2

Performance Based Oversight and Safety: The Role of Safety Data

Introduction and Objectives

Introduction of the Workshop

Objectives

What is meant by “performance based?

What are the issues for states implementing a

performance based environment?

What are the issues for industry implementing a

performance based environment?

What is the way forward?

Key Definitions

Prescriptive Regulation: A regulation that specifies requirements for

mandatory methods of compliance.

Performance-Based Regulation (PBR): A regulatory approach that

focuses on desired, measurable outcomes.

Performance-Based Environment (PBE): An environment based on

safety performance indicators (SPIs) on which safety assurance and

promotion as well as performance based regulation and

performance based oversight can be built.

Risk-based Oversight (RBO): A way of performing oversight, where

planning is driven by the risk profile and execution, besides ensuring

compliance, focuses on the management of operational risks.

Performance Based Oversight

In other words:

…Managing by fact, not by guess !

Facilitators Giancarlo Buono

Regional Director, Safety and Flight Ops, IATA Europe

Melvin Cintron Regional Director, ICAO NACC Regional Office

Eduardo Iglesias Executive Director, ALTA

Carlos Pellegrino Director, Technical Regulation Director Azul

Rudy Quevedo

Director of Safety, IATA

You

7

Melvin Cintron

Regional Director, ICAO North American, Central American and Caribbean (NACC) Regional Office

The air transport industry continues to grow providing social and economic

benefits April 2015 IATA OPS Conf 2015 9

Air transport is the safest mode of transportation

April 2015 IATA OPS Conf 2015 10

Traffic Statistics for Revenue Scheduled Services

Safety Management

April 2015 IATA OPS Conf 2015 11

ICAO and aviation stakeholders are working in partnership to improve safety

There is a need for a balance between prescriptive and performance based regulations in a complex operational environment and the new business models adopted by the service providers

April 2015 IATA OPS Conf 2015 12

Safety

Management

principles ICAO

SARPS

Performance

Prescription Realistic

implementation

Prescriptive based

environment

Regulations as

administrative controls

Rigid regulatory framework

• Inspections

• Audits

Regulatory compliance

Prescriptive based

environment

Regulations as safety risk controls

Dynamic regulatory framework

• Data based identification

• Prioritization of safety risks

Effective safety performance

Performance based

environment

1. State safety policy and objectives

1.1 State safety legislative framework

1.2 State safety responsibilities and accountabilities

1.3 Accident and incident investigation

1.4 Enforcement policy

2. State safety risk management

2.1 Safety requirements for service providers SMS

2.2 Agreement on service providers safety performance

3. State safety assurance

3.1 Safety oversight

3.2 Safety data collection, analysis and exchange

3.3 Safety data driven targeting of oversight on areas of greater concern or need

4. State safety promotion

4.1 Internal training, communication and dissemination of safety information

4.2 External training, communication and dissemination of safety information

SSP Framework

14 IATA OPS Conf 2015

Oversight based on risk?

Holistic approach to organizational safety performance?

Rule making that focuses on safety outcomes based on measurable deliverables and expectations?

April 2015 IATA OPS Conf 2015 15

The beginning of the end of prescriptive regulations?

Data-driven?

Safety Management System (SMS) supported?

All of these and much more?

I am sure you will hear much of this from my fellow presenters

April 2015 IATA OPS Conf 2015 16

I believe we can all agree it is all of the above and much

more.

I know we will all benefit and be more enlightened by my

fellow presenters’ participation in this very important topic.

April 2015 IATA OPS Conf 2015 17

• Is this more for the industry?

• Is this just another ICAO initiative?

• Is this implementable by all the authorities?

Other questions:

April 2015 IATA OPS Conf 2015 18

Performance-based safety oversight management is not the latest buzzword for ICAO and I doubt that it is for anyone concerned

For me, performance-based safety oversight management is the evolution of safety and maturity of how we must manage safety

It is ensuring that we, as ICAO, (and so many of you here) continue to provide the leadership to implement ICAO vision and mission for sustainable growth of a safe and secure global aviation system.

