport Specifications Part III - Airside Services Part IV - Airside Operational Plans and Procedures

Operational Plans Performance Based Examples: Emergency Response Planning Wildlife Management and Control Planning Winter Maintenance and Planning Airside Access and Vehicle Control Planning

Safety Management Systems References: ICAO Annex 14; and Manual on Certification of Aerodromes Introduction to Safety Management Systems Safety Management Systems for Flight Operations & Aircraft Maintenance Organizations

International Civil Aviation Authority (ICAO) Annex 14 “1.3 Certification of Aerodromes 1.3.6 As of 20 November 2005, a certified aerodrome shall have in operation a safety management system.” Manual on Certification of Aerodromes Essential features of an aerodrome safety management system In Part 5 of the Manual on Certification of Aerodromes, ICAO describes the requirements of a safety management system Safety policy Structure or organization of the SMS (roles and responsibilities) SMS implementation (process, systems) Measures for safety promotion and accident prevention and a system of risk control The internal safety audit and review system Documentation system Training and competency

What is a Safety Management System? Most Definitions highlight the following: A business approach to safety A systematic, explicit and comprehensive process for managing risks Provides for goal setting, planning and measuring performance Concerns with organizational safety rather than the conventional health and safety at work concerns Woven into the fabric of an organization Part of the Culture Benefits of a SMS Provides 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.

Key Features of SMS Senior Management Commitment Safety Policy Safety Information Establishing Safety as a Core Value Hazard Identification and Risk Management Senior Management Commitment: Management commitment plays a major role in determining the company's safety culture. Example: Management should attend presentations on SMS (CASS 2001-02). 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.

Key Features of SMS (cont’d) Establishing a Safety Reporting System Safety Audit/Assessment Accident & Incident Reporting and Investigation Safety Orientation and Recurrent Training Emergency Response Plan Documentation Establishing 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. Philosophy Policy Procedures Practices

Canada’s Objectives for SMS More proactive safety management by aviation professionals Consultative approach to promote and establish a pervasive safety culture Take account of human and organizational factors Non-prescriptive, performance-based approach to safety regulation

SMS Initiatives in Canada Safety Management Systems Briefing Campaign Introductory booklet on Safety Management Systems Canadian Aviation Safety Seminar (CASS) Regulations and Standards for Flight Operations and Aircraft Maintenance Organizations Guidance Booklet “ A Guide to Implementation” Aerodrome Safety drafting Regulations and Standards for Airports The 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; and Solicit 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.

Evaluation of an Airport SMS Guidance for self evaluation as well as for Inspection evaluation What processes are in place enabling staff to raise safety concerns with senior management. Is there a formal safety policy statement? Current Practices Yes / No Areas for Consideration A 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.

“The On-Site Inspection” Inspections are conducted to ensure Initial AOM reflects what’s on-site Site meets the Standards Plans meet the requirements of the site Annual Ongoing compliance Follow-up Deficiencies corrected Other i.e. During construction

Inspection Checklists Based on a National Database of Airport Information Regions input all physical characteristics concerning the airports in their Region Develop a site specific checklist for each Inspection based on Areas that may have problems Selected elements such as runways or taxiways A sampling of all elements The produced checklist identifies the standards to be met for the individual site

Exemptions from Standards Aeronautics Act 5.9 (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.

Exemptions May be Granted Pursuant to a Regulation with Criteria provided within the particular regulation “unless authorized by the Minister” specific criteria on which it is based Executive Decision Pursuant to 5.9(2) only in unforeseen circumstances which are unlikely to recur; or the regulation is being amended 5.9(2) states that it must be in the Public Interest; and not affect Aviation Safety

Exemptions from Regulations Formal Exemption Process for all of Civil Aviation Civil Aviation Directive No. 1 Places responsibilities on Airport Operator (or applicant); and Transport Canada Official with Delegation of Authority Delegation Authorities relating to Aerodrome Safety and Exemptions

Exemption Process (Civil Aviation Directive No. 1) Applicant Responsibilities Make compelling case why it should be granted Provide supporting arguments for How it’s in the Public Interest How it would not affect aviation safety Propose conditions that could mitigate risk

Exemption Process (Civil Aviation Directive No. 1) Transport Canada Responsibilities Delegated officials who have Ministerial Delegation must exercise their delegated authority carefully and ensure that the need is justified all safety implications are fully considered all applications are treated consistently national standardization for granting or denying is met by following Civil Aviation Directive No. 1

Aeronautical Study (Risk Assessments) In-depth analysis (Risk Assessment) designed to Identify the risks with respect to proposed changes Identify measures to eliminate or reduce those risks Determine the most appropriate Risk Assessment tool Risk Management & Decision Making in Civil Aviation Short Risk Management Process Full Risk Management Process In-depth Risk Management Process

Thank You Peggy Wilson Chief, Aerodrome Standards Aerodrome Safety, Transport Canada Ottawa Canada (613) 991-9939 wilsop@tc.gc.ca