CIVIL AVIATION AUTHORITY - 2018-2020 Safety and Security Focus Area Work Programme
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CIVIL AVIATION
AUTHORITY
2018-2020
Safety and Security Focus Area
Work Programme
1Contents
Safety and Security Focus Areas ..................................................................... 3
The reason these focus areas were chosen ..................................................................... 3
Our current eight focus areas ......................................................................................... 4
Detail of each of the focus areas .................................................................................... 4
Loss of control in Flight................................................................................................. 5
Runway Excursions ....................................................................................................... 5
Airborne Conflicts ......................................................................................................... 6
The Helicopter Sector .................................................................................................... 7
Queenstown Operations ................................................................................................. 8
Security Threat Levels & Responses ............................................................................. 9
International Air Cargo Security.................................................................................. 10
Smart Security/Future 2022 ......................................................................................... 10
2Safety and Security Focus Areas
The Authority has a clear objective: Safe and Secure Skies to help NZ fly.
This outcome sets the focus of our strategic framework 1, and represents/encapsulates our desire to
help New Zealand grow and continue to keep people safe.
If we succeed in achieving our objective, the aviation system will be vibrant – new ideas will be able
to flourish, new technologies will develop and new types of services will evolve. The aviation system
and those who work in it will be able to deliver more economic value to New Zealand. In practice, we
must work in a way that facilitates and enables this to occur – for innovative ideas to become reality;
for people to use aviation services with confidence. It means that we are informed and focused –
risk-based and targeted in how we intervene.
The Authority’s strategic framework describes how, through a combination of “how it works” and
“what it works on”, it will achieve its outcome. Our long-term strategy has a ten year outlook and
informs what we do and how we work.
As an integral part of our strategic framework (refer pages 16-17 of the 2016-2026 Statement of
Intent), eight safety and security areas have been identified that the Authority will focus on over the
next few years. The focus areas are a tactical lens to look through to deliver outputs to ensure the
Authority achieves the right priorities. Addressing the safety and security issues in the focus areas
will help the Authority achieve its objectives of: a vibrant aviation system; effective and efficient
security services; and improved sector safety performance. It will enable this by improving the
performance of specific parts of the aviation system, driving the work of the Authority on a day-to-
day basis.
Recognising the dynamic nature of the civil aviation system, the focus areas will change throughout
the life of the 2016-2026 Statement of Intent and will be reviewed regularly. As we influence the
behaviours of those inside the aviation system, and those who use the system, the issues (focus
areas) that cause us concern will change, driving the need for an annual review. Following the review
of the 2017/20 Focus Areas it was deemed appropriate to separate the current focus areas into two
groups:
1. Active Management – an active work programme is in operation.
2. Monitored/Maintained –the current focus is on monitoring activities and the impacts of
previous work programmes with the intent of deemphasising the focus area in future.
The reason these focus areas were chosen
The focus areas were chosen based on: safety data analysis; sector based intelligence; and
international trends and research. Although they do not cover all relevant safety risks, they have
been given a priority status due to the likelihood or consequence of failure in the New Zealand
context. These focus areas assist the Authority in targeting its resources so as to achieve the greatest
impact on safety in the public interest. The dynamic nature of aviation requires the Authority to be
agile and resilient, and so these focus areas will be reviewed on a regular basis to examine their
priority against other risk themes
3
1 Civil Aviation Authority Statement of Intent 2016-2026, pages 16-17Our current eight focus areas
With these reasons in mind, we determined the following focus areas:
Active Management
• Airborne conflicts — Airborne Conflicts between aircraft have the potential to lead to mid-air
collisions and resulting fatalities.
• The helicopter sector — The helicopter sector has a higher accident rate than other aviation
sectors, which has the potential to damage New Zealand’s reputation for having safe and
secure skies, as well as incurring unnecessary social costs.
