AOA Performance Based Oversight Jon Round Safety Programme
AOA Performance Based Oversight Jon Round - Safety Programme Manager Graeme Ritchie - Manager Aerodromes CAA 24 June 2014 1
Agenda § § § PBR transformation SARG reorganisation Performance Based Oversight – the essentials Phase 1 Rollout Plan and process Phase 2 – moving towards full PBO Value to industry 2
Transformation Programme § We need to: § Concentrate our resources and efforts where they will have the greatest effect. § Get better at identifying emerging risks § Put the right amount of effort into each risk, or reduce effort where the risk is less. § It means: Reorganised structure Moving to a more performance-based approach The ESP transformation programme will deliver the capabilities we need to achieve this. § Using the best data and evidence available to highlight the most serious risks and then put in place action plans to address them. § § § 3
Reorganised Structure Safety and Airspace Regulation Group (SARG) Intelligence, Strategy and Policy - centralised team to provide data and intelligence to identify key risks and drive more coherent and consistent policy. § Capability teams - (flight operations, airworthiness and airspace, air traffic management and aerodromes) § General Aviation - a new dedicated unit to ensure we take a more proportionate view on GA regulation § Business Management - centralised team to work is managed efficiently and properly prioritised § The Hub - one stop shop for stakeholder engagement – through modernised services, online transactions and new way to engage § 4
SARG Organisation 5
EASA Pivot to Performance Based Regulation The ESP Programme and associated IT deployments are designed to support and implement the provide the requirements placed on National Authorities to ensure PBR OR*. GEN. 200 (a) 3: The identification of aviation safety hazards entailed by the activities of the operator, their evaluation and management of associated risks, including the actions to mitigate the risk and verify the effectiveness EASA ARA/ARO. GEN. 305 The oversight programme …. must be developed taking into account the specific nature of the organisation, the complexity of its activities, the results of past certification and/or oversight activities required by ARO. GEN and ARO. RAMP and shall be based on the assessment of associated risks. ADR. AR. C. 010 Oversight programme (a) The Competent Authority shall for each aerodrome operator and provider of apron management services declaring their activity to the Competent Authority: (1) establish and maintain an oversight programme covering the oversight activities required by ADR. AR. C. 005; (2) apply an appropriate oversight planning cycle, not exceeding 48 months. (b) The oversight programme shall include within each oversight planning cycle, audits and inspections, including unannounced inspections, as appropriate. (c) The oversight programme and planning cycle shall reflect the safety performance of the aerodrome operator and risk exposure of the aerodrome. 6 ESP Briefing, December 2013 Page 1
Performance Based Regulation 7
Performance Based Regulation § Transformation program until March 2016 § What have we done In the last 12 months? CAA Reorganisation § SARG § Pathfinders § Live trials § Team of 20, working to change the organisation § Performance Based Oversight § + CAA internal SMS § 8
PBO – The Process Performance Based Oversight – Core Regulatory Decision Making INTELLIGENC E RISK OUTCOME ACTION Data Intelligence CAA view Rules Risks/Issues: • What CAA knows • What others know Planned changes Incidents & Accidents Risk List (curren t& future) Our Actions Agreed Desired Outcomes Identify Options for Action (cost/benefit) Entity view Entity Actions Total System Actions CHECK FEEDBACK Compliance and Performanc e CAA Risk List Proactive Leading Indicators Assessment CAA Governance of Safety Actions Delivered & Measured Feedback (Sharing knowledge and lessons learnt – Internally & Externally) Performance Comparison International influence Unregulated Sectors 9
PBO - Rollout Plan Two year Deployment Schedule Jan 14 Entity Groups Enabling Tool development & deployment (PPI) Business change driven by ESP Programme Flight Ops led Entities Apr 14 Q 1 (’ 15) Q 2 (’ 15) Q 3 (’ 15) Q 4 (’ 15) Q 2 (’ 15) Q 1 (’ 16) Q 2 (’ 16) Q 3 (’ 15) Q 4 (’ 15 90 AOC led Entities Fixed: Phase 2 60 Helicopter Led Entities: Phase 1 60 Helicopter Led Entities: Phase 2 50 EASA Aerodromes and 30 additional to be rolled out over 15 months Planning Airworthiness led Entities ANSP led entities (numbers/schedule to be determined in Feb) AW led entities (numbers/schedule to be determined in Feb) Proportionate involvement; e. g. adoption of ESP principles Other (GA, CPG, PPT). IT Tools Project Oct 14 90 AOC led Entities Fixed: Phase 1 Aerodrome led Entities ANSP led Entities Jul 14 Project Priority #1 for Q 1/2 2014 is Q-Pulse roll-out to Flight Ops (and ASSI), then wider Influence tech roadmap, planning Project Priority #2 for Q 2/Q 3 2014 is to develop the next generation of the tools to enable PBO ways of working Enabling the above rollout… 10
PBO Process Periodic (currently annual) Following audit (within 4 weeks) Within 4 weeks of IRM Phase 2 • Audit • Out brief (Aerodrome specific) • CAA Internal Review Meeting (IRM) including all entity inspectors: ADR Ops, RFFS, ANSP Ops, Engineer • Accountable manager meeting • OM + AM + additional specialists as required • Oversight consciously planned in accordance with the above 11
PBO Process Accountable manager meeting Risk based discussion § Taking clear account of ANSP and other key stakeholder risks § Cross organisation risks § No surprises § Agenda + record of discussions/actions agreed § 12
PBO – Phase 2 § Base lining data which ultimately will lead us to PBO § Data = Compliance, MORS, SMS, Changes, Risks = Performance § Standard format using ARMs methodology § This time next year beginnings of PBO based on Performance + Complexity § Remember this builds on the regulatory compliance obligation 13
Value to industry § Joined up regulator § Focus on substantive risks Vs merely compliance § Sharing of best practice § Ability to see and share sector trends (Data protection) § Focus on poor performing organisations will improve safety in UK § Oversight regime more tailored to the organisation's complexity & performance § An ability to influence EASA and their view of PBO 14
Questions? 15
- Slides: 15