a performance-based safety regulatory & oversight...a performance-based safety regulatory &...
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A Performance-based Safety Regulatory & Oversight
TE.GEN.00409-001
MGen (Rtd) Denis Koehl
Senior Military Advisor
“MAWA Forum 2017”
Athens – October 12th, 2017
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European Aviation Safety Agency
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Terminology
Prescriptive rule (PR): a rule which specifies what needs to be done and how
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
Safety Performance Indicator (SPI): A data-based parameter used for monitoring and assessing safety performance (ICAO)
Performance-Based Regulation (PBR): A rule which specifies what the outcome of the KPIs should be, instead of how to achieve the outcome
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
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Why we need to change to PBE?
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The complexity of the aviation system
New demand on regulators: “value for money”
de-regulation
new public management
International aviation safety standards
ICAO Annex 19 (2013) sets new standards for managing aviation safety: promotes performance based regulations and calls for the use of safety
performance indicators and safety performance targets provides a structure for meeting State and service provider responsibilities using a
systematic, risk- and performance based approach stresses performance of safety critical processes in service provider activities and in
State oversight functions
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Enablers and challenges
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PBEMature Safety Management
capabilities
Organisational requirements
Management of safety
information
Information sharing
Just/Safety culture
Informed Decision making
Risk/Performance Based Oversight
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Performance-based Regulations
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Modernisation of EU rules
Proportionality
Flexibility
Performance schemes
SMS
EASP/SSP/EASp
Resilience & adaptability
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What is Risk-based Oversight?
Oversight: the function by means of which a competent authority ensures that the applicable requirements are met by regulated entities
Risk Based Oversight:
A way of performing oversight,where planning is driven by the riskprofile and execution, besidesensuring compliance, focuses on themanagement of operational risks
Planning Execution
Surveillance: The State activities through which the State proactively ensures through inspections and audits that aviation licence, certificate, authorization and/or approval holders continue to meet the established requirements and function at the level of competency and safety required by the State.
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All part of the multi-annual programme
European Aviation Safety Programme (EASP) 2017-2021
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European Plan for Aviation Safety (EPAS)
Agency’s safety risk management process
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Prescriptive versus performance-based regulatory
In practice, a combination of prescriptive and performance-based regulatoryelements are present at different degrees in almost all EASA rules
The challenge is to determine the right mix of prescriptive and performance-basedelements for a given objective
This determination also needs to consider that not all safety actions of the regulatorneed to take the form of regulations
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Prescriptive Performance-based
Obsolescence Resilience
Common cause risksMultiple, random risk
causes
Compliance Performance
Audits & inspections Assessment, insight
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The Regulatory Spectrum
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Onlyprescriptive
Mainlyprescriptive
Hybrid(prescriptive/process-based/performance-
based)
Process / System-based
Fullyperformance
-based
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“MAWA Forum 2017”
MGen (Rtd) Denis Koehl
Senior Military Advisor
+49 221 89990-22 28
Thank you