Safety Management Systems Policy
The CAA has adopted a policy of implementing Safety Management Systems (SMS) requirements for a wide range of certificated organisations in the civil aviation system. The SMS policy will be implemented through a series of amendments to Civil Aviation Rules (CARs).
An SMS is a formal organisational system to manage safety. It integrates a range of safety management tools, including senior management commitment, hazard identification, risk management, safety reporting, occurrence investigation, remedial actions and education. An effective SMS generates an enhanced safety culture and provides the necessary management environment for an organisation to readily identify and resolve systemic safety problems. Every SMS must address the same key elements, but the size and scope will differ in relation to the complexity of the organisation applying it.
SMS is now a cornerstone of the regulatory philosophy of the International Civil Aviation Organization (ICAO) which is strongly promoting safety management systems as the basis for certification of various types of operation. In some areas, CARs are not in compliance with ICAO standards.
New Zealand is well placed to implement SMS as the philosophy fits well with our existing approach to safety regulation, and is better suited to achieving our safety performance goals than existing quality assurance and exposition requirements. While these requirements provide an effective management tool, SMS develops them further by focussing more on hazard identification and risk management. Properly implemented, SMS provide a comprehensive and integrated framework for organisations to appropriately manage their safety responsibilities.
CAR amendments will be introduced in three groups. The initial group will bring CARs into line with ICAO Annexes 6 (Operation of Aircraft), 11 (Air Traffic Services) and 14 (Aerodromes). This will be followed by rules to upgrade existing organisation quality assurance requirements and implement new requirements for certain other organisations. The proposed grouping of rule amendments is set out in "Rules to be directly affected by SMS implementation and priority grouping order". The SMS policy will eventually cover all certificated organisations with safety responsibilities.
SMS rules will:
- Require certificated organisations to establish, implement and maintain an SMS appropriate to the size and scope of their organisations
- Be consistent with the ICAO SMS requirements set out in Annexes 6, 11 and 14 and associated manuals
- Be performance based in that they will stipulate what the SMS has to achieve, rather than prescribing in detail what has to be done
- Build on existing exposition / internal quality assurance rules by providing a framework for all regulatory compliance requirements to be integrated into the SMS; especially where those requirements are addressed in other CARs not directly linked at present to the exposition or internal quality assurance rules (e.g. reporting of occurrences in accordance with Part 12).
Implementation
CAA has been working collaboratively with industry and will continue to do so during the rule development process. A steering group will be established at senior executive level to coordinate and oversee SMS implementation within CAA. This group will be chaired by the General Manager of Government Relations, Planning and Strategy. A rule project working group will also be established to address technical issues associated with rule development and assist with industry input to the implementation process.
To assist in meeting the new requirements, the rules will provide for a transition period before full compliance is required. Existing operators will have up to 3 years to work towards full compliance (i.e. complete integration of all elements of SMS) from the initial compliance date for that sector. New entrants to the civil aviation system will be expected to fully comply with SMS from initial entry certification.
Certificated organisations will be encouraged to adopt SMS voluntarily in the lead-up to mandated rules. This will provide additional lead time for organisations to develop an SMS prior to the CARs taking effect.
Many larger operators have already adopted SMS ahead of any regulatory requirement to do so. Others are well on the way. CAA education and information programmes will focus on smaller operators, primarily in the General Aviation sector. In all cases, CAA will give clear directions as to its expectations in relation to SMS and the performance outcomes to be achieved. Advisory Circulars and other guidance material will be developed explaining how to establish, implement and maintain an SMS. This material will replace AC 00-3 Internal Quality Assurance, incorporating that information as appropriate.
CAA Contact Point
The SMS rule development process is being led by Heather Woodcock. Any queries in relation to this process should be directed to woodcockh@caa.govt.nz.