April 2015 IATA OPS Conf 2015 19

Some can argue it is the only way it will be done in some less developed States

It is something that a regulator can abuse

It is something some regulators may just find too much of a challenge

April 2015 IATA OPS Conf 2015 20

Both global aviation regulators and the

regulated face challenges

Today you will hear of the great work and

achievements of RASG-PA, the beneficial

partnerships of industry, the regulated and the

regulator

The safety solution can

only be a safety solution

if we are all part of it

April 2015 IATA OPS Conf 2015 21

April 2015 IATA OPS Conf 2015 22

CONCLUSION 2/1

a) Strategies for managing aviation safety 2) Additional guidance material is needed for States to develop performance-based regulations

RECOMMENDATION 2/1 :

a) Strategies for managing aviation safety 3) ICAO should develop guidance material to facilitate the establishment of performance-based regulations

April 2015 IATA OPS Conf 2015 23

April 2015 IATA OPS Conf 2015 24

April 2015 IATA OPS Conf 2015 25

Focus on Safety Management Implementation

Focus on Safety Oversight Implementation

Effective Implementation (EI)

Universal Safety Oversight Programme

How do we overcome the challenge of our regional reality?

Many States do not have yet a basic safety oversight system

How do we implement developed and advanced concepts within an environment of not fully developed Civil Aviation Authorities?

April 2015 IATA OPS Conf 2015 26

Port-of-Spain – Regional Safety Target - Safety Oversight

80% Effective Implementation (EI) regional average by December 2016

10 States in Red

5.76

53.92 53.92 53.92 53.92 53.92 54.12 54.3

67.05 68.89

70.49 73.97 77.05

79.9 83.38 84.99

86.19 86.69

91.35 92.08

95.33

0

20

40

60

80

100

120 NACC States vs. Effective Implementation (EI) % Haiti

Antigua and Barbuda

Saint Kitts and Nevis

Saint Lucia

Saint Vincent and theGrenadinesGrenada

Bahamas

Barbados

Jamaica

El Salvador

Honduras

Trinidad and Tobago

Guatemala

Costa Rica27 Source: ICAO SPACE

Port-of-Spain – Regional Safety Target – Safety Oversight

No State in the Region to have EI of ICAO USOAP

Critical Element 3 {Civil Aviation System and Safety Oversight Functions}

(CAA Staff) below 70% by December 2016

10 States in Red

6.67

44.19 47.19 48.86 48.86 48.86 48.86 48.86

56.18

58.14

68.48 68.89

74.16

80.68 82

89.42

90.22 94.05 95.45

97.67

98.11

0

20

40

60

80

100

120NACC States vs. CE3 – Effective Implementation (EI) %

Haiti

Barbados

Bahamas

Antigua and Barbuda

Saint Kitts and Nevis

Saint Lucia

Saint Vincent and theGrenadinesGrenada

Jamaica

El Salvador

Guatemala

Trinidad and Tobago28 Source: ICAO SPACE

Port-of-Spain – Regional Safety Target – Safety Oversight

No State in the Region to have EI of ICAO USOAP

Critical Element 4 {Qualification and Training of Technical Staff}

(Inspector Competency) below 70% by December 2016

9 States in Red

Source: ICAO SPACE

3.85

30.77 30.77 30.77 30.77 30.77

39.47 39.74

44.87 50

58.97 59.21

60.76 67.06

78.21 80.77

83.33 85.71 87.34

89.47 97.67

0

20

40

60

80

100

120

NACC States vs. CE4 – Effective Implementation (EI) %

Haiti

Antigua and Barbuda

Saint Kitts and Nevis

Saint Lucia

Saint Vincent and theGrenadinesGrenada

Bahamas

Barbados

El Salvador

Honduras

Jamaica

Trinidad and Tobago

Guatemala

Mexico29

Should we accept our reality as our limitation?

What role does Performance-based Safety Oversight play in light of these challenges

Does it help? Does it hinder?

My Role - Their Role - Our Role

April 2015 IATA OPS Conf 2015 30

For additional information

contact: mcintron@icao.int

Visit: www.icao.int/nacc/

April 2015 IATA OPS Conf 2015 31

33

Eduardo Iglesias

Executive Director, Latin American and Caribbean Air Transport, ALTA

Latin American & Caribbean Air Transport Association

Eduardo Iglesias

Executive Director

Performance Based Safety and

Oversight – The Role of Safety

Data

IATA’s Ops Conference 2015

in order to facilitate the development of safer,

more efficient and environmentally

friendly air transport in the Latin America and

Caribbean region for the mutual benefit of the

association’s members, their customers and the

industry.

