When Safety Policy Is A Regulatory Requirement
Another insightful Post from Helena1320
Canadian Aviation Regulations (CARs)
requires the Safety Management System (SMS) for airports and airlines to have a
safety policy in place for regulatory compliance to operate under CARs 302 or
705. This safety policy sets targets for objectives and goals to conform to
regulatory requirements. CARs are performance based regulations, where results
of operational processes are the determining factors for compliance.
There are two parts for Safety Management
System CARs compliance. One is design of regulatory compliance, or layout of
the plans, while the other is the operational processes for regulatory
compliance, or layout for expected outputs. Regulatory compliance is documented in a
manual with descriptions of requirements and operational process regulatory
compliance are descriptions of how an airport, or airline plan to execute
operations and collect data.
Transport Canada developed a set of
expectations for regulatory compliance. These expectations, while short coming
in some areas, are guidance for developing regulatory compliant documents, or
manuals. Regulatory compliance is simple, since it happens in a static
environment without operational interaction or movements. On the other hand, operational
process compliance is complex, since there are millions of variables, both
internal and external variables which affect the outcome of processes.
Regulatory process compliance becomes available only after review of data
collection, or in other words, after the fact. It is not possible to predict
the future with processes for compliance, and the data therefore has to speak
for itself. However, regulatory compliance, or the layout of the plan, is
future-predictable.
CARs 107.02 is applicable to both an
applicant and a holder of an airport, or airline certificate. The certificate
is an authority to operate and without a certificate there is no operations
taking place. An applicant is not authorized to operate, while an operator is.
That an operator has an authority to operate doesn’t change 107.02 to be
applicable to operational processes.
CARs 107.03 is applicable to both
airports and airlines to have in place a safety policy on which the system is
based. As long as the safety policy is in place there is regulatory compliance.
There is no requirement for operations to take place for this safety policy to
be regulatory compliant.
The operational process for
regulatory compliance are governed by 302.502 for airports and 705.152 for
airlines. A safety policy for airports under 302.502 and airlines under 705.152
have actions involved, which is that the accountable executive has approved and
communicated the safety policy to all personnel. Further, no matter how many operational
errors, or findings there are under 302.502, or 705.152, these findings do not
change applicability to become findings under Canadian Aviation Regulations
107.02.
Examples
that findings under 302.502 or 705.152 do not convert to 107.02 findings can simplified
be explained by comparing aviation to highway travel. Generally speaking, there
are two important regulatory requirements to operate a highway, which are markings
and signs. Markings and signs are planned, developed and installed prior to
highway operations. It is known, or predicted, where these signs and markings
will be when the highway is completed. These markings and signs are the
highway’s safety policy, with maximum speed established on a sign or marking
that clearly identify the limits.
As the highway opens and become
operational the users must have processes in place to stay within the markings
and conform to regulatory
compliance of the signs. If the sign
is a maximum speed sign, operators, or drivers must have in place processes to
stay at or below this speed limit. These processes could be application of
cruise control, manual speed control, a speedometer, or manipulation of a
manual gear shift. How the result is achieved is irrelevant to conform to regulatory
compliance, as long as processes produce desired results.
After data is collected, results are
analyzed and assessed for operational compliance. If the majority of drivers violates
the speed limit, does affect the system of how markings and signs are planned,
developed and installed.
Non-confirming highway users are not
charged, or made findings, under the system of planning, developing and
installing markings and signs, but under the operational component of maximum
speed limits. This could be compared to airport and airlines, where CARs 302.502,
or 705.152 operational findings remains operational findings and do not convert
to CARs 107.02 system findings.
Helena1320