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State Safety Programme for the United KingdomProduced by the United Kingdom Civil Aviation Authority in conjunction with the Department for Transport’s Aviation Directorate, the Air Accident Investigation Branch, the Ministry of Defence and Air Safety Support International.

For the purposes of brevity, unless otherwise stated, any reference to State Safety Programme (SSP) will relate to the UK SSP.

For the purposes of brevity, unless otherwise stated, any reference to Civil Aviation Authority (CAA) will relate to the UK CAA.

CAP 1180

© Civil Aviation Authority 2014

All rights reserved. Copies of this publication may be reproduced for personal use, or for use within a company or organisation, but may not otherwise be reproduced for publication.

To use or reference CAA publications for any other purpose, for example within training material for students, please contact the CAA at the address below for formal agreement.

Enquiries regarding the content of this publication should be addressed to:Safety and Airspace Regulation Group, Civil Aviation Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR.

The latest version of this document is available in electronic format at www.caa.co.uk/publications, where you may also register for e-mail notification of amendments.

State Safety Programme for the UK Members

July 2014

Members of the UK Safety Strategy Board

Patricia Hayes DfT Director General Civil Aviation

Dr Adam Simmons DfT Deputy Director IASE Group

Paul Cremin DfT Head of UK Aviation Safety, SAFA and Permits

Mark Swan CAA Group Director Safety Airspace Regulation

Padhraic Kelleher CAA Head of Intelligence, Strategy and Policy

Dr Hazel Courteney CAA Manager Strategy & Safety Assurance

Ian Shaw CAA Manager, State Safety Programme

Maria Boyle ASSI Chief Executive Officer, Air Safety Support International

Keith Conradi AAIB Chief Inspector of Accidents, Air Accidents Investigation Branch

Acknowledgements

The Department for Transport wishes to express its appreciation to the members of the UK Safety Strategy Board for their support and contribution to this document.

State Safety Programme for the UK Foreword

July 2014

Foreword

Annex 19 to the Chicago Convention (effective November 2013) sets the standards for a State Safety Programme, placing the responsibility on all contracting States to implement such a programme. This is an ambitious undertaking and one that the United Kingdom welcomes. For a State to produce a State Safety Programme, it requires the State to examine its own legislation, policies and processes in a new light. Although it may have assumed that all was in order, the State Safety Programme may reveal issues that should be resolved to improve the way in which aviation safety is managed in the State.

The State Safety Programme belongs to the UK as a State and is not contained within the province of a single organisation or Government department. However at a practical level, documents need to be produced and projects managed. As the UK Civil Aviation Authority has regulatory responsibility for aviation safety in the UK, the Department for Transport (DfT) has agreed that the coordination of the UK State Safety Programme document should be undertaken by the CAA. I would like to thank the CAA for undertaking this task.

It is clear that most essential elements of the required safety framework are well established. However, a number of items have been identified for improvement and we will be working on these to ensure we fully comply with the intent of Annex 19.

The State Safety Programme outlines the structure of aviation regulation in the UK, which consists of multiple authorities (DfT, CAA, European Aviation Safety Agency (EASA)) working together to achieve aviation safety. The State Safety Programme also highlights that the UK has differing relationships with its Overseas Territories and Crown Dependencies. The UK’s partnership with EASA and the European Commission (EC) through the Single European Sky (SES) initiative continues to develop. The State Safety Programme clarifies these links and notes that these relationships will inevitably evolve.

It is for this reason that we plan to keep this document up-to-date on the DfT/CAA website and we will also work with our colleagues in EASA and the European Commission to develop their complementary Community Safety Programme.

In view of these future changes, I would welcome any comments on this document to be sent for my attention via:

Manager, State Safety Programme Civil Aviation Authority, 2NW Aviation House, Gatwick Airport South, West Sussex RH6 0YR.

Patricia Hayes Director General Civil Aviation Department for Transport

State Safety Programme for the UK Contents

July 2014

Contents

Foreword 4

Introduction 7

UK State Safety Programme overview 9

Chapter 1 UK aviation regulatory system 10

United Kingdom as ICAO contracting state 10

The UK as a member of the European Union (EU) 12

The European Aviation Safety Agency (EASA) 12

The United Kingdom of Great Britain & Northern Ireland - UK ‘main’ 13

The Overseas Territories 14

Air Safety Support International 15

The Crown Dependencies & Gibraltar 15

Jersey 18

Guernsey 18

The Isle of Man 18

Gibraltar 19

Chapter 2 UK Aviation Safety policy and objectives 20

UK safety legislative framework within European context 20

Primary legislation 20

Subsidiary legislation 20

Operating regulations 23

Industry guidance material 26

Civil aviation framework and accountabilities 27

Framework/regulations review 30

UK State Safety Programme documentation and records 30

UK safety responsibilities and accountabilities 30

UK State Safety Programme development 30

UK State Safety Programme responsibilities and resources 30

UK State Safety Programme co-ordination committee 31

UK safety policy 31

State Safety Programme for the UK Contents

July 2014

UK acceptable level of safety performance 32

UK State Safety Programme improvement/review 32

UK accident and incident investigation 36

UK enforcement policy 38

Chapter 3 UK aviation safety risk management 40

Safety requirements for the service provider’s SMS 40

Air operator and approved maintenance organisation SMS requirements 40

Aerodrome operator SMS requirements 40

Air Navigation Serve Providers (ANSPs) SMS requirements 40

Approved training organisation SMS requirements 41

Agreement of product or service provider’s safety performance 41

Periodic assessment of product or service provider’s safety performance 41

Chapter 4 UK aviation safety assurance 42

Safety oversight 42

Safety oversight of product and service providers 42

Internal state safety programme review / quality assurance 43

External state safety programme review / audit 43

Safety data collection, analysis and exchange 44

Occurrence Reporting System 44

Voluntary/confidential reporting system 47

Evidence-based safety improvement activity 48

Chapter 5 UK Aviation safety promotion 50

Internal training, communication and dissemination of safety information 50

Internal state safety programme, SMS and safety training 50

External communication and dissemination of safety information 50

Glossary 52

State Safety Programme for the UK Introduction

July 2014

Introduction

The Civil Aviation Authority places the UK public at the heart of everything we do. Safety standards are very high across the UK aviation sector. Whilst passengers benefit from an enviable safety record overall, we continue to develop a regulatory regime focused on the major risks, improving early identification of emerging risks and more proportionate in the effort deployed.

The CAA’s commitment to the SSP is clearly demonstrated by our work with the domestic industry, as outlined in the CAA Safety Plan, and also the joint projects conducted with our international partners, both regulators and operators. We have further strengthened our relationships with the European Aviation Safety Agency and other international bodies to ensure the UK is effectively influencing policy at the appropriate level.

The aviation industry is continually changing. Volumes of traffic continue to increase, as does the complexity and sophistication of the system as a whole as new tools and technologies are employed. There are also new types of aviation traffic emerging, such as Unmanned Aircraft Systems (UAS) and commercial space operations. Whilst many innovations in the industry seek to enhance safety, it is essential that any change is assessed against the potential of new risks being introduced so that the right mitigations can be developed.

The way we work is also changing. We are now actively moving towards a risk and performance based approach to regulation – known as Performance-Based Regulation (PBR). Its main aim is to identify the highest aviation risks to the UK passenger and general public and to ensure that the management of these risks is effective. By assessing and prioritising the risks, we are able to target our resources in the most important areas and determine the safety outcomes that are most important to pursue.

State Safety Programme for the UK Introduction

July 2014

A key theme remains our ongoing support for the development of a just culture within aviation that is fair and encourages open reporting of incidents and accidents, whilst increasing transparency in our monitoring and enforcement work.

We are committed to the principles of better regulation, being transparent, proportionate, targeted, accountable and consistent and our work to streamline many of our business processes has already begun to deliver improvements. These changes will support and improve our regulatory decision-making, stakeholders’ experience, information flows, and organisational efficiency.

The CAA has a proud track record but we are facing new challenges that mean we are determined to ensure that our regulatory approach is responsive to new and emerging risks and adaptable to changes in the complex and dynamic sector we regulate. The SSP helps to lay out how we will undertake that work.

Andrew Haines Chief Executive Civil Aviation Authority

State Safety Programme for the UK UK State Safety Programme overview

July 2014

UK State Safety Programme overview

The International Civil Aviation Organisation (ICAO) describes a SSP as:

‘an integrated set of regulations and activities aimed at improving safety’.

The requirement for a SSP recognises that States as well as service providers have safety responsibilities and provides a framework within which service providers are required to establish a Safety Management System (SMS).

Currently, ICAO standards for a SSP are contained in ICAO Annex 19 which became applicable on 14 November 2013.

ICAO standards also require that the Acceptable Level of Safety Performance (ALoSP) to be achieved is established by the State(s) concerned. The concept of establishing an ALoSP attempts to complement the current approach to safety management based on regulatory compliance with a performance based approach. Some guidance on what constitutes an ALoSP is provided by ICAO. In summary, the ALoSP consists of; a start point, Safety Performance Indicator (SPI), an in year Safety Performance Target (SPT) and the safety requirements to achieve the target (operational procedures, technology, systems and programmes detailed within the CAA Safety Plan).

In Europe, there is activity in both EASA and Eurocontrol to address both a SSP and the ALoSP, but the activities have yet to be linked. Eurocontrol is promoting a European Safety Programme, and EASA has developed a European Aviation Safety Plan (EASp) and is promoting the use of management systems (that include SMS) for operators.

Although the requirement for this UK SSP stems from ICAO international civil standards, it is recognised that much of the activity in UK airspace involves both civil and state military aviation. For this reason, the UK SSP addresses the safety oversight arrangements for both civil and state military aviation in the UK.

The UK SSP has been developed using the ICAO SSP framework and guidance material, including the ICAO SSP gap analysis document. Where possible, the headings proposed by ICAO in its framework document have been adopted in this document.

State Safety Programme for the UK UK aviation regulatory system

July 2014

1CHAPter 1

UK aviation regulatory system

the purpose of this Chapter is to describe the safety oversight arrangements in place in the various elements of the UK as an ICAO contracting State, as well as a member of the european Union (eU). It explains the relationships between these elements and the UK Government and, ultimately, to ICAO and the eU.

United Kingdom as ICAO contracting state

1.1 When the UK ratified the Convention on International Civil Aviation (the Chicago Convention) in March 1947, it did so on behalf of the various colonies, protectorates and dependencies that existed at the time. Today, the UK’s adherence to the Chicago Convention covers the United Kingdom of Great Britain and Northern Ireland (UK ‘Main’), the UK’s Overseas Territories (OT) and the Crown Dependencies (CD).

1.2 Figure 1 below shows a simplified relationship between the various elements of the contracting State and ICAO.

State Safety Programme for the UK Chapter 1: UK aviation regulatory system

July 2014

UK ‘Main’Great Britain and Northern Ireland

Secretary of State for Transport supported by the

Department for Transport (DfT)

Lord Chancellor and Secretary of State for Justice

supported by the Ministry of Justice (MoJ)

The United Kingdom as Contracting State to ICAOSimplified constitutional relationship between ICAO, the UK, its territories and dependencies

Liaison Liaison

Chicago Convention and ICAO

Secretary of State for Foreign & Commonwealth Affairs

supported by the Foreign & Commonwealth Office (FCO)

Consultation, UK-based Legislation, Main Interface

with other UK Government Departments

Consultation, Appointment of Governors, UK-based Legislation,

Interface with other UK Government Departments

Overall Aviation Policy

The Crown(HM the Queen,Privy Council,

UK Parliament, etc)

Crown DependenciesJersey, Guernsey, Isle of Man

Overseas TerritoriesAnguilla; Bermuda; British Indian Ocean Territory; British Antarctic Territory; British Virgin Islands;

Cayman Islands; Falkland Islands;Gibraltar; Montserrat;

Pitcairn Islands; St Helena and Dependencies (Tristanda Cunha

& Ascension Island); South Georgia and South

Sandwich Islands; Sovereign Base Areas of

Akrotiri and Dhekelia; Turks and Caicos Islands.

