Sector Risk Management

Sector Risk Profiles

What is a Sector Risk Profile?

Safety in aviation requires an understanding of the risks and deliberate actions to reduce their probability of occurrence. A Sector Risk Profile is a way of examining the underlying influences on safety within a given sector.

The sector risk profiling method is based around capturing the knowledge, experience, and perceptions of as many participants as possible from within the sector. The resulting mix of fact and opinion is combined with evidential data, such as industry studies and demographics, and expressed as set of risk statements.

The resulting set of risk statements, including their relative severity, can be expressed as a profile that will vary from one industry sector to the next.

How are Sector Risk Profiles Used?

The greatest value of a sector risk profile is derived when participants read the statements, decide which ones apply to their organisation and then determine what they can do to minimise that risk. By addressing individual elements of risk within a sector, the overall accident rate and costs to the sector can be reduced.

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Medium and Large Aircraft Air Transport Operations Sector
(Parts 121, 125, 129, and ANZA)

The Sector Risk Profile (SRP) approach provides an ideal methodology to work collaboratively to explore the safety risks of this sector and to implement new or enhanced ways to manage these risks. For the purposes of this work, the sector includes those operators authorised under Part 121 (large aircraft), Part 125 (medium aircraft), Part 129 (foreign Air Operator Certificate [AOC]) and AOC holders with ANZA privileges.

The SRP approach supports the introduction of the Safety Management System (SMS) rule for this sector, as organisations can use the information gathered in the SRP process as part of their SMS to enhance safety. The SRP will also help the CAA target resources to those areas of greatest safety risk, making aviation in New Zealand safer for everyone.

Civil Aviation Authority Sector Risk profile of Medium and Large Aircraft Air Transport - cover

Civil Aviation Authority Sector Risk profile of Medium and Large Aircraft Air Transport
(PDF 2 MB)

Medium and Large Aircraft Air Transport - All risks, controls, and actions companion document
(PDF 171 KB)

This report follows a process of workshops, analysis and consultation to identify the risks in the sector and action to mitigate those risks. This report will be supplemented by an implementation plan setting out the activity that will or, in some cases is, already happening. The sector will be surveyed annually to measure the action progress and identify emerging risks.

The report focusses on 31 actions related to the 11 key risk themes that emerged from the workshops, but as a group the sector identified more than 180 different potential actions.

Risk Themes

In addition to the list of 11 draft risk themes, participants also identified three overarching causes. There are a number of initiatives are already underway by all parts of the sector to address these causes. This has been a useful process to highlight them and to acknowledge their importance within the New Zealand operating environment.

Regulator Agility

Civil Aviation in New Zealand

Regulatory Agility – New Capabilities (PDF 389 KB)

Human Performance

Human Factors SRP Reference Material (PDF 93 KB)

Safety Culture

Safety Culture SRP Reference Material (PDF 103 KB)

Action Implementation Plans

Essential to the success of the sector risk profile is the implementation of the possible actions identified during the workshop process. The following implementation guide shows the planned action, benefits, resources required, the outcome and the plan coordinator.  The plan coordinator is the individual or group within the sector who will oversee the action taken. This may be a CAA operational group manager and/or one of the sector groups (airlines, aerodromes etc.). Some of the actions may already be underway.

Medium and Large Aircraft Action Plans (PDF 353 KB)

Information and Key Contacts

If you have any questions, please email John McKinlay (Sector Risk Profile Lead), John.McKinlay@caa.govt.nz, or the project team, SRP@caa.govt.nz.


Part 135 Air Operations – Helicopters and Small Aeroplanes

Cover of the Part 135 Sector Risk ProfilePart 135 Sector Risk Profile 2015
(PDF 1.8 MB)

This report contains the Sector Risk Profile of the Part 135 sector as assessed mid-2015.

Part 135 Air Operations Helicopter and Small Aeroplane - SRP Follow Up

Sector Risk Profiling - What it means to Part 135 aviation in New Zealand (PDF 835 KB)

Your invitation

We seek your assistance, including a nomination of a person from your organisation who will participate in this initiative. Please respond by email, including your representative, to srp@caa.govt.nz to be involved in this important SRP opportunity.

