2 STATE SAFETY PROGRAMME Manual v1

8/7/2019 2 STATE SAFETY PROGRAMME Manual v1

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Manual

for the creation of the

GENERIC

STATE SAFETY PROGRAMME


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State Safety Programme generic Manual______________________________________________________________________

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Contents

Foreword

Definitions

Acronyms and Abbreviations

Chapter 1 Introduction

Chapter 2 Safety Oversight Arrangements

1. Introduction2. Responsibilities of Civil Aviation Authority3. Air Accident Investigation Department4. Responsibilities of the Air Navigation Service Providers5. Search and Rescue

Chapter 3 Safety Policy and Objectives

1. Safety legislative frameworkSafety Policy Statement

2. Safety responsibilities and accountabilities for SSP

3. Accident and incident investigation4. Enforcement policy in the

Enforcement Policy

Chapter 4 Safety Risk Management

1. Safety requirements for service providers SMS2. Agreement on service providers safety performance

Chapter 5 Aviation Safety Assurance

1. Safety oversight2. Safety data collection, analysis and exchange3. Safety data driven targeting of oversight by CAA on areas of

greater concern or need

Chapter 6 Aviation Safety Promotion

1. Internal training, communication and dissemination of safetyinformation

2. External training, communication and dissemination of safetyinformation


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Attachment 1 Aviation Safety Legislative Framew ork

Attachmen t 2 Acceptable Level of Safety

1. Introduction2. Definition of an Acceptable Level of Safety3. Safety Indicators

Attachmen t 3 Safety Risk Management Process

Attachment 4 SSP Implementation Plan

1. Gap Analysis2. SSP Implementation Plan

Appendix to SSP Gap Analysis TableAttachment 4

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FOREWORD

Newly introduced International Standards and Recommended Practices (SARPs) into theICAO Annex 1 Personnel Licensing, Annex 6 Operation of Aircraft, Annex 8 Airworthiness of Aircraft, Annex 11 Air Traffic Services, Annex 13 Aircraft Accidentand Incident Investigationand Annex 14 Aerodromesrequire ICAO Contracting Statesto develop, under their safety management, the State Safety Programme (SSP). Assignatory of the ICAO Convention States must act in accordance with Article 37 whichstates:

Each contracting State undertakes to collaborate in securing the highestpracticable degree of uniformity in regulations, standards, procedures, andorganization in relation to aircraft, personnel, airways and auxil iaryservices in all matters in which such uniform ity w ill facil itate and improveair navigation.

Additionally, the States, in its efforts to integrate into the European Civil Aviationdevelopment projects of which the Single European Sky (SES) is the most importantone, was among the other States included under the European Common Aviation Area(ECAA) agreement project. The ECAA agreement was introduced with the intent tospeed up the process of harmonization of the European Community civil aviation

legislation within the contracting ECAA States.

To facilitate implementation of ICAO SARPs related to the State Safety Programme,ICAO developed and published Safety Management Manual (SMM), Doc 9859, SecondEdition. The manual describes basic safety concepts, as the foundation upon which tounderstand the need for both a Safety Management System (SMS) and a State SafetyProgramme (SSP) as well as how these safety concepts are embodied into the ICAOSARPs contained in Annexes 1, 6, 8, 11, 13 and 14. The manual thereafter outlines aprincipled approach to the implementation of an SMS by service providers and theprogressive implementation and maintenance of an SSP, with emphasis on the role civilaviation authority plays in supporting SMS implementation by service providers under itssupervision responsibility.

In a State is the regulatory and supervisory authority responsible for the safety of airtransportation within the area of its responsibility. In that respect the Ministry (mostcases the Ministry od Transport) agreed that the CAA be involved in coordination duringthe development of the SSP.

The intent of developed SSP will be to emphasize, among the other elements, thestructure and organization of aviation safety in the State through the differentresponsible authorities, starting from the regulators and including different serviceproviders. It will also provide guidelines that would assist the implementation and


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maintenance of the SSP as well as many suggestions for the improvements in theexisting safety oversight system. As the programme must be developed in accordancewith ICAO and European regulations as well as in line with the basic Civil Aviation Act,that at the moment of the drafting of this document is in its final preparation before it isreleased for adoption process, it is the assumption of the contractor that this basic lawwill be properly aligned with international standards.

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DEFINITIONS

Acceptable level of safety. Minimum degree of safety that must be assured by asystem in actual practice.

Accident.An occurrence associated with the operation of an aircraft which takes placebetween the time any person boards the aircraft with the intention of flight until suchtime as all such persons have disembarked, in which:

a) a person is fatally or seriously injured as a result of: being in the aircraft, or direct contact with any part of the aircraft, including parts which havebecome detached from the aircraft, or direct exposure to jet blast, exceptwhen the injuries are from naturalcauses, self-inflicted or inflicted by other persons, or when the injuriesare to stowaways hiding outside the areas normally available to thepassengers and crew; or

b) the aircraft sustains damage or structural failure which: adversely affects the structural strength, performance or flightcharacteristics of the aircraft, and would normally require major repair or replacement of the affected

component, except for engine failure or damage, when the damage islimited to the engine, its cowlings or accessories; or for damage limited topropellers, wing tips, antennas, tires, brakes, fairings, small dents orpuncture holes in the aircraft skin; or

c) the aircraft is missing or is completely inaccessible.

Note 1. For statistical uniformity only, an injury resulting in death within thirty days ofthe date of the accident is classified as a fatal injury by ICAO.

Note 2. An aircraft is considered to be missing when the official search has beenterminated and the wreckage has not been located.

Aerodrome certificate. A certificate issued by the appropriate authority underapplicable regulations for the operation of an aerodrome.

Aeronautical Information Publication (AIP). A publication issued by or with theauthority of a State and containing aeronautical information of a lasting characteressential to air navigation.

Air operator certificate (AOC). A certificate authorizing an operator to carry outspecified commercial air transport operations.


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Approved maintenance organization. An organization approved by a ContractingState, in accordance with the requirements of Annex 6, Part I, Chapter 8 AeroplaneMaintenance, to perform maintenance of aircraft or parts thereof and operating undersupervision approved by that State.

Note. Nothing in this definition is intended to preclude that the organization and itssupervision be approved by more than one State.

Approved training. Training conducted under special curricula and supervisionapproved by a Contracting State that, in the case of flight crew members, is conductedwithin an approved training organization.

Approved training organization.An organization approved by a Contracting State inaccordance with the requirements of Annex 1, 1.2.8.2 and Appendix 2 to perform flight

crew training and operating under the supervision of that State.

Certification,A process performed by the appropriate authority in order to approve anestablished provider of Aviation related services.

Certified aerodrome.An aerodrome whose operator has been granted an aerodromecertificate.

Flight data analysis.A process of analysing recorded flight data in order to improvethe safety of flight operations.

Hazard. A condition or an object with the potential to cause injuries to personnel,damage to equipment or structures, loss of material, or reduction of ability to perform aprescribed function.

Incident.An occurrence, other than an accident, associated with the operation of anaircraft which affects or could affect the safety of operation.

Note. The types of incidents which are of main interest to the International CivilAviation Organization for accident prevention studies are listed in theAccident/IncidentReporting Manual (ADREP Manual) (Doc 9156).

Investigation. A process conducted for the purpose of accident prevention which

includes the gathering and analysis of information, the drawing of conclusions, includingthe determination of causes and, when appropriate, the making of safetyrecommendations.