ALTA coordinates the collaborative

efforts of its members

MISSION

2.9 MILLION FLIGHTS / YEAR

1 DEPARTURE

EVERY 17 SECONDS

CARRYING 110 PASSENGERS

130M 144M 150M 160M 170M 180M

3.7%

10.5%

4.1%

7.1%

6.1% 5.6%

0%

3%

6%

9%

12%

0

50,000,000

100,000,000

150,000,000

200,000,000

2009 2010 2011 2012 2013 2014

Passengers carried (left axis) Growth (right axis)

543 MILLION PASSENGERS

2025

ALTA Airlines Fleet

2004 2014

Number of

aircraft 538 1155

Average age (years) 11.2 7.6

Emissions/ASK 5.5%*

Source: Ascend, ALTA

* vs. 2008

Latin American & Caribbean Air Transport Association

PONER UN EJEMPLO

DE UN SECRETO

Living in an era of DATA

4/22/2015

2.5 quitillion bytes of data daily (2.5billion GB)

90% of today’s data created in last two years

Source: IBM

And Aviation is no

exception…

ONLY OPERATIONAL

SPEAKING…

Source: ALTA & ICF

777 787

~ 28MB

Transmittable Data

(MB/Flt)

Aircraft Data

Generation

(TB/Year)

2012 2022

Source: ICF

NEW Generation Aircraft are going to

increase considerably the capacity

< 1MB

~ 137TB

~11TB

Industry-Government Regional Safety Organization

Powered by: IATA’S FDX

“World’s 1st Regional Data Sharing Program”

AITSP STATUS

Source: AITSP Powered by: FDX

85% ASKs in program

Over 2 million flights processed since 2011

Today 77 airports comply with the minimum “rule

of 3” (in 2013: 68)

48% of total flights being processed

AITSP and ASIAS combined data being used by

RASG-PA

0

500

1000

1500

2000

2500

3000

3500

4000

2009 2010 2011 2012 2013 2014 2015 2016

Th

ou

san

d F

lig

hts

Over 2,000,000

flights processed

Source: AITSP Powered by: FDX

Results:

EGPWS & TCAS RA events from 2011-

2014

Data from AITSP (FDX) and CAST

(Asias US data sharing program)

39 US airlines and 26 ALTA & IATA

airlines

Source: AITSP powered by: FDX

Source: AITSP powered by: FDX

Operational Safety Program (PASO) San Jose- Costa Rica

Other regional initiatives

CAST BASP

DATA shouldn’t be considered the “New

Gadget” everyone wants to have

Data protection policies

POSITIVE NEGATIVE

• RASG-PA developed data

protection document

• RASG-PA developing process

to share data through Runway

Safety Teams

• RASG-PA uses FDX data to

identify trends

• Over 85% of flights data are

available for analysis

• Authorities lack resources and

technology

• Authorities are asking for

access to the information

without having the capacity to

process and safeguard it

• No standard procedures for

data collection

• Constant authority rotation

Recommendations

Use RASG-PA’s data protection document

ICAO to develop guidelines and oversight

processes

Governments to provide appropriate data

protections policies

Governments to apply non punitive measures

Joint collaboration among stakeholders

Latin American & Caribbean Air Transport Association

Thank you!

eiglesias@alta.aero

www.alta.aero

63

Carlos Pellegrino

Director Technical Regulations, Azul

64 Azul Confidential and Proprietary

Performance Based Safety/Oversight April 2015

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Goal

Describe the Azul Airline views on performance

based safety and oversight.

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The company history

2008 – Certification and first commercial flight between Campinas – Salvador.

2009 – First million passenger travel.

2012 – Azul and Trip join forces reaching 100 cities with 116 aircrafts.

2014 – IOSA Program & Flag carrier certification flying to US .

Fleet Employees Destinations Market share

Airbus – 5

Embraer – 80

ATR - 56

11.000 104 17,7

67 Azul Confidential and Proprietary Azul Confidential and Proprietary

Common burden – airline view

AOC Maintenance

Security

ANSP

CAA

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Common burden – authority view

AOC Oversight

Security

Safety

Social demands

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Common burden

Costs

Efficiency

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Solution

Transparency • Do not

hide!

Credibility • Build trust

Bureaucracy reduction

• No rubber stamp

Performance

based

Safety and

Oversight

71 Azul Confidential and Proprietary Azul Confidential and Proprietary

▪ CAST/ASIAS The world benchmark;

▪ ECAST The European CAST;

▪ SRVSOP Regulation and safety initiatives in

Latin American and Caribbean Region;

▪ RASG-PA Regional Aviation Safety Team with

partnership with CAST/FSF/IATA and the

leading authorities.

▪ APRAST Demonstration Project created by

MITRE/FSF/IATA and the leading authorities.

Best practices

72 Azul Confidential and Proprietary

Thank you!

Carlos Eduardo Pellegrino

Technical Regulation Director

Azul Airlines