• Security threat levels and responses — The aviation security environment is constantly
dynamic with the potential for high levels of ambiguity. In the event of a potential, emerging,
or actual aviation security crisis, timely and coordinated decision making and operational
responses are required to ensure the New Zealand aviation system remains safe and secure.
• International air cargo security — The security of the international air transport system and
the continued facilitated flow of high value export cargo by air to international markets
depends on the continued existence of a robust and trusted air cargo security system.
• Smart Security — Thinking smarter to improve security outcomes, enhanced passenger
facilitation and optimised utilisation of equipment and staff.
Monitored/Maintained
• Loss of control in flight — Where an aircraft loses control in flight due to human, mechanical
or other reasons, leading to serious harm incidents/accidents.
• Runway excursions — Where an aircraft departs the runway unexpectedly, a critical phase of
flight, with a high risk of serious harm.
• Queenstown operations — Queenstown is an important tourist destination and aviation
plays an important part in the “Queenstown experience”. There is a need to ensure the
various flying activities are conducted safely.
Detail of each of the focus areas
Each focus area describes a set of issues that give rise to safety or security risks that the Authority
believes need to be mitigated in order to improve the performance of the civil aviation system.
Detail is provided below, with a description of the risk, the impact on the system and stakeholders,
the benefits resulting from this work and the approach we are taking.
4Loss of control in Flight - Where an aircraft loses control in flight due to human, mechanical or other reasons, leading to serious harm incidents/accidents. STATUS: Monitored/Maintained
Risk Purpose Intended impacts on the system Stakeholders impacted
There are multiple reasons for loss of The purpose of this focus area is to ensure that • Sector participants will have a greater awareness of the risk New Zealand and international participants in the following aviation sectors:
control in flight and often accidents aviation participants have considered the risk of loss associated with loss of control in flight in the context of their
in this area are complex and a result of control in flight as part of their safety operations • Fixed wing Civil Aviation Rule (CAR) Part 121 (Air Operations – Large Aeroplanes)
of multiple factors. These can be management system. The objective is safe and • Sector participants will have a greater understanding of the • CAR Part 125 (Air Operations – Medium Aeroplanes)
categorised under three main causal effective aircraft flight path management. Flight path causal factors and demonstrate effective mitigation of risk • CAR Part 135 (Air Operations – Helicopters and Small Aeroplanes)
categories, technical; non-technical management is the planning, execution, and • Industry will have access to a range of Authority-led outreach • CAR Part 129 (Foreign Air Transport Operator – Certification)
(human factors) and environmental. assurance of the guidance and control of aircraft. activities • Australian operators with ANZA privileges.
This initiative is intended to increase participant and • Aviation operators demonstrate risk mitigation associated with
regulator awareness of the elements of good flight loss of control in flight following heightened oversight by the
path management, including controls to manage the Authority through surveillance and activities Benefits
risk of flight path deviations, aircraft upset, and loss • Participants are effectively managing the risks, with loss of Participants in this sector will be better informed about safety risks affecting their
of control in flight. control in flight included as part of operators’ Safety operation and treatments for those risks - this information can be included in their
Management System SMS. The CAA will be better informed of safety risks affecting operators in this sector
• Sustained reduction in the frequency of pre-cursor events that and those organisations which support these operations, and can assign resources to
have the potential to create loss of control in flight addressing these risks. The result will a reduction in flight path deviation and aircraft
• Increased confidence that operators are appropriately managing upset occurrences, and no loss of control in flight events.
the risk of loss of control in flight.
Profile of targeted Authority approach
2018/19 2019/20
Surveillance and certification activity will be used to assess operator effectiveness of the management of this risk.
