1 1 (19) Date of issue: Enters into force: Validity: until further notice Legal basis: Underlying international standards, recommendations and other documents: Agreement on International Civil Aviation (Sops 11/1949), Annex 19 Safety Management) Modification details Date Version Change First publication Update of section numbering, of text content in sections 2.2.1, 2.2.9, , 2.3.2, 3.1.4, 3.1.5, 3.2.2, 3.4, and Annexes, and addition of section Update of logo, of text content in sections 3.1.5, and Trafi processes in chapter Underlying international standards replaced with Annex 19; references to the new Aviation Act updated; text related to the Occurrence Reporting Regulation added to section 2.2.7; text concerning SMS requirements in section 3.1 updated and text on ground handling added to section 3.1.8; Blacklist Directive deleted; paragraph on ramp inspections and related definitions deleted FINNISH AVIATION SAFETY PROGRAMME CONTENTS MODIFICATION DETAILS... 1 ABBREVIATIONS FOREWORD FINNISH AVIATION SAFETY POLICY AND OBJECTIVES Background of the Aviation legislative framework Responsibilities and accountabilities Investigation of accidents and incidents Enforcement policy SAFETY RISK MANAGEMENT Requirements for service providers safety management systems Requirements for the Finnish Transport Safety Agency Acceptable level of safety Safety planning SAFETY ASSURANCE Safety oversight Safety data collection, analysis and exchange Risk-based targeting of oversight SAFETY PROMOTION Internal training and dissemination of safety information External training and dissemination of safety information ANNEXES Finnish Aviation Safety Plan Finland s Safety Objectives and Safety Performance Indicators... 19
2 2 (19) ABBREVIATIONS AMC DOC 9859 EASA EASP ECCAIRS Acceptable Means of Compliance ICAO Safety Management Manual European Aviation Safety Agency European Aviation Safety Programme European Co-ordination Centre for Accident and Incident Reporting Systems EUROCONTROL European Organisation for the Safety of Air Navigation FASP FDM ICAO SMS SSP USOAP Flight Data Monitoring International Civil Aviation Organization Safety Management System State Safety Programme Universal Safety Oversight Audit Programme (ICAO)
3 3 (19) 1 FOREWORD The (FASP) is a description of the various regulations and activities for maintaining and improving the safety of aviation and ensuring that Finland operates in compliance with EASA regulations and the safety management requirements set forth in the appendices to the Chicago Convention. The aviation safety programme describes how Finland has ensured through legislative means that the service providers have the required safety management system, that the member state monitors the functioning of the safety management systems, and that the responsibilities and authorities of the individual operators in the member state are clearly defined. The aviation safety programme also serves as a tool for describing the complex network of regulations composed of the legislation of individual sectors of aviation as a single, clear entity with the objective of improving aviation safety. The Finnish Transport Safety Agency commits itself to providing sufficient resources for the adoption, maintenance and development of the aviation safety programme. Director General of Civil Aviation Pekka Henttu Director General Kari Wihlman
4 (19) 2 FINNISH AVIATION SAFETY POLICY AND OBJECTIVES The Finnish civil aviation authority (the Finnish Transport Safety Agency, Trafi) has defined safety as its main objective, ahead of financial, operational, environmental and social factors. The current level of safety must be maintained and, where possible, further improved. At a minimum, the Finnish aviation safety standards meet the requirements of ICAO, EU, EUROCONTROL, and the applicable national requirements. If necessary, the safety requirements will be set even higher, in consideration of the local conditions. The Finnish civil aviation authority promotes safety and a favourable operating environment for the aviation business. The safety management principles, continuous improvement and a risk-based approach are the cornerstones of Finnish aviation safety. Responsibility for safety is divided between the authority and the service providers in line with their respective areas of responsibility. The Finnish civil aviation authority commits itself to keep its resources, expertise and staff required for aviation safety duties at a sufficient level. This work will be supported through continuous training and international co-operation. Background of the ICAO, the International Civil Aviation Organization, is a co-operation body under the United Nations. Its duties are defined in the Agreement on International Civil Aviation, signed on 5 December 1944, also known as the Chicago Convention. ICAO s purpose is to develop the principles and technology of international aviation and to promote the planning and development of international air transport. The organisation s duties include promoting safety in international aviation. At present, 188 countries have signed the Convention. On the basis of Annex 19 (Safety Management) to the Convention, the ICAO has determined responsibilities and obligations for States Parties concerning overall safety management. Responsibility for safety management is divided amongst ICAO member states, aviation authorities and air operators, such as international aviation organisations, airline operators, service providers, aerodromes, aviation equipment manufacturers, interest groups and training organisations Safety management is implemented through the activities of the member state, the oversight authority, and the service providers and operators. A member state must define quantitative safety objectives, and the service providers must establish the functions required for safety management and the relevant safety management systems with the purpose of meeting the objectives. In this document, service provider refers to all organisations providing services for aviation, including training organisations, air operators, maintenance organisations, entities responsible for the design and manufacture of aircraft, air traffic service providers and aerodrome operators.