Figure 1 The ‘Crown’, the common factor in all three elements above, is a term used to refer to the collective that now comprises the Monarch in her Governmental capacity, ministers, civil servants and the armed forces. The functions of the Crown include the Executive, the Legislative and the Judicial.

1.3 The Privy Council consists of all the members of the British Cabinet, former Cabinet ministers, and other distinguished persons appointed by the Sovereign including past and present leaders of the British opposition parties. Its functions include advising the Queen on Orders in Council, granting Royal Charters and, through its Judicial Committee, acting as the final court of appeal from courts in the OT. The British Cabinet remains formally a committee of the Privy Council.


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1.4 Orders in Council are approved by the Queen at meetings of a small number of Privy Counsellors. Orders in Council establishing legal requirements are Statutory Instruments and are normally subject to UK Parliamentary scrutiny, as is the case with most other Statutory Instruments. The Order in Council is an important method of giving force of law to the more significant executive orders. Orders in Council are also used to extend civil aviation legislation to the OT, as well as to the CD. The Office of Public Sector Information provides access to legislation of the UK; this is available online including all amendments.

1.5 The UK DfT is the primary governmental body responsible for civil aviation in the UK and for upholding the UK’s compliance with the Chicago Convention. As such, the DfT establishes overall aviation policy across all three elements of the UK in cooperation with the FCO for the OT and the Ministry of Justice (MoJ) for the CD

the UK as a member of the european Union (eU)

1.6 In 2002 the European Community (now the EU) adopted Regulation (EC) No 1592/2002 on common rules in the field of aviation safety and establishing the EASA. The principal legal objective was to establish and maintain a high and uniform level of civil aviation safety in Europe. In effect, this established EU competence in civil aviation safety, in recognition that safety improvements could better be achieved by combined action at both European and national levels. The Regulation and underpinning implementing rules, covering the certification of aeronautical products and their continuing airworthiness, had direct legal effect in the UK.

1.7 In 2003, the UK Government informed ICAO and its contracting states that EASA was the Government’s authorised agent for the fulfilment of specified State of Design and State of Manufacture obligations under ICAO Annex 8. In 2008, Regulation 1592/2002 was replaced by Regulation (EC) No 216/2008, which extended the scope of EASA to include airline operations and personnel licensing. This Regulation was amended a year later, extending the scope of EASA further to cover aerodromes and Air Traffic Management (ATM).

the european Aviation Safety Agency (eASA)

1.8 EASA is an Agency of the EU governed by European public law; it is distinct from the Community institutions with a separate legal identity. The Agency is led by an Executive Director appointed by the Management Board. The Management Board brings together representatives from each Member State and the EC and is responsible for determining the Agency’s strategic priorities, establishing the budget and monitoring the Agency’s operation. The Management Board is assisted by the EASA Advisory Board (EAB) which comprises organisations representing aviation personnel, manufacturers, commercial and general aviation operators, the maintenance industry, training organisations and air sports.


July 2014

1.9 The Agency’s overarching mission is to promote the highest common standards of safety and environmental protection in civil aviation. It assists the EC in the preparation of aviation safety legislation and monitors subsequent implementation of standards, including conducting standardisation inspections in the Member States. Through undertaking safety analysis and research the Agency produces the annual EASp (see paragraphs 2.20- 2.21). The Agency also provides an extensive range of technical training, and promotes European safety standards through international cooperation.

1.10 In addition to developing ‘soft law’ of certification specifications, acceptable means of compliance and guidance material, the Agency is also empowered to issue various certificates and approvals, including:

�� type-certification of aircraft and components;

�� approval of organisations involved in the design of aeronautical products;

�� approval of production and maintenance organisations located outside the territory of the EU;

�� approval of the Airbus production organisation by agreement with four Member States;

�� approval of pilot training organisations and aeromedical centres located outside the territory of the EU;

�� certification of flight simulation training devices used by training organisations it approves or located outside the territory of the EU (or within the EU if the Member State so requests);

�� authorisation of third country (non-EU) operations into, within or out of the territory of the EU.

1.11 It should be emphasised that the National Aviation Authorities (NAAs) continue to carry out many operational tasks such as the certification of individual aircraft and licensing of pilots in accordance with the EU rules.

the United Kingdom of Great Britain & Northern Ireland - UK ‘main’

1.12 Aviation safety oversight arrangements in the UK are divided principally between the DfT and the Civil Aviation Authority. However, as described above, the EC and the European Aviation Safety Agency play an increasingly significant role.

1.13 The DfT is responsible for implementing EU aviation legislation. As a result most of the certification tasks required by the EASA Basic Regulation and its implementing rules, described above, such as the certification of individual aircraft, approvals of national organisations and personnel are executed within the UK by the CAA. The CAA oversees the organisations they approve, conducting inspections and taking measures to prevent continuation of any infringement.

http://www.caa.co.uk/

http://easa.eu.int/ws_prod/g/g_about.php


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the Overseas territories

1.14 The UK OT are fourteen territories,1 which are constitutionally separate from the UK. All have separate constitutions made by a UK Order in Council.2 The UK remains responsible, however, for discharging its obligations under the Chicago Convention in respect of civil aviation in the OT.

1.15 Parts of the 1949 and elements of the 1982 Civil Aviation Acts have been extended to the OT by Orders in Council. The 1949 Act provides for a State to make an Air Navigation Order (ANO) to implement the Annexes to the Chicago Convention and to regulate air navigation generally. The Air Navigation (Overseas Territories) Order (AN(OT)O) gives the Governor of each of the OT similar powers and responsibilities in respect of aviation safety oversight as given to the CAA under the UK ANO.

• Gibralter • Akrotiri and Dhekelia

• Ascension Island

• Saint Helena• British Indian Ocean Territory

• Tristan da Cunha

• Pitcairn Islands

• Bermuda

• AnguillaCayman Islands • British Virgin Islands Montserrat

Turk and Caicos Islands

• South Georgia and the South Sandwith Islands

British Antarctic Territory

Falkland Islands •

Figure 2 The Overseas Territories

1 The OTs are Anguilla; Bermuda; British Indian Ocean Territory; British Antarctic Territory (‘BAT’); British Virgin Islands; Cayman Islands; Falkland Islands; Gibraltar; Montserrat; Pitcairn, Henderson, Ducie and Oeno Islands; St Helena, Ascension and Tristan da Cuna; South Georgia and South Sandwich Islands; Sovereign Base Areas of Akrotiri and Dhekelia; and Turks and Caicos Islands.

2 BAT has a written Constitution consisting of an Order in Council and the various Ordinances made under it. The BAT has a Government with some officials based in London. There are also Orders in Council which act as the formal Constitutions for the British Indian Ocean Territory (BIOT) and the Pitcairn Islands. The Sovereign Base Areas of Akrotiri and Dhekelia were established under the 1960 Treaty for the Establishment of the Republic of Cyprus and are military bases administered by the base Commanders under the MoD.


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1.16 The AN(OT)O 2013, however, has a few fundamental differences to the UK ANO, one of which provides for the Governor to be able to designate the majority of his powers to a person, in practice either a local Director of Civil Aviation (DCA) who is usually an employee of the OT’s Government, or to Air Safety Support International (ASSI), a wholly owned subsidiary of the UK CAA. The Governor is required to consult with ASSI before making any such designation. ASSI conducts regular assessment visits to the OT where a person has been designated by the Governor other than ASSI itself.

1.17 For further details regarding the aviation safety regulatory situation in the OT, see the State Safety Programme for the OT. This has been developed as part of the UK SSP. Part 1 of the State Safety Programme for the OT provides an overview of the legislative and regulatory arrangements that are unique to the OT, and which are not the same as the UK / European system.

Air Safety Support International

1.18 Under the Civil Aviation Authority (Overseas Territories) Directions 2003,3 the CAA established ASSI as a subsidiary company to oversee aviation safety regulation in the OT (except British Antarctic Territory and Gibraltar) and to ensure compliance with the requirements of the Chicago Convention. ASSI has been charged with developing and maintaining Overseas Territories Aviation Requirements (OTARs) to support the requirements of the AN(OT)O.

1.19 The AN(OT)O also requires the Governor to publish the detailed requirements which applicants for certificates and licences will have to meet. Such requirements are primarily the OTARs developed by ASSI in conjunction with the OT DCAs.

1.20 ASSI is responsible for supporting the OT’s existing aviation authorities in the safety regulation of all aspects of civil aviation, including the licensing of personnel and the certification of aircraft, airlines, airports and air traffic services. In OT where the civil aviation regulators do not have the resources or the expertise to undertake the task themselves, ASSI can be designated by the Governor to perform the civil aviation regulatory tasks on behalf of the Governor. ASSI may therefore perform the role of policy-maker, regulator or adviser/mentor, depending on the situation in the Territory.

the Crown Dependencies & Gibraltar

1.21 The CD comprise of the two Bailiwicks of Guernsey and Jersey, commonly referred to as the Channel Islands, and the Isle of Man. The Channel Islands are located in the Bay of St. Malo, off the French coast, and the Isle of Man is located in the Irish Sea, between Britain and Ireland. All of the CD have seaports and airports which handle international passenger and freight traffic.

3 Directions given to the CAA by the Secretary of State pursuant to section 6 of the Civil Aviation Act 1982.

http://www.airsafety.aero/

http://www.airsafety.aero/

http://www.airsafety.aero/safety_development/state_safety_programme/


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1.22 The CD are self-governing dependencies of the Crown, and constitutionally separate from the UK. This means they have their own directly elected legislative assemblies, administrative, fiscal and legal systems and their own courts of law. They are not represented in the UK Parliament and UK legislation does not extend to them.

1.23 The UK Government, however, is responsible for their international representation and defence and the Crown is ultimately responsible for their good government. The CD have a very different constitutional relationship with the UK, compared to that of the OT.

1.24 Although an OT, Gibraltar has been included in this group because it has developed its civil aviation regulatory system along similar lines to the CD. Gibraltar is also subject to the same EU aviation safety legislation as the UK. Gibraltar is situated to the south of Spain; it has a seaport and a UK military airfield, which is offered for civilian use. Gibraltar has its own constitution, which sees the UK Government responsible only for its international representation and defence. Gibraltar has its own directly elected legislative assembly, administrative, fiscal and legal systems and their own courts of law. It is not represented in the UK Parliament and UK legislation does not extend to it.