Runway Excursions - Where an aircraft departs the runway unexpectedly, a critical phase of flight, with a high risk of serious harm. STATUS: Monitored/Maintained
Risk Purpose Intended impacts on the system Stakeholders impacted
Many factors contribute to runway The purpose of this focus area is to ensure that • Sector participants will have a greater awareness of the risk, a New Zealand and international participants in the following aviation sectors:
excursions including weather, participants have considered the risk of runway greater understanding of the casual factors and start to become • Fixed wing Civil Aviation Rule (CAR) Part 121 (Air Operations – Large Aeroplanes)
aerodrome/ runway design, runway excursion as part of their safety management more effective at mitigating those risks • CAR Part 125 (Air Operations – Medium Aeroplanes)
condition, aircraft technical, aircraft system. The objective is safe runway operations • Industry will have access to a range of Authority-led outreach • CAR Part 135(Air Operations – Helicopters and Small Aeroplanes)
performance, operator procedures, through effective aircraft flight path guidance and activities • CAR Part 129 (Foreign Air Transport Operator – Certification)
instrument procedures, crew control. This initiative is intended to reduce the • Aviation operators demonstrate risk mitigation associated with • Australian operators with ANZA privileges
handling or errors etc. Given the frequency of runway excursion occurrences and to runway excursions following heightened oversight by the • CAR Part 139 (Aerodromes – Certification, Operation and Use) operators
wide range of factors, this focus area minimise the impact of those events. This will be Authority through surveillance and activities
• Airways
requires a multidisciplinary achieved through increased industry and regulator • Participants demonstrate effective management of risks
• Group EAD
approach. awareness of the elements of safe runway associated with runway excursions included as part of operators’
• Metservice.
operations, including training, aircraft performance, Safety Management System
procedures, and infrastructure elements and • The number of accidents relating to runway excursions risk is Benefits
attention to related controls. trending downwards, resulting in an increase in the travelling Participants in this sector will be better informed about safety risks affecting their
public’s confidence in the safety of the aviation system. operation and treatments for those risks - this information can be included in their
SMS. The CAA will be better informed of safety risks affecting operators in this sector
and those organisations which support these operations, and can assign resources to
addressing these risks. The result will be a reduction in number and severity of runway
excursion occurrences.
Profile of targeted Authority approach
2018/19 2019/20
• Surveillance and certification activity used to assess operator effectiveness of the management of this risk. • Monitor activity.
• Continued promotion of Runway Safety Teams.
5Airborne Conflicts - Airborne Conflicts between aircraft have the potential to lead to mid-air collisions and resulting fatalities. STATUS: Active Management
Risk Purpose Intended impacts on the system Stakeholders impacted
There is a risk that any airborne The purpose of this focus area is to ensure we are • Increased domain awareness of airspace risk by CAA • Parts 102, 115, 121, 125 and 135 Aircraft Operators
conflict safety interventions not doing the right things in the right way to mitigate the • Increased awareness of airborne conflict related risks by affected • Certificated and Uncertificated Flight Training Organisations
informed by a full understanding of potential risks associated with Airborne Conflicts. stakeholders • Private and Recreational sector peak bodies
contributing factors will not target Our work will seek to identify the full range of • Improved stakeholder engagement in airborne conflict and • Certificated and Uncertificated Aerodromes
and address underlying causes. This potential contributing factors, dynamic variables, and airspace issues • Airways Corporation
has the potential to result in controls influencing the occurrence of Airborne • Improved engagement in local airspace safety management by • Local Government in cases where its decision making roles influence airspace
ineffective interventions on the part Conflicts. This identification will support aerodrome user groups safety matters
of the CAA resulting in significant development by the Authority of an over-arching • Reduction in the rate of critical and major airspace occurrences • Department of Conservation where its decision making roles influence airspace
aviation and public safety risks mitigation strategy and ensure targeted over time. usage trends.
remaining untreated and increasing interventions are appropriate and relevant to
the potential for fatalities to occur. contributing factors such as: Benefits
The successful management of Airborne Conflicts will deliver the following benefits to
• airspace and aerodrome circuit procedure
the Civil Aviation environment outlined below:
management;
• airspace and aerodrome circuit procedure • The CAA intervenes in respect of potential airborne conflicts in the right way, at
design; and the right place and at the right time to suppress risk. Focused, targeted
• loss of situational awareness by pilots. interventions become the norm;
Given the wide range of potential contributing • Aviation participants act safely and actively manage risks (with appropriate CAA
factors involved, this focus area requires a support); and
multidisciplinary approach aimed at developing more • A safe airspace environment is maintained for all aviation activities.
effective regulatory interventions in support of
overall safety improvement.
