Development of FSOP in China

Transcription

1 Development of FSOP in China April 11, 2010 Flight Standards Department Civil Aviation Administration of China

2 What is FSOP? Part 1

3 What is FSOP? Flight Standards Oversight Program The platform for Flight Standards Certification and Surveillance. Computerized, web-based, risk management incorporated, and system safety incorporated.

4 What is FSOP? 3 levels 10 subsystems

5 What is FSOP? Policy-making Level CSS Performance Analysis Subsystem Execution Level Certifications & Surveillance subsystem OPSPEC Airworthines s Licensing $ examiner Medical certification s Aircraft evaluation Other subsystems Supporting Level Electronic documentation s Inspectors Basic information Other data

6 Why do we need FSOP? Part 2

7 Why do we need FSOP? Flight Standards Certification and Surveillance plays a vital role in aviation safety, which is demanding and challenging.

8 Why do we need FSOP? Present situation in China: Astonishing fast development in civil aviation industry; Relatively slow growth in government infrastructure; Limited human power in CAAC; Bureaucracy, high administrative cost; underdevelopment stage in IT and administration automation. Etc.

9 Present CAAC structure CAAC Regional Administration AOC issuance Regional Administration Regional Administration Local (provincial) Oversight office Local (provincial) Oversight office Local (provincial) Oversight office Airlines Non-home Base Airlines Home base Airlines Outstation

10 Present CAAC AOC management structure F E C AOC issuance Regional Administration A G D Regional Administration B H Regional Administration Joint certification Surveillance surveillance Carrier s home base Non home base Outstation A E- documents list,b G- technical documents list C D- copies of certificates,h F G- modifications feedback

11 Present Certification Procedure 航空公司申请 ( 跨地区 ) A 局指定 PI 是否同意受理申请 否 是否是 A 局是否同意委托 B 局 PI 审查 ( 内部 OA) 航空公司确定验证时间并回函 B 局审查组到实地进行演示验证 A 局 PI 及 A 局 PI 事务 B 局 PI 及 B 局 PI 事务 A 局建立项目 发函委托否, 发函回复 B 局是否同意接受委托 ( 内部 OA) 航空公司及航空公司事务 B 局关闭项目 A 局任务委托 是 发函回复结果 监管局内部事务 B 局 PI 建立项目以及确定是否成立审查小组 是 否 B 局领导签字是否同意成立审查小组 A 局 PI 确认审核是否通过 B 局主管监察员及 B 局主管监察员事务 否 是 通过 本系统流程 B 局 PI 根据规章分部的不同分配子任务到相应分部主管监察员 B 局 PI 组织成立审查小组 A 局 PI 签字, 通过审核 不通过, 发函回复 地方管理局 OA 流程 发函 发函回复 B 局 PI 审查文件 B 局主管监察员审查文件 航空公司 文件不合格, 协商修改 航空公司填写相应表单, 补充相应材料 文件不合格, 协商修改 A 局关闭项目并存档 文件合格 文件合格, 提交审查意见 B 局 PI 确认审查合格

12 Present surveillance procedure CAAC issues annual Inspection program 7 Regional Admin. s issue Inspections planning All local oversight offices Produce detailed inspection plan Local oversight office to Report essential findings Inspectors to execute the plan and checklists Inspectors to report findings To supervisors

13 Why do we need FSOP? We need system safety! We need a revolutionized oversight system. We need a fluent, multidimensional, and well-established information exchange system. We need maximum output with our limited resources. We need to cut administrative costs.

14 Why do we need FSOP? We need a system that is capable of managing the risks. We need a system that is capable of enhancing systematic safety. We need a uniform and standardized system. We need to improve our inspectors performance.

15 How does it work? Part 3

16 How does it work? Virtually changed the present CAAC configuration. The concept of Certificates Management Office has been introduced. Surveillance planning, e.g. the inspection program, is to set up based on individual AOC holder s performance.

17 Virtual CMO Certificates Management Office air carriers home base. Reports to Flight Standards Department Responsibility: Air carrier s initial and follow-up certifications Managing the surveillance of the respective carrier. Multidimensional and direct control of the carriers. Integrated Data, and risk analysis.

18 FAA s present style CMO CMO manager Data analyzer POI PMI PAI Other inspectors APOI APMI APAI

19 How does it work? Information is shared with regard to different levels of authorization. Uniformed checklists and documentations More effectiveness in inspector management.

20 How does it work? CAAC employs six safety attributes to evaluate the design of FSOP : 1 Procedures Documented methods to accomplish a process. 2 Controls Checks and restraints designed into a process to ensure a desired result. 3 Process Measures Used to validate a process and identify problems or potential problems in order to correct them. 4 Interfaces Interactions between processes that must be managed in order to ensure desired outcomes. 5 Responsibility A clearly identifiable, qualified, and knowledgeable person who is accountable for the quality of a process. 6 Authority A clearly identifiable, qualified, and knowledgeable person who has the authority to set up and change a process.

