State Safety Program (SSP) of CAAC - COSCAP-NA yanqiu(copy)_… · State Safety Program (SSP) of CAAC CAAC 1 ... 第十四编 CCAR-356～CCAR-390 ... current year and the targets

12th Meeting of the COSCAP-NA Project Steering Committee 12th Meeting of the COSCAP-NA Project Steering Committee

State Safety Program (SSP) of CAAC

CAAC 1

CHEN Yan-qiu

[email protected]

China Academy of Civil Aviation Science and Technology

12th Meeting of the COSCAP-NA Project Steering Committee Chengdu, China

17-19 April 2012

mailto:[email protected]


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

12th Meeting of the COSCAP-NA Project Steering Committee 12th Meeting of the COSCAP-NA Project Steering Committee 4

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


China’s Civil Aviation Safety Program

5

ICAO SSP Framework

and Requirements

Gap Analysis

CAAC SSP

Status of China Civil Aviation Industry


1. State Safety Policies and Objectives

6

• Responsibilities and accountabilities related to SSP

• The AloS of the SSP

• Objective

• Principles

• Organization

• Responsibilities

• Safety management policy and plan;

• Safety management responsibilities of CAAC

• State safety legislative framework

• Civil aviation safety oversight accountabilities

• Enforcement Policy 1.4 Enforcement

Policy

1.1 State Safety Legislative Framework

1.2 Responsibilities

and Accountabilities Related to SSP

1.3 Accident and Incident

Investigation


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


* (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



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



(cont.)

d) When CAAC disseminates safety information,

personal information should be protected.

** 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


reporter

Auditor


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

Major Actions/Projects

11


internal audit mechanism of SSP; 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; ……


Safety management Responsibilities

12

Northeast RA

North China RA

East China RA

Central & Southern RA

Southwest RA

Northwest RA

Xinjiang RA

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.


Safety management responsibilities

13

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

…

12th Meeting of the COSCAP-NA Project Steering Committee 14

Safety Legislative Framework

NPC

State Council

CAAC

Departments of CAAC

Laws

Regulations

AC、AP etc.

Rules

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

第三编 CCAR-60～CCAR-70 航空人员

第四编 CCAR-71～CCAR-120、

CCAR-171～CCAR-182

空中交通规则与一般运行规则、导航

设施

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

Establish the database of China’s civil aviation

regulations; (2012)

12th Meeting of the COSCAP-NA Project Steering Committee

CAAC

Regional Administrations

Local Safety Oversight Bureau

15

First Level Government

Second Level Government

First Level Oversight

Second Level Oversight

Third Level Oversight

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.

两级政府三级监管


1.2 Responsibilities and Accountabilities Related to SSP

16

Accountable Executive

SSP Group

SSP Affairs Office

Minister Of CAAC, Leader of SSP Group

Review and approve safety

Policies, SSP &Implementing Plan;

provide resources and support

Draft safety Policies, SSP &Implementing Plan; SSP Routines; organize training

*Responsibilities and Accountabilities Related to SSP


ALoS

Accident

and

incident

Quantitive

indicators of

high level

functions

Accident

rate

Accident rate

Major accident rate

Accident rate

Major accident rate

Ground accident rate

Some types of Occurrence rate

Regulatory completeness

Oversight personnel equiped

Oversight level

Casualties

Mortality per 100 million passengers-

km

Mortality per 100 million passengers aboard

Incident rate

Incident rate of CA

Serious incident rate of

CA

Incident rate of GA

Safety

index

Personal safety index

Direct economic loss index

Safety risk index

Composite Safety Index

CA

Fatal accident rate

Fatal accident rate

GA

Medium accident rate

Safety indicators of

China’s Civil Aviation

** The ALoS of the SSP


Annual safety report on year 2011


Annual safety report on year 2011

Indicator value/objective


**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

• Decomposition targets

• Action Plan

RA • Decomposition

targets

• Action Plan

SOB

SP

•Performance objectives • Action Plan


1.3 Accident and Incident Investigation

Objective:

Look for causes

Put forward safety

recommendations

Prevent accident and incident

21

Civil Aircraft Accident and Incident Investigation Regulation (CCAR-395)



Principles:

Independence

Objectivity

Pervasiveness

Comprehensiveness

22



Organizations

23

CAAC


Aviation Accident Investigation Center of CAAC

Local Safety Oversight Bureaus

Major Accident

Accidents &Incidents

Incidents & Occurrences

Accident & incident & Occurre- nces authorized by CAAC

State Council Serious Accident


1.4 Enforcement Policy

24

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.