Level of safety. Degree of safety of a system, representing the quality of the system,safety-wise, expressed through safety indicators.

Licensing Authority. The Authority designated by a Contracting State as responsiblefor the licensing of personnel.


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Note. In the provisions of Annex 1, the Licensing Authority is deemed to have beengiven the following responsibilities by the Contracting State:

a) assessment of an applicants qualifications to hold a licence or rating;b) issue and endorsement of licences and ratings;c) designation and authorization of approved persons;d) approval of training courses;e) approval of the use of flight simulation training devices and authorization fortheir use in gaining the experience or in demonstrating the skill required for theissue of a licence or rating; andf) validation of licences issued by other Contracting States.

Maintenance. The performance of tasks required ensuring the continuing airworthinessof an aircraft or ground based equipment in the service of the Aviation sector includingany one or combination of overhaul, inspection, replacement, defect rectification, andthe embodiment of a modification or repair.

Maintenance organizations procedures manual. A document endorsed by thehead of the maintenance organization which details the maintenance organizationsstructure and management responsibilities, scope of work, description of facilities,maintenance procedures and quality assurance or inspection systems.

Maintenance programme. A document which describes the specific scheduledmaintenance tasks and their frequency of completion and related procedures, such as areliability programme, necessary for the safe operation of aircraft or ground basedequipment in the service of the Aviation sector to which it applies.

Maintenance release. A document which contains a certification confirming that themaintenance work to which it relates has been completed in a satisfactory manner,either in accordance with the approved data and the procedures described in themaintenance organizations procedures manual or under an equivalent system.

Operations specifications. The authorizations, conditions and limitations associatedwith the air operator certificate and subject to the conditions in the operations manual.

Performance criteria. Simple, evaluative statements on the required outcome of thecompetency element and a description of the criteria used to judge whether the requiredlevel of performance has been achieved.

Quality assurance. Part of quality management focused on providing confidence thatquality requirements will be fulfilled.

Quality control. Part of quality management focused on fulfilling quality requirements.

Quality management. Coordinated activities to direct and control an organization withregard to quality.

Quality system. Documented organizational procedures and policies; internal audit ofthose policies and procedures; management review and recommendation for qualityimprovement.


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Safety. The state in which the possibility of harm to persons or of property damage isreduced to, and maintained at or below, an acceptable level through a continuingprocess of hazard identification and safety risk management.

Safety indicators. Parameters that characterize and/or typify the level of safety of thesystem.

Safety m anagement system. A systematic approach to managing safety, includingthe necessary organizational structures, accountabilities, policies and procedures.

Safety programme.An integrated set of regulations and activities aimed at improvingsafety.

Safety risk. Assessment, expressed in terms of predicted probability and severity, of

the consequences of a hazard, taking as reference the worst foreseeable situation.

Note. Typically, safety risks are designated through an alphanumeric convention thatallows for their measurement.

Safety risk management. A generic term that encompasses the assessment andmitigation of the safety risks of the consequences of hazards that threaten thecapabilities of an organization, to a level as low as reasonably practicable (ALARP).

Safety risk probability. The likelihood that an unsafe event or condition might occur.

Safety risk severity. The possible consequences of an unsafe event or condition,taking as reference the worst foreseeable situation.

Safety targets.Concrete safety objectives to be achieved.

State of Manufacture. The State having jurisdiction over the organization responsiblefor the final assembly of the aircraft.

State of Registry. The State on whose register the aircraft is entered.

Note. In the case of the registration of aircraft of an international operating agency onother than a national basis, the States constituting the agency are jointly and severally

bound to assume the obligations which, under the Chicago Convention, attach to a Stateof Registry. See, in this regard, the Council Resolution of 14 December 1967 onNationality and Registration of Aircraft Operated by International Operating Agencieswhich can be found in Policy and Guidance Material on the Economic Regulation ofInternational Air Transport (Doc 9587).

Target level of safety (TLS). A generic term representing the level of risk which isconsidered acceptable in particular circumstances.

Value of a safety indicator. Quantification of a safety indicator.


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Value of a safety target. Quantification of a safety target.

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ACRONYMS AN D ABBREVIATIONS

ADREP Accident/incident data reporting (ICAO) AEP Aerodrome emergency plan AIRPROX Aircraft proximity ALARP As low as reasonably practicable ALoS Acceptable level of safety AMJ Advisory material joint AMO Approved maintenance organization AOC Air operator certificate ASDE Airport surface detection equipment ASR Air safety report

ATC Air traffic control ATCO Air traffic controller ATM Air traffic management ATS Air traffic service(s)CAA Civil aviation authorityCAD Civil Aviation DirectorateCDA Constant descent arrivalsCEO Chief executive officerCFIT Controlled flight into terrainCIP Commercially important personCir Circular (ICAO)

CMC Crisis management centreCRDA Converging runway display aidCRM Crew resource managementCVR Cockpit voice recorderDCADME Distance measuring equipmentDoc Document (ICAO)EC European CommissionECCAIRS European Co-ordination Centre for Aviation Incident Reporting SystemsERP Emergency response planESARR EUROCONTROL Safety Regulatory RequirementEU European Union

FDA Flight data analysisFDM Flight data monitoringFDR Flight data recorderFOD Foreign object (debris) damageft FeetGPS Global positioning systemILS Instrument landing systemIMC Instrument meteorological conditionsISIS Implementation of Single European Sky in South East EuropeISO International Organization for StandardizationJAA Joint Aviation Authority


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JAR Joint Aviation RegulationKg Kilogram(s)LOFT Line-oriented flight trainingLOSA Line operations safety auditm Metre(s)MDA Minimum descent altitudeMEL Minimum equipment listMOR Mandatory occurrence reportMRM Maintenance resource managementNM Nautical mile(s)NSA National Supervisory AuthorityOJT On-the-job trainingPC Personal computerQA Quality assuranceQC Quality control

QMS Quality management systemRCC Rescue Co-ordination CentreRVSM Reduced vertical separation minimumSA Safety assuranceSAG Safety action groupSARPs Standards and Recommended Practices (ICAO)SDCPS Safety data collection and processing systemsSES Single European SkySHEL Software/Hardware/Environment/LivewareSMM Safety management manual (ICAO Doc 9859)SMS Safety management system(s)SMSM Safety management systems manualSOPs Standard operating proceduresSRB Safety review boardSRM Safety risk managementSSP State safety programmeTLH Top level hazardTRM Team resource managementUSOAP Universal Safety Oversight Audit Programme (ICAO) VIP Very important person VMC Visual meteorological conditions VOR Very high frequency omni directional range

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Chapter 1 Introduction

1.1 This chapter is a short introduction to the process of the establishment of a StateSafety Programme.

1.2 The project aims at improving the States relevant administrations capacities inthe areas covered by the SSP. Through a project the following aspect will befacilitated:

a. Continuation of the alignment of the States transport/aviation legislation tothe ICAO regulation standards supporting liberalisation of market access,traffic rates and fares (including competition and state aid);

b. Support adoption of the Air Traffic Management (ATM) and the SingleEuropean Sky (SES) aspects of the Acquis in coordination with the

Implementation of Single European Sky;c. Support the airport ground handling and slot allocation

procedures/regulatory framework;d. Support the airport safety and security regulations/procedures;e. Support and assist in the implementation of environmental standards and

consumer rights in relation to the aviation industry; andf. Support Aviation Safety and Aircraft Accident Investigation.

1.3 If an external project is engaged in the preparation of this State obligation Termsof Reference (ToR) should be established and agreed.

