Performance Based Oversight and Safety: The Role of Safety Data

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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

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

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Air transport is the safest mode of transportation

The air transport industry continues to grow providing social and economic benefits April 2015

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Traffic Statistics for Revenue Scheduled Services April 2015

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Safety Management 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

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Safety Management principles

ICAO SARPS

Realistic implementation

Prescription

Performance April 2015

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Prescriptive based based Prescriptive environment environment Regulations as

Performance based environment

administrative controls

Regulations as safety risk controls

Rigid regulatory framework

Dynamic regulatory framework

• Inspections

• Data based identification

• Audits

• Prioritization of safety risks

Regulatory compliance

Effective safety performance

SSP Framework 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 IATA OPS Conf 2015

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Oversight based on risk?

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Holistic approach to organizational safety performance?

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

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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

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

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I know we will all benefit and be more enlightened by my fellow presenters’ participation in this very important topic.

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Other questions:

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• Is this more for the industry? • Is this just another ICAO initiative? • Is this implementable by all the authorities?

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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

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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

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Both global aviation regulators and the regulated face challenges

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Today you will hear of the great work and achievements of RASGPA, the beneficial partnerships of industry, the regulated and the regulator

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The safety solution can only be a safety solution if we are all part of it

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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

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Universal Safety Oversight Programme Effective Implementation (EI)

Focus on Safety Management Implementation

Focus on Safety Oversight Implementation

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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

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Port-of-Spain – Regional Safety Target - Safety Oversight 80% Effective Implementation (EI) regional average by December 2016 10 States in Red

NACC States vs. Effective Implementation (EI) %

120

Haiti Antigua and Barbuda

100

92.08 86.19

80

77.05 70.49 73.97

67.05

79.9

83.3884.99

68.89

60

53.92

53.92 53.9253.92 53.9254.12 54.3

91.35 86.69

95.33

Saint Kitts and Nevis Saint Lucia Saint Vincent and the Grenadines Grenada Bahamas

40

Barbados Jamaica

20

El Salvador 5.76

Honduras

0

Trinidad and Tobago Guatemala Source: ICAO SPACE

Costa Rica

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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 120 NACC States vs. CE3 – Effective Implementation (EI) % 97.67

100

90.2294.0595.45 89.42 80.68 82

80

98.11

Haiti

Barbados

74.16 68.48

68.89

58.14

60

Antigua and Barbuda

56.18 44.19

47.19 48.8648.86

Bahamas

48.8648.8648.86

Saint Kitts and Nevis

40

Saint Lucia

20

Saint Vincent and the Grenadines Grenada

6.67

Jamaica

0

El Salvador

Guatemala Source: ICAO SPACE

Trinidad and Tobago 28

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 Haiti

120

Antigua and Barbuda

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

100

89.47 83.33 78.21

80

80.77

67.06 58.97

60 44.87

60.76 59.21

50

85.7187.34

97.67

Saint Kitts and Nevis Saint Lucia Saint Vincent and the Grenadines Grenada Bahamas

39.4739.74

40 30.77

Barbados

30.77 30.7730.77 30.77

El Salvador

20

Honduras 3.85

Jamaica

0

Trinidad and Tobago Guatemala Source: ICAO SPACE

Mexico

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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

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For additional information contact: [email protected] Visit: www.icao.int/nacc/

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Eduardo Iglesias Executive Director, Latin American and Caribbean Air Transport, ALTA

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Performance Based Safety and Oversight – The Role of Safety Data Eduardo Iglesias Executive Director

Latin American & Caribbean Air Transport Association

IATA’s Ops Conference 2015

MISSION ALTA coordinates the collaborative efforts of its members safer, environmentally

in order to facilitate the development of more

efficient

and

friendly air transport in the Latin America and Caribbean region for the mutual benefit of the association’s members, their customers and the industry.

2.9 MILLION FLIGHTS / YEAR

1 DEPARTURE EVERY 17 SECONDS

CARRYING 110 PASSENGERS

200,000,000

12%

10.5%

150,000,000

9%

7.1%

6.1% 5.6%

100,000,000

6%

4.1% 3.7% 50,000,000

0

3%

130M

144M

150M

160M

170M

180M

2009

2010

2011

2012

2013

2014

0%

Passengers carried (left axis)

Growth (right axis)

2025 543 MILLION PASSENGERS

ALTA Airlines Fleet

2004

2014

Number of aircraft

538

1155

Average age (years)

11.2

7.6

Emissions/ASK Source: Ascend, ALTA * vs. 2008

5.5%*

PONER UN EJEMPLO DE UN SECRETO

Living in an era of DATA

Latin American & Caribbean Air Transport Association

2.5 quitillion bytes of data daily (2.5billion GB) 90% of today’s data created in last two years

Source: IBM

4/22/2015

And Aviation is no exception…

ONLY OPERATIONAL SPEAKING…

Source: ALTA & ICF

NEW Generation Aircraft are going to increase considerably the capacity Transmittable Data

Aircraft Data Generation

(MB/Flt)

(TB/Year)

~ 28MB ~ 137TB

< 1MB

777 Source: ICF

~11TB

787

2012

2022

Industry-Government Regional Safety Organization

Powered by: IATA’S FDX “World’s 1st Regional Data Sharing Program”

AITSP STATUS  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 Source: AITSP Powered by: FDX

4000

3500

Thousand Flights

3000

Over 2,000,000 flights processed

2500

2000

1500

1000

500

0

2009

2010

Source: AITSP Powered by: FDX

2011

2012

2013

2014

2015

2016

Results: EGPWS & TCAS RA events from 20112014 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

• Authorities lack resources and technology

• RASG-PA developing process to share data through Runway Safety Teams

• Authorities are asking for access to the information without having the capacity to process and safeguard it

• RASG-PA uses FDX data to identify trends • Over 85% of flights data are available for analysis

• 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

Thank you! [email protected] www.alta.aero

Latin American & Caribbean Air Transport Association

Carlos Pellegrino Director Technical Regulations, Azul

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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 Airbus – 5 Embraer – 80 ATR - 56

Employees

Destinations

Market share

11.000

104

17,7

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Common burden – airline view

CAA ANSP

Security

AOC Maintenance

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Common burden – authority view

Social demands Safety

Security

AOC Oversight

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Common burden Costs

Efficiency

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Solution Transparency

• Do not hide! Performance based Safety and Oversight

Credibility

• Build trust

Bureaucracy reduction

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• No rubber stamp

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Best practices

▪ 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.

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Thank you! Carlos Eduardo Pellegrino Technical Regulation Director Azul Airlines

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