State Safety Program (SSP) of CAAC CHEN Yan-qiu chenyq@mail.castc.org.cn China Academy of Civil Aviation Science and Technology Chengdu, China 17-19 April 2012 CAAC 1
Foreword This presentation aims to describe the development of State Safety Program in China Civil Aviation according to ICAO SSP guidelines, which includes the current status and some actions during the implementation of SSP. 2
ICAO Requirements about SSP In 2007, ICAO amended Annex 1, 6, 8, 11, 13 and 14, and required all the member states to establish and implement SSP. ICAO defined SSP as an integrated set of rules and actions developed by a State aimed at managing civil aviation safety and indicated that besides the air service providers, the government should take the safety responsibility as well, and should achieve the ALoS by developing an SSP. ICAO is developing a new Annex to the convention on safety management responsibilities and processes, and this new Annex 19 Safety Management will be authorized and adopted in 2013. 3
ICAO SSP framework 1. State safety policy and objectives 1.1 State safety legislative framework 1.2 State safety responsibilities and accountabilities 1.3 Accident and incident investigation 1.4 Enforcement policy 2. State safety risk management 2.1 Safety requirements for service providers SMS 2.2 Agreement on service providers safety performance 3. State safety assurance 3.1 Safety oversight 3.2 Safety data collection, analysis and exchange 3.3 Safety data driven targeting of oversight on areas of greater concern or need 4. State safety promotion 4.1 Internal training, communication and dissemination of safety information 4.2 External training, communication and dissemination of safety information 4
China s Civil Aviation Safety Program ICAO SSP Framework and Requirements Status of China Civil Aviation Industry Gap Analysis CAAC SSP 5
1. State Safety Policies and Objectives Enforcement Policy 1.4 Enforcement Policy 1.1 State Safety Legislative Framework Safety management policy and plan; Safety management responsibilities of CAAC State safety legislative framework Civil aviation safety oversight accountabilities Objective Principles Organization Responsibilities 1.3 Accident and Incident Investigation 1.2 Responsibilities and Accountabilities Related to SSP Responsibilities and accountabilities related to SSP The AloS of the SSP 6
Safety management policy and plan *CAAC develops and issues safety management policies of civil aviation industry, and ensures that these policies are commensurate with the safety activities of civil aviation, which mainly include: a) Improve continuously safety system, implement safety risk management; b) Improve continuously safety level, provide direction regarding development and review of industry safety target, establish and measure the performance of SSP implementation; c) Allocate sufficient resources within the State safety oversight authority and carry out the oversight performance evaluation to ensure their responsibilities discharged; d) Encourage service providers to increase investment in safety and improve the guarantee quality for safety; 7
Safety management policy and plan * (cont.) e) Establish clearly provisions for the protection of safety information, so that people are encouraged to provide essential safety-related information, and promote the continuous flow and exchange of safety information; f) Promote and educate the aviation industry on safety management requirements and standards; g) Oversee the implementation of SMS within aviation organizations; h) Encourage the dissemination of active safety culture; i) Periodically review, properly revise and improve the aviation safety management policies, ensure they remain relevant and appropriate to the aviation activities. 8
Safety management policy and plan CAAC has issued Guiding Policies for Civil Aviation Safety Oversight, which clearly indicated: a) The safety oversight should transit from the regulatory compliance to safety risk management and safety performance management based on regulations and rules. b) The safety oversight departments should consummate the means and standards of safety audit and safety supervision, guide and help service providers to construct and maintain an SMS, thus improving the safety oversight efficiency. c) CAAC implements a non-punitive policy for the staff members or organizations who report safety occurrences voluntarily and thus encourages all the staff members to report occurrences actively. CAAC will not judge the safety state of service providers according to the number of reports. 9
Safety management policy and plan (cont.) reporter d) When CAAC disseminates safety information, personal information should be protected. Auditor ** CAAC will establish the mechanism and procedures for safety policy, which should be periodically reviewed, even amended and perfected when necessary. These records should be stored in SSP record system. 10