1.4 During the analysis process guided by the ToR, main requirements should beidentified for the support of the development of the State Safety Programme(SSP) for the State. Developed SSP should be seen as a way of organizing thesafety responsibilities and accountabilities of the State in a principled andstructured manner, and measuring the effectiveness with which safetyresponsibilities are discharged and safety accountabilities are fulfilled. The long-term, strategic objective of the SSP is the improvement of safety in the Statewhile the short-term tactical objective is the organization of the SSP in such amanner to ensure efficient and effective delivery of safety responsibilities andaccountabilities and efficient auditing of safety responsibilities andaccountabilities by the State.

1.5 In practice, the SSP is an integrated set of regulations and activities aimed atassisting CAA in its delegated role it plays in improving aviation safety in theState. In accordance with relevant ICAO SARPs and associated guidancematerial, the SSP consists of four components and eleven elements and it alsoincludes an Acceptable Level of Safety (ALoS) to be achieved by the SSP. ALoS isan essential element of an SSP as it establishes condition for one performance-based regulatory environment in which performances of the SSP are monitoredin order to determine whether the system is truly operating in accordance withthe design expectations.


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1.6 Developed SSP is broad in its scope and includes many safety activities andmeasures aimed at fulfilling the safety programmes objectives by securing safeconduct and performance measurements of operations carried out by Serbianaircraft operators, air navigation services provider, airports, maintenance andmanufacturing organizations and training institutes. To implement such safetyactivities and measures in an integrated manner, development andimplementation of a coherent Safety Management System (SMS) within eachorganisation oversighted by the SSP, is mandatory.

1.7 A States safety oversight function is also a necessary part of a States safetyprogramme. The objectives of the States safety oversight function are satisfiedthrough administrative controls (inspections, audits and surveys) carried outregularly by the civil aviation authority. The critical elements of a States safetyoversight function do not, in themselves, constitute safety risk controls. TheStates safety programme is necessary to turn the safety oversight critical

elements into safety risk controls. The States safety programme considersregulations as safety risk controls requiring, through its safety risk managementcomponent, that the process of rulemaking be done using principles of safety riskmanagement (identify specific hazards, conduct risk analysis, develop rules thatprovide acceptable mitigation of the hazards effects), and monitoring, throughits safety assurance component, the effectiveness and efficiency of regulations assafety risk controls.

1.8 Clear articulation of the difference between regulations as administrative controlsand regulations as safety risk controls underlies the shift from prescriptiveregulation to performance based regulation. The States safety programme is afirst enabling step in such a shift. Furthermore, the integration into the Statessafety programme, as appropriate, of the principles underlying the role of thecritical elements of a States safety oversight function will yield a more robustand effective State safety programme. The hazard addressed by both the SMSand the States safety programme frameworks is the lack of standardizationregarding the components of a service providers SMS or a States safetyprogramme. The risk is the inability by a State to organize its safety programmesor develop national regulations regarding SMS. The SSP and SMS frameworks areprovided as mitigation strategy to this risk.

1.9 The establishment of a Quality Management System (QMS) in the CAA shall be

concidered was made. This subject might not be the part of the projectestablishing the SSP although it is recognized that if QMS and specifically QualityAssurance (QA) is properly implemented it ensures that procedures are carriedout consistently and in compliance with applicable requirements, that problemsare identified and resolved, and that the organization continuously reviews andimproves its procedures, products and services. QA, however, can not by itself,as proposed by quality dogma, assure safety. It is the integration of QAprinciples and concepts into an SSP under the safety assurance component thatwill assists the CAA in ensuring the necessary standardization of processes toachieve the overarching objective of identification and control of hazards and riskassessment of the consequences of hazards on safety of operations in the State.


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1.10 This includes the establishment of requirements, specific operating regulations

and implementation policies which will govern management of safety by the CAAand rules and/or regulations which will govern how service providers SMSoperates including the agreement on safety performance of service providersSMS. The requirements, specific operating regulations and implementationpolicies will require periodic review by a CAAs Safety Regulation Board (SRB) toensure they remain relevant and appropriate to the service providers in theState. Those are all shared commonalities between the SSP and QMS; however,there are important differences between both, as well as shortcomings in theeffectiveness of QMS to achieve by itself the overarching objective of managingthe safety risks of the consequences of the hazards. For the above reasons, theSSP would accept and provide adequate quality control and adequatemanagement of safety by the CAA, if appropriately implemented.

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Chapter 2 Safety Oversight Arrangements

1. Introduction1.1 The State as signatory of the Convention on International Civil Aviation (ICAO

Doc 7300) has agreed on the obligations of Contracting States concerningcompliance with the Convention as well as with Standards and RecommendedPractices (SARPs) contained in Annexes to the Convention issued by theInternational Civil Aviation Organization (ICAO).

1.2 Other agreements (like the ECAA agreement) will extend the internal aviationsector and the air transport market and this will lead to an adoption of theaviation-related agreements and a comprehensive sector restructuring at theStates national level. Furthermore implementation of such agreements are

expected to act as an important catalyst for broader regional integration to thebenefit of the State.

1.3 To implement such agreements, the State can plan to pass, amend andharmonise with wider standards several air transport laws. In that respect inaccordance with an adopted Strategy and Policy of Transport SectorDevelopment in the State most likely priority will be given to changes in the legalframework and full implementation of wider legislation and other relevantinternational regulations, as well as the membership in internationalorganizations, since they are necessary for the further development of airtransportation sector in the State. The specific goals, important for definition ofstrategies and action plans of subjects in the air transport sector in the State arethe adoption of complementary law on air traffic and related regulations andnorms, as established by the Joint Aviation Authority (JAA) and in some casesthe European Aviation Safety Agency (EASA) .

2. Responsibil ities of Civil Aviation Authority2.1 In the State and in most of the cases, the Ministry of Transport and its

Department for Air Transport, Air Traffic and Airports represent the ultimateaviation body which main objective is to ensure regulated, safe, secure andorderly air transportation. In compliance with ICAO and European CommunityLegislation related to safety oversight functions in civil aviation, the Ministry of

Transport designated Civil Aviation Authority (CAA) as the States nationalregulatory and supervisory authority.

2.2 Besides the obligations of the State to comply with ICAO SARPs and if the Stateis not yet member of the European Aviation Safety Agency (EASA), the CAA canestablish Working Arrangements with EASA. The Working Arrangements cancover all aspects of regulation of civil aviation safety and environmentalprotection of products, personnel and organizations subject to Regulation (EC)No. 216/2008 and its Implementing Rules. Through Working Arrangements EASAalso can assist the CAA in implementing the relevant provisions of the ECAAAgreement.


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2.3 Concerning aviation safety aspect, CAA can create its Safety Department which

has to be managed by the Acting Director Safety. Main activities of thedepartment are regulations, issuance of licences and certificates, inspection andsupervision of service providers and cooperation with aviation industry. Inrespect of regulations, presently, the primary aviation legislation in the State isthe Aviation Act and the act shall be adopted by the Parliament. A new AviationAct can, in accordance with international and European standards, establish clearobjective, organization, role and responsibility of the CAA concerning safety,security, regulation and environmental protection of air transportation in theState.