Survey

To aid in risk identification, we encourage you to use your industry knowledge and experience to respond to all questions in this survey, even if the risk you are commenting on doesn’t seem directly applicable to your operation.

You can access the survey here.

Please feel free to pass this link to staff members of your organisation (the more feedback we receive provides us with a greater opportunity to identify the issues).

The approach

The Sector Risk Profile (SRP) approach provides an ideal methodology to work collaboratively to review the safety risks pertaining to this sector and to implement new or enhanced ways to manage these risks.  For the purposes of this work, the sector has been defined to include operations holding Part 135 certificates (Helicopter and Small Aeroplane); and any other certificate holders, organisations, individuals or parties working with or providing services for such operations. 

The SRP approach supports the introduction of the Safety Management System (SMS) Rule for this sector as participants can use the information gathered in the SRP process as part of their SMS to enhance safety.  The SRP will also help the CAA target resources to those areas of greatest safety risk, making aviation in New Zealand safer for everyone.

The SRP format proposed for this task adopts a two-phased approach.  Phase 1 will focus on reviewing and updating risks relevant to the sector, through a survey and data analysis.  Phase 2 will involve further engagement between stakeholders and CAA to identify risk owners and possible controls and treatments. This work will culminate in a treatment action plan, a format similar to that used by other National Aviation Authorities (NAAs) that will be available to all organisations in the sector.

Stakeholder engagement

The CAA will work closely with stakeholders to identify and understand the updated risks to the sector.  Those external stakeholders we hope to involve in the SRP will include, but are not limited to:

  • Certificate holders (operating under Part 135)
  • Maintenance providers
  • Pilots (including NZALPA reps)
  • Airways
  • Aerodromes
  • Industry Representative Groups (e.g. NZHA, Aviation NZ)
  • Institutional clients (e.g. DOC, NASO)
  • Part 141 Aviation Training Organisations (selected)
  • Input from aircraft manufacturers
  • Aviation Human Factors specialists

Information and Key Contacts

This web page will be updated regularly throughout the course of the project with events, information and links.

The SRP project team will be in touch with stakeholders soon with new updates. If you have any questions, please feel free to email the project team at SRP@CAA.govt.nz or John McKinlay (Sector Risk Profile Lead - John.McKinlay@caa.govt.nz).


Agricultural Aviation

Sector Risk Profile - Agricultural Aviation coverAgricultural Aviation
(PDF 5.8 MB)

This report contains the Sector Risk Profile of the agricultural aviation sector as assessed mid-2013.

Agricultural Aviation Companion Report
(PDF 5.5 MB)

The Companion Report is provided as supplementary information to the agricultural aviation report. Its purpose is to document the full contextual analysis that was completed as part of the development of the agricultural aviation sector risk profile.


International Links

CASA

Risk profiling aviation sectors for better safety outcomes
CASA sector risk profile reports

UK CAA

UK CAA guidance on Bowtie approach within the context of Safety Management Systems and Sector Risk Profiles
Bowtie document library


About SRP Projects

The Approach

We will engage the industry through workshops and surveys, identifying hazards and risks relevant to the sector. Further engagement between industry and CAA will identify risk owners and possible controls and treatments. This work will culminate in a treatment action plan that will assist ongoing continual improvement in safety of the sector.

Wider Stakeholder Engagement

In addition to Air Operator Certificate (AOC) holders, there are many stakeholders in the industry and the wider community with whom engagement is essential to a successful sector risk profiling exercise. The CAA will work closely with these stakeholders to identify and understand the risks to the sector.

Safety Benefits

The Safety Management System rules require organisations to proactively identify hazards and associated risks, and then manage those risks to ensure the safety of their operations. The information gathered for the SRP will further support participants in determining which risks are relevant to their organisation and include them and any treatment in their day to day Safety Management Systems.

Developing a Sector Risk Profile is also a valuable means of addressing some key safety issues that the Authority considers to be a priority for aviation in New Zealand, such as: loss of control in flight; runway excursions; airborne conflict; and Queenstown operations.

The SRP will support and enhance the CAA's risk-based approach to safety oversight. The risks identified through the SRP can be used to inform CAA's future certification and surveillance activities, ensuring efficient and effective focus on areas of higher risk. The risks identified through the SRP may also provide an opportunity to initiate and inform 'theme-based' initiatives to improve sector safety.