Profile of targeted Authority approach
2018/19 2019/20
Ongoing deliberate interventions to target the identified airborne conflicts risk. That action may be led by the Authority, or by Ongoing monitoring, and where required, strategy implementation adjustment.
industry participants, or as a partnership approach. The current activity profiles as defined within the Airborne Conflicts
Summary document continue to evolve as selected interventions are implemented and tested. There will be similar
intervention activities within selected groups of the aviation sector that will conform to an appropriately consistent structure.
An increasing emphasis will be on Part 121 and 125 Airline Operations in controlled and uncontrolled airspace. This will
require a slightly different approach to that taken in the case of smaller general aviation operations given the size and scope
of the aviation activity in question, the resourcing capability of the airlines and their more holistic approach to the
management of this risk. This will still involve a heavy emphasis on stakeholder engagement before determining any
intervention if required.
6The Helicopter Sector - The helicopter sector has a higher accident rate than other aviation sectors, which has the potential to damage New Zealand’s reputation for STATUS: Active Management
having safe and secure skies, as well as incurring unnecessary social costs.
Risk Purpose Intended impacts on the system Stakeholders impacted
Fatal and serious injury helicopter Helicopters are an important part of aviation activity • Safety risks are managed effectively by aviation participants with • All helicopter operators in New Zealand – commercial and private
accidents, particularly in the air in New Zealand and are used in a variety of roles – strong leadership, coordination and oversight by the Authority • Organisations who represent helicopter operators
transport operations, have the from agriculture, to tourism and emergency services. • Heightened level of engagement on key safety risks identified • Organisations and individuals who provide services to helicopter operations
potential to damage New Zealand’s Of late there has been a concerning number of fatal and closer scrutiny through regulatory activity targeting those • Organisations and individuals who use helicopter services.
reputation for safe and secure skies, and serious injury accidents, particularly in air risks
as well as incurring unnecessary transport operations. • Improved NZ helicopter accident rates so they align with, or
social cost. improve on, international comparisons.
The purpose of this focus area is to ensure safety
risks are managed effectively by aviation participants
with strong leadership, co-ordination and oversight Benefits
by the Authority, and that accident rates are lowered The successful management of the helicopter sector will deliver the following benefits
so they align with, or are better than, international to the Civil Aviation environment of:
comparisons.
• Lowered accident rates; and
• Reduced social cost of accidents.
Profile of targeted Authority approach
2018/19 2019/20
Implement results of the Part 135 Sector Risk Profile (SRP) • Continue SMS Implementation by certification of operators under CAR Part 100
• Develop and implement a risk management strategy, including an engagement and communication plan to ensure all Commence performance-based surveillance under CAR Part 100
parties (internal and external) are aware of intended actions to target the identified aviation safety risk. • Continue HSWA assessments
• Implement Part 135 controls allocated to the CAA • Continue actions from Part 135 SRP
• Monitor and assist Part 135 SRP controls allocated to industry groups and operators.
SMS Implementation:
• Approve implementation plans for all helicopter operators that require an SMS under CAR Part 100 Safety
Management.
• Commence certification of operators under CAR Part 100 Safety Management.
Health and Safety Unit (HSU) to target helicopter operators for assessment of their compliance with the Health and Safety at
Work Act (HSWA).
Engagement with the National Ambulance Sector Office (NASO) over contracting of helicopter operators to provide
Emergency Medical Services (EMS).