21 How does it work? The attributes are not standards in and of themselves, but provide a structure for the tools used to collect data for principal inspectors so that they can make informed judgments about the design of an air carrier s operating systems (1) before approving or accepting them when required to do so by the regulations, and (2) during recurring assessments for continued operational safety.

22 How does it work? Focus on an Air Carrier s Organization and Processes. In addition to issuing certificates, monitoring compliance, investigating noncompliance, and administering sanctions for noncompliance, CAAC oversight is moving towards more focus on an air carrier s organization and process management. Outputs and outcomes are still monitored, but the emphasis is more on maintaining a safe process or correcting deficiencies.

23 How does it work? Major Functions of FSOP. Three major functions further define the oversight system: design assessment (DA), performance assessment (PA), and risk management.

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25 How does it work? Design Assessment. DA is the FSOP function that ensures an air carrier s operating systems comply with regulations and safety standards, including the requirement to provide service at the highest level of safety in the public interest. Performance Assessment. CAAC inspectors conduct PAs (e.g. surveillance or routine & non-routine inspections) to confirm that an air carrier s operating systems produce intended results, including mitigation or control of hazards and associated risks.

26 How does it work? DA is the most important function of FSOP, because safety is the outcome of a properly designed system. Poor system design compromises safety risk management. Performance assessments (PA) must supply objective evidence of both the adequacy and inadequacy of processes.

27 How does it work? Definition of Business Process Modules. There are five business process modules in the design and performance functions. The application of each process may be somewhat different depending on whether conducting a DA or PA, but the overall purpose of each module is as follows:

28 How does it work? 1) Module 1 System Configuration. The System Configuration process assesses an air carrier s or applicant s request for a new or changed scope of operation to develop an oversight profile that contains all applicable elements. 2) Module 2 Planning. Planning develops a risk based data collection plan for DAs and PAs. 3) Module 3 Resource Management. Resource Management provides the resources, training, and funding to execute the data collection plan. 4) Module 4 Data Collection. The Data Collection process collects the data requested in the data collection plan. 5) Module 5 Assessment and Implementation. Assessment makes a data based decision about whether to approve or accept or reject the design or performance of an air carrier s or applicant s programs. Implementation decides on and executes the appropriate course of action based on the decisions made during analysis and assessment.

29 FSOP flowchart 1 System Configuration Hazard Identificat ion 2 Planning 3 Resource Management 4 Data Collection When needed. Risks Analysis Assessment Decisionmaking Risk Management Implementa tion 5 Assessment and Implementation Validation

30 How does it work? Data Collection Tools (DCT). CAAC inspectors must ensure they are using the most current version of the tools. These tools support the assessments: 1 Safety Attribute Inspection (SAI). Inspectors use the SAI questions to collect data for DA. Air carrier applicants use SAI DCTs during initial certification to document the results of their self audit. 2 Element Performance Inspection (EPI). Inspectors use the EPI questions to collect data for PA. 3 other inspections.

31 How does it work? Policy-making Level Execution level FSOP Database CAAC database Supporting level

32 How is it going? Part 4

33 How is it going? Present tasks: Project planning. Project design. Progressive development. System Integration. Workload distribution. Program execution.

34 How is it going? Steering Committee for FSOP construction has been organized. Strategy control; Program planning; Oversees the project managing group; Consist of CAAC Vice Administrator, high-levels of FSD and Regional Administrations, CAAC IT Center, Civil Aviation Management Institute, representatives from airlines.

35 How is it going? Project Managing Groups Consist of experts of the industry; Including third supporting parties. Full-time members. Report to Steering Committee.

36 How is it going? FSD is responsible for overall control. CAAC IT center is responsible for system construction. Regional Administration is responsible for SAI/EPI definition. China-Eastern Airlines as the guinea pig.

37 How is it going? Programming, from the date of approval of FSOP: EPI checklist construction, 5mons; SAI checklist construction, 6mons; Weight factor assessment, 12mons; Inspectors Manual construction, 8mons; Training program; And so on.

38 How is it going? Totally 20 months. According to our plan, we are now in the 2nd stage. Xiamen Airlines has been certified with SMS compliance.

39 What is the future like? Part 5

40 What is the future like? In the near future: FSOP should be able to analyze and assess the degrees of safety that air carriers systems can provide with. FSOP should be able to test and examine the air carriers legality. FSOP should be able to manage the risks with regard to seriousness and priority.

41 What is the future like? More subsystems; Foreign air operators data; Data sharing capability; Whole FSD s functions (not limited to) incorporated.

42 What is the future like? Finally, FSOP should achieve or incorporate all of, but not limited to, the following: Latest IT technology; Decision-making support; Uniformities of executions; Administration automation; Responsibility clarification; Measurable evaluation; Proactive measures; Transparency, fairness, objectiveness, and confidence in CAAC oversight. Better effects on safety.

43 Thank you!