3. Air Accident Investigation Departm ent3.1 An Air Accident Investigation Department shall be established as an independent

part of the CAA and consist of sufficient number of employees. Head of theDepartment shall be directly responsible to Director General (DG) of the CAA.When the occurrence of an accident or serious incident is reported, CAA DGestablishes an Air Accident Investigation Commission which consists of anInvestigator-in-Charge and members from the List of Experts. CAA DGestablishes on annual basis the list of independent experts which are not CAAemployees. The list encompasses experts from Flight Operations, Air TrafficServices, Meteorology, Airframe Structure, Engines, Systems, Flight Recorders,Maintenance, Human Factors, Evacuations, Search and Rescue and Fire Fightingspecialties. Investigations are performed on the basis of the Civil Aviation Act ofthe State and SARPs contained in ICAO Annex 13 Accident Investigation.

3.2 Investigation of accidents and serious incidents shall be done by the commissionchaired by a Chief Inspector and the commission members will be appointed bythe minister responsible for air transport activities from the list of experts. Thecommission will submit to the government its investigation report, proposing, asnecessary, actions for preventing new accidents or serious incidents and will alsonotify CAA of the actions proposed.

3.3 No one can affect the contents or the scope of accidents or serious incidentsinvestigation, nor the contents of the final report or the Commission proposedactions. The Commission final report shall be made available to public, but notthe identity of persons involved in an accident or a serious incident.

3.4 The main objective of the proposed changes in respect of an accident andincident investigation organization and processes is to support management ofsafety by preventing accidents and incidents in the State and not theapportioning of blame and liability. As proposed to have Chief Inspector, ChiefInspector Service and the Commission designated and responsible to thegovernment and not to CAA Director General as it, in most cases, is todayestablishes conditions for independent investigations and reporting the results ofsuch investigations directly to the government of the State.

4. Responsibil ities of the Service Providers


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4.1 Interstate agreements need to be established and not only the agreements

between Service providers.

4.2 Besides the management of air traffic service, the Service Provider alsocommunication, navigation and surveillance (CNS), meteorological (MET) andaeronautical (AIS) information services for the State as well as training ATSpersonnel.

4.3 Airports shall be included in the management regulated by the State Safetyprogramme.

4.4 The national airline operator active in schedule-, charter- and cargo- air trafficand other operators registered in the State such as a domestic charter companyand several charter air cargo, taxi and business aviation companies shall all be

embraced by the State Safety Programme.

4.5 In the State institutes dealing with aircraft design and numerous technicalorganizations responsible for aircraft construction, testing and maintenance andaircraft parts production shall be embraced by the State Safety Programme.

5. Search and Rescue (SAR)

5.1 Search and Rescue (SAR) operations in the State is in most cases under theresponsibility of Civil Aviation Authority and they are set up in line with Annex 12 Search and Rescueto the ICAO Convention and the official Civil Aviation Act.In that respect CAA undertakes planning of the system and prepares SARprogramme and according to Annex 12, it established one Rescue Co-ordinationCentre (RCC).

5.2 According to an established SAR plan and programme and agreements betweenthe parties concerned and CAA, in SAR operations ministries for defence,internal affairs and health, ATS as well as appropriate local municipalorganizations and physical persons participate, in addition to the permanent staffmembers of the CAA SAR Department shall be covered bu the State Safetyprogramme.

5.3 Efficiency of the SAR organization depends on time required to locate the placeof an aircraft accident as well as how fast rescue operations of persons involvedin an accident are effected regardless of terrain conditions. CAA is responsible forthe preparation of the SAR plan and programme and their execution includingtraining of personnel and planning of necessary equipment. RCC is independentin conducting search and rescue operations and is directly responsible to DirectorGeneral of the CAA.

5.4 In its operations RCC of the State coordinates actions and exchangesinformation with centres of the surrounding States on the bases of bilateralagreements signed as well as with the COSPAS-SARSAT Organization and its


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Mission Control Centre (MCC) in Bari, Italy for receiving information obtainedfrom satellites over the States territory. In SAR operations timely identification ofcorrect location of aircraft and sharing of such information with those partiesdirectly involved in the operations is of the highest importance. This aspect ishindered if the RCC still uses analog charts instead of one digital system, such asGeographic Information System (GIS), that would allow for much more efficientlocation of aircraft position as well as sharing of such electronic information withother parties involved in SAR operations.

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Chapter 3 Safety Policy and Objectives

1. Safety legislative framework1.1 Convention on International Civil Aviation (Convention) byArticle 43established

the International Civil Aviation Organization (ICAO). The ICAO objective is todevelop principles and techniques of international air navigation and to fosterplanning and development of international air transport so as to ensure safe andorderly growth of it that will meet the needs of the people of the world for thesafe, regular, efficient and economical air transportation ( Article 44 of theConvention). Therefore, aviation safety has been and remains the highestobjective of ICAO.

1.2 The State, as signatory of the Conventionand in accordance with Article 37of

the Convention, agreed to collaborate in securing the highest practicable degreeof uniformity in regulations, standards, procedures and organization in relation toaircraft, personnel, airways and auxiliary services in all matters in which suchuniformity will facilitate and improve air navigation. Civil Aviation Act of the Statedefines the roles, duties and responsibilities of Ministry of Transport, Departmentfor Air Transport, Air Traffic and Airports and of Civil Aviation Authority.

1.3 According to the proposed new Aviation Act, Ministry of Transport, Departmentfor Air Transport, Air Traffic and Airports will be tasked with the management ofgovernmental policy in civil aviation, development of civil aviation strategy,organization of the air transportation system as well as supervision of the workof the CAA. According to the Aviation Act the government, through its ExecutiveBoard consisting of members (Minister responsible for Air Transportation,Minister responsible for Internal Affairs, Minister responsible for Defence, Ministerresponsible for Finance and Minister responsible for Environmental Protection)among the other tasks will be assigned the task to supervise the work of theCAA, thus establishing one important safety oversight condition for oneindependent mechanism for monitoring continued competency of CAA.

1.4 Another very important aspect from the Aviation Act is change in respect of theaviation inspection function that at the moment resides with the CAA. Namely,according to the Aviation Act, inspection duties will be resting with the Ministry ofTransport, Department for Air Transport, Air Traffic and Airports.

1.5 Consequently, the CAA duties will be development of regulatory material asauthorised to do so, performing its safety oversight function by conducting auditsof national service providers, participate in the work of internationalorganizations and institutions and their respective working bodies, and any otherduty assigned to it by the ministry. The CAA will be authorized to issue operatorscertificates to national service providers on the basis of performed audits and toconduct periodic regular and ad hoc audits to confirm that operators maintaintheir capability to provide services, as certified.


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1.6 Besides the Aviation Act, the CAA participates in preparation and contributes tothe promulgation of numerous by-laws that provides for issuance of licences,certificates and regulates national air transportation system. These by-laws andthe Aviation Act are the main regulatory instruments on which basis CAAexercises its safety oversight function and responsibility. According to the Aviation Act, by-laws prepared by CAA could refer to international laws andregulations, international standards and recommended practices which, in suchcase, will be directly applied. When in the case of inability to comply andimplement ICAO Standards and in accordance with Article 38 of the Convention,CAA will advise Ministry of Transport prior to notification of differences to theICAO Council and publishing them in the Aeronautical Information Publication(AIP) of the State.

1.7 All by-laws published in the Official publications shall be prepared on the basis ofICAO SARPs, Joint Aviation Regulations (JARs) and in some cases

EUROCONTROL Safety Regulatory Requirements (ESARRs) and they cover allareas of safety oversight functions of CAA and in particular flight crews,dispatchers, aerodromes, airline operators and air navigation. The majority ofsafety oversight responsibilities presently are laid down within the CAA SafetySector which goal should be to achieve and maintain the highest standards ofsafety in the State. To achieve this requirement, the CAA must ensure that it hassufficient human resources qualified to perform safety oversight duties and thatit is properly equipped for carrying out these duties.