7Queenstown Operations - Queenstown is an important tourist destination and aviation plays an important part in the “Queenstown experience”. There is a need to STATUS: Monitored/Maintained
ensure the various flying activities are conducted safely.
Risk Purpose Intended impacts on the system Stakeholders impacted
Aviation accidents in the Queenstown is vital in terms of the region’s economy • Safety risks are managed effectively by aviation participants with New Zealand and international participants in the following aviation sectors:
Queenstown area have the potential and more broadly New Zealand’s reputation as a strong leadership, coordination and oversight by the Authority • Participants who conduct airside flight and ground operations activity at ZQN
to damage New Zealand’s reputation tourist destination. The purpose of this focus area is • Heightened level of engagement on key safety risks identified • Participants who conduct aviation activity within the Queenstown area
for safe and secure skies, and as a to ensure the flying activity conducted in the and closer scrutiny through regulatory activity targeting those • Organisations and individuals who provide support services to flying operations in
tourist destination, as well as Queenstown region, which is unique in its terrain, risks. Queenstown
incurring unnecessary social cost. weather, and variety of flying, are conducted safely • Organisations and individuals who use aviation services in Queenstown.
so as to provide the public with a high level of
confidence that they feel and are safe.
Benefits
The successful management of Queenstown will deliver the following benefits to the
Civil Aviation environment of:
• No accidents associated with Queenstown operations.
Profile of targeted Authority approach
2018/19 2019/20
Note: As at end of FY 16/17 no risks have been identified that require additional intervention over that currently provided by the CAA, or are subject to other focus areas, particularly Runway Excursions, Airborne Conflict, and the Helicopter Sector
Monitor operations at Queenstown:
• Surveillance and certification activity used to assess operator effectiveness in managing this risk.
• Attendance at the Queenstown, Milford User Group (QMUG) meetings to assess Group effectiveness in managing this risk.
• Analysis of safety data to ensure no new risks emerge
Regular reviews of risks and safety data conducted through the Regulatory SMS process.
8Security Threat Levels & Responses - The aviation security environment is constantly dynamic with the potential for high levels of ambiguity. In the event of a STATUS: Active Management
potential, emerging, or actual aviation security crisis, timely and coordinated decision making and operational responses are required to ensure the New Zealand aviation
system remains safe and secure.
Risk Purpose Intended impacts on the system Stakeholders impacted
The dynamic nature of the domestic To maintain timely and effective coordination with, • Aviation security technologies and systems are appropriate to • Stakeholders involved in the assessment and decision making process in the event
and international security and involvement in, wider All of Government crisis respond to dynamic security threats. of potential, emerging or actual aviation security crisis.
environment demands an aviation assessment and decision making processes and the • Continued assurance as to:
security system that is agile and able timely promulgation of any additional aviation v The effectiveness of the Authority's involvement in the
to continue to respond to changes in security requirements considered necessary. To relevant All of Government assessment and decision making
threat levels in a focused, timely and maintain capability to respond to changes in threat processes; and
coordinated manner. In the event of levels and implement any aviation security v The ability of the Authority to support timely promulgation
an aviation security crisis, the failure contingency measures in a timely and effective and implementation by responsible parties of additional
to maintain timely and coordinated manner. aviation security requirements across the aviation arising
decision making processes and the from relevant decision making processes. Benefits
ability to implement additional A safe and secure airline sector within which ongoing operations are impacted to the
security controls in a timely and minimum level appropriate by any potential, emerging or actual aviation security
effective manner would adversely crisis.
impact on the quality of overall
system responses with resulting
negative consequences for public
safety.
Profile of targeted Authority approach
2018/19 2019/20
• Behavioural Analysis Introduced • Monitor impact.
• Covert testing expanded
• Intelligence function reviewed
• Focus area closure with any necessary ongoing reviews embedded with Authority business processes
• Business Continuity Plans tested.