Safety management policy and plan CAAC has developed and promulgated Safety Plan to ensure the achievement of safety goals. China Civil Aviation Safety Outline (2011-2020); China Civil Aviation Operation Safety Plan for the 12th Five-year (2011-2015) Strategy and Safety Objectives Main obstacles and safety status Key Tasks internal audit mechanism of SSP; Major Actions/Projects the mechanism of safety performance management; aviation operation safety oversight information system; safety Projects of China Civil Aviation; accident investigation capacity; health risk management system; safety regulations and standards system; safety information analysis capacity; education and training; airworthiness certification capacity; aviation security; 12th Meeting of the COSCAP-NA Project Steering Committee 11
Safety management Responsibilities The safety management responsibility of China civil aviation industry is mainly taken by CAAC, including the headquarter and seven regional administrations and 38 local safety oversight bureaus. Xinjiang RA Northeast RA North China RA Northwest RA Southwest RA East China RA Central & Southern RA 12
Safety management responsibilities The safety management duties of CAAC mainly include: Drafting Related Laws, Rules and Regulations, Policies and Standards; Oversight Flight Safety and Ground Safety; Air Traffic management of Civil Aircrafts Aviation Security Supervision Investigating Civil Aircraft Accidents and Incidents Supervision of Airport Construction and Operation Safety 13
Safety Legislative Framework NPC State Council Laws Rules Establish the database of China s civil aviation regulations; (2012) CAAC Regulations 编号 (Part) 规章号 内容 第一编 CCAR-1~CCAR-20 行政程序规则 第二编 CCAR-21~CCAR-59 航空器 Departments of CAAC 第三编 CCAR-60~CCAR-70 航空人员 第四编 CCAR-71 ~ CCAR-120 空中交通规则与一般运行规则 导航 CCAR-171~CCAR-182 设施 AC AP etc. 第五编 CCAR-121~CCAR-139 民航企业合格审定第六编 CCAR-140~CCAR-149 学校及其他单位的合格审定及运行第七编 CCAR-150~CCAR-170 机场 第八编 CCAR-183~CCAR-197 管理规则 第九编 CCAR-198~CCAR-200 航空保险 第十编 CCAR-201~CCAR-250 备用 第十一编 CCAR-251~CCAR-270 航空基金 第十二编 CCAR-271~CCAR-325 航空市场管理 第十三编 CCAR-326~CCAR-355 航空保安 第十四编 CCAR-356~CCAR-390 科技和计量标准 第十五编 CCAR-391~CCAR-400 航空器搜寻救援和事故调查 14
Civil Aviation Safety Oversight Accountabilities CAAC is responsible for safety oversight of civil aviation industry according to the Law on Safe Production of the PRC and the Civil Aviation Law of the PRC. First Level Government CAAC First Level Oversight Second Level Government 两级政府三级监管 Regional Administrations Local Safety Oversight Bureau Second Level Oversight Third Level Oversight 15
1.2 Responsibilities and Accountabilities Related to SSP *Responsibilities and Accountabilities Related to SSP Accountable Executive Minister Of CAAC, Leader of SSP Group SSP Group Review and approve safety Policies, SSP &Implementing Plan; provide resources and support SSP Affairs Office Draft safety Policies, SSP &Implementing Plan; SSP Routines; organize training 16
Accident rate ** The ALoS of the SSP CA Major accident rate Medium accident rate Fatal accident rate Safety indicators of China s Civil Aviation Accident rate GA Accident rate Major accident rate Fatal accident rate Accident and incident Casualties Incident rate Ground accident rate Mortality per 100 million passengerskm Mortality per 100 million passengers aboard Incident rate of CA Serious incident rate of CA Incident rate of GA ALoS Quantitive indicators of high level functions Regulatory completeness Oversight personnel equiped Oversight level Some types of Occurrence rate Personal safety index Safety index Direct economic loss index Safety risk index Composite Safety Index 17
Annual safety report on year 2011 18
Annual safety report on year 2011 Indicator value/objective 19
**The ALoS of the SSP CAAC will decompose the safety targets to Regional Administration, and then Local Safety Oversight Bureau. RA and LSOB shall develop the action plans for achieving their safety targets, carry out the safety performance management of service providers within their regulated region. CAAC will regularly issue the value of safety indicators of current year and the targets of next year in the annual SSP report. Targets Action Plan CAAC RA Decomposition targets Action Plan Decomposition targets Action Plan SOB SP Performance objectives Action Plan 20
1.3 Accident and Incident Investigation Civil Aircraft Accident and Incident Investigation Regulation (CCAR-395) Objective: Look for causes Put forward safety recommendations Prevent accident and incident 21
1.3 Accident and Incident Investigation Principles: Independence Objectivity Pervasiveness Comprehensiveness 22
1.3 Accident and Incident Investigation Organizations State Council Serious Accident CAAC Major Accident Regional Administrations Accidents &Incidents Local Safety Oversight Bureaus Incidents & Occurrences Aviation Accident Investigation Center of CAAC Accident & incident & Occurrences authorized by CAAC 23
