CIVIL AVIATION AUTHORITY - 2016-2019 Safety and Security Focus Area Work Programme
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CIVIL AVIATION
AUTHORITY
2016-2019
Safety and Security Focus Area
Work Programme
1Contents
Seven safety and security focus areas ......................................................................... 3
The reason these focus areas were chosen ................................................................... 3
Our current seven focus areas ....................................................................................... 3
Detail of each of the focus areas ................................................................................... 4
Loss of Control in Flight (LOC-I) ............................................................................. 5
Runway excursions................................................................................................. 5
Airborne conflict .................................................................................................... 6
The helicopter sector ............................................................................................. 6
Queenstown operations ........................................................................................ 7
Security threat levels and responses ..................................................................... 7
International air cargo security .............................................................................. 8
2Seven safety and security focus areas
The Authority has a clear outcome: Safe and Secure Skies to help NZ fly.
This outcome sets the focus of our strategic framework, and represents/encapsulates our desire to help
New Zealand grow and continue to keep people safe.
In practice, we must work in a way that facilitates and enables aviation activity to prosper – for
innovative ideas to become reality; for people to use aviation services with confidence. It means that
we are informed and focused – risk-based and targeted in how we intervene.
If we succeed in achieving our outcome, the aviation system will be vibrant – new ideas will be able to
flourish, new technologies will develop and new types of services will evolve. The aviation system and
those who work in it will be able to deliver more economic value to New Zealand.
The Authority’s strategic framework describes how, through a combination of “how it works” and
“what it works on”, it will achieve its outcome. Our long-term strategy has a ten year outlook and
informs what we do and how we work.
As an integral part of our strategic framework (refer pages 16-17 of the 2016-2026 Statement of
Intent), seven safety and security areas have been identified that the Authority will focus on over the
next few years. Addressing the safety and security issues in the focus areas will help the Authority
achieve its objectives of: a vibrant aviation system; effective and efficient security services; and
improved sector safety performance. It will enable this by improving the performance of specific parts
of the aviation system, driving the work of the Authority on a day-to-day basis.
Recognising the dynamic nature of the civil aviation system, the focus areas will change throughout
the life of the 2016-2026 Statement of Intent and will be reviewed regularly. As we influence the
behaviours of those inside the aviation system, and those who use the system, the issues (focus
areas) that cause us concern will change, driving the need for an annual review.
The reason these focus areas were chosen
International trends and research, and sector based intelligence informed the risk based approach to
determining our focus areas. We considered risks that are of high consequence and/or high
frequency within the aviation sector. The need for the aviation system to be resilient and ready to
respond to short notice changes in threats was a driver for targeted focus.
Our current seven focus areas
With these reasons in mind, we determined the following focus areas:
• Loss of control in flight — the risk of aircraft divergence from normal flight parameters or
paths, for reasons of weather, malfunction, automation, etc.
• Runway excursions —the risk associated with runway take-offs and landings
• Airborne conflicts — increasing concerns over reported air space incidents in controlled and
uncontrolled airspace with the potential for airborne conflicts and resulting mid-air collisions
• The helicopter sector — various indicators suggest the industry is not in a good position
regarding its safety performance
• Queenstown operations — Queenstown airspace has a variety of flying activities,
mountainous terrain, changeable weather and high density of traffic; all of which create a
challenging operational environment with an increased potential for accidents to occur
3• Security threat levels and responses — we need to be able to respond to changes in threat
levels with clear decision pathways and responsibilities and mechanisms for implementing
new or additional security controls
• International air cargo security — air cargo security depends on a robust and trusted supply
chain system. Informed and targeted intervention activity will sustain levels of compliance
throughout the entire air cargo supply chain and retain wide stakeholder assurance as to the
level of security applied to international air cargo.
Detail of each of the focus areas
Each focus area describes a set of issues that give rise to safety or security risks that the Authority
believes need to be mitigated in order to improve the performance of the civil aviation system.
Detail is provided below, with a description of the risk, the impact on the system and stakeholders
and the approach we will take.
4Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
1. There are multiple reasons for loss of New Zealand participants in the following aviation sectors: • Sector participants will have a greater awareness of the risk associated with Loss of Control in Flight in the
Loss of
control in flight and often accidents context of their operations
Control in • Fixed wing Civil Aviation Rule (CAR) Part 121 (Air Operations – Large
Flight in this area are complex and a result • Sector participants will have a greater understanding of the casual factors and demonstrate effective
of multiple factors. These can be Aeroplanes); mitigation of risk.
(LOC-I)
categorised under three main causal • CAR Part 125 (Air Operations – Medium Aeroplanes); • Industry will have access to a range of Authority-led outreach activities.
categories: • CAR Part 135(Air Operations – Helicopters and Small Aeroplanes); and • Aviation operators demonstrate risk mitigation associated with LOC-1 following heightened oversight by
• CAR Part 129 (Foreign Air Transport Operator – Certification). the Authority through surveillance and activities.
