Airport Safety. (Aerodrome Certification & Safety Management Systems) presented by. Tan Siew Huay (Ms) Head (Legal), CAAS

Transcription

1 Airport Safety (Aerodrome Certification & Safety Management Systems) presented by Tan Siew Huay (Ms) Head (Legal), CAAS

2 Outline Aerodrome Certification CAAS Experience Safety Management Systems

3 Aerodrome Certification

4 Aerodrome Certification Basic Regulatory Structure Enabling Legislation Establish: Regulations Technical Specifications Appropriate guidance material Establish criteria for aerodrome certification

5 Aerodrome Certification Regulator s s Role Aerodrome Operator s s Obligations Regulator s s Audits & Inspections / Monitoring Enforcement Actions

6 Regulator s s Role Develop & maintain all regulatory mechanisms & procedures Be independent & free from undue influence Establish & maintain applicable regulations & guidance material Evaluate aerodrome operator s s application & aerodrome manual Inspect & verify information in aerodrome manual Grant aerodrome certificate upon satisfactory completion of certification process Monitor compliance with regulations & approved aerodrome manual through periodic inspections Take appropriate enforcement action for any non-compliance with regulations & deviations from approved aerodrome manual

7 Operator s s obligations Conform to applicable regulations & safety standards Ensure adequate & competent personnel are employed at key positions Operate & maintain airport safely & efficiently in accordance with regulator s s directives Establish & maintain aerodrome SMS Have system of internal safety reporting & self auditing Notify regulator of any change in operational status of airport Ensure necessary coordination with other agencies/service providers in interest of safety & efficiency of whole airport system

8 Document Guidance Regarding Compliance & Enforcement Aerodrome operators have ultimate responsibility for compliance Safety at aerodromes depends to a great extent on voluntary compliance Promoting compliance through education, training and counselling is critical Formal enforcement actions to be considered when these fail

9 Enforcement Actions Types Administrative Actions (Warning Letter, Letter of Correction) Legal Action

10 Administrative Actions When Used? when legal action is considered inappropriate or too harsh when compliance is likely to alert operator of violation & - to document corrective action - to require future compliance - to establish agreed date for correction when violation does not result in a significant safety hazard when violation is not caused by incompetence when violation is not deliberate when operator s s attitude toward compliance is positive & constructive when there is no prior history of non-compliance in area concerned

11 Legal Enforcement Action When Used? when warranted to prevent future occurrence as last resort measure when grounds for administrative action do not apply Must be applied pursuant to appropriate statutory provisions of legislation

12 Factors & Considerations Nature of violation Culpability - Deliberate or Inadvertent? Potential or actual hazard created Operator s s level of responsibility Previous violation record Will proposed sanction deter operator? & others?

13 Legal Enforcement Actions Civil penalty Cease-and and-desist orders Injunctions Certificate orders Revocation Amendment / Variation Suspension

14 Aerodrome Certification CAAS Experience

15 Aerodrome Certification : CAAS Experience CAAS : both regulator & airport operator Decision to implement new Standards & of Annex 14 Vol 1 on aerodrome certification Study & Planning from about mid-2002 Aug 2002 : Participation in ICAO-CASA CASA Aerodrome Aerodrome Safety Certification Workshop in Brisbane Formulation of Plan Engage consultant team (Phase 1) thru ICAO TCB to evaluate compliance To review legislation & organisation set-up Develop Regulatory Model

16 continued - Engage consultant (Phase 2) thru ICAO TCB review proposed regulatory & operational set-up finalise proposed legislation & Manual of Aerodrome Standards (MOAS) Training Aerodrome Certification : CAAS Experience Aerodrome Safety Audit Course Mock Auditing Session Enactment of new legislation (in force : 15 Sep 2003) Delegation of powers to Aerodrome Safety & Standards Unit (ASSU)

17 continued - Aerodrome Certification : CAAS Experience Evaluation of application & Aerodrome Manuals (with consultant) Findings & Corrective Actions Issuance of Aerodrome Certificates (27 Nov 2003) Latest Development Establishment of Aerodrome & Air Navigation Services Inspectorate (AAI) wef 1 Mar 2007

18 Safety Management Systems

19 SMS : A Definition A system for the management of safety at aerodromes, including organizational structure, responsibilities, procedures, processes and provisions for the implementation of aerodrome safety policies by an aerodrome operator, which provides for control of safety at, and the safe use of, the aerodrome.