2. State Aviation Safety Risk Management

2.1 Requirements for Service Provider’s SMS

2.2 Agreement on Service Provider’s Safety Performance

25



26

Aerodrome

Service Providers

Aircraft Operators

Maintenance organizations

ATC Providers

Aviation

Security

Training

Organization

Aircraft

Manufacturers



27

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


Requirements for Service Provider’s SMS

28

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)

Airport

Maintenance Organizations

AC-145-15, SMS of Maintenance Organizations (2009. 7)

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 ）

ATM organizations

AC－SB－2009－1，Guidelines for Aviation Security Management System

（SEMS）Implementation（2009.9）

Aviation Security


Requirement for Aircraft Manufacturers and Training organizations are developing……

Requirements for Service Provider’s SMS

Draft <Civil Aviation Safety System Management Rule> (CCAR 398) (2011);

Other work which are developing ……

Established the mechanism for SMS assessment: the assessment procure and checklist, surveys (6

airlines) and test (2011)


*2.2 Agreement on Service Provider’s Safety Performance

30

Safety Performance Indicators

Aircraft Accidents Rate；

Incidents Rate；

Typical Occurrence Rate；

Aircraft Accidents Rate；

Incidents Rate；

Occurrences With

Low Consequences；

……

Initial Stage Advanced Stage

CAAC is developing the Safety Performance Management Approach for civil aviation industry and the method for decomposing the safety performance targets.


*2.2 Agreement on Service Provider’s Safety Performance

31

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


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

33

Audit

External audit

USOAP

Aviation security audit

Internal audit SSP regular assessment

* CAAC established effective mechanisms and procedures to

ensure the effectiveness of its safety oversight function.

*Audit


Surveillance for Safety Oversight Responsibilities

34

* CAAC established effective mechanisms and procedures to

ensure the effectiveness of its safety oversight function. *Safety Oversight Performance Assessment

CAAC


Local Safety Oversight Bureau

Oversight

Performance

Assessment

Oversight

Performance

Assessment


Safety Data Collection, Analysis and Exchange

35

Aviation Safety

Management Information

System

Aircraft SDR

System

Bird Strike Information

System

AD System

Safety Audit

Information

System

Pilot’s

Licenses Information

System

ATM Safety

Information

System

Airworthiness Certificates

System

Aviation Security

Oversight System



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.

……



Safety information exchange & sharing

37

Data Exchange & Sharing


Safety Data Collection, Analysis and Exchange

*Aviation Safety Information Analysis Center of CAAC

Safety Information

Analysis Center

Aviation Safety Management Information

System

ATM Safety Information

System

Safety Audit Information

SystemSDR

Pilot’s Information

System

Security Oversight System

AD systemBird strike Information

System

FSOP

(Flight Standard

Oversight Platform )

Other

Information

System

38

International Data Sharing

SSP Performance SSP Status

Integrated

Analysis

Industry Risk Assessment

Decision

Making


Aviation Safety Information Analysis Center of CAAC

可控飞行撞地/

空中撞障碍物, 1.30%

冲出/偏出跑道,

1.30%

擦尾/擦发动机/

擦翼尖/擦机腹, 0.43%

仪表飞行低于安

全高度, 0.87%跑道侵入, 0.87%

通信中断, 0.43%

发动机停车,

4.78%

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%

空中颠簸, 0.43%

鸟击, 58.26%

雷击, 5.65%

重着陆, 0.43%

飞机失控, 0.43%

低于最低燃油量,

0.43%

其他, 3.04%

Safety risk index for different type of occurrences in 2011


4. Safety Promotion

Internal Training and External Training

Communication and Dissemination of Safety Information

Communication and Dissemination of SSP relevant

information

40


Internal Training

41

On-the-job Training

Developed Training

Programs

Training Courses

Abroad Training

ACP EMDT CCAR-

18R2

Institutions

SMS Course

*SSP Course

Internal Training

……


External Training

42

Training Organizations

Training Centers

Training Courses &

Tools

Researches

Human Factors

Maintenance

University Academy

SMS

Simulator

Cabin Crew

Safety Management

Runway Safety

……

External Training

SSP


CAAC

Internal External

Safety Work Meetings

Weekly Briefing

Annual Safety Report

Safety Information System

Bird Strike Data Analysis Report

Annual Report of National Aircraft Service Information

Monthly Safety Occurrences Statistic

Aeronautical Information Publication

Developing Plans; Production Targets of Transport

Advisory Circulars; Dynamic Safety Performance

Aviation Safety Circulars、 Information、Bulletins

Some Aviation Publications

Aviation Safety Seminar

Communication and Dissemination of Safety Information

All Reports in Internal Communication and Dissemination

For Service Provider

…… Initial “safety information sharing

platform for service providers”


Communication and Dissemination of SSP relevant

information

44

**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.


TWO PHASE

45

The Implementation Plan of CAAC SSP

Initial and implement

Develop and mature

2010-2015

2016---


Phase 1: Initial and implement SSP

2011-2015


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;

……

Planed Actions in Phase 1


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;

……

Key Actions in Phase 2


Any Questions

Thanks for your attention

Documents

State Safety Program (SSP) of CAAC - COSCAP-NA yanqiu(copy)_… · State Safety Program (SSP) of CAAC CAAC 1 ... 第十四编 CCAR-356～CCAR-390 ... current year and the targets