5 (19) Obligations related to safety management have been specified in detail for each entity. Safety as a whole is rooted in these obligations. ICAO divides safety management into two functional elements that must be clearly separated from each other: first, the member state s duty to issue aviation legislation, establish an authority responsible for oversight, and create the mechanisms for oversight (via the State Safety Programme), and second, the task of the operators and service providers to establish and adopt safety management systems that help to ensure the safety of their operations This document describes the. The four-step procedure defined by ICAO was followed in the FASP creation process. These steps are: 1. Gap analysis to determine what national legislation should be developed for the adoption of an SSP The Finnish Transport Safety Agency performed the gap analysis in No need to amend the national legislation was found in the analysis. The requirements pertaining to the operators safety management systems are implemented through EU legislation as described in point A safety management system training programme for the oversight authority s staff The Finnish Transport Safety Agency has arranged training related to safety management systems for its staff and will continue to do so. The staff have taken part in, for example, safety management system training arranged by the Joint Aviation Authorities (JAA) and EUROCONTROL. 3. Development of safety management system regulations for service providers and development of guidance material for the adoption of a safety management system Point 3.1 of the FASP describes the requirements on the adoption of safety management systems. 4. Revision of the state s implementation policy to take into account the safety management system considerations The Finnish implementation policy is described in point 2.5. The current implementation policy meets the requirements of ICAO Doc Aviation legislative framework As Finland is a member of the European Union, EU aviation legislation is followed in Finland in all matters over which the EU has jurisdiction. The key EU regulation addressing aviation safety is the EASA Regulation, formally Regulation (EC) No 216/2008 of the European Parliament and of the Council on common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) 1592/2002, and Directive
6 6 (19) 2004/36/EC, on the basis of which the European Commission issues more detailed implementing rules The EU aviation legislation is available from the EU s electronic database EUR-Lex, where the EU s judicial texts are freely available (www.eur-lex.europa.eu). The EASA Regulation and the implementing rules based on it can also be found on the website of the European Aviation Safety Agency (EASA), and on the website of Finnish Transport Safety Agency (www.trafi.fi) Where the EU aviation legislation does not apply, the key national aviation statute in Finland is the Aviation Act (864/2014), which describes how aviation is overseen, the licences and approvals required in Finland, and the key requirements for the issue of licences and approvals. The Aviation Act grants the Finnish Transport Safety Agency authority to issue more detailed provisions on various issues. The Aviation Act and the aviation regulations issued on the basis of it are available in the state s electronic legislation database, Finlex (www.finlex.fi), and on the Finnish Transport Safety Agency s website (www.trafi.fi). Other regulatory material addressing aviation safety issues can be found, for example, in the national legislation on the transport of dangerous goods Both the EU s aviation legislation and Finland s national aviation legislation are based on the international standards and recommended practices approved by ICAO Non-binding guidance material is also issued to complement the EU regulations and Finnish aviation legislation, such as documents on acceptable means of compliance (AMC) and other instructions. With regard to EU legislation, the EASA has the primary authority to issue such guidance material; for national materials, this task belongs to the Finnish Transport Safety Agency. The materials are available on the websites of the EASA and the Finnish Transport Safety Agency The Chicago Convention is the key agreement governing aviation safety in Finland and globally. The aviation standards and recommended practices approved by ICAO are published as Annexes to the Convention. These are enforced in Finland through EU legislation, the Aviation