Safety Management
Systems
CAA Update
Scope
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Background
Benefits
Policy development / RIS
NPRM
Advisory Circular
Sector engagement & participation
SMS Implementation
State Safety Programme (SSP)
Design Delegation Holder’s Seminar
Safety Management Systems
 “SMS is a systematic approach to managing
safety, including necessary organisation
structures, accountabilities, policies and
procedures” [ICAO]
 SMS description
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Holistic
Risk-based
Data-driven
Goes beyond compliance
Tailored to operating environment
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Benefits
 Builds on quality management, and provides a
framework for managing all safety-related
processes
 Hazards identified and risks managed before they
impact safety / business
 Avoid human and financial cost of negative safety
event
 Improved decision-making
 Data-driven performance targets and monitoring
provides basis for assessing and improving safety
performance
 SMS can be integrated with other systems
 Foundation for a positive safety culture
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Background
 SMS and risk based oversight are now the
cornerstones of ICAO regulatory philosophy
 ICAO required States to implement SMS as of 01
January 2009
 New Zealand aviation sector has solid foundation of
Quality Management
 Many participants have voluntarily adopted SMS
 CAA has been developing SMS foundational
requirements for 2 – 3 years
 This work has, and will continue to be, informed by
industry experience and the lessons learned by
other regulators
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Policy Development
 Transport Rules Redesign Project
• Policy work done up front
• Must consider other options to Rules
 Policy work
• CAA (with Castalia assistance)
• Industry consultation
 Cabinet paper → Regulatory impact
Statement (RIS)
 Cabinet paper will propose a framework for
consequential changes related to SMS
(including Rules)
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Rule Development
 SMS will be implemented through series of
amendments to CARs supported by a
comprehensive single AC
 SMS Rules will replace QA Rules
 Rule amendments have been divided into
three Groups
 There will be a transition period for each
Group
 Voluntary adoption of SMS by participants in
advance of Rule implementation is
encouraged
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Rule Development
 Group 1
• Part 119 – 121 & 125
• 139
• 145 (supporting
121/125 ops)
• 172
 Group 3
• Part19
• 137
 Group 2
• Part 119 – 135
• 141
• 145 (supporting
other ops)
• 146
• 148
• 149
• 171/174/175
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NPRM Update
 The Rule Project Working Group was
instrumental in the creation of NPRM
 NPRM is modeled off ICAO SMS
 13 elements; 11 ICAO plus:
• Audit programme
• Management review
 Subject to Cabinet approval of proposals,
NPRM will be released for consultation
(target August 2012)
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ICAO SMS Elements
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SMS Advisory Circular
 Draft AC completed with Aerosafe
assistance
 AC will provide acceptable means of
compliance with SMS Rules
 Guidance material also included
 Scalable for size and complexity
 Tools and practices not prescribed
 AC will be released for consultation –
feedback is requested
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Industry engagement
 Industry participants have provided input to
NPRM and AC (e.g. PWG)
 Wider consultation on AC and NPRM
 SMS promotion by CAA
• Forums
• Support materials
• Vector
 Support and leadership by industry groups
 Sharing of practices and experiences is
encouraged
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SMS Implementation
CAA personnel trained in SMS/risk (complete)
NPRM and AC development (complete)
Policy and RIS development (in progress)
Policy proposal to Cabinet (July/August 2012)
NPRM & AC for consultation (once policy / RIS
accepted)
 Final Rules signed and issued, transition period
commences (est. last quarter 2012 calendar yr.)
 Participants submit Exposition changes (SMS) to
CAA for acceptance prior to Rule effective date
 Rule effective (est. 2014) → CAA monitoring
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Design Delegation Holder’s Seminar
State Safety Programme (SSP)
 State framework to support SMS
 SSP main components:
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State safety policy & objectives
State safety risk management
State safety assurance
State safety promotion
 Gap Analysis completed & submitted to ICAO
 NZ already has many of requirements in place
 Gaps will be addressed through CAA change
programme (most underway)
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SSP (cont’d)
Key areas of work
 SMS Rules (∆ risk management)
 Risk-based monitoring
 Safety performance targets for industry
• Descriptive rather than numerical
 Effectiveness of interventions
 Safety data collection, analysis and
exchange (e.g. sector safety initiatives)
 Regulatory Operating Model and Regulatory
Tools Policy
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Questions?
Thank you
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