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AOA Performance Based Oversight

Jon Round - Safety Programme Manager Graeme Ritchie - Manager Aerodromes

CAA24 June 2014

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Agenda

PBR transformation SARG reorganisation Performance Based Oversight – the essentials Phase 1Rollout Plan and process Phase 2 – moving towards full PBO Value to industry

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Transformation Programme We need to:

Concentrate our resources and efforts where they will have the greatest effect.

Get better at identifying emerging risks Put the right amount of effort into each risk, or reduce effort

where the risk is less.

It means: Reorganised structure Moving to a more performance-based approach The ESP transformation programme will deliver the

capabilities we need to achieve this. Using the best data and evidence available to highlight the

most serious risks and then put in place action plans to address them.

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Reorganised Structure

Safety and Airspace Regulation Group (SARG) Intelligence, Strategy and Policy - centralised team to provide

data and intelligence to identify key risks and drive more coherent and consistent policy.

Capability teams - (flight operations, airworthiness and airspace, air traffic management and aerodromes)

General Aviation - a new dedicated unit to ensure we take a more proportionate view on GA regulation

Business Management - centralised team to work is managed efficiently and properly prioritised

The Hub - one stop shop for stakeholder engagement – through modernised services, online transactions and new way to engage

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SARG Organisation

6Page 1ESP Briefing, December 2013

EASA Pivot to Performance Based Regulation

OR*.GEN.200 (a) 3:The identification of aviation safety hazards entailed by the activities of the operator, their evaluation and management of associated risks, including the actions to mitigate the risk and verify the effectiveness

EASA ARA/ARO.GEN.305 The oversight programme ….must be developed taking into account the specific nature of the organisation, the complexity of its activities, the results of past certification and/or oversight activities required by ARO.GEN and ARO.RAMP and shall be based on the assessment of associated risks.

The ESP Programme and associated IT deployments are designed to support and implement the provide the requirements placed on National Authorities to ensure PBR

ADR.AR.C.010 Oversight programme (a) The Competent Authority shall for each aerodrome operator and provider of apron management services declaring their activity to the Competent Authority: (1) establish and maintain an oversight programme covering the oversight activities required by ADR.AR.C.005; (2) apply an appropriate oversight planning cycle, not exceeding 48 months. (b) The oversight programme shall include within each oversight planning cycle, audits and inspections, including unannounced inspections, as appropriate. (c) The oversight programme and planning cycle shall reflect the safety performance of the aerodrome operator and risk exposure of the aerodrome.

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Performance Based Regulation

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Performance Based Regulation

Transformation program until March 2016 What have we done In the last 12 months?

CAA Reorganisation SARG Pathfinders Live trials Team of 20, working to change the organisation Performance Based Oversight + CAA internal SMS

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PBO – The Process

Feedback (Sharing knowledge and lessons learnt – Internally & Externally)

INTELLIGENCE RISK OUTCOME ACTION CHECK FEEDBACK

CAA view Our Actions

Entity Actions

Entity view

Risk List (current & future)

Agreed Desired

Outcomes

Identify Options for

Action(cost/benefit)

Compliance and

Performance

Proactive Leading

IndicatorsAssessment

ActionsDelivered &Measured

Total System Actions

Data

Intelligence

Rules

Risks/Issues: • What CAA knows• What others know

Planned changes

Incidents & Accidents

Performance Based Oversight – Core Regulatory Decision Making

CAA Risk List

Performance Comparison

CAAGovernance of Safety

International influence

UnregulatedSectors

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PBO - Rollout Plan

Jan 14 Apr 14 Jul 14 Oct 14 Q1 (’15) Q2 (’15) Q3 (’15) Q4 (’15) Q2 (’15)

Q3 (’15)Q4 (’15

Q1 (’16) Q2 (’16)

90 AOC led Entities Fixed: Phase 1

60 Helicopter Led Entities: Phase 1Flight Ops led

Entities

50 EASA Aerodromes and 30 additional to be rolled out over 15 months

ANSP led entities (numbers/schedule to be determined in Feb)

AW led entities (numbers/schedule to be determined in Feb)

90 AOC led Entities Fixed: Phase 2

60 Helicopter Led Entities: Phase 2

Planning

Proportionate involvement; e.g. adoption of ESP principles

Entity Groups

Aerodrome led Entities

ANSP led Entities

Airworthiness led Entities

Other (GA, CPG, PPT).

Two year Deployment Schedule

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Project Priority #1 for Q1/2 2014 is Q-Pulse roll-out to Flight Ops (and ASSI), then wider

Project Priority #2 for Q2/Q3 2014 is to develop the next generation of the tools to enable PBO ways of working

Influence tech

roadmap, planning

IT Tools

Project

Enabling the above rollout…

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PBO Process

Periodic

(currently annual)

• Audit• Out brief (Aerodrome specific)

Following audit (within 4

weeks)

• CAA Internal Review Meeting (IRM) including all entity inspectors: ADR Ops, RFFS, ANSP Ops, Engineer

Within 4

weeks of IRM

• Accountable manager meeting• OM + AM + additional specialists as required

Phase 2

• Oversight consciously planned in accordance with the above

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PBO Process

Accountable manager meeting Risk based discussion Taking clear account of ANSP and other key stakeholder

risks Cross organisation risks

No surprises Agenda + record of discussions/actions agreed

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PBO – Phase 2

Base lining data which ultimately will lead us to PBO Data = Compliance, MORS, SMS, Changes, Risks = Performance Standard format using ARMs methodology This time next year beginnings of PBO based on Performance +

Complexity Remember this builds on the regulatory compliance obligation

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Value to industry

Joined up regulator Focus on substantive risks Vs merely compliance Sharing of best practice Ability to see and share sector trends (Data protection) Focus on poor performing organisations will improve safety in

UK Oversight regime more tailored to the organisation's complexity

& performance An ability to influence EASA and their view of PBO

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Questions?