Civil Aviation Department The Government of the Hong Kong Special Administrative Region Integrated Approach of Risk-based Compliance-based Performance-based Audit and Surveillance Programme George WAI, Airworthiness Officer Flight Standards and Airworthiness Division Hong Kong Civil Aviation Department FSSCO, Busan, 29 November 2017 1
Civil Aviation Department Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Government of the Hong Kong Special Administrative Region Outline • Purpose of the integrated approach • Methodology • Result 2
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Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Purpose Enhance the prioritisation in the Audit and Surveillance Programme: • Introduce a Data-driven, Risk -based approach • Integrate it with the existing Compliance -based and Performance -based approaches 4
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Integrated Approach Risk -based: Compliance -based: Performance -based: Administrative Measureable Risk assessment, procedures, rules outcomes, not areas of prescriptive importance 5
Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Guidance ICAO Doc 9859 Safety Management Manual 3rd Edition 6
Data to be considered AOC Annual Report Accident Report Serious Incident Voluntary Report Biannual Report Audit Report Extended Diversion Safety Assessment Time Operations Foreign Aircraft Mandatory Requirements Survey Reliability 7 Occurrence Report
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Suitable Safety Performance Indicators (SPI) MOR MOR HIGH HIGH EDTO/IFSD EDTO/IFSD Safety Data Audit findings LOW Aircraft survey • Based on Data-driven Programme • Use of existing safety oversight activities Note: IFSD (Inflight Shut Down) • Consolidated and categorised 8
Civil Aviation Department RISK GROUP The Government of the Hong Kong Special Administrative Region AOC MRO H Component A1 A2 M1 M2 Avionics Overhaul Plating Scheduled Unscheduled Base / Engine Line Maintenance NDT Flight Flight Maintenance Only 9
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Consequence Indicators • Monthly Monitoring • Annual Monitoring LOW HIGH Audit findings MOR Aircraft Survey EDTO/IFSD Programme (ASP) 10
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Allocation of SPIs to Risk Groups • Weighed cognitively • Allocated based on complexity (1) MOR & IFSD SPI (3) Audit & ASP SPI • Combined to form 5 SPIs Risk High Consequence Indicators Low Consequence Indicators Group MOR EDTO-IFSD Audit Finding Aircraft Survey A1 √ √ √ √ A2 √ √ (5) ASP SPI M1 √ √ M2 √ (2) MOR SPI (4) Audit SPI H √ 11
Civil Aviation Department The Government of the Hong Kong Special Administrative Region MOR & IFSD SPI (Risk Group A1) 12
Civil Aviation Department The Government of the Hong Kong Special Administrative Region MOR SPI (Risk Group A2 & M1) Risk High Consequence Indicators Low Consequence Indicators Group MOR EDTO/IFSD Audit Finding Aircraft Survey A1 √ √ √ √ A2 √ √ M1 √ √ M2 √ H √ 13
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Audit & Aircraft Survey SPI (Risk Group A1) Risk High Consequence Indicators Low Consequence Indicators Group MOR EDTO/IFSD Audit Finding Aircraft Survey A1 √ √ √ √ A2 √ √ M1 √ √ M2 √ H √ • Level 1 Finding: Significant non-compliance lowers the safety standard and hazards seriously the flight safety. • Level 2 Finding: Any non-compliance could lower the safety standard and possibly hazard the flight safety. 14
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Audit SPI (Risk Groups A2, M1, M2, H) 15
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Aircraft Survey (Risk Group A1) 16
Civil Aviation Department Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Government of the Hong Kong Special Administrative Region Target / Alert Level • Made reference to ICAO Doc 9859 • Established 5 zones with past 3 years data 17
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Example: High-consequence Indicator Occurrence (MOR & EDTO/IFSD) & No. of Aircraft Total No. of Occurrence Total No. of Aircraft Organisation 2013 2014 2015 2016 2013 2014 2015 2016 Operator-MOR No Risk (RF 1) 10 15 12 4 41 41 42 42 Low Risk (RF 2 &3) 13 45 62 31 41 41 42 42 Medium Risk (4 & 5) 4 0 1 0 41 41 42 42 High Risk (6 & 7) 0 0 0 0 41 41 42 42 EDTO IFSD 0 0 0 2 41 41 42 42 18
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Simple Mathematics ������������������ � ��������� ������������� ��������� ����������� �������������� � � ���������������� ����������� � � ������������������ 19
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Occurrence Rate (EDTO/IFSD) and SPI Establishment Occurrence Rate (per aircraft) SPI - Occurrence Rate Organisation 2013 2014 2015 2016 2013 2014 2015 2016 Operator-MOR Risk % No Risk (RF 1) 0.24 0.37 0.29 0.10 5% 0.01 0.02 0.01 0.00 Low Risk (RF 2 &3) 0.32 1.10 1.48 0.74 10% 0.03 0.11 0.15 0.07 Medium Risk (4 & 5) 0.10 0.00 0.02 0.00 20% 0.02 0.00 0.00 0.00 High Risk (6 & 7) 0.00 0.00 0.00 0.00 35% 0.00 0.00 0.00 0.00 EDTO IFSD 0.00 0.00 0.00 0.05 30% 0.00 0.00 0.00 0.01 Overall SPI 0.06 0.13 0.17 0.09 Average - 0.5 SD Lower Target Threshold 0.09 0.09 0.09 0.09 Average Target 0.11 0.11 0.11 0.11 Average + 0.5 SD Upper Target Threshold 0.13 0.13 0.13 0.13 Average + 1 SD 1st Alert Level 0.16 0.16 0.16 0.16 Average + 2 SD 2nd Alert Level 0.20 0.20 0.20 0.20 20
Civil Aviation Department The Government of the Hong Kong Special Administrative Region SPI for Occurrence Rate (MOR & EDTO/IFSD) (1) MOR & IFSD SPI 21
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Audit Frequency Adjustment Dominating Factor 22
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Audit Frequency Adjustment Region Individual SPI Combined SPI Overseas Organisation Risk (Dominate SPI Dependent) Group(M1, M2 and H) G1 -5% -5% or -10% Unchanged G2 Unchanged Unchanged Unchanged R1 +5% +5% or +10% Unchanged R2 +10% +10% or +15% Unchanged R3 +15% +15% +1 Audit • Provided expected audit frequency adjustment based on the integrated approach • Overseas M1, M2, H organisations: Audit arranged once per year/two-year cycle. Influenced by small variation by number of finding 23
Civil Aviation Department The Government of the Hong Kong Special Administrative Region Implementation • Held internal meetings • Discussed comments • Refined this methodology • Established 2018 audit & surveillance programme • Review SPI target and alert levels annually 24
Civil Aviation Department Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Government of the Hong Kong Special Administrative Region Conclusion • Use risk-based approach on oversights • Divide AOC/MRO into 5 Risk Groups • Find suitable high/low consequence indicators • Prioritise oversight based on analysis results 25
Civil Aviation Department Civil Aviation Department The Government of the Hong Kong Special Administrative Region The Government of the Hong Kong Special Administrative Region YOU CAN’T HAVE A RAINBOW WITHOUT THE RAIN End of Presentation 26
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