UK CAA Transformation to Performance Based Regulation

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2 UK CAA Transformation to Performance Based Regulation Mark Swan Director, Safety and Airspace Regulation Group (SARG) March 2014

3 Background EASA Pivot to Performance Based Regulation Rules introduced by EASA set the context for the UK s transformation to Performance Based Regulation. In the UK, the new rules are driving a move from: compliance based activities over entities the CAA traditionally regulates; to Target all areas that represent a major safety risk to UK passengers and the public; Which requires a risk and performance based approach across individual entities, sectors and the total aviation system.

4 UK CAA Transformation Programme Enhancing Safety Performance Two year Transformation Programme is in the Deployment Phase. CAA is working with Industry to generate four key outcomes: 1. Demonstrably improve levels of aviation safety in the UK and of UK entities operating globally 2. Ensure all regulatory policies and actions are proportionate 3. Coordinate industry participation in safety improvement initiatives 4. Improve the value for money of Safety Regulation

5 What will be different Today PBR Future State 2015/16 Oversight is based mainly around compliance auditing The focus on Safety Risk and Performance is consolidated across sectors to give the total system perspective Total System Risk Information is not comprehensive Regulatory resources focused directly at UK entities only Intelligence used to assess safety risk and performance across the Total Aviation System Safety risks prioritised to ensure the best safety outcomes are achieved with greatest value for money Resources targeted proportionately to areas with the greatest impact on safety risk and performance Engagement with organisations beyond CAA s traditional remit that represent a major risk

6 The safety regulator s business is to relentlessly interrogate two key questions 1. What safety risks does aviation pose to the UK passenger and general public? 2. Are the risks being managed effectively?

7 The PBR Concept of Operations describes Target Way of Working that is enabled by eight core capabilities. Three Cogs of Performance Based Regulation Core Capabilities 1. Gather, analyse and share safety performance information 2. Assess risk consistently across entities, sectors and total system 3. Identify desired safety outcomes 4. Develop and evaluate options to achieve safety outcomes 5. Prioritise resources flexibly to deliver the chosen options 6. Work effectively across CAA functions 7. Work collaboratively with industry 8. Demonstrate tangible improvements in safety and value

8 Whats in it for the ANSPs Opportunities and Benefits Example opportunities for ANSPs Capture and share ANSP best practice and information regarding Total System Risks Better risk discussions between Regulator and ANSP based on higher quality data Greater transparency and accountability of decision making across Regulators and ANSPs Better prioritisation of regulator s resource allocation to ANSP Safety Programmes Increase coordination of Airline and Airport dependencies Similar to the FAS approach Improve skills and capability through cross-functional working Potential to increase the effectiveness of the performance driven approach (i.e. safety targets in the SES Performance Scheme) Expected Benefits for ANSPs Save ANSP s time and money Greater return on investment from ANSP s Safety Improvement Programmes. Reduce the cost & business risk of implementing advanced ATM concepts (e.g. FAS and SESAR) Safety Outcome Demonstrable improvements in Aviation Safety

9 The Way Ahead Decisive Conditions for Successful PBR Deployment

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