1.8 New ICAO Standards introduced in Annexes 1, 6, 8, 11, 13 and 14 require thatStates establish programme that is directly related to the safety of air navigationand called it, State Safety Programme (SSP). New ICAO SSP requirements cameas a consequence of the growing awareness that safety management principleshave direct effect on civil aviation authoritys activities related to the safetyrulemaking, policy development and oversight. Under an SSP, safety rulemakingelement is based on the comprehensive analysis of State aviation system; safetypolicies are developed on the basis of identified safety hazards while safety riskmanagement and safety oversight focus on the areas of higher safety risks andsignificant safety concerns. This created conditions and means to combine theprescriptive and performance-based approaches to safety rulemaking, safetypolicy development and safety oversight and the establishment of acceptablelevel of safety (ALoS) by States.

1.9 In the State, according to the Civil Aviation Act, aviation safety policy andstrategy including conditions for achieving acceptable level of safety (ALoS) willbe defined by the government on the basis of recommendations by Ministry ofTransport, department responsible for air transportation. However, the CAA asthe national supervisory body will use SSP as a management system for themanagement of safety in the State. The SSP is commensurate with the size,nature and complexity of the operations in the air transportation system of theState.

1.10 The Aviation Safety Policy statement, as guided by the ICAO, has beendeveloped and is reproduced below setting up the safety policy from the highest


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level of civil aviation of the State. From the European Community Legislationperspective, establishment of the safety policy statement is in line with the ECAAAgreement and is a pre-requisite for the implementation of the Single EuropeanSky (SES) regulations by the State. SES would result in restructuring of theEuropean airspace on the basis of air traffic flow and not national borders, thusincreasing capacity and improving the overall efficiency and management of airtransportation system in Europe, of which the State is one component buildingblock.

1.11 To achieve the objectives defined in a policy statement together with thecommitment to comply with ICAO provisions and European regulations for safetymanagement, the CAA must carry out comprehensive planning of its safetyfunctions including safety monitoring and periodic review of safety legislativeframework and specific regulations to ensure they remain relevant andappropriate. The planning will establish requirements, responsibilities and

accountabilities of all those organizations within CAA participating in SSP,including definition of the Acceptable Level of Safety (ALoS) to be achieved bythe SSP.

1.12 The safety policy and objectives component provides management and personnelexplicit policies, procedures, management controls, documentation and correctiveaction processes that will keep the safety management efforts of the CAA ontrack. This component is also essential in generating confidence in the CAAsability to provide safety leadership in an increasingly complex and constantlychanging air transportation system of the State.

________________________


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SAFETY POLICY STATEMENT

The management of civil aviation safety is one of the major responsibilities of the Stateand the State is committed to developing, implementing, maintaining and constantlyimproving strategies and processes to ensure that all aviation activities that take placeunder its oversight will achieve the highest level of safety performance, while meetingboth national and international standards.

The holders of Operators certificates issued by the State shall be required todemonstrate that their management systems adequately reflect a Safety ManagementSystem (SMS) approach. The expected result of this approach is improved safety

management, and safety practices, including safety reporting within the civil aviationindustry.

In the State, all levels of management are accountable for the delivery of the highestlevel of safety performance within the State.The Governmental level of the State will appoint a State Accountable Executive who willbe representing the State regarding commitments made in the name of the State.

The sate is committed to:

a) developgeneral rulemaking leading to specific operational policies thatbuild upon safety management principles, based on a comprehensiveanalysis of the States aviation system;

b) consult with all segments of the aviation industry on issues regardingregulatory development;

c) support the management of safety in the State through an effectivesafety reporting and communication system;

d) interact effectively with service providers in the resolution of safetyconcerns;

e) ensure that within the Civil Aviation Authority, sufficient resources areallocated and personnel have the proper skills and are trained fordischarging their responsibilities, both safety related and otherwise;

f) conduct both performance-based and compliance-oriented oversightactivities, supported by analyses and prioritized resource allocation basedon safety risks;

g) comply with and, wherever possible, exceed international safetyrequirements and standards;


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h) promote and educate the aviation industry on safety managementconcepts and principles;

i) overseethe implementation of SMS within Service Providers;

j) ensure that all activities under oversight achieve the highest safetystandards;

k) establish provisions for the protection of safety data, collection andprocessing systems (SDCPS), so that people are encouraged to provideessential safety-related information on hazards, and that there is acontinuous flow and exchange of safety management data between theState representation and service providers;

l) establishand measure the realistic implementation of the State Safety

Programme (SSP) of the State against safety indicators and safety targetswhich are clearly identified; and

m) promulgate an enforcement policy that ensures that no informationderived from any SDCPS established under the SSP or the SMS will beused as the basis for enforcement action, except in the case of grossnegligence or wilful deviation.

This policy must be understood, implemented and observed by all staff involved inactivities related to the Civil Aviation Authority as the safety oversight authority of theState.

__________________________________Name and FunctionStateMinistry of Transport

________________________


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2. Safety responsibil ities and accountabil ities for SSP in the State2.1 In the State, the CAA as the regulatory and supervisory authority is responsible

and accountable for the safety oversight of air transportation within the area ofits liability. In that respect, the Ministry of Transport (Department for AirTransport, Air Traffic and Airports) being cognizant of the requirements,responsibilities and accountabilities regarding the establishment and maintenanceof the SSP for the State, agreed that the CAA be involved in coordination duringthe SSP development under the ECAA agreement implementation supportprovided by the Delegation of the European Commission.

2.2 The SSP is a fairly new safety material introduced by ICAO and supported by theEuropean regulations and would require a certain period of time, after theinception of this SSP document, for the CAA to implement the programme. As

the first step, one Safety Regulation Board (SRB) within the CAA should beestablished, initially to manage implementation of the SSP. The board shouldconsist of the Safety Accountable Executive (CAA Director General), DirectorSafety, Director Air Navigation Services, Director International Relations andLegal Division, Head of Air Accident Investigation Department and Director Legaland General Services.

2.3 As a first step, the SSP requires that the CAA SRB conduct a gap analysis of itssafety system to determine which components and elements of an SSP arecurrently in place and which components and elements must be added ormodified to meet the implementation requirements. The gap analysis, in checklistformat, involves comparing the SSP requirements against the existing resourcesin the State and it provides information to assist in the evaluation of thecomponents and elements that comprise the ICAO SSP framework and to identifythe components and elements that need to be developed. Completed anddocumented gap analysis is used as a basis of the SSP implementation plan.

2.4 Once the implementation of SSP of the State is completed, the CAA SRB willassume responsibilities and accountabilities to plan, organize, develop, maintain,control and continuously improve the SSP in a manner that meets the safetyobjectives and policy of the State. Attachment 4 to this document contains theSSP detailed implementation plan for the State including Gap Analysis tables.

3. Accident and incident investigation in the State

3.1 As indicated in Chapter 2 of this document according to the Aviation Act of theState, accident investigation shall be established as one independent bodyresponsible directly to the Ministry of Transport, (Department for Air Transport,Air Traffic and Airports), following provisions of the Directive 94/56/EC. The mainobjective of the proposed changes in respect of an accident and incidentinvestigation organization and processes is a creation of one independentorganization that would support management of safety by preventing accidentsand incidents in the State. This aspect is covered by Aviation Act. Investigationsof accidents and serious incidents in the State must therefore be considered as


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one indispensable part of the safety management system that would result inidentification of causes and on that basis taking the appropriate measure toprevent similar accidents and serious incidents in the future, and not theapportioning of blame and liability.