9International Air Cargo Security - The security of the international air transport system and the continued facilitated flow of high value export cargo by air to STATUS: Active Management
international markets depends on the continued existence of a robust and trusted air cargo security system
Risk Purpose Intended impacts on the system Stakeholders impacted
The absence of a robust and trusted The continued existence of a robust and trusted • Informed and targeted intervention activity • Regulated Air Cargo Agents (RACAs) and airlines under Civil Aviation Rule Part 109
international air cargo security international air cargo supply chain system is • Continued facilitated air cargo flow to export markers via the (Regulated Air Cargo Agent – Certification) and 108 (Air Operator Security
system will impact negatively on the essential for both safety and economic reasons. At presence of high levels of confidence in the effectiveness of NZ’s Programme).
security of international aviation present New Zealand’s cargo security system is international air cargo security system.
operations from New Zealand and robust and trusted by our international aviation
New Zealand’s international security partners. This allows the safe and facilitated
reputation. It will also impact on the flow of high value export air cargo to overseas
continued facilitated flow of high markers. It is vital this continues to be the case. The
value air cargo from New Zealand to International Air Cargo Security focus area will
international markets with the support informed and targeted intervention activity Benefits
resulting potential for adverse to sustain levels of compliance throughout the The successful completion of this work will deliver the following benefits to the Civil
economic consequences for New system and retain stakeholder assurance as to the Aviation environment:
Zealand exporters. level of security applied to air cargo carried on flights • Safety and Security: the continued effective management of the security risks to
from New Zealand. flights from New Zealand arising from the carriage of air cargo
• Economic: The continued facilitated flow of air cargo from New Zealand to
international export markets.
Profile of targeted Authority approach
2018/19 2019/20
• Initiative closure and plan for long term monitoring
• Surveillance and certification activity and the results of international partner’s independent review of New Zealand’s international air cargo security system will be used to assess ongoing effectiveness of the management of this risk.
Smart Security/Future 2022 – Thinking smarter to improve security outcomes, enhanced passenger facilitation and optimized utilisation of equipment and staff STATUS: Active Management
Risk Purpose Intended impacts on the system Stakeholders impacted
To avoid exponential cost increases To be well-informed, agile thinkers, capable of • A move to a security outcome focused approach to Avsec’s • Airlines
being required to respond to evaluating options in response to changing operations • Airport owners and operators
evolving threats and increasing situations. To build resilience in our current system • A move to a national system based approach to Avsec security • NZ Police
passenger numbers, there needs to and make developments to meet future demands. delivery • Immigration New Zealand (MBIE)
be a greater focus on how new • The ability to undertake differentiated screening, based against • New Zealand Customs Service
processes, systems and technologies varying threat/levels enabling more appropriate security • Ministry of Primary Industries
can be utilised to deliver security responses to changing circumstances • Office of Transport Security
services more efficiently and • Greater integration and collaboration between the security • Transportation Security Administration
effectively. function and other border/security/intelligence functions, • Travelling public
leading to increased security outcomes and easier and more • New Zealand businesses reliant on the import / export of products by air.
efficient passage through the border
Benefits
• Fit for purpose infrastructure
• Avsec remain contemporary with appropriate international The successful management of Smart Security will deliver the following benefits to the
standards, e.g. ECAC Standard 3 for HBS. Civil Aviation environment:
• Security services are delivered more efficiently and effectively
• More secure skies resulting from risk-based and differentiated screening.
Profile of targeted Authority approach
2018/19 2019/20
• Smart lanes progressively rolled out against priorities • Definition of risk based/differentiated screening in New Zealand context
• WAN Screening operational • Implementing digital mobility / Digitization and the Paperless Frontline progressively implemented
• Digitisation and the Paperless Frontline progressively implemented • Smart lanes progressively rolled out against priorities
• Security Management System (SeMS) introduced (ISO 2008/2015) • Security Management System (SeMS) Trial
• The Aviation Security Service Triennial Funding Review. • Funding Review
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