1.4 Enforcement Policy CAAC has issued safety oversight policy which provides the principles for lenient or severe penalty. Lenient or severe penalty will be imposed after taking voluntary reporting condition, violation condition and consequence severity into consideration. 1) Lenient penalty: According to rules and regulations, for voluntarily reported, negligent activities with low consequence, the permitted lowest penalty should be imposed; 2) Severe penalty: According to rules and regulations, for non-reported, deliberate activities with high consequence, the permitted highest penalty should be imposed; 3) As for the violation activities between the above two, the penalty, within the extent stipulated by rules and regulations, should be imposed according to the particular situation. 24
2. State Aviation Safety Risk Management 2.1 Requirements for Service Provider s SMS 2.2 Agreement on Service Provider s Safety Performance 25
2.1 Requirements for Service Provider s SMS Aviation Security Training Organization Aircraft Manufacturers Aerodrome ATC Providers Maintenance organizations Aircraft Operators Service Providers 26
2.1 Requirements for Service Provider s SMS CCAR121-R4, Approval Regulation for Large Aircraft Public Air Transport Carriers (2010.3) Article 121.42 Certificate holder shall establish safety management system, implement safety management in accordance with the provisions included in this rules. Safety management system shall: (a) As a minimum,, meet the following functions: (1) timely identify the hazards; (2) develop and implement corrective action necessary to achieve an acceptable level of safety; (3) continuously monitor and regularly assess the safety level; (4) continuously improve the overall safety level. (b) clearly define the safety responsibilities within the organization, include senior managers responsibilities and accountabilities for safety; (c) develop and continuously implement non-punitive analysis plan of flight data which shall include appropriately protective measures for data sources; (d) Develop flight safety document system for operating personnel. AC-121/135-FS-2008-26, Requirements for SMS of Air Carriers 27
Requirements for Service Provider s SMS Airport CCAR-139CA-R1, Civil Airport Certification (2005.11); CCAR-140, Civil Airport Operation Safety Management (2008.4); AC-139/140-CA-2008-1, Guidelines for Airport SMS Development (2008.3) Maintenance Organizations AC-145-15, SMS of Maintenance Organizations (2009. 7) ATM organizations CCAR-83, Safety Management Rules of Civil Aviation ATM Operation Organizations (2011.1) MD-TM-2009 003,Guidelines for Civil Aviation ATM SMS Development MD-TM-2011-001 Guiding Manual for Civil Aviation ATM SMS Development (V3 ) Aviation Security AC-SB-2009-1,Guidelines for Aviation Security Management System (SEMS)Implementation(2009.9) 28
Requirements for Service Provider s SMS Requirement for Aircraft Manufacturers and Training organizations are developing Other work which are developing Draft <Civil Aviation Safety System Management Rule> (CCAR 398) (2011); Established the mechanism for SMS assessment: the assessment procure and checklist, surveys (6 airlines) and test (2011) 29
*2.2 Agreement on Service Provider s Safety Performance CAAC is developing the Safety Performance Management Approach for civil aviation industry and the method for decomposing the safety performance targets. Safety Performance Indicators Aircraft Accidents Rate; Incidents Rate; Typical Occurrence Rate; Aircraft Accidents Rate; Incidents Rate; Occurrences With Low Consequences; Initial Stage Advanced Stage 30
*2.2 Agreement on Service Provider s Safety Performance CAAC will agree with individual service providers on the safety performance of their SMS. The agreed safety performance will be represented by a set of safety performance indicators and targets, these indicators and targets should be commensurate with the type, size, complexity and SRM resources of the specific service providers. CAAC has completed the Initial test in Central & Southern Regional Administration in 2010. Develop the safety measurement and safety performance measurement indicators and targets by RA Decompose the targets to service provider s within the region Develop the action plan by and RA and Service Providers, and communicate each other Oversight and achievement Principle: the objectives of larger organizations should be better than the average level of industry 31
3. State Safety Assurance (SSA) 3.1 Safety Oversight 3.2 Safety Data Collection, Analysis and Exchange 3.3 Safety-Data-Driven Targeting of Oversight of Areas of Greater Concern or Need 32
Surveillance for Safety Oversight Responsibilities * CAAC established effective mechanisms and procedures to ensure the effectiveness of its safety oversight function. *Audit Audit External audit Internal audit USOAP Aviation security audit SSP regular assessment 33
Surveillance for Safety Oversight Responsibilities * CAAC established effective mechanisms and procedures to ensure the effectiveness of its safety oversight function. *Safety Oversight Performance Assessment CAAC Regional Administrations Local Safety Oversight Bureau Oversight Performance Assessment Oversight Performance Assessment 34