• Technical
• Non-technical (human factors) • Participants are effectively managing the risks, with LOC-I included as part of operators’ Safety
In addition to: Management System.
• Environmental.
• Sustained reduction in the frequency of pre-cursor events that have the potential to create LOC-I
• Australian operators with ANZA privileges.
• Increased confidence that operators are appropriately managing the risk of LOC-i
Authority approach
2016/17 2017/18 2018/19
• Engagement with stakeholders will be conducted through the Sector Risk • Devise and implement a plan following the risk definition stage that will • Surveillance and certification activity will be used to assess operator
Profile work, scheduled to be completed in 2016. include taking deliberate interventions to target the identified aviation effectiveness of the management of this risk.
• Risk Management Tools and Sector Risk Profile will help define the risk safety risk. That action may be led by the Authority, or by industry
precisely, to target solutions or interventions appropriately. participants, or as a partnership approach. The interventions will include
• Causal factors occurrence set will be established to determine how to but not limited to:
measure impact of interventions, so that periodic monitoring, review and o Outreach programme rolled out to elevate industry awareness.
adjustment can occur. o Surveillance and certification activity used to assess operator
effectiveness of the management of this risk.
Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
2. Many factors contribute including New Zealand participants in the following aviation sectors: • Sector participants will have a greater awareness of the risk, a greater understanding of the casual factors
Runway
weather, aerodrome/ runway design, and start to become more effective at mitigating those risks.
excursions • Fixed wing Civil Aviation Rule (CAR) Part 121 (Air Operations –
runway condition, aircraft technical, • Industry will have access to a range of Authority-led outreach activities
aircraft performance, operator Large Aeroplanes); • Aviation operators demonstrate risk mitigation associated with runway excursions following heightened
procedures, instrument procedures, • CAR Part 125 (Air Operations – Medium Aeroplanes); oversight by the Authority through surveillance and activities.
crew handling or errors etc. Given • CAR Part 135(Air Operations – Helicopters and Small Aeroplanes); • Participants demonstrate effective management of risks associated with runway excursions included as
the wide range of factors, this focus and part of operators’ Safety Management System.
area requires a multidisciplinary • CAR Part 129 (Foreign Air Transport Operator – Certification). • The number of accidents relating to runway excursions risk is trending downwards, resulting in an increase
approach. in the travelling public’s confidence in the safety of the aviation system.
In addition to:
• Australian operators with ANZA privileges;
• CAR Part 139 (Aerodromes – Certification, Operation and Use)
operators;
• Airways;
• Group EAD; and
• the Metservice.
Authority approach
2016/17 2017/18 2018/19
• Risk Management Tools and Sector Risk Profile (include review of findings • Devise and implement a plan following the risk definition stage that will
of the completed 135 Sector Risk Profile) will help define the risk precisely include taking deliberate interventions to target the identified aviation
to target solutions or interventions appropriately. safety risk. That action may be led by the Authority, or by industry
• Causal factors occurrence set will be established to determine how to participants, or as a partnership approach. The interventions will include
measure impact of interventions, so that periodic monitoring, review and but not limited to:
adjustment can occur. o Outreach programme rolled out to elevate industry awareness.
o Surveillance and certification activity used to assess operator
effectiveness of the management of this risk.
5Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
3. Airborne Previous interventions to airspace Aviation participants, including non-traditional aviation participants such • A reduction in the number of critical and major airspace incidents occurring.
conflict incidents have generally been ad-hoc as operators of Remotely Piloted Aircraft Systems (RPAS) • Confirmation that the Authority utilises the information provided by a reduction in the number of airspace
and reactive in nature with a occurrences that are closed without follow up.
traditional focus on tactical and
operational responses. The
development and implementation of
a longer term sustainable and
coordinated intervention strategy is
needed, based on all available data
and information.
Authority approach
2016/17 2017/18 2018/19
• Accurate risk identification. • Devise and implement a plan following the risk definition stage that will
include taking deliberate interventions to target the identified aviation
• Strategic development including determining the appropriate measures.
safety risk. That action may be led by the Authority, or by industry
• Strategy implementation. participants, or as a partnership approach. The interventions will include
but not limited to:
o Ongoing monitoring, and where required, strategy
implementation adjustment.
Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
4. The helicopter Helicopters are an important part of All helicopter operations that are conducted in New Zealand are • The safety risks are effectively managed by aviation participants with strong leadership, coordination and
sector aviation activity in New Zealand and considered in scope. oversight by the Authority.
are used in a variety of roles – from • Certified operators ensure effective risk management is appropriately and effectively managed as part of
agriculture, to tourism and their Safety Management System requirements.
emergency services. • Heightened level of engagement on key risks identified and closer scrutiny through certification and
A number of recent indicators, surveillance targeting those risks.
including fatal and serious injury • Improved NZ helicopter accident rates so they align with, or improve on, international norms.
accidents, wire strikes, training and
CAR Part 135 (Air Operations –
Helicopters and Small Aeroplanes)
Sector Risk Profile findings are
causing concern.
Authority approach
2016/17 2017/18 2018/19
• Define the risk precisely in collaboration with the sector, including • Devise and implement a plan following the risk definition stage that will • Conduct regular reviews of progress against plan and adjust accordingly.
reviewing the Part 135 (Air Operators – Helicopters and Small Aeroplanes) include taking deliberate interventions to target the identified aviation
and Part 137 (Agricultural Aircraft Operations) Sector Risk Profile and other safety risk. That action may be led by the Authority, or by industry
intelligence. participants, or as a partnership approach. The interventions will include
but not limited to:
• Conduct a gap analysis of the effectiveness of the current controls.
• Devise a risk management strategy and plan. o Implement plan.
• Determine relevant causal factors so that appropriate measurement tools o Conduct regular reviews of progress against plan and adjust
can be established. accordingly.
6Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
5. Queenstown The Queenstown airport is vital in All participants who conduct airside flight and ground operations activity • The safety risks are effectively managed by aviation participants with strong leadership, coordination and
operations terms of the region’s economy and at ZQN. oversight by the Authority.
more broadly New Zealand’s • Operators within the Queenstown region will have a greater awareness of the safety risks.
reputation as a tourist destination. All participants who conduct aviation activity within the Queenstown • The industry is highly engaged in determining the nature of the risks.
The complexities need to be well area. • Risk controls have started to be implemented.
managed to provide the travelling • Risk controls continue to be implemented.
public a high level of confidence Airways.
• A set of accident precursor occurrences will be established to enable monitoring.
and that they feel safe. The
mountainous terrain, changeable Metservice.
weather, and high and constricted
density of traffic make
Queenstown a challenging
destination. As such there is
increased potential for accidents to
occur.
Authority approach
2016/17 2017/18 2018/19
• Identify and create a stakeholder engagement plan. • Devise and implement a plan following the risk definition stage that will • Conduct regular reviews of progress against plan and adjust accordingly.
• Define the risk precisely in collaboration with those stakeholders. include taking deliberate interventions to target the identified aviation
safety risk. That action may be led by the Authority, or by industry
• Conduct a gap analysis of the effectiveness of the current controls.
participants, or as a partnership approach. The interventions will include
• Devise a risk management strategy and plan. but not limited to:
• Determine relevant causal factors so that appropriate measurement tools o Implement plan.
can be established. o Conduct regular reviews of progress against plan and adjust
accordingly.
Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
6. The dynamic nature of the All participants in the national aviation security system. • An updated National Aviation Security Programme that accurately reflects decision pathway and
Security threat
domestic and international security responsibilities, and mechanisms for the implementation of any additional controls.
levels and
responses environment demands an aviation
security system that is agile and
able to continue to respond to
changes in threat levels in a
focused, timely and coordinated
manner. A review of response
mechanisms to support continued
and ongoing assurance in these
areas is appropriate.
Authority approach
2016/17 2017/18 2018/19
• Review relevant contents of the National Aviation Security Programme and • Make any necessary changes to the National Aviation Security Programme
any changes needed. and promulgate these to stakeholders, noting that any changes identified
as requiring earlier action during the preceding review phase will be
implemented at that time.
7Ref Focus Description Stakeholders Intended impacts on the system by 2018/19
7. The security of the international air Regulated Air Cargo Agents (RACAs) and airlines under Civil Aviation Rule • Informed and targeted intervention activity to sustain levels of compliance throughout the entire air cargo
International
transport system and the Part 109 (Regulated Air Cargo Agent – Certification) and 108 (Air Operator supply chain and retain wide stakeholder assurance as to the level of security applied to international air
air cargo
continued facilitated flow of high Security Programme). cargo.
security
value export cargo by air to • Facilitate air cargo flow by continuing existing high level of confidence on the effectiveness of NZ’s
international markets depend on international air cargo security regime.
the continued existence of a robust
and trusted air cargo security • Ongoing high levels of RACA compliance over time measured through periodic analysis of sector
system. performance.
Authority approach
2016/17 2017/18 2018/19
• Current state identification. • Periodically monitor and adjust plan as required.
• Planning of intervention to address risks identified. • Initiative closure and plan for long term monitoring.
• Determine appropriate measures.
• Devise and implement a plan following the risk definition stage that will
include taking deliberate interventions to target the identified aviation
safety risk. That action may be led by the Authority, or by industry
participants, or as a partnership approach.
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