3.2 The State, in compliance with Annex 13 Accident Investigationadopteddefinitions of Accident and Incident as follows:

Accident.An occurrence associated with the operation of an aircraft which takesplace between the time any person boards the aircraft with the intention of flightuntil such time as all such persons have disembarked, in which:

a) a person is fatally or seriously injured as a result of: being in the aircraft, or direct contact with any part of the aircraft, including parts which have

become detached from the aircraft, or direct exposure to jet blast, except when the injuries are from naturalcauses, self-inflicted or inflicted by other persons, or when the injuriesare to stowaways hiding outside the areas normally available to the

passengers and crew; orb) the aircraft sustains damage or structural failure which:

adversely affects the structural strength, performance or flightcharacteristics of the aircraft, and would normally require major repair or replacement of the affectedcomponent, except for engine failure or damage, when the damage islimited to the engine, its cowlings or accessories; or for damage limited to propellers, wing tips, antennas, tires, brakes, fairings, small dents orpuncture holes in the aircraft skin; or

c) the aircraft is missing or is completely inaccessible.Incident.An occurrence, other than an accident, associated with the operationof an aircraft which affects or could affect the safety of operation.

3.3 In accordance with the Aviation Act, in the State further defines a SeriousIncident as an occurrence that includes circumstances which indicate that anaccident could almost have happened. As per the same proposed Article, uponreceiving information about the occurrence classified as accident or seriousincident, CAA must immediately inform the Chief Inspector.

3.4 Organization and investigations of accidents and serious incidents in the Stateshall be conducted by the Chief Inspector. The Chief Inspector shall be appointedby the Government for five years period under the competency and experienceconditions for the position prescribed by the Government, at the proposal of theminister competent for air transport activities.

3.5 The Chief Inspector shall have its service that assists him in his work, andperforms professional, administrative and technical duties for his needs and theneeds of the Commission for investigating the causes of accidents and seriousincidents. The Chief Inspector Service shall be formed by the Government.


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Resources for the Chief Inspector and the Chief Inspector Service activities shallbe provided by the budget of the State.

3.6 For investigating each accident and serious incident a Commission forinvestigating accidents and serious incidents shall be established. TheCommission members shall be appointed by the minister competent for airtransport activities from the List of experts made for each year by the ChiefInspector. The Chief Inspector shall, as a rule, chair the Commission.

3.7 The Commission shall investigate the causes of accidents and serious incidents,effects and all the facts related to accidents and serious incidents, in the mannerlaid down by the Aviation Act and by-laws passed thereon. The Commission shallmake the final report of the investigation findings and submit the report to thegovernment, and shall propose, if necessary, actions for preventing newaccidents and serious incidents and shall notify the State Accountable Executive

Directorate on the actions proposed.

3.8 The Commission shall notify also the persons and organizations to which theseactions are referred to and those person and organizations shall consider theseactions and notify the Commission and the Directorate of the actions undertaken.No one can affect the contents or the scope of accidents or serious incidentsinvestigation, nor the contents of the final report or the Commission proposedactions. The Commission final report shall be made available to public, but notthe identity of persons involved in an accident or a serious incident.

4. Enforcement policy in the State

4.1 Civil Aviation Authority, in line with Civil Aviation Act and the EuropeanCommunity Legislation, holds within its organisation also the function of theNational Supervisory Authority (NSA) for air transportation. The CAA issuesindividual licences to pilots, air traffic controllers, aircraft maintenance engineersand certificates to air navigation service providers, commercial aircraft operators,etc. All the licences/certificates are issued by CAA on the basis of the Civil Aviation Act and CAA makes periodic or random audits to identify iflicence/certificate holders are operating in accordance with their permissions.The CAA may on the basis of audit findings, revoke or suspend licences orcertificates.

4.2 Every service provider in the State must institute, maintain and adhere to aSafety Management System (SMS) within their own organization that iscommensurate with the size, nature and complexity of the operations authorizedto be conducted under its operators certificate and to the hazards and safetyrisks related to these operations. SMS must be audited and certified by the CAA.Within the SSP, a notion of enforcement policy is identified and the policystatement concerning the enforcement and its procedures is provided below. Thepolicy establishes conditions under which the service providers are permitted todeal with and resolve events involving certain safety deviations, internally, withinthe context of the service providers safety SMS, and to the satisfaction of CAA.


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4.3 In order to develop an enforcement policy that supports the implementation ofSMS, the CAA auditors must maintain an open communication with serviceproviders. When a service provider operating under an SMS unintentionallycontravenes Civil Aviation Act or by-laws, specific review procedures will be used.These procedures will allow the CAA auditors responsible for the oversight of theservice provider the opportunity to engage in dialogue with the SMS-governedorganization. The objective of this dialogue is to agree on proposed correctivemeasures and an action plan that adequately addresses the deficiencies that ledto the contravention and to afford the service provider a reasonable time toimplement them.

4.4 This approach aims to nurture and sustain effective safety reporting, wherebyservice providers employees can report safety deficiencies and hazards withoutfear of punitive action. A service provider can therefore, without apportioningblame, and without fear of enforcement action, analyse the event and the

organizational or individual factors that may have led to it, in order toincorporate remedial measures that will best help prevent recurrence.

_ _ _ _ _ _ _ _ _ _ _ _ _ _


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ENFORCEMENT POLICY AND ENFORCEMENTPROCEDURES IN AN SMS ENVIR ONMENT

ENFORCEMENT POLICY

1. IntroductionThis enforcement policy is promulgated by Civil Aviation Authority under thestatutory authority in the Civil Aviation Act of the State.

2. Principles

2.1 This enforcement policy is the culmination of a comprehensive review byCivil Aviation Authority of its capacity and regulations for evaluating safetyactivities undertaken by service providers.

2.2 The implementation of safety management systems (SMS) requires thatCivil Aviation Authority develop a flexible enforcement approach to this evolvingsafety framework while at the same time carrying out enforcement functions inan equitable, practical and consistent manner. A flexible enforcement approachin an SMS environment should be based in two general principles.

2.3 The first general principle is to develop enforcement procedures thatallow service providers to deal with, and resolve, certain events involving safetydeviations, internally, within the context of the service providers SMS, and to thesatisfaction of the authority. Intentional contraventions of the Civil Aviation Act ofthe Stateand the State regulations will be investigated and may be subject toconventional enforcement action, if appropriate.

2.4 The second general principle is that no information derived from safetydata collection and processing systems (SDCPS) established under SMS shall beused as the basis for enforcement action.

3. Scope

3.1 The principles underlying this enforcement policy statement andassociated enforcement procedures apply to service providers operating inaccordance with ICAO Annex 1 Personnel Licensing;Annex 6 Operation ofAircraft, Part I International Commercial Air Transport Aeroplanes, and PartIII International Operations Helicopters; Annex 8 Airworthiness of


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Aircraft;Annex 11 Air Traffic Services;and Annex 14 Aerodromes, Volume IAerodrome Design and Operations.

3.2 Within the context of this policy the term service provider refers to anyorganization providing aviation services. The term includes approved trainingorganizations that are exposed to safety risks during the provision of theirservices, aircraft operators, approved maintenance organizations, organizationsresponsible for type design and/or manufacture of aircraft, air traffic serviceproviders and certified aerodromes, as applicable.