Safety Data Collection, Analysis and Exchange Aircraft SDR System Aviation Security Oversight System Bird Strike Information System Airworthiness Certificates System Aviation Safety Management Information System AD System ATM Safety Information System Pilot s Licenses Information System Safety Audit Information System 35
3.2 Safety Data Collection, Analysis and Exchange Some systems that are developing and will be developed: * Flight Standard Oversight Platform (FSOP); ** Reporting system for aviation product designers and manufacturers to report the failure of their products; *Safety risk monitoring system of civil aviation industry; **Safety information sharing platform of the civil aviation enterprises. 36
3.2 Safety Data Collection, Analysis and Exchange Safety information exchange & sharing Data Exchange & Sharing 37
Safety Data Collection, Analysis and Exchange *Aviation Safety Information Analysis Center of CAAC Industry Risk Assessment Integrated Analysis International Data Sharing Decision Making SSP Performance SSP Status Aviation Safety Management Information System Safety Information Analysis Center FSOP (Flight Standard Oversight Platform ) Other Information System SDR ATM Safety Information System Bird strike Information System Safety Audit Information System Pilot s Information System Security Oversight System AD system 38
Aviation Safety Information Analysis Center of CAAC 低于最低燃油量, Safety risk index for different type of occurrences 0.43% in 2011 飞机失控, 0.43% 雷击, 5.65% 可控飞行撞地 / 空中撞障碍物, 1.30% 仪表飞行低于安跑道侵入, 0.87% 发动机停车, 擦尾 / 擦发动机 / 全高度, 0.87% 4.78% 擦翼尖 / 擦机腹, 0.43% 冲出 / 偏出跑道, 1.30% 其他, 3.04% 通信中断, 0.43% 跑道混淆, 0.43% 地面撞障碍物, 5.22% 航空器牵引, 0.43% 空中解体 / 爆炸 / 失火 / 冒烟, 0.87% 爆胎 / 轮胎脱层 / 扎破, 0.87% 外来物击伤, 13.48% 重着陆, 0.43% 鸟击, 58.26% 空中颠簸, 0.43% 39
4. Safety Promotion Internal Training and External Training Communication and Dissemination of Safety Information Communication and Dissemination of SSP relevant information 40
Internal Training Institutions CCAR- 18R2 Developed Training Programs On-the-job Training Internal Training Abroad Training ACP EMDT *SSP Course Training Courses SMS Course 41
External Training University Academy Maintenance Simulator Training Centers Training Organizations External Training Researches Human Factors Runway Safety Cabin Crew SMS Training Courses & Tools Safety Management SSP 42
Communication and Dissemination of Safety Information CAAC Internal External For Service Provider Safety Work Meetings Safety Information System Weekly Briefing Monthly Safety Occurrences Statistic Annual Safety Report Annual Report of National Aircraft Service Information Bird Strike Data Analysis Report All Reports in Internal Communication and Dissemination Developing Plans; Production Targets of Transport Advisory Circulars; Dynamic Safety Performance Aviation Safety Circulars Information Bulletins Aeronautical Information Publication Some Aviation Publications Aviation Safety Seminar Initial safety information sharing platform for service providers 43
Communication and Dissemination of SSP relevant information **CAAC will establish an SSP management system to record and archive the document, data of SSP to support the implementation of SSP, issue annual SSP report which will include the issue of new regulations, annual safety performance indicators and their adjustment, the status of SMS implementation, internal and external training, communication and dissemination of information. CAAC keeps good cooperation with ICAO, FSF, IATA, IFA, FAA, EASA, Boeing and Airbus in many fields and will strengthen the cooperation relationship with them in SSP Developing. CAAC follows the latest information on the SSP of ICAO and other states to ensure that the SSP of China closely meets the requirements of ICAO. 44
The Implementation Plan of CAAC SSP TWO PHASE 2016--- 2010-2015 Initial and implement Develop and mature 45
Phase 1: Initial and implement SSP 2011-2015 46
Planed Actions in Phase 1 Identify and define the State requirements, responsibilities and accountabilities regarding the establishment and maintenance of the SSP, which include the necessary resources, an Accountable Executive, SSP Office, etc.; Establish the review mechanism and procedure for safety policies; Implement safety performance management at all level; Establish internal audit mechanism for SSP; Develop a training program for all relevant staff on key components of an SSP; 47
Key Actions in Phase 2 Improve the capacity for collecting low consequence outcomes; Implement the mechanisms to exchange safety information on low consequence events with service providers and/or other States, as appropriate; Establish and continuously improve the procedures for the agreement on safety performance of individual service providers SMS; Establish and communicate the mature ALoS of the SSP; 48
Thanks for your attention Any Questions