Act and/or national aviation regulations Directive 2003/42/EC of the European Parliament and of the Council on occurrence reporting is implemented in Finland by Chapter 11 of the Aviation Act. In addition to the provisions of EU legislation, civil aviation operators, their employees and other persons carrying out duties with an impact on aviation safety are required to notify the Finnish Transport Safety Agency of any incidents, interruptions of operations, malfunctions, errors and other exceptional situations (occurrences) related to the operation, maintenance, repair or manufacture of aircraft, to aerodrome operations or to air navigation services, if such an occurrence compromises the safety of an aircraft, its occupants or any other person, or would compromise their safety if no action were taken to prevent it. The Finnish Transport Safety Agency handles the duties of a national authority as referred to in the directive. Aviation Regulation GEN M1-4 sets forth more details on the mandatory reporting of accidents, incidents and occurrences. The duty to report incidents applies to both Finnish and foreign persons and organisations in civil aviation in Finnish territory. The regulation also applies to operation with Finnish registered aircraft outside Finland or aircraft operating on an
7 (19) aviation licence issued in Finland. The Occurrence Reporting Directive was repealed with Regulation (EU) No. 376/2014 of the European Parliament and of the Council on the reporting, analysis and follow-up of occurrences in civil aviation (the Occurrence Reporting Regulation). The Occurrence Reporting Regulation also repealed Commission Regulations (EC) Nos. 1321/2007 and 1330/2007 concerning the confidentiality and use of occurrence information; the Occurrence Reporting Regulation subsumed provisions on these matters. Application of the Occurrence Reporting Regulation will begin in November 2015 at the earliest Another regulation that is important for aviation safety is Regulation (EC) 2111/2005 of the European Parliament and of the Council on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC, the so-called Blacklist Regulation. When the Finnish Transport Safety Agency issues a flight permit or an operating authorisation for traffic between Finland and third countries, or an overflight permit for flying over Finland, it assures that the entity applying for the licence or permission is not found on the blacklist maintained by the European Commission. Observations made during ramp inspections in Finland and other EU countries are significant when the blacklist is updated On its website, the Finnish Transport Safety Agency will publish a regularly updated listing of national and EU provisions pertaining to aviation, including those concerning safety. Responsibilities and accountabilities In matters of aviation safety, the legislative authority has been transferred to the European Union to a large extent. The European Parliament, the EU Council and the European Commission are competent to issue regulations on aviation safety, directly applicable in the member states. The EASA is responsible for some duties that have traditionally belonged to national aviation authorities (e.g. type certification of aircraft and approval of foreign operators). National legislative authority covers the aircraft and equipment referred to in Annex II to the EASA Regulation (as regards airworthiness, pilot licensing, flight operations, etc.) The Aviation Act designates the Finnish Transport Safety Agency as the national aviation authority, charged with duties that include those specified in EASA legislation. The Finnish Transport Safety Agency grants licences and permits, supervises operators and issues aviation regulations complementing the Aviation Act Finland is represented in the ICAO by the Director General of Civil Aviation, appointed by the Director General of the Finnish Transport Safety Agency. It is the responsibility of the Director General of Civil Aviation to ensure that the positions on issues discussed in ICAO are taken at the correct level in Finland The Ministry of Transport and Communications is responsible for preparing national laws and decrees The Director General of the Finnish Transport Safety Agency is responsible for the. The Director General has appointed a Director