20 SMS : ICAO View Distinction between Safety Programme & SMS : Safety Programme - integrated set of regulations & activities Safety management system - organised approach to managing safety

21 SMS : ICAO Documents Annex 14, Volume 1 ICAO Document Manual on Certification of Aerodromes ICAO Document Safety Management Manual

22 Annex 14 Vol 1 on SMS States shall establish a safety programme in order to achieve an acceptable level of safety in aerodrome operations States shall require, as part of their safety programme,, that a certified aerodrome operator implements a safety management system acceptable to the State

23 Annex 14 Vol 1 on SMS (continued) Identify safety hazards Ensure remedial action necessary to maintain an acceptable level of safety Provide for continuous monitoring & assessment of the safety level achieved Make continuous improvement to the overall level safety

24 ICAO Document 9774 SMS Recommendations SMS should be included as part of the Aerodrome Manual Manual should include particulars of the SMS established for ensuring compliance with all safety requirements and achieving continuous improvement

25 Doc 9774 Elements of SMS Safety policy Safety organisation SMS strategy and planning SMS implementation Safety measures programme Safety promotion and accident prevention Internal safety audit and review system Safety documentation Staff training and competency Safety during construction procedures

26 Doc 9858 SMS an SMS helps create an aerodrome safety culture conducive to safe operations

27 Safety Policy Senior management should establish, in writing, a safety vision and identifiable safety goals for the organization The safety policy serves to establish the commitment of management to SMS and to overall organizational safety This written safety policy may be included in an Aerodrome Safety Programme Manual

28 Safety Organization Safety Strategy and Planning Implementation Plan Safety Risk Management Internal Safety Audit and Review Safety Promotion Safety Investigations Safety Documentation Safety Training and Competency Safety Assurance Programme

29 Safety Strategy & Planning - Establish specific safety performance targets, goals, & indicators. - Allocate priorities for implementing safety initiatives. - Establish a just non-punitive safety reporting system.

30 Implementation Plan - Development of a functioning safety management system is a long-term process. - Doc 9859 : Typically, the SMS planning time- frame will be one to three years. - Develop an implementation plan with specific short, as well as long-term goals and objectives. - Provide timelines and allocate resources as necessary to effectively implement the plan.

31 Safety Risk Management - A critical function and process found in all functioning SMS programmes. - Safety Risk Management includes these specific tasks: - Identify specific hazards. - Identify associated risks. - Assign corresponding potentials and probabilities. - Develop risk mitigation strategies.

32 Internal Safety Audit & Review - Establish a programme of internal audits designed to periodically evaluate compliance with SARPs and National Regulations. - The aerodrome self-inspection programme would be part of this effort for the aerodrome operator.

33 Safety Promotion - Safety is a full-time business and one that demands that all employees are constantly involved in identification and mitigation of safety hazards and risks. - An aerodrome operator may consider establishing a programme of safety related incentives and initiatives designed to gain wide acceptance of the safety programme within the organization. - An aerodrome operator would also, integrate safety culture into everything the aerodrome does and everything that aerodrome staff are involved with.

34 Safety Culture Safety Culture - indicated by the extent that managers and employees act on commitments to safety. Safety Culture is encouraged by management - practicing what it preaches about safety; allocating adequate resources; and acknowledging safety concerns & suggestions.

35 Safety Culture A Positive Safety Culture enables an organisation and its members to be well informed; learn continuously report adequately have a fair and just work environment

36 Safety Investigations - Vigorous safety investigations should follow all accidents or incidents occurring on the aerodrome. - Investigations should comply with national regulations. - Report findings in accordance with National Regulations and in accordance with associated ICAO SARPs (specifically Annex 13). - Investigations must be unbiased, factual, and conducted with the goal of establishing the why, what, where, and how, with the established goals of correction and prevention.

37 Safety Documentation - Critical part of an SMS. - Apply even at small aerodromes. - Establish files, databases and searchable records to track SMS actions, successes, and safety related data. - Make them user friendly. - Review records periodically to identify problem areas or ominous trends.

38 Safety Training & Competency - Knowledge is an integral element of a good SMS. - Every party in a SMS must know his job and must understand the safety programmes. - Training includes initial, periodic and recurrent safety training for all employees. - Include contractors and tenants in training programme.

39 Safety Assurance Programme - Safety assurance programmes comprises 2 distinct elements: (i) Safety audits of the aerodrome to determine compliance with regulations or SARPs,, and indirectly determine the effectiveness of the aerodrome safety programme. (ii) Safety audits of the SMS itself to determine effectiveness and efficacy of the Safety Systems. - Procedures for audits or reviews should be spelled out in the aerodrome safety programme manual (SPM), if applicable.

40 Thank you for your attention