4. General

4.1 Each Service Providerof the State will establish, maintain and adhere toan SMS that is commensurate with the size, nature and complexity of theoperations authorized to be conducted under its operations certificate and to the

hazards and safety risks related to these operations.

4.2 In order to develop an enforcement policy that supports theimplementation of SMS, Civil Aviation Authoritys auditors will maintain an opencommunication with service providers.

4.3 When a service provider operating under an SMS unintentionallycontravenes Civil Aviation Act State, specific review procedures will be used.These procedures will allow theCivil Aviation Authoritys auditors responsible forthe oversight of the service provider the opportunity to engage in dialogue withthe SMS-governed organization. The objective of this dialogue is to agree onproposed corrective measures and an action plan that adequately addresses thedeficiencies that led to the contravention and to afford the service provider areasonable time to implement them. This approach aims to nurture and sustaineffective safety reporting, whereby service providers employees can reportsafety deficiencies and hazards without fear of punitive action. A service providercan therefore, without apportioning blame, and without fear of enforcementaction, analyse the event and the organizational or individual factors that mayhave led to it, in order to incorporate remedial measures that will best helpprevent recurrence.

5. Remedial Measures

Civil Aviation Authority, through the auditor responsible for the oversight of theservice provider, will evaluate the corrective measures proposed by the serviceprovider, and/or the systems currently in place to address the event underlyingthe contravention. If the corrective measures proposed are consideredappropriate and likely to prevent recurrence and foster future compliance, thereview of the violation will then be concluded with no enforcement action. Incases where either the corrective measures or the systems in place areconsidered inappropriate, Civil Aviation Authority will continue to interact with theservice provider to find a satisfactory resolution that would prevent enforcementaction. However, in cases where the service provider refuses to address theevent and provide effective corrective measures, Civil Aviation Authority will


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consider taking enforcement action or other administrative action regarding thecertificate.

6. Enforcement P rocedures

Breaches of aviation regulations may occur for many different reasons, from agenuine misunderstanding of the regulations, to disregard for aviation safety.Civil Aviation Authority has a range of enforcement procedures in order toeffectively address safety obligations under the Civil Aviation Act Statein light ofdifferent circumstances. These procedures may result in a variety of actions suchas:

a) counselling;b) remedial training; orc) variation, suspension and cancellation of authorizations.

7. Impartiality of Enforcement Actions

Enforcement decisions must not be influenced by:

a) personal conflict;b) considerations such as gender, race, religion, political views or

affiliation; orc) personal, political or financial power of those involved.

8. Proportionality of Responses

Enforcement decisions must be proportional to the identified breaches and thesafety risks they underlie, based on two principles:

a) Civil Aviation Authority will take action against those whoconsistently and deliberately operate outside Civil AviationRegulations; and

b) Civil Aviation Authority will seek to educate and promote trainingor supervision of those who show commitment to resolving safetydeficiencies.

9. Natural Justice and Accountabil ity

Enforcement decisions must:

a) be fair and follow due process;b) be transparent to those involved;c) take into account the circumstances of the case and the

attitude/actions of the service provider when considering action;d) be consistent in actions/decisions for like/similar circumstances;

ande) be subject to appropriate internal and external review.


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10. Exceptions

10.1 This policy is not applicable if there is evidence of a deliberate effort toconceal non-compliance.

10.2 This policy is not applicable if the service provider fails to provideconfidence in its means of hazard identification and safety risk management.

10.3 This policy is not applicable if the service provider is a recurrent violator.A recurrent violator is a violator who, in the past four years, has had the same orclosely related violations.

10.4 In such circumstances, the penalty matrix (or applicable measurement) ofthe established enforcement procedures will be applicable.

______________________________Accountable Executive

Director General, Civil Aviation Authority


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Chapter 4 Safety Risk Management

1. Safety requirements for service providers SMS

The existing ICAO standards and European regulations call for the establishment ofthe Safety Management System (SMS) for service providers. Civil Aviation Act of theState prescribes that every service provider in the State must establish their own SMSwhich will include organization, procedures and accountabilities and establish andmaintain an ALoS and that this must be documented in the SMS Manual. Approval ofestablished SMS or of any changes made to it by service provider is done by CAA.Additionally, according to the Aviation Actone of the conditions for the issuance of thecertificate for the provision of air navigation service is to have established SMS.

The Aviation Act defines that aviation safety is a condition in which risk of

endangering lives and causing injuries to people and creating damage to equipment andstructure is reduced and maintained at the acceptable level of safety (ALoS) bycontinuous identification of hazards and management of risk. The Aviation Act furtherprescribes that service provider is responsible for continuous identification of hazard andevaluation and reduction of risk while performing its operations in order to eliminatehazard and manage risk at the established ALoS. Evaluation and elimination of riskprocedures are applicable to all operational processes and procedures, human resources,equipment and working environment.

Safety management principles affect most CAA activities, starting with rulemakingand policy development. The SSP principles are based on comprehensive analyses of theaviation system in the Republic of Serbia and regulations must be based on identifiedhazards and analysis of the safety risks of the consequences of identified hazards. Theregulations, when developed, will provide frameworks for risk control, once they areintegrated into the service providers SMS.

CAA Safety Regulation Board (SRB), among the other tasks within its workprogramme, will have to develop in the shortest period of time of Civil Aviation Actadoption detailed description how in State identification and control of hazards and riskassessment of the consequences of hazards on safety of operations are going to bedone. This will include the establishment of requirements, specific operating regulationsand implementation polices which will govern management of safety by CAA and rulesand/or regulations which will govern how service providers SMS operates including the

agreement on safety performance of service providers SMS. The requirements, specificoperating regulations and implementation policies will require periodic review by CAASRB to ensure they remain relevant and appropriate to the service providers in theState.

Implementation of SSP and in particular the SMS and their impact on regulationsoversight will require detailed considerations by the CAA staff tasked with safetyoversight duties. The CAA staff directly involved with oversight of service providers SMSrequire to have thorough knowledge and understanding of the SMS principles and CAASRB will within its work programme include training of CAA staff in SMS. Guidance andtraining material on SMS provided by ICAO should be used by CAA for these purposes.


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CAA SRB may consider establishment of one small group of CAA experts that would

be tasked specifically with the oversight of the aviation safety risks and comprising ofexperts from operations (OPS), aerodromes and air traffic management (ATM). Thegroup could be named the Safety Risk Group (SRG) and this group would coordinateand, when necessary, participate in the safety risk management processes and provideadvice, on basis of the quality of collected information, to the SRB. Specifically, SRG maybe tasked to do the following duties:

a) identify risk through utilization of different evaluation processes;b) assess identified risks and supporting data;c) identify new and potential safety data sources and data handling

methods;d) assess mitigation actions;e) share and coordinate safety information among CAA SRB and other CAA

safety auditors;f) propose guidance and direction to the CAA SRB on safety risk matters;

andg) contribute to and where possible improve the SSP of the State.

2. Agreement on service providers safety performance

To complete the safety management cycle, safety risk management requiresfeedback on safety performance by service provider. ICAO Annexes 1, 6, 8, 11, 13 and14 establish that a service providers SMS shall ensure remedial action to maintain safetyperformance and shall continuously monitor and shall regularly assess such safetyperformance.