8 (19) General of Civil Aviation, who is in charge of overall monitoring and co-ordination in the aviation sector. A monitoring group has been established to support the Director General of Civil Aviation The need to update the Aviation Safety Programme and its appendices is assessed at least once per year. The Transport Analysis Department of the Finnish Transport Safety Agency is responsible for assessing the need to update the programme and appendices and, when necessary, for performing the update. An amendment to the safety programme may arise from parties within the Finnish Transport Safety Agency, who must consider updating the safety programme when they become aware of any need for amendment. Initiatives for amending the programme may also be made by national and international parties outside the Finnish Transport Safety Agency The Director General of the Finnish Transport Safety Agency approves the amendments to the aviation safety programme based on a proposal by the Director General of Civil Aviation. Any changes to the appendices are approved by the Director General of Civil Aviation. Investigation of accidents and incidents In Finland, the investigation of aviation accidents and incidents is carried out mainly by the Safety Investigation Authority (SIA). The Safety Investigation Authority, established in 1996 within the Ministry of Justice, is an independent agency where investigation is guaranteed to be independent of the administrative and supervisory organisations for the various modes of transport and rescue services. The SIA's operations are governed by the Safety Investigation Act (525/2011). Aviation accidents and incidents are investigated in accordance with the provisions of Regulation (EU) 996/2010 of the European Parliament and of the Council and the standards of the Convention on International Civil Aviation When a decision is made on whether to initiate safety investigation, the severity of the incident and the likelihood of its recurrence are taken into consideration. Even an incident with minor consequences may be investigated if the investigation is predicted to produce information of significance for improving general safety and preventing accidents The safety investigation results in an investigation report, with safety recommendations to competent authorities and other parties. The safety recommendations encapsulate the investigators idea of how similar accidents could be avoided in the future. The Safety Investigation Authority monitors the adoption of the recommendations. Safety investigations are performed solely for the purpose of improving safety; the investigation does not address questions of guilt or responsibility, nor does it consider liability for damages When accidents or serious incidents occur, the Finnish Transport Safety Agency may perform studies independent of the SIA s investigations and initiate oversight activities with the purpose of ensuring that the air operations can continue without compromising safety.
9 (19) Enforcement policy If, in the course of its oversight, the Finnish Transport Safety Agency detects noncompliances with the requirements, it can intervene through administrative sanctions. The administrative sanctions available to the Finnish Transport Safety Agency are laid down in Chapter 14 of the Aviation Act. The sanction types are admonition, warning, prohibition, and limitation or revocation of a certificate, as well as conditional fine, notice of enforced compliance, or notice of enforced suspension. In addition to administrative sanctions, activities in violation of the law and regulations may end up investigated by the police. For example, causing a traffic hazard and operating an aircraft under the influence of alcohol are covered by the Criminal Code The Aviation Act and Aviation Regulation GEN M1-4 require service providers to report any accidents, serious incidents and occurrences associated with their own operations or of which they are otherwise aware. If necessary, the Finnish Transport Safety Agency will take action to ensure safety in response to any occurrences which have been reported or observed. Immediate actions may include contact with the operator and temporary restriction of its operations. Longer-term actions may include the targeting of oversight activities or intervention through regulatory measures In accordance with safety management principles, the service providers also have the duty to manage any occurrences in their operations and take the necessary corrective measures regardless of whether the Finnish Transport Safety Agency takes any action The just culture principle is applied in the processing of occurrence reports, as described in point 4.2 below.