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Aviation Industry

Guernsey, Jersey, IoM

Secretary of State for TransportLord Chancellor and Secretary of State for Justice

UK ‘CD’ Aviation Environment (Safety Related)Simplified constitutional relationship between ICAO, the UK, its territories and dependencies

ICAO

Secretary of State for Foreign & Commonwealth Affairs

Crown Dependencies

Branch

Overseas Territories Directorate

The Crown(HM the Queen, Privy Council, UK Parliament, etc)

‘UK’ Level

‘CD’ Level

Air Accidents Investigation Branch (AAIB)

Aviation Directorate(inc DGCA)

Foreign & Commonwealth Office (FCO)

Department for Transport (DfT)Ministry of Justice (MoJ)

RegulateCertificateLicenseApprove

Director of Civil Aviation

Aviation Industry

Gibralter

RegulateCertificateLicenseApprove

Director of Civil Aviation

Liaison Link to CrownMoU on AIGMoU on AIGMoU onChicago

Convention

MoU onChicago

ConventionLiaison Link to Crown

Figure 3 The relationship with the UK and ICAO


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1.25 A Memoranda of Understanding (MoU), concerning the CD assisting the UK Government in meeting its obligations under the Chicago Convention, is in place between the DfT and each of the CD. The MoU covers the obligations of both parties including the obligation of each of the CD to arrange for regular external audits of its safety oversight arrangements.

1.26 The MoU also includes the requirement for each of the CD to

‘contract in, as may be required, any expert services which cannot be provided in house’ to assist the regulator in performing his duties. At the moment, each CD contracts with the UK CAA, through CAA International (CAAi), for the provision of auditing services covering aerodromes and air traffic services. In addition, the Isle of Man contracts with a private company for airworthiness services.

Jersey

1.27 Civil aviation in Jersey is regulated by the Office of the Director of Civil Aviation (this Office was created by the Civil Aviation (Jersey) Law 2008). The DCA has overall responsibility for ensuring the safety of civil aviation in Jersey and its airspace. The DCA is particularly responsible for ensuring the safety of aerodromes and air traffic, licensing aerodromes and approving ATCOs. The DCA is also responsible for regulating from Jersey:

�� the operation of the Channel Islands Control Zone and the safety of air traffic in that zone, and

�� the operation of meteorological services for the purposes of international air navigation in Jersey and the Channel Islands Control Zone.

Guernsey

1.28 Civil Aviation in Guernsey is regulated by the Office of the Director of Civil Aviation (this Office was created by the Aviation (Bailiwick of Guernsey) Law, 2008). The DCA has overall responsibility for ensuring the safety of civil aviation in the Bailiwick of Guernsey and its airspace. The DCA’s prime functions are to regulate the safety of aerodromes, air traffic and air transport services in the Bailiwick, to licence aerodromes and to licence ATCOs.

the Isle of Man

1.29 Civil aviation in the Isle of Man is regulated by the Isle of Man Civil Aviation Administration (IoM CAA), which is a division of the Government’s Department of Economic Development. The IoM CAA is responsible for administering the Isle of Man Aircraft Registry and for regulating the Isle of Man Airport. The IoM CAA


July 2014

is also responsible for ensuring aviation legislation in the Isle of Man meets ICAO Standards and Recommended Practices (SARPs) and other relevant European aviation standards. The IoM CAA operates pursuant to the Isle of Man’s Airports and Civil Aviation Act 1987 and the Air Navigation (Isle of Man) Order 2007.

Gibraltar

1.30 The Office of the DCA was established by Gibraltar’s Civil Aviation Act 2009 and came into being on 29 January 2009. The purpose of this Act is identified as:

‘An Act to make provision generally for the regulation of civil aviation (save for aviation security) in Gibraltar; to provide for the management and control of the commercial and civil use of the airport and of the air terminal and aircraft using its facilities; and for connected purposes.’

1.31 The DCA is responsible to the Minister of Transport for the discharge of his duties and functions under the Act. In general terms he is responsible for ensuring that all civil aviation operating within Gibraltar airspace and at Gibraltar Airport does so safely and in compliance with the Chicago Convention, EU obligations in respect to civil aviation and other international agreements and international obligations in respect to civil aviation which apply to Gibraltar. He also has responsibility to issue an approval to the Gibraltar Air Traffic Control (ATC) service provider, licences to the Gibraltar Air Traffic Controllers (ATCOs), validations of permits to fly, and Dangerous Goods approvals to aircraft operators wishing to carry Dangerous Goods into or out of Gibraltar by air.

State Safety Programme for the UK Chapter 2: UK Aviation Safety policy and objectives

July 2014

2CHAPter 2

UK Aviation Safety policy and objectives

UK safety legislative framework within european context

Primary legislation

2.1 The primary legislation dealing with aviation matters in UK ‘Main’ is the Civil Aviation Act 1982 (last updated in 2012). This is supplemented by specific provisions in other primary legislation such as the Transport Act 2000, the Airports Act 1986 and the Railways and Transport Safety Act 2003. The principal Acts lay complementary duties on the Secretary of State and the CAA. The CAA’s specific safety regulatory functions are set out in United Kingdom Regulations and in European Regulations described in 2.1.3.

2.2 In general, air navigation services and aerodromes are provided by the private sector although the UK Government does hold a share in the ownership of the National Air Traffic Service (NATS) (the provider of en route air traffic services in the UK, which also provides air traffic services at the major airports) and some military aerodromes are made available to civil international traffic.

Subsidiary legislation

2.3 The Basic EASA Regulation 216/2008 and the implementing rules made under it (the EASA Regulations) contain the regulations applicable to most civil aircraft in Europe. Those Regulations confer powers upon the competent authorities of Member States for the regulation of such aircraft.

2.4 Some aircraft however (State aircraft and aircraft described in Annex II of the Basic EASA Regulation – together termed non-EASA aircraft) are not covered by the EASA Regulations and remain subject to national regulation.

2.5 The Air Navigation Order 2009 (article 246) designates the Civil Aviation Authority as the competent authority of the United Kingdom for the purposes of the EASA Regulations. The ANO also contains the UK national regulations for non-EASA civil aircraft.

Overseas territories aviation safety regulatory legal framework

2.6 The regulatory framework meets the following objectives or criteria:

http://www.nats.co.uk/


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a) To ensure that the safety regulatory regime of the UK OT meets the ICAO 8 Critical Elements of a safety oversight system. Effective implementation of the critical elements demonstrates that ASSI and each Overseas Territories Aviation Authority (OTAA) are fit for purpose safety regulatory bodies.

b) The UK OT legislative system comprises of three tiers:

�� Primary legislation: in this case the Civil Aviation Act 1949 (Overseas Territories) Order 1969

�� Secondary legislation: the Air Navigation (Overseas Territories) Order 2013 (AN(OT)O)

�� And beneath these, supporting requirements and guidance: the OTARs and Overseas Territories Aviation Circulars (OTACs).

c) The regulatory framework enables the fulfilment in the OT of the UK’s obligations under the Chicago Convention and compliance with the Annexes.

d) The AN(OT)O provides a sound legal framework for enabling the adoption of the OTARs as a modern, cohesive package of requirements.

e) One set of common requirements (OTARs) is provided for use by all OT that are subject to AN(OT)O 2013.

f) The OTARs, wherever possible, comprise a stand-alone system of regulation that largely eliminates the need for constant cross-reference to the AN(OT)O or the ICAO Annexes.

g) The OTARs/OTACs provide a simplified interpretation of the AN(OT)O wherever practicable.

h) The regulatory framework suits the level of aviation activity in the OT.

i) The regulatory provisions use ICAO terminology wherever possible.

Air Navigation (Overseas territories) Order 2013

2.7 The AN(OT)O is secondary (i.e. subordinate) legislation. The AN(OT)O enables, or gives power to, the requirements and guidance contained in the OTARs and OTACs.

2.8 ASSI has produced a series of amendments to the AN(OT)O to address all of the objectives and criteria above. The latest revision is a complete re-write simplifying and modernising the AN(OT)O to form a coherent unit with the OTARs, the OTARs being the principal regulatory instruments and the AN(OT)O providing mainly the necessary legal basis. The rebalanced and consolidated version, AN(OT)O 2013, became effective in January 2014 and reflects changes required following the safety oversight audit carried out by ICAO in 2009.


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2.9 It is important to note that the Governors of the OT are given a wide variety of discretionary powers under the AN(OT)O to grant certificates, licences and approvals of various kinds. In practice, these powers are exercised on behalf of the Governors by officials working for the OTAA or, where so designated, ASSI. An individual or organisation affected by a decision made on behalf of a Governor by an official of the OTAA or ASSI is entitled to seek a review of such decision in accordance with Article 13 of the AN(OT)O.

Jersey

2.10 The relevant provisions of the Civil Aviation Act 1982 have been extended to Jersey. The UK ANO 2005 has been applied to Jersey with appropriate amendments. Under the ANO regulatory responsibility is given to the DCA (as referred to in 1.27). New legislation will be introduced in 2014 to establish the regulatory framework for a new aircraft register.

2.11 The Civil Aviation (Jersey) Law 2008 not only creates the Office of the DCA, but also requires the operator of an aerodrome in Jersey to have a licence and establishes the DCA as the licensing authority. This Law gives power to the Chief Minister to make subordinate legislation such as Air Navigation Orders. The Air Navigation (Jersey) Order 2008 concerns the operation of aircraft, aerodromes and ATC services. This Order is the application, with modification, of the United Kingdom Air Navigation Order to Jersey.

Guernsey

2.12 Guernsey has separate primary legislation, the Aviation (Bailiwick of Guernsey) Law 2008 and the Air Navigation (Bailiwick of Guernsey) Law 2012. The 2012 Law is equivalent to an ANO. Under this Law regulatory responsibility is given to the DCA.

2.13 The Aviation (Bailiwick of Guernsey) Law, 2008 not only creates the Office of the DCA (as referred to in 1.28), but also requires the operator of an aerodrome in the Bailiwick to have a licence and establishes the DCA as the licensing authority. The Law contains at Schedule 15, The Rules of the Air for the Bailiwick, and at Schedule 16, the Air Navigation (Dangerous Goods) Regulations.

Isle of Man

2.14 In the Isle of Man, the relevant provisions of the Civil Aviation Act have been extended to the Isle of Man by Order in Council. The Air Navigation (Isle of Man) Order 2007 repeats appropriate provisions of the UK ANO in relation to the aircraft register (airworthiness, licensing and aircraft operations). The Civil Aviation (Subordinate Legislation) (Application) Order 2006, which is made under an Act of the Tynwald, the Isle of Man Parliament, covers all other aviation


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activity. The DCA, an officer of the Isle of Man Department of Trade & Industry, regulates the Isle of Man airports and air traffic services, operated by the Isle of Man Department of Transport. This is in addition to regulating other functions as a result of the Isle of Man aircraft register.

Gibraltar

2.15 Gibraltar has primary and secondary legislation, namely the Civil Aviation Act 2009 and the Civil Aviation (Air Navigation) Regulations 2009. The legislation establishes a DCA independent of the airport and air traffic services, empowered and required by the legislation to regulate these services in order to ensure compliance with ICAO. In addition, EU aviation safety legislation applies to Gibraltar.

Operating regulations

2.16 Under Regulation (EC) No 216/2008, commonly known as the EASA Basic Regulation, and as amended by Regulation (EC) 1108/2009 and Regulation (EU) 6/2013, European competence is extended beyond airworthiness to establish essential safety requirements in the fields of air operations and personnel licensing, aerodromes, ATM/air navigation services and the authorisation of third country operations into, within or out of the territory of the EU.

2.17 The EASA Basic Regulation (and Implementing Rules (IRs)) is directly binding on the UK and all other Member States. It confers powers on the EC to develop the detailed IRs detailing how to comply with the essential requirements, which are adopted under comitology arrangements by Member States in the EASA Committee. In addition to this ‘hard law’, the EU regulatory framework also includes ‘soft law’ adopted by EASA in the form of certification specifications, acceptable means of compliance and guidance material. This ‘soft law’ is not legally binding but provides a presumption of compliance with the legal requirements. Member States and industry may deviate from ‘soft law’ provided they comply with the IR.

2.18 The EASA Basic Regulation and Implementing Rules (IRs) provide for NAAs of Member States to issue certificates and approvals. These certificates and approvals must be issued under and in accordance with the IRs made by EU Regulations and take account of advice, guidance and means of compliance published by EASA. The NAAs undertaking these tasks are subject to standardisation visits by EASA teams to ensure consistency across the EU.

2.19 The EASA Basic Regulation and IRs provide for NAAs of Member States to issue certificates and approvals. These certificates and approvals must be issued under and in accordance with the IRs made by EU Regulations and take account of advice, guidance and means of compliance published by EASA. The NAAs undertaking these tasks are subject to standardisation visits by EASA teams to ensure consistency across the EU.


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european Aviation Safety programme and eASp

2.20 The European Aviation Safety Programme is a collective term for the integrated set of EU rules together with the activities and processes used to jointly manage and improve safety at the EU level. The overall objective is to ensure that the system for the management of aviation safety in the EU delivers a safety performance that is the best of any world region, uniformly enjoyed across the whole of the EU, and continuing to improve over time. Consequently, the approach to safety management is evolving beyond regulatory compliance to developing proactive, evidence-based risk management leading to targeted actions and to contain and improve performance in the areas of high risk.

2.21 The EASp4 connects identified safety risks/issues with mitigating actions. It is developed, agreed and implemented in collaboration between EASA, NAAs and industry. It is not legally binding and relies on cooperative action by all relevant parties to support the actions identified in the plan and to ensure its continued updating and effectiveness. It is complementary to national safety plans. The current version contains actions for the period 2013 – 2016. Annual iterations of the plan allow for actions to be revised in view of performance and progress achieved, and determines whether issues are better addressed at national level or by collective pan-European action.

Single european Sky

2.22 The Single European Sky (SES) initiative originated from within the EC in 1999 when there was general dissatisfaction with the levels of delay experienced by airlines and passengers. A High Level Group (HLG) was established by the EC to investigate and report on the underlying issues. The general thrust of the HLG’s recommendations were accepted by Member States of the EU and resulted in four legislative measures which came into effect in April 2004:

1. the Framework regulation establishes the EC as the regulator for the civil sector and the Single Sky Committee to assist it in its regulatory activities;

2. the Airspace regulation which will establish a single European Upper Information Region and within it organise airspace into Functional Airspace Blocks (FABs);

3. the Service provision regulation establishes a common licensing system for civil ATM providers; and

4. the Interoperability regulation which aims to ensure that systems, equipment and procedures operate seamlessly.

4 http://www.easa.europa.eu/sms/docs/European%20Aviation%20Safety%20Plan%20(2013-2016)%20-v1.0%20Final.pdf

http://www.easa.europa.eu/sms/docs/European%2520Aviation%2520Safety%2520Plan%2520%282013-2016%29%2520-v1.0%2520Final.pdf

http://www.easa.europa.eu/sms/docs/European%2520Aviation%2520Safety%2520Plan%2520%282013-2016%29%2520-v1.0%2520Final.pdf


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2.23 The framework made provision for an ongoing process to develop IRs to expand upon these four high level Regulations. Once agreed, IRs are published in the Official Journal of the European Union (OJEU).

2.24 Following review of the progress of the Single Sky in 2007 the EC concluded that the desired results were not being realised fast enough and that further action was needed in other areas such as performance and the environment. This led to the publication of a communication entitled ‘Single Sky II - Towards a more sustainable and better performing aviation’ which formed the basis of the EC’s SES II Package.

2.25 The SES II Package consists of five main pillars:

1. Performance;

2. Safety;

3. Technology;

4. Airport capacity; and

5. The human factor.

2.26 The (SES II) Regulation amending the four high level SES Regulations was published in the OJEU on 14 November 2009 and came into force on 4 December 2009. A performance framework which established indicators and targets in the key performance areas of safety, environment (measured by flight efficiency), capacity (measured by delay) and cost efficiency was adopted in 2011. The first reference period (RP 1) runs from 2012 to 2014; RP2 runs from 2015 to 2019 and requires the establishment of performance targets across all four key performance areas.

2.27 In summer 2013 the EC launched an ‘interim’ update (SES II+) to the SES framework, with a focus on simplifying the SES and EASA regulatory frameworks, ensuring separation of service provision and oversight, making provision for competition for some ATM support services and developing the performance scheme, amongst other things. SES II+ is currently going through the European Parliament and Council co-decision processes, which are currently expected to last until the end of 2014.

Overseas territories Aviation requirements

2.28 The basic philosophy underlying the OTARs is to have a package of requirements that forms a means of compliance with the ICAO SARPs and that is consistent with the legislation in force.

2.29 ASSI is required, under the directions from the Secretary of State, to produce the means of compliance to enable the Governors to be satisfied that applicants for, or holders of, licences, certificates and approvals meet their legal obligations.


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Governors have the authority to publish requirements under Article 5 of the AN(OT)O. It should be stressed that these requirements (the OTARs) do not constitute ‘Regulations’ in legal terms and the form of the OTARs does not need to comply with the Statutory Instruments Act 1946. They do, however, conform to the wider ICAO definition of Regulations used in ICAO Doc 9734 Safety Oversight Manual in relation to Critical Element 2.

2.30 The OTARs set out, for the benefit of those regulated:

�� the requirements for obtaining and holding a licence, certificate, authority or approval;

�� the way in which the rights and privileges of licences, certificates, authorities or approvals are exercised;

�� the way obligations which come with the privileges are to be discharged; and

�� general instructions regarding the operation and equipment of aircraft.

�� The criteria to be applied in relation to OTARs are that:

�� penalties or sanctions for failure to comply with any obligation imposed upon a person or organisation must be contained in legislation (AN(OT)O) if it is to be enforceable;

�� the OTARs do not themselves constitute legislation or Regulations; they are the means by which compliance with the legislation may be demonstrated. They are also the means by which the Governor can be satisfied as to the basis for the issue or maintenance of a licence, certificate or approval;

�� the OTARs employ common terms or expressions used by ICAO in making the SARPs and adopted by most of the countries around the world.

Industry guidance material

2.31 In the UK, the DfT’s priorities for 2012-2015, as defined in its Business Plan, include the objective to:

‘Create a sustainable framework for aviation in the UK, ensuring the UK is well positioned to compete internationally, improve passenger experience at airports and maintain high standards of safety and security for passengers and freight’.

2.32 The primary UK legislation is the Civil Aviation Act 1982. Section 60 gives the power to give effect to the Chicago Convention. Under Section 4, it establishes the general objectives of the CAA:


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‘to secure that British airlines provide air transport services which satisfy all substantial categories of public demand, at the lowest charges consistent with a high standard of safety in operating the services’.

2.33 However, under Section 4, there is no express statutory obligation for the CAA to achieve a high standard of safety. The objective that British airlines operate to a high standard of safety simply assumes that British airlines will do so taking account of the other factors. The CAA does also provide regular industry guidance through the various publication media including Aeronautical Information Publications (AIPs), Aeronautical Information Circulars (AICs), and Notices To Airmen (NOTAM).

Overseas territories Aviation Circulars

2.34 Whereas the OTARs are intended to provide a comprehensive suite of requirements, there is also a need to promulgate additional information which is not appropriate for inclusion in the OTARs themselves. Such information and guidance is included in OTACs. OTACs cover the following topics:

2.35 Practical, detailed guidance for industry on meeting the requirements in the OTARs;

�� Information of a temporary nature;

�� Administrative material;

�� Information published in advance of a formal amendment to OTARs;

�� The means of ensuring that aspects of the State civil aviation system comply with ICAO SARPs where this is a State responsibility, e.g. Charts and SAR.

Civil aviation framework and accountabilities

responsibilities of the Dft

2.36 The Secretary of State has a general duty of organising, carrying out and encouraging measures for the development of civil aviation, for the promotion of safety and efficiency in the use of civil aircraft and for research into questions relating to air navigation. This duty falls to the Secretary of State for Transport who is supported by the DfT.

2.37 The DfT’s aims and objectives are developed and set out each year in its Business Plan. Specific objectives within that fall to relevant business units, including the Aviation Directorate, the Air Accidents Investigation Branch (AAIB) and the Maritime and Coastguard Agency (MCA). The latter is an Executive Agency of the DfT. The Head of the Aviation Directorate of the DfT is assigned


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various policy responsibilities and takes on the title of the UK Director General of Civil Aviation (DGCA).

2.38 The Secretary of State and the DfT are responsible for developing and amending primary aviation legislation and for making secondary legislation, such as operating regulations, in areas covered by the Annexes to the Chicago Convention. Section 60 of the Civil Aviation Act provides that the Privy Council, subject to approval by Parliament, may make Air Navigation Orders to implement the Annexes to the Chicago Convention and to regulate air navigation generally. Under an agreement between the DfT and the CAA, the responsibility for drafting the UK ANO rests with the CAA.

2.39 The Secretary of State appoints the Board of the CAA and is accountable to Parliament for the activities of the CAA. He/she may also issue directions to the CAA in certain circumstances, for example, to ensure compliance with international obligations.

2.40 Separately, as part of the overall aviation security regime, the Secretary of State for Transport through the DfT is responsible for aviation security policy and exercises powers under the Aviation Security Act 1982 (as amended by the Aviation and Maritime Security Act 1990) in relation to aviation security. The Secretary of State for Transport has conferred various aviation security functions on the CAA within the Civil Aviation Act 2012 including the provision of advice and assistance to the Secretary of State on this matter as well as inspection and enforcement powers.

2.41 Responsibility for civil aeronautical and maritime Search and Rescue (SAR) policy rests with the DfT. As such the DfT is responsible, through the UK SAR Strategic Committee, for setting the criteria and for assessing the adequacy of UK civil aeronautical and maritime SAR resources, response and coordination.

2.42 For the provision of air navigation services, the principal legislation is the Transport Act 2000. This Act places objectives5 on both the Secretary of State and the CAA to exercise their functions so as to maintain a high standard of safety in the provision of air navigation services.

responsibilities of the CAA

2.43 The CAA is responsible for the safety regulation of the civil aviation industry, for the development of policy on the sustainable use of UK airspace and for ensuring the provision of necessary supporting infrastructure for air navigation. The functions of the CAA are laid out in the Civil Aviation Act 1982, the Transport Act 2000, the Civil Aviation Authority (Air Navigation) Directions 2001 and the Civil Aviation Authority (Chicago Convention) Directions 2007.

5 Sections 1(1), 2(1) and 70(1), Transport Act 2000.


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2.44 The UK ANO gives the CAA a number of functions relating to the issue of licences, certificates and approvals. The standards that applicants are expected to meet in order to be granted such a licence, certificate or approval are contained in supporting documentation developed and adopted by the CAA. This includes the Civil Aviation Publications (CAPs).

2.45 The UK ANO also empowers persons authorised by the CAA to enter aerodromes to inspect any aircraft or relevant documents as well as the aerodrome itself. A large number of CAA staff are authorised to exercise some or all of these powers, including flight operations inspectors, airworthiness surveyors, ATM and aerodrome inspectors.

2.46 The CAA has no direct regulatory responsibility for the safety oversight of aviation in the OT or CD, nor is it responsible for accident investigation, SAR or the safety oversight of foreign aircraft in the UK.

responsibilities of the Military Aviation Authority (MAA)

2.47 The authority to operate and regulate registered United Kingdom military aircraft is vested in the Secretary of State for Defence. Where Defence can rely on exemptions or derogations from either domestic or international law, under the Secretary of State’s delegated authority the MAA will introduce standards and management arrangements that produce outcomes that are, so far as reasonably practicable, at least as good as those required by legislation. It is the responsibility of the MAA to develop, promulgate and enforce a regulatory framework to promote an engaged safety culture and assure appropriate standards are being met in the delivery of military Air Safety through an independent end-to-end assurance process.

2.48 The Director General Military Aviation Authority (DG MAA) is appointed by the Secretary of State for Defence and derives his authority from the MAA Charter. The Charter makes the DG MAA responsible to the Secretary of State for Defence for the overall direction and management of the MAA.

2.49 Part of the Ministry of Defence (MoD), the MAA is an independent and autonomous organisation responsible for the regulation, surveillance, inspection and assurance of the Defence Air operating and technical domains. It ensures the safe design and use of military air systems. As the single regulatory authority responsible for regulating all aspects of Air Safety across Defence, the MAA has full oversight of all Defence aviation activity. Through independent audit and continuous surveillance of military aviation, the MAA aims to provide the Secretary of State for Defence with the necessary assurance that appropriate standards of Air Safety are maintained in delivering operational capability.


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Framework/regulations review

2.50 The legislative framework is reviewed where directed by the DfT in order to make provision where new legislation and supporting policy is required, e.g. for Spaceplanes and UAS.

UK State Safety Programme documentation and records

2.51 In parallel with the mechanism for introducing new policy at the behest of the DfT, a biennial review is undertaken of the SSP documentation. This review is conducted by completing a gap analysis in accordance with the Safety Management Manual (ICAO Doc 9859). These periodic reviews of the SSP are captured at a European level within the EASp Quarterly Safety Summits at EASA.

UK safety responsibilities and accountabilities

UK State Safety Programme development

2.52 Primary responsibility for the SSP rests with the DfT DGCA. However, as the CAA is the specialist aviation safety regulator and performs many safety-related functions under directions from the DfT, the DfT has agreed that the CAA should coordinate the production of the UK SSP document.

2.53 The SSP document describes how the UK addresses items raised by ICAO under an SSP.

2.54 The role and responsibilities of the EC and EASA for safety oversight are described in more detail under the European Aviation Safety Programme. Although many safety oversight functions will remain with national authorities, the role and responsibilities of EASA are expanding and the UK SSP document will, therefore, be amended as and when required.

UK State Safety Programme responsibilities and resources

2.55 The majority of safety oversight responsibilities rest with the CAA’s Safety and Airspace Regulation Group (SARG). Although the Civil Aviation Act 1982 requires the achievement of a ‘high standard of safety’, SARG has further defined its role as

‘continue to work with others to help improve safety standards worldwide and look for new ways to act successfully’.6

2.56 The drive for continuous improvement is a challenging objective, especially in times of expansion or contraction.

6 CAA SARG’s Strategic Plan 2011-2016: http://www.caa.co.uk

http://www.caa.co.uk


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2.57 SARG is responsible for the planning and regulation of all UK airspace including the navigation and communications infrastructure to support safe and efficient operations. This role is to secure the most efficient use of airspace consistent with the safe operation of aircraft and the expeditious flow of air traffic whilst taking into consideration the requirements of operators and owners of all classes of aircraft. Environmental implications and national security issues must also be considered. These duties are laid down in the Transport Act 2000 Section 66(1). This airspace regulatory function includes staff seconded from the MoD. This mix of civilian and military experts has experience of commercial, business, recreational and military aviation.

UK State Safety Programme co-ordination committee

2.58 The committee responsible for the co-ordination of the SSP is the UK Safety Strategy Board. This board, Chaired by the DGCA is composed of senior representatives of the DfT, CAA, MAA, ASSI, European Affairs and AAIB. The group meet on a quarterly basis and review UK aviation safety performance and consider current and future safety improvement activity.

UK safety policy

2.59 In order to achieve a high level of safety, the CAA has developed the following targeted outcomes as part of its Strategic Plan 2011-2016.

�� the CAA will have influenced safety outcomes worldwide to reduce risk of harm to UK consumers, by supporting EASA, involvement with ICAO and delivering safety improvement training internationally through CAAi and our State Safety Partnerships;

�� the UK aviation industry will have reduced aviation safety risk from current levels, in-line with agreements with the CAA, expressed in the SSP and the National Performance Plan for Air Navigation Services;

�� safety Regulation will be fully aligned with ‘Better Regulation’ and efficiency, providing increased value for money for our citizens and industry;

�� the UK aviation industry and the CAA will have measurably increased capability and performance in safety management, human factors and just culture, and demonstrated the benefits in terms of risk reduction;

�� through delivery of Future Airspace Strategy (FAS), the CAA will have reduced current and future safety risks associated with ATM;

�� the Airspace Safety Initiative will deliver tangible safety improvements for all airspace users in the ‘outside controlled airspace’ environment.


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2.60 In order to achieve these objectives, the CAA has established comprehensive safety monitoring and planning processes to develop safety initiatives. It is also committed to comply with all ICAO provisions for SMS.

2.61 The UK has a safety policy of complying with ICAO SARPs wherever possible. However, where the UK considers that it is impracticable or inappropriate to transpose ICAO provisions into UK legislation, it advises the Secretary of State prior to notifying any differences to ICAO or publishing in the UK AIP,7 in accordance with Article 38 of the Chicago Convention.

UK acceptable level of safety performance

2.62 ICAO provisions call for States to establish a safety programme in order to achieve an ALoSP. They require that the acceptable level of safety to be achieved shall be established by the State(s) concerned.

2.63 The UK ALoSP is comprised of three safety performance targets:

1. Fatal accident rate 5 year rolling average is in the best 5% of States;

2. SPIs track the frequency of operational events regarded as potential precursors to fatal accidents, and indicate continuous improvement in reducing these risks; and

3. Compliance with ICAO Standards, Recommended Practices and Procedures (SARPs) of at least 90% with sound and considered rationale where differences have been filed.

UK State Safety Programme improvement/review

2.64 ICAO has outlined the four steps that a State should take to implement a SSP. The CAA fully implemented the UK SSP and is now working through the continuous improvement of the programme. The principal areas of work centre on the refinement and full implementation of State Safety Risk Management (SSRM) and strengthening the State Safety Assurance (SSA) function. The SSP documentation will be reviewed annually. The performance-based approach to regulation that will deliver SSRM and SSA will be communicated through bespoke safety promotion activity.

the CAA Safety Plan and State Safety risk Management process

2.65 One of the CAA’s key strategic objectives is to enhance civil aviation safety performance by pursuing targeted, proportionate and continuous improvements in systems, culture, processes and capability. This objective places the safety

7 Ref. The UK Aeronautical Information Publication (AIP), Section GEN 1.7, from NATS Aeronautical Information Service.


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of the UK citizen at the heart of all safety improvement activities, and involves effective collaborative partnerships with industry, ICAO, EASA and individual States to ensure that complementary safety outcomes are set and achieved. As some elements of risk to UK citizens reside in foreign destinations or non-UK airlines flying in the UK, these are now considered as an activity under the SSP. The vast majority of such risks are assured by international standards at the ICAO level. However where specific issues or ‘hotspots’ are identified, they are addressed proactively through a direct relationship with the state authorities, service providers and operators concerned.

2.66 Safety risks are identified and prioritised through the CAA’s safety risk management process. At the highest level, this involves the systematic analysis of global fatal accidents involving large airliner type aircraft (carried out by the CAA Accident Analysis Group (AAG)) and high-risk events involving similar UK aircraft operated worldwide and foreign aircraft in UK airspace (carried out by The High Risk Events Analysis Team (THREAT)). This analysis has identified the CAA ‘Significant Seven’ lethal outcomes that prioritise safety risks.8 These form the overarching categories against which further in-depth analysis is carried out and safety improvement actions identified. Joint CAA-industry action groups are used for this purpose. The latest outputs from AAG are contained in CAP 1036 ‘Global Fatal Accident Review 2002-2011’ and outputs from THREAT will be available from February 2014. This analysis helps identify the operational scenarios that most frequently result in these seven lethal outcomes.

2.67 These operational scenarios are then analysed through the use of barrier modelling, developed by joint CAA-industry groups. These barrier models use a combination of safety data and subject matter expertise to establish the key risk controls in place, assess their effectiveness and identify actions to improve their strength. The barrier models are also used to drive safety data collection needs so that risk control performance can be better monitored and assurance provided on the effectiveness of safety improvement actions through appropriate SPIs.

2.68 Barrier modelling identifies common root causes that underlie these key safety events, such as pilot performance, maintenance error or non-precision approaches. Projects to proactively address these root causes are planned and implemented in order to raise the underlying safety of the UK aviation system, and these form a large element of the CAA Safety Plan.

2.69 Safety intelligence from performance-based oversight audits of industry is used to augment analysis of safety data and development of barrier models to complete the generation of an overall risk picture for UK aviation safety, which is then broken down by industry sector and entity (an individual organisation or groups of similar smaller organisations). In addition, local risk groups within

8 CAA ‘Significant Seven’: Loss of Control, Runway Excursion, Controlled Flight into Terrain, Runway Incursion, Airborne Conflict, Ground Handling and Fire.


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specialist capability teams identify the risk priorities within their subject matter and address it locally or raise it to the CAA Safety Action Group (SAG) as appropriate.

2.70 The risks identified by each of the individual safety risk management processes are discussed within the SAG, which agrees on their prioritisation and the actions required for their mitigation. These actions are then captured and tracked through the CAA Safety Plan. The CAA Safety Plan is produced biennially, with active industry participation, and updated annually. Alignment of the CAA Safety Plan actions with the EASp is ensured as far as is practicable. Emerging or future safety issues are also collated through the SAG and added to the list of risks for prioritisation. As the regulatory framework in which the CAA operates is changing (for example, the increasing scope of EASA and the development of the SES), the CAA will remain focused on safety improvement and the CAA Safety Plan is the culmination of this effort.

2.71 Safety improvements cannot be delivered without the CAA’s continuing engagement with all sectors of the UK aviation industry. The design and publication of the CAA Safety Plan as a public document is part of the CAA’s determination to build on that relationship to enable greater involvement from industry in the development of the CAA Safety Plan and to share the results of that partnership.

the CAA Safety risk Management governance structure

2.72 To oversee the CAA’s Safety Risk Management process, the CAA has established the SAG, Safety Review Board (SRB) and Safety Improvement Advisory Group (SIAG):

2.73 The SAG identifies safety priorities and recommended actions and presents these to the higher level SRB.

2.74 The SRB endorses the priorities and ensures that appropriate resources are allocated to drive the desired improvements in safety performance, based on risk assessment, and gives strategic direction to the SAG.

2.75 The SIAG consists of senior industry representatives who challenge and advise on the CAA’s proposed risk priorities, actions, and internal processes for ensuring that regulatory action is used to best effect for safety.

2.76 The SAGss objectives are:

1. Create and maintain a holistic overview of the total risk picture of the CAA regulated industry and to UK citizens;

2. Identify emerging tactical and strategic risks that are likely to affect the industries regulated by the CAA that affect the UK citizen;


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3. Drive continuous improvement of safety benefits within the industries regulated by the CAA that affect the UK citizen.

2.77 The SRB’s responsibilities include:

1. Monitoring safety performance against the CAA’s safety policies and objectives;

2. Agreeing the ‘total risk picture’;

3. Identifying new and emerging strategic safety risks;

4. Directing and monitoring the effectiveness of the SAG;

5. Ensuring the effectiveness of the safety oversight of regulated organisations and personnel;

6. Identifying where action should be considered outside of the current SARG remit;

7. Reviewing and signing-off major policy, rule and interpretation changes proposed by the CAA’s Rule and Policy development function;

8. Overseeing development and delivery of the relevant parts of the CAA Strategic Plan by the SAG;

9. Handling issues escalated from the SAG;

10. Approving Terms of Reference as recommended by the SAG for projects, new entities and other safety activities as determined by the SAG;

11. Ensuring the effectiveness of the organisation’s safety management processes.

2.78 The SIAG’s responsibilities include:

1. Providing external assurance to the SSP;

2. The oversight, steering and challenging of the implementation of the CAA Safety Plan;

3. Supporting the implementation of a risk and performance-based approach to regulation.

Change management

2.79 Aviation is in a continuous state of change, with advances in technology and a changing business and regulatory context. Regulatory staff may raise issues arising in their areas of specialisation through local risk groups to their management and the SAG. This may result in measures such as:


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�� review of SARG structure or skills to accommodate changing demands;

�� adjustment of regulatory oversight according to risk as assessed by the SRB;

�� research to provide objective evidence of the nature and extent of issues arising;

�� specific promotion of occurrence reporting in areas of change or concern;

�� monitoring of key safety data parameters.

2.80 Issues that the CAA considers require regulatory change are introduced to EASA either directly or through the Regulatory Advisory Group or one of the four Thematic Advisory Groups.

UK accident and incident investigation

UK mainland accident investigation

2.81 Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation states that

‘Each Member State shall ensure that safety investigations are conducted or supervised, without external interference, by a permanent national civil aviation safety investigation authority capable of independently conducting a full safety investigation, either on its own or through agreements with other safety investigation authorities’.

2.82 The Secretary of State has made Regulations, under Section 75 of the Civil Aviation Act 1982. The Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996 provide for the appointment of inspectors of air accidents and a Chief Inspector, and provide appropriate powers for those inspectors to conduct independent investigations into accidents and serious incidents involving civil aircraft. The Regulations also provide for the continued establishment of the AAIB and fulfils the UK’s obligation in relation to ICAO Annex 13.

2.83 The AAIB conducts an independent accident and investigation process. The sole objective of this process is the prevention of accidents and incidents; it is not to apportion blame or liability. The AAIB is established within the DfT, separately from the Aviation Directorate, and separate from the CAA. The Chief Inspector reports, on matters concerning aviation accidents and incidents, directly to the Secretary of State.


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Overseas territories accident investigation

2.84 In each OT the Governor has made accident investigation Regulations under Section 75 of the Civil Aviation Act 1982, as extended to the OT by an Order in Council, which empowers the Governor to appoint investigators to investigate accidents and serious incidents.

2.85 Memoranda of Agreement (MoA) or Understanding are in place between individual Territories and the UK AAIB. In the majority of the OT a Letter of Appointment has been signed by the Governor of the OT, pursuant to the MoA/MoU, appointing the Chief Inspector of the AAIB as the Chief Inspector of Air Accidents for the OT. The Letter of Appointment empowers the Chief Inspector to appoint individual inspectors from within the AAIB for the purposes of undertaking any investigation required under the Regulations and in accordance with such Regulations.

2.86 Under the Letter of Appointment arrangements, once the Governor has notified the AAIB of an accident or serious incident, an Inspector in Charge (IiC) will be appointed by the Chief Inspector of the AAIB. The IiC will be a member of the AAIB, irrespective of whether the AAIB attends the scene of the accident or whether the investigation is conducted remotely, from the UK.

2.87 The Accident Investigation Manager is a locally appointed and AAIB approved individual, who should be independent from the regulator, whose role is to assist the AAIB in the conduct of its investigation.

Crown Dependencies and Gibraltar accident investigation

2.88 In the Bailiwick of Jersey, accident investigation is governed by the Civil Aviation (Investigations of Air Accidents and Incidents (Jersey) Order 2000.9 The Chief Inspector of the AAIB, of the UK DfT, has been appointed as the Chief Inspector of Air Accidents for Jersey.

2.89 In the Bailiwick of Guernsey, accident investigation is governed by the Civil Aviation (Investigation of Air Accidents and Incidents) (Guernsey) Order 1998 which give the UK AAIB responsibility for investigating all civil aircraft accidents. Statutory powers are provided through the 1998 Order which give the Bailiff and the AAIB powers of investigation relating to the management of the accident scene.

2.90 The Isle of Man has adopted The UK Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996 and implements these Regulations in accordance with a MoA. The Isle of Man has an MOU with the UK AAIB dated 12 April 2007 for the UK AAIB to investigate accidents or serious incidents.

9 http://www.jerseylaw.je/Law/display.aspx?url=lawsinforce%2fconsolidated%2f03%2f03.525_Appendix_CivilAviation(InvestigationofAirAccidents)Order2000.htm

http://www.jerseylaw.je/Law/display.aspx%3Furl%3Dlawsinforce%252fconsolidated%252f03%252f03.525_Appendix_CivilAviation%28InvestigationofAirAccidents%29Order2000.htm

http://www.jerseylaw.je/Law/display.aspx%3Furl%3Dlawsinforce%252fconsolidated%252f03%252f03.525_Appendix_CivilAviation%28InvestigationofAirAccidents%29Order2000.htm


July 2014

2.91 The Government of Gibraltar and the UK AAIB signed an agreement

‘to assist the Government of Gibraltar in the event of an investigation into an aircraft accident or serious incident’, on 15 January 2009. Additionally, in a letter signed by the Deputy Chief Minister and dated 17 January 2012, Keith Conradi, the present UK AAIB Chief Inspector, was appointed to undertake the duties of the Chief Inspector of Air Accidents as defined in the Gibraltar Regulations.

UK enforcement policy

New regulators’ code 2013

2.92 When enforcing aviation safety legislation, the CAA will have regard to the ‘Better Regulation Principles’ published in 2013 by the UK Government’s Department for Business, Innovation and Skills, Better Regulation Delivery Office. These regulatory principles are:

1. Carry out activity in a way that helps those regulated comply and grow.

2. Provide simple and straightforward ways to engage with and hear the views of those regulated.

3. Base regulatory activity on risk.

4. Share information about compliance and risk.

5. Ensure that clear information, guidance and advice is available to help those regulated to meet their responsibilities.

6. Ensure the approach to regulatory activity is transparent.

Administrative measures

2.93 Almost every aspect of aviation activity is subject to a permissioning regime:

�� pilots, aircraft maintenance engineers and ATCOs must have a licence;

�� commercial aircraft operators and air navigation service providers must have a certificate;

�� aerodromes that accept commercial air transport must be licensed;

�� organisations which design produce or maintain aircraft must be approved; and

�� individual aircraft must have a certificate of airworthiness or permit to fly.

2.94 With the exception of design organisation approvals, all these permissions are issued, so far as individuals and organisations in the UK are concerned, by the


July 2014

UK CAA. They are all issued in accordance with legal requirements setting out the criteria which must be met in order to be granted such permission.

2.95 The CAA has powers to limit, suspend or revoke permission where it is no longer satisfied that the relevant criteria are met. Where licensing action is proposed, the CAA is obliged to offer the holder of the licence a hearing before one or more Members of the CAA. The procedure is contained in Regulation 6 of the Civil Aviation Authority Regulations 1991, with further guidance contained in CAP 1048, ‘Guidance for applicant: Conduct of reviews of decisions or proposals made by the CAA Safety Regulation Group’.

Prosecution

2.96 A failure to comply with any of the requirements of the UK ANO and its related Regulations or specified European aviation safety Regulations is a criminal offence in the UK. While specialist Investigation Officers undertake any criminal investigations, regulatory officials are responsible for commissioning those investigations in appropriate cases and for deciding what action, if any, should be taken once an investigation has been completed. The decision on what action is appropriate is based on specialist legal advice and is taken in accordance with the UK Code for Crown Prosecutors

2.97 The CAA has limited resources and cannot investigate every report which it receives. Of the many reports and complaints received each year some 200 are investigated of which about 20 result in prosecutions.

Mandatory Occurrence reporting (MOr) scheme

2.98 There is a requirement in the UK ANO for the reporting of specified occurrences to the CAA. This implements the EU Occurrence Reporting Directive.10 As required by the Directive, the UK ANO provides that (with the exception of cases of gross negligence) no criminal proceedings shall be instituted in respect of unpremeditated or inadvertent infringements of the law which come to the attention of the relevant authorities only because they have been reported under the MOR Scheme.

Prosecution and licence action

2.99 Licensing action (see paragraph 2.95) cannot be taken in order to punish the licence holder. Refusal, revocation, suspension or variation of a licence, certificate or approval may only be taken if the conduct of the person concerned is such that he does not meet or no longer meets the criteria for holding such a licence, certificate or approval.

10 EU Directive 2003/42/EC of 13 June 2003 on occurrence reporting in civil aviation.

State Safety Programme for the UK Chapter 3: UK aviation safety risk management

July 2014

3CHAPter 3

UK aviation safety risk management

the UK has established a phased approach to the implementation of SMS. there are 2 phases:

Phase 1: the SMS assessment determines whether the key elements of a SMS are in place (present and suitable).

Phase 2: assesses whether the SMS is operating and effective and looks for best practice and signs of excellence.

Such an approach will recognise the timescale required to develop and implement a SMS and for it to operate and mature in effectiveness.

Safety requirements for the service provider’s SMS

3.1 With the extension of SMS across all EASA regulated organisations the UK CAA has established a common approach to SMS oversight. This includes common training, procedures and evaluation tools.

3.2 In view of the developing nature of SMS, the CAA is regularly reviewing the relevance of all guidance material, procedures, tools and training material. This is being carried out by the SMS Programme Lead and a cross capability team SMS Steering Group. In addition, an SMS standardisation team has been established to monitor SMS oversight activities.

Air Operator and Approved Maintenance Organisation SMS requirements

3.3 The UK has committed to adopting the EASA entry into force dates for SMS Implementations.

Aerodrome Operator SMS requirements

3.4 Based on existing ICAO Standards the CAA requires SMS for Aerodrome Operators as part of their aerodrome licence. EASA have now issued SMS requirements for those airports designated as EASA Aerodromes that the CAA will evaluate using the common Phase 2 SMS evaluation tool.

Air Navigation Service Providers (ANSPs) SMS requirements

3.5 The status of SMS in the UK regulatory regime has been subject to substantial change. In response to existing ICAO Standards that call for SMS for ANSPs, the CAA requires SMS for ANSPs.

State Safety Programme for the UK Chapter 3: UK aviation safety risk management

July 2014

Approved training Organisation SMS requirements

3.6 The UK has committed to adopting the EASA entry into force dates for SMS Implementations.

Agreement of product or service provider’s safety performance

3.7 The adoption of common training, procedures and evaluation tools will greatly assist in assessing different organisations in a consistent way, including by assessing those organisations that have more than one approval in a manner that will allow the oversight to be integrated rather than carried out in isolated assessments. The SMS evaluation includes an assessment of the way organisations develop and monitor their own safety performance and a review of the organisation’s SPIs.

3.8 To assist organisations to implement a SMS, and on methods to identify operational hazards, the CAA has published various guidance documents on the CAA’s website.

3.9 The CAA has an established method for assessing the safety risk and determining an ALoSP for the UK at State level.11 To determine an ALoSP for the UK, the CAA has developed a number of SPIs and these are used to assess safety performance for specific safety measures. The safety indicators reflect the ALoSP for the SSP.

3.10 The UK has not, at this time, established an acceptable level of safety that is applicable to organisations in the operation of their SMS. The CAA Safety Plan and the Significant Seven are expected to be used by service providers to monitor and measure actions and safety performance. The SMS evaluation will assess service providers’ management of risk to ensure it is effective.

Periodic assessment of product or service provider’s safety performance

3.11 The CAA is focusing substantial resources towards ensuring that service providers implement an effective SMS. This is in the form of CAA Guidance Material, workshops and seminars and SMS assessments. A multi-disciplinary assessment method has been established and implemented. However, it is important to note that this SMS oversight is in addition to elements of compliance and safety performance monitoring.

11 CAA SARG produces an internal High Level Safety Performance Indicators (SPIs) document as well as publishing various SPIs in the CAA Annual Report.

State Safety Programme for the UK Chapter 4: UK aviation safety assurance

July 2014

4CHAPter 4

UK aviation safety assurance

Safety oversight

Safety oversight of product and service providers

4.1 CAA specialist teams have established their own oversight procedures, reflecting the oversight requirements under the relevant EASA IRs, and these are described in detail in the CAA’s internal Safety Regulation Management System (SRMS).12 This is supported by the CAA’s Regulatory Enforcement Policy13 which highlights that the CAA will work in a collaborative manner with industry to achieve compliance with applicable Regulations but that, where this is not working, sanctions will be applied as appropriate, ranging from warning letters to prosecution.

4.2 As an example, the CAA has systems for addressing identified safety-related shortcomings through audit findings. These are recorded in order of priority with the most severe Level 1 finding being made where the CAA determines that the level of compliance and/or safety performance has fallen to the extent that there is a significant risk to flight safety. Such a finding will normally result in some form of regulatory action, such as the suspension of an approval or the prevention of an aircraft from flying or, in the most severe cases, prosecution.

4.3 Another example is the CAA’s ‘On Notice’ procedure which can be applied to an organisation whose performance in terms of safety management, though currently above minimum acceptable levels, shows a trend which, unless corrected, would soon result in unacceptable safety levels. The organisation is advised that they are ‘On Notice’, and that unless action is taken in accordance with a plan acceptable to the CAA and within an agreed timescale, further regulatory action will be taken. Such action could be the suspension of approvals related to identified non-conformities, or, in some cases the suspension of any certificates, approvals, permissions or any other documents granted by the CAA to the organisation.

4.4 The CAA believes that measures such as these together with the existing oversight system, provides the graduated system needed to ensure that operators maintain the required standards.

12 The CAA SRMS is an internal document, not available for public access.13 The Regulatory Enforcement Policy can be found at: http://www.caa.co.uk/enforcement

http://www.caa.co.uk/enforcement


July 2014

Internal State Safety Programme review / quality assurance

4.5 In order to drive even greater improvements in safety, the CAA is now introducing a performance-based approach to regulation under the Enhancing Safety Performance (ESP) initiative. In line with strategic direction from ICAO and EASA, the PBR approach being implemented will identify the major safety risks across the total UK aviation system and will seek to ensure that these are being managed by the responsible organisation or entity within the aviation industry sector.

4.6 Under PBR, intelligence on the risks and safety management performance is collated for each entity from numerous internal and external sources. Multi-disciplinary teams from across the CAA then meet to perform risk and performance assessments on their assigned entities; the outputs of these reviews are discussed with the respective Accountable Manager for each entity and outcomes and actions agreed to ensure that the key risks and safety performance are being addressed appropriately.

4.7 In addition, safety data from each entity within a sector, such as low-cost airlines, aerodromes and maintenance repair organisations, will be aggregated and analysed to identify both sector and Total Aviation System risks. Depending on priorities and resource availability, sector and Total Aviation System risks will be assigned to Programme and Project Managers within the CAA who will be responsible for delivering better safety outcomes.

external State Safety Programme review / audit

4.8 The CAA has established a suite of SPIs to be monitored in support of one of its key strategic objectives to enhance aviation safety performance by pursuing targeted and continuous improvements in systems, culture, processes and capability.

4.9 These SPIs monitor safety performance for issues associated with large commercial air transport aeroplane operations. They include traditional lagging indicators, which measure events impacting on safety performance that have already occurred (for example runway excursions), and leading indicators, which measure changes to the safety system to manage and improve safety performance (for example, the proportion of pilots that have undergone stable approach training). Measures of precursor events, which are lower-severity lagging indicators, are also being developed through the use of Flight Data Monitoring algorithms (for example, identifying unstable approaches or deep landings as precursors to a runway excursion).


July 2014

4.10 These SPIs are consistent with the tiered model of SPIs recommended internationally by EASA and the Safety Management International Co-ordination Group (SM-ICG). Furthermore, they are compatible with the SPIs developed by the European Network of Analysts SPI Subgroup as part of the EASp. They also satisfy the data requirements for the National Performance Plan (NPP) for ATM.

4.11 Specific SPIs have also been established for other aviation sectors such as public transport helicopter operations, business aviation and general aviation.

4.12 The CAA has established a UK Network of Analysts to facilitate amongst industry the adoption of best practice in occurrence reporting, use of standardised SPIs and exchange of de-identified safety data for benchmarking purposes. Lessons learnt and generic issues from the UK Network of Analysts are fed into the European equivalent run by EASA.

Safety data collection, analysis and exchange

Occurrence reporting System

4.13 The main aviation safety occurrence reporting process in the UK is the MOR Scheme.

4.14 In addition to MOR, there are individual reporting arrangements for aircraft accidents and serious incidents, Airprox,14 bird strikes, wake turbulence encounters, Dangerous Goods events, the Confidential Human Factors Incident Reporting Programme (CHIRP) and whistleblower reports.

Mandatory Occurrence reporting scheme

4.15 The UK CAA MOR Scheme was established in 1976. Its objective is to contribute to the improvement of air safety by ensuring that relevant information on safety is reported, collected, stored, protected and disseminated. The sole objective of occurrence reporting is the prevention of accidents and incidents and not to attribute blame or liability.15 It is a legal requirement for specified persons to submit MORs.16 The CAA receives over 16,000 new MORs per annum and these reports are stored and analysed using the European Coordination Centre for Accident and Incident Reporting Systems (ECCAIRS)17 occurrence reporting software provided by the European Commission Join Research Centre.18

14 An Airprox is defined as a situation in which, in the opinion of a pilot or Air Traffic Services personnel, the distance between aircraft as well as their relative positions and speed have been such that the safety of the aircraft involved may have been compromised. (ICAO Doc 4444: PANS-ATM).

15 EU Directive 2003/42/EC.Article116 ANO 2009, Art 226 (5).17 ECCAIRS is software used to assist States in collecting, sharing and analysing their safety aviation

information.18 See http://eccairsportal.jrc.ec.europa.eu/ for more information on ECCAIRS.

http://eccairsportal.jrc.ec.europa.eu/


July 2014

4.16 The operation of MOR is described in CAP 382. This contains a statement from the CAA Chief Executive in which the CAA gives an assurance that its primary concern is to secure free and uninhibited reporting, and that it will not be its policy to institute proceedings in respect of unpremeditated or inadvertent breaches of the law which come to its attention only because they have been reported under the Scheme, except in cases of gross negligence.

4.17 MOR complies with the ICAO Annex 13, para 8.1 and is fully compliant with the requirements of EU Directive 2003/42/EC on occurrence reporting in civil aviation. This Directive, now transposed into the UK ANO as Article 226, calls for national systems to be established to store, protect and disseminate air safety occurrence reports.

4.18 In accordance with ICAO Annex 13, para. 8.3 and the EU Directive, the CAA also encourages voluntary reporting of incidents under the MOR Scheme for the whole spectrum of UK civil aviation operators. The CAA’s organisation and procedures for processing, recording and disclosing reports do not differentiate between voluntary and mandatory reports.

4.19 In accordance with ICAO Annex 13, para 8.6, the CAA has developed a method for the analysis of data contained in MORs and to determine any preventative actions required. It has developed a process that classifies the risk associated with each MOR. This risk classification process of MOR data provides essential information for the CAA’s safety risk management process.

4.20 Analysis of this data is carried out by a specialist safety performance analysis team. Their role is to develop and monitor SPIs for all the key safety risks, identify trends, produce focussed analyses on specific safety issues and to promote the results. This data supports oversight activity, and is available for industry to use as part of their SMS and to facilitate benchmarking.

4.21 Every month, data is disseminated to the UK aviation community to provide feedback on occurrences submitted by UK operators and industry and to inform them of other UK occurrences. It is intended that organisation who contribute to the MOR database will be able to access this data online in support of their SMS.

4.22 The CAA receives numerous requests for safety data retrievals from many sources. This data is provided with due regard to confidentiality issues.

4.23 The UK and all other EU Member States submit the occurrence report data they have received nationally to the European Central Repository, in accordance with EC 1321/2007. This repository is administered by the EC to enable analysis of pan-European aviation safety data.


July 2014

4.24 The UK MOR database is the UK national aviation safety database and contains records on accidents, serious incidents and incidents. The UK accident investigation body, the AAIB, has full access to this data.

4.25 Note: EU Directive 2003/42/EC and EC 1321/2007 will be repealed in 2014 by a new EU Regulation on the reporting, analysis and follow-up of occurrences in civil aviation. The UK ANO will be amended accordingly to reflect this new Regulation and the CAA will publish amended guidance.

Mandatory birdstrike reports

4.26 In accordance with ICAO Annex 14, para. 9.4.2, and UK ANO Article 277 (that calls for the mandatory reporting of birdstrikes) the CAA has established a process to collect and assess birdstrike reports. Relevant reports are forwarded to ICAO annually, for inclusion in the ICAO Bird Strike Information System (IBIS) database.

4.27 Under the UK Birdstrike Reporting System, any aircraft commander flying in UK airspace who believes that his aircraft has collided with one or more birds must inform the CAA, unless it has already been reported as an accident or damage occurrence through the MOR Scheme. This non-MOR birdstrike reporting system is managed by the CAA Airspace, ATM & Aerodromes (AAA) team. Plans are in place to store all birdstrike reports, irrespective of whether they are an MOR or not, within ECCAIRS.


July 2014

4.28 The UK Birdstrike Committee (UKBSC) has been established to provide a forum for stakeholders to discuss bird/wildlife strike hazards and methods for reducing the associated risks (including the reporting of wildlife strikes).

UK Airprox Board (UKAB)

4.29 The UKAB was established in 1998 to assess civil and military Airprox events in the interests of enhancing flight safety, and is sponsored jointly and funded equally by the CAA and MoD. It is not the purpose of UKAB to apportion blame or liability.19

4.30 An Airprox report should be made whenever a pilot or controller considers that the distance between aircraft as well as their relative positions and speed have been such that the safety of the aircraft involved was or may have been compromised. These reports, together with relevant recorded radar data, radiotelephony transcripts and other supporting casework are assessed by the UKAB panel of independent experts to establish the casual factors and level of risk.

4.31 The UKAB assesses Airprox that have occurred in all UK airspace and all airspace for which the UK Government has undertaken, in pursuit of international arrangements, to provide air navigation services. The UKAB sends its assessment reports together with any formal safety recommendation to relevant aircraft and aerodrome operators, ANSPs and the civil and military regulators. All reports are published on the UKAB internet website.

Voluntary/confidential reporting system

UK Confidential Human-Factors Incident reporting Programme

4.32 CHIRP has been in operation since 1982. In 1996 the programme was restructured in the form of a charitable company limited by guarantee to enable it to make a more effective contribution to the resolution of important safety-related issues. The aviation programme is fully funded by a grant from the CAA. The CHIRP corporate structure was selected in order to provide a totally independent organisation, with management and fiscal responsibilities held by an independent Board of Trustees.20

4.33 The aim of CHIRP is to contribute to the enhancement of aviation safety in the UK, by providing a totally independent, confidential (not anonymous) reporting system for all individuals employed in or associated with these industries. The programme accepts reports from pilots, cabin crews, ATCOs, maintenance engineers and those involved in general aviation.

19 For more information on UKAB, see http://www.airproxboard.org.uk/20 For more information on CHIRP, see http://www.chirp.co.uk/

http://www.airproxboard.org.uk/

http://www.chirp.co.uk/


July 2014

4.34 CHIRP supplements other reporting systems, including MOR. The submission of a CHIRP report does not fulfil the statutory obligations under the UK ANO for mandatory reporting. However, CHIRP is a voluntary reporting scheme as required by Annex 13, paragraph 8.3.

evidence-based safety improvement activity

4.35 The evidentiary basis for the aviation risk to the UK citizen is described as residual risk. This risk was derived through reviewing AAG and THREAT data and identifying likely contributory factors. The next stage was to understand which parts of the aviation system would be best configured to mitigate a particular element of risk.

4.36 Importantly around 2/3rds of the risk facing the general population is from sectors that sit outside of the CAA’s regulatory remit. It is therefore critical that the CAA understands and collaborates with the DfT and industry to address all risks either directly, or through a partner agency for example a non-UK NAA.

4.37 The key outputs from this work are a suite of safety improvement projects that are targeted against the most prevalent risks, wherever they arise. These projects include a significant focus on emerging technologies such as Space Planes and UAS. Notably the engagement with foreign partners to improve safety performance of overseas operators and non-UK operators in the UK is delivering immediate tangible evidence of safety improvement. The initial success of State Safety Partnerships forms the foundation for trans-national aviation safety improvement evidenced though MORs which will underpin the prioritisation of the CAA’s international work.

Safety of Foreign Aircraft

4.38 Closely related to the international engagement activity above, the Safety Assessment of Foreign Aircraft (SAFA) programme is intended to provide understanding and assurance of the safety performance of non-UK aircraft operating within the UK. In 1996, the European Civil Aviation Conference (ECAC) launched its SAFA programme to complement ICAO audits by concentrating on actual aircraft checks at airports (‘ramp inspections’) aimed at ensuring that relevant ICAO standards were being complied with. The SAFA Directive, 2004/36/CE was the directive that initiated the SAFA programme in its current form.

4.39 The UK has participated from the start. SAFA is promulgated under the auspices of the EU, with the UK DfT tasked with meeting the legal requirements of Regulation (EC) No 216/2008 within UK territory. The DfT works with the CAA to take any necessary action. In September 2007 it contracted the CAA to undertake some 600 ramp inspections; this has risen year on year and the CAA carried out 1,067 ramp inspections in the 2013 Financial Year.


July 2014

4.40 EC Directive 2008/49/EC on the safety of third country aircraft using Community airports requires Member States to inspect aircraft registered outside the Community if they are suspected of non-compliance with ICAO international standards. This is implemented in the UK by the Civil Aviation (Safety of Third Country Aircraft) Regulations 2006 (SI 2006/1384) which gives powers to the CAA to inspect third country aircraft if they are suspected of non-compliance with ICAO international standards. Aircraft from other EASA Member States may also be subject to ramp inspections if suspected of non-compliance with international standards. The safety oversight process takes account of the results of the ICAO Universal Safety Oversight Audit Programme (USOAP) reports, information from other SAFA ramp inspections and other recognised information.

4.41 The process also has conditions for banning aircraft that do not meet international safety standards. Another Regulation21 imposes a duty on EASA to send information to the EC that may be relevant for updating the EC list of air carriers that are subject to an operating ban in the EC.22

4.42 The Regulation (EC) No 216/2008 (EASA Basic Regulation) now contains substantive requirements for aircraft used by third country operators in the EC. EASA is developing detailed IRs to apply to such aircraft. These rules are supplemented within Regulation EU 965/2012 (Part ARO.RAMP) and the current NPA 2013-13 which will apply to both third country and EC carriers (SAFA & Safety Assessment of Community Aircraft (SACA). SAFA is also moving to a performance based approach to audit priorities with Regulation 351/2008, which requires States to prioritise a portion of their inspections based on the latest version of the priority list, in order to have safety improvement effect where it is most needed.

21 Regulation (EC) No 2111/2005.22 The current list is at http://www.ec.europa.eu/transport/air-ban/list_en.htm

http://www.ec.europa.eu/transport/air-ban/list_en.htm

State Safety Programme for the UK Chapter 5: UK Aviation safety promotion

July 2014

5CHAPter 5

UK Aviation safety promotion

Internal training, communication and dissemination of safety information

Internal State Safety Programme, SMS and safety training

5.1 The CAA has established appropriate development and training courses for its staff. An individual’s development and training needs are considered during the annual performance management review. Independent assessment under the Investors in People initiative occurs every three years.

external communication and dissemination of safety information

5.2 The CAA communicates with stakeholders in many different ways. At a high-level, safety is addressed in the CAA’s Annual Report. The CAA’s Safety Plan23 describes in more detail the UK high-level safety objectives and outlines the CAA’s programme of work to achieve continuous safety improvement over the years to come. The CAA also publishes much guidance material to support regulatory action.

5.3 Under Annex 15 to the Chicago Convention international obligations and as required by the UK ANO, the UK publishes the UK AIP. The AIP is part of an Integrated Aeronautical Information Package which consists of the AIP, AIP Supplements, AIC, NOTAMs, pre-flight Information Bulletins and Check Lists.

5.4 For meteorological information, the CAA is the Meteorological Authority for the UK. Aerodrome meteorological observations are provided by trained and certified observers at 55 UK airports. Meteorological forecasting warnings and climatological services for civil aviation are provided by the UK Met Office under designation from the CAA.

5.5 In addition, the CAA frequently publishes on its website documents such as Letters to Owners and Operators, and Training Communications.

5.6 The CAA publishes each month a listing of MORs received by the CAA. This ‘monthly listing’ is sent to the UK aviation reporting community and provides valuable feedback to service providers on recent MORs to inform them and their SMS.

23 The CAA’s Safety Plan is available on CAA’s website: http://www.caa.co.uk

http://www.caa.co.uk

State Safety Programme for the UK Chapter 5: UK Aviation safety promotion

July 2014

engagement with stakeholders

5.7 The CAA participates in numerous consultative committees that involve representatives of specific sectors of the aviation industry. Examples of these committees are numerous and the composition reflects the element of aviation under discussion, general flight operations and aviation safety are discussed in groups such as: UK Flight Safety Committee, General Aviation Safety Council and Flight Operations Liaison Group. Similarly air traffic services and maintenance issues within industry may be raised with groups such as: Air Traffic Services Safety Regulatory Advisory Committee (ATSSRAC), the Airport Operators’ Association Operations and Safety group and Operations Technical Group (OTG).

5.8 UK Flight Safety Committee (UKFSC)24 The UKFSC is an unincorporated association of professionals dedicated to the improvement of commercial aviation safety. Members meet regularly to exchange safety information and to examine ways to improve safety and to avoid incidents and accidents. Membership of the UKFSC is available to all bodies involved/concerned with aviation safety. ‘FOCUS on Commercial Aviation’ is the official publication of the UKFSC and is circulated quarterly to commercial pilots, flight engineers and ATCOs, holding current licences. The CAA partly funds and is a member of the UKFSC.

5.9 General Aviation Safety Council (GASCo)25 GASCo was established in 1964 to provide a forum in which all of the general aviation organisations could meet to share safety information. Almost every organisation involved in general aviation is represented. GASCo is a charity funded by the member organisations, pilots and the CAA.

24 For more information, see: http://www.ukfsc.co.uk25 For more information, see: http://www.gasco.org.uk

http://www.ukfsc.co.uk

http://www.gasco.org.uk

State Safety Programme for the UK Glossary

July 2014

Glossary

ALoSP Acceptable Level of Safety Performance

AAG Accident Analysis Group

AIP Aeronautical Information Publication

AAIB Air Accidents Investigation Branch

AN(Ot)O Air Navigation (Overseas Territories) Order

ANO Air Navigation Order

ANSP Air Navigation Service Provider

ASSI Air Safety Support International

AtC Air Traffic Control

AtCo Air Traffic Controller

AtM Air Traffic Management

AtSSrAC Air Traffic Services Safety Regulatory Advisory Committee

AAA Airspace, ATM & Aerodromes

CAAi CAA International

CAA Civil Aviation Authority

CAP Civil Aviation Publication

CHIrP Confidential Human Factors Incident Reporting Programme

Chicago Convention Convention on International Civil Aviation

CD Crown Dependencies

Dft Department for Transport

DGCA Director General of Civil Aviation

DG MAA Director General of Military Aviation Authority

DCA Director of Civil Aviation

eAB EASA Advisory Board

eSP Enhancing Safety Performance

eASA European Aviation Safety Agency

eASp European Aviation Safety Plan

eCAC European Civil Aviation Conference

eC European Commission

eU European Union


July 2014

FCO Foreign & Commonwealth Office

FAB Functional Airspace Block

FAS Future Airspace Strategy

GASCo General Aviation Safety Council

HLG High Level Group

IBIS ICAO Birdstrike Information System

Ir Implementing Rule

IiC Inspector in Charge

ICAO International Civil Aviation Organisation

IoM Isle of Man

IoM CAA Isle of Man Civil Aviation Administration

MOr Mandatory Occurrence Report

MCA Maritime and Coastguard Agency

MoU/MoA Memorandum of Understanding / Agreement

MAA Military Aviation Authority

MoD Ministry of Defence

MoJ Ministry of Justice

NAtS National Air Traffic Service

NPP National Performance Plan

NAA National Aviation Authority

NOtAM Notice To Airmen

OJeU Official Journal of the European Union

OtG Operations Technical Group

Ot Overseas Territories

OtAA Overseas Territories Aviation Authority

OtAC Overseas Territories Aviation Circular

OtAr Overseas Territories Aviation Requirement

PBr Performance-Based Regulation

SAG Safety Action Group

SArG Safety and Airspace Regulation Group

SAFA Safety Assessment of Foreign Aircraft

SIAG Safety Improvement Advisory Group

SM-ICG Safety Management International Cooperation Group


July 2014

SMS Safety Management System

SPI Safety Performance Indicator

SPt Safety Performance Target

SrMS Safety Regulation Management System

SrB Safety Review Board

SAr Search and Rescue

SeS Single European Sky

SArPs Standards And Recommended Practices

SSA State Safety Assurance

SSP State Safety Programme

SSrM State Safety Risk Management

tHreAt The High Risk Events Analysis Team

UKAB UK Airprox Board

UKBSC UK Birdstrike Committee

UKFSC UK Flight Safety Committee

USOAP Universal Safety Oversight Audit Programme

UAS Unmanned Aircraft Systems

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