Safety performance and monitoring information comes from a variety of sources,including formal auditing and evaluation, investigations of safety-related events,continuous monitoring of day-to-day activities related to the delivery of services, andinput from employees through hazard reporting systems. Each of these types ofinformation sources may exist to some degree in every organization and it is left at anindividual organization to tailor them to the scope and scale appropriate for the size andtype of organization. Information sources for safety performance monitoring andmeasurement include:

a) hazard reporting;

b) safety studies;c) safety reviews;d) audits;e) safety surveys; andf) internal safety investigations.

The safety performance is an essential component in the effective operation of anSMS as well as progressing towards a performance-based regulatory environment. Itassists in monitoring actual performance of the SMS and it is necessary for an SMS todefine a set of measurable performance outcomes in order to determine whether thesystem is truly operating in accordance with design expectations (not simply meeting


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regulatory requirements) and to identify where action may be required to bring theperformance of the SMS to the level of design expectations. These measurableperformance outcomes permit the actual performance of activities critical to safety to beassessed against existing organizational controls so that necessary corrective action istaken and safety risks can be maintained as low as reasonably practicable.

CAA SRB will have to agree with each individual service provider in the State on thesafety performances of their SMS. In practice, the safety performance of an SMS will beexpressed by safety performance indicator values and safety performance target valuesand will be implemented through action plans. Action plans will be the tools and meansneeded to achieve the safety performance indicator values and safety performancetarget values of an SMS. They will include the operational procedures, technology,systems and programmes to which measures of reliability, availability, performanceand/or accuracy will be specified.

The safety performance indicator values are short-term, measurable objectivesreflecting the safety performance of an SMS expressed in numerical terms. Since thesafety performance of each SMS will be agreed separately between CAA SRB andindividual aviation organizations, the safety performance indicator values will thereforediffer between segments of the aviation industry, such as aircraft operators, certifiedaerodrome operators and ATS providers.

Safety performance target values are long-term, measurable objectives reflecting thesafety performance of an SMS expressed in numerical terms. They should be obvious,measurable and acceptable to stakeholders and linked to the safety performanceindicator (short-term objective) of an SMS.

All the SMS safety performances agreed between the CAA and individual serviceproviders in the State and reflected in individual action plans will be periodicallyreviewed by CAA SRB to ensure that they remain relevant and appropriate to eachindividual service provider.


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Chapter 5 State Aviation Safety Assurance

1. Safety oversightThe notion of SSP, as recently introduced by ICAO and supported in Annexes

1,6,8,11,13 and 14, brought in a principled and structured manner one way oforganizing the safety responsibilities and accountabilities of a State and measuring theeffectiveness with which safety responsibilities are discharged and safety accountabilitiesare fulfilled by the State. The organization of the safety responsibilities andaccountabilities of a State by observing certain principles and following a standardstructure allows regulations and activities aimed at improving safety to be documented,explicit and traceable. While the long-term, strategic objective of an SSP is theimprovement of safety in the State, the organization of an SSP aims at two short-term,tactical objectives: efficient and effective delivery of safety responsibilities and

accountabilities by the State, and efficient auditing of safety responsibilities andaccountabilities by the State.

The importance of the second SSP short-term objective, efficient auditing of safetyresponsibilities and accountabilities by the State should be carefully considered by CAASRB. At the present time, the ICAO Universal Safety Oversight Audit Programme(USOAP) audits States safety responsibilities in a comprehensive manner following abasic architecture prescribed by the relevant Annexes to the Convention. Accordingly,each State must implement eight critical elements of safety oversight and USOAP auditsverify the status of implementation of the elements and functions, on a compliance/non-compliance basis. Once the SSP concept is implemented throughout States, USOAP willaudit the SSP through an approach based on a continuous monitoring concept, ratherthan on the elements and functions of the safety oversight.

The third, medium-term objective of the SSP concept aims at the transition from apresently predominantly prescriptive regulatory environment to an integrated regulatoryenvironment with combined prescriptive and performance-based regulatory approaches.In this transition, the concept of ALoS of an SSP and of the safety performance of anSMS, building upon the safety assurance component of both an SSP and an SMS isfundamental. This transition, however, must start by clearly establishing the role of theStates safety oversight function within the SSP, and their mutual relationship.

The States safety oversight function will be part of the SSP and a fundamental

component of its safety assurance. Traditionally, the objectives of the States safetyoversight function have been satisfied through administrative controls (inspections,audits and surveys) carried out by the CAA regularly, however, not comprising of safetyrisk controls. The State by the mean of SSP plans to turn the outcomes of safetyoversight into safety risk controls. It considers regulations as safety risk controls and willrequire, as a first step, through its safety risk management component that the processof rulemaking be done using principles of safety risk management (identify hazards,assess the safety risks of the consequences of the hazards, and develop regulations thatprovide acceptable mitigation/control of the consequences of the hazards). In a secondstage, the SSP monitors, through its safety assurance component, the effectiveness andefficiency of regulations as safety risk controls.


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The State considers the SSP as a first enabling step in such a shift. Clear articulation

of the difference between regulations as administrative controls and regulations assafety risk controls underlies the shift from solely prescriptive regulation to the combinedprescriptive and performance-based regulation. Furthermore, the integration into theSSP, as appropriate, of the principles underlying the role of the eight critical elements ofthe States safety oversight function is expected to yield a more robust and effective theSSP.

2. Safety data collection, analysis and exchangeAccording to Annex 13 to the Convention, paragraph 8.1, a State shall establish a

mandatory incident reporting system to facilitate collection of information on actual orpotential safety deficiencies. Annex 13, in paragraph 8.2 further recommends that aState should establish a voluntary incident reporting system to facilitate the collection of

information that may not be captured by a mandatory incident reporting system. Onevery important aspect of the recommended voluntary reporting system is covered inAnnex 13, paragraph 8.3 by providing that a voluntary incident reporting system shallbe non-punitive and afford protection to the sources of the information. A non-punitiveenvironment is fundamental to voluntary reporting and ICAO encourages States tofacilitate and promote the voluntary reporting of events that could affect aviation safetyby adjusting their applicable laws, regulations and policies, as necessary. In line withICAO State letter AN 12/52.1-08/70, system of collection, analysis and exchange ofsafety information must be established since such a system is a pre-requisite forimplementation of SSP that combines prescriptive and performance-based approaches tosafety rulemaking, policy development and safety oversight.

The Civil Aviation Act of the State addresses the safety reporting by specifying thatservice providers must report to CAA every safety event in line with its SMS. Accordingto the same Civil Aviation Act the CAD is responsible for the development andestablishment of database where safety reported information will be stored and usedand collected safety information will also be exchanged, as necessary, with foreignaviation authorities and international organizations.

According to the proposed Aviation Act the CAA will have to develop detailedregulation coherent with European Legislation (namely Directive 2003/42/EC) on whichbasis data reporting, collection, manipulation, analysis, protection, use and exchange aswell as establishment and management of database will be done.

In ICAO State letter AN 12/52.1-08/70, it is stated that the collection, analysis andexchange of safety information is essential to implement an SSP combining prescriptiveand performance-based approaches to safety rulemaking, policy development andoversight by States. In order to assist States in developing safety data collection,analysis and exchange capabilities, ICAO has also developed a safety data managementtraining course. The course is based on the European Co-ordination Centre for AviationIncident Reporting Systems (ECCAIRS) suite of applications, and is aimed at officialsfrom civil aviation authorities with responsibilities regarding safety data analysis andexchange as well as the technical administration of ECCAIRS. The objectives of thesafety data management training course are to provide hands-on experience with


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Documents

2 STATE SAFETY PROGRAMME Manual v1