10 (19) 3 SAFETY RISK MANAGEMENT Requirements for service providers safety management systems A safety management system involves a systematic approach that includes the administrative structures, accountability, safety policy and procedures required for safety management. The safety management system is used to identify safety threats, ensure corrective action to maintain appropriate levels of safety, carry out continuous monitoring and regular assessment of safety levels, and strive for continuous improvement of the safety management system ICAO requires that flight training organisations (Annex 1), flight operators (Annex 6), maintenance organisations (Annex 6), aircraft design and manufacturing organisations (Annex 8, with effect from ), air traffic service providers (Annex 11), and airport operators (Annex 14) implement a safety management system that fulfils the requirements of Annex The requirement for a safety management system for flight training organisations and flight operators has been implemented in Finland with EU Regulations Nos. 965/2012, 1178/2011, 290/2012 and 245/ The requirement for a safety management system for maintenance organisations will be implemented under the amendment of EU Regulation 2042/2003, which is scheduled for For aircraft design and manufacturing organisations, the requirement for a safety management system will be implemented by an amendment to EU Regulation 748/2012, scheduled for For air traffic service providers, the requirement for a safety management system was implemented in 2005 by EU Regulation 2096/2005 (now by EU Regulation 1035/2011), which requires an air traffic service provider to have a safety management system before it can be granted an approval to provide such services. The Finnish Transport Safety Agency has during the approval process evaluated the safety management systems of all organisations providing air traffic services with their principal place of business in Finland, and found them to comply with the requirements of EU Regulation 2096/2005 (currently 1035/2011) as well as the requirements for safety management systems defined by ICAO For airport operators, the requirement for a safety management system was implemented nationally with aviation regulation AGA M3-3 in According to this aviation regulation, the Flight Operations Manual of an airport must include a safety management system with description and functions. The Finnish Transport Safety Agency has audited the safety management systems of all airports in Finland and found them to be in compliance with the ICAO requirements for safety management systems. Commission Regulation (EU) No. 139/2014 adopted in 2014 lays down requirements and administrative procedures for aerodromes. Under the Regulation, the current aerodrome certificates will be converted into EU certificates by the end of The Regulation also includes a requirement for a safety management system for
11 (19) aerodrome operators. Once the EU certificates have entered into force, the aviation regulation series AGA M3 will be repealed ICAO does not require a safety management system from organisations providing ground handling services. Preparations are beginning at the European level for regulations on safety management in ground handling. Notwithstanding the above, the Aviation Act that entered into force in Finland in November 2014 (864/2014) already includes section 83 that requires organisations providing ground handling services to have a safety system. These service providers must submit information on their safety management system to aerodrome operators and to the Finnish Transport Safety Agency The Finnish Transport Safety Agency shall, through annual audits and approval processes, monitor and review the operation and adequacy of service providers safety management systems. Requirements for the Finnish Transport Safety Agency Commission regulations complementing the EASA Regulation also contain requirements for authorities that will take effect in accordance with an implementation plan. Authorities are required to have a management system that includes a documented policy and procedures that describe their organisation as well as the tools and procedures available. The authority must also have an adequate number of qualified staff, as well as the necessary procedures for assessing and verifying the sufficiency and qualifications of staff. The authority shall have a system to monitor how its own operations comply with the requirements The Finnish Transport Safety Agency will implement the requirements for authorities as they enter into force. The and the Finnish Transport Safety Agency s operating system are essential elements in the required management system and compliance monitoring system. Acceptable level of safety An important part of the Aviation Safety Programme is the definition of an acceptable level of safety by means of safety performance targets (SPT) and safety performance indicators (SPI). Safety performance targets indicate the minimum level that service providers shall reach in their operations. The achievement of the safety level will be monitored via safety performance indicators relevant to each target Having defined the acceptable safety level for operators in the various sectors of aviation, the Finnish Transport Safety Agency monitors the development of aviation safety and intervenes if an adequate level of safety is not achieved. The acceptable level of safety serves as a link and guideline in the development of national aviation safety work as well as a tool for service providers in the development of safety management systems. International requirements (such as those of the European Union and the EASA) shall be taken into account in defining the level of safety The main purpose of defining indicators is to develop systematic and continuous monitoring methods. The indicators are also a good way to structure a large amount
12 (19) of safety data from diverse sources, including air safety reports and analysis of FDM data. Monitoring and analysis of the indicators helps the authority to target its activities in a risk-based manner and helps air operators to monitor and improve the safety of their operations. Monitoring of indicators will also provide information on the success and effectiveness of the measures taken Air traffic service providers are also governed by EU Regulation 691/2010, which concerns the improvement of performance of air navigation services. This regulation defines indicators for environment, capacity, cost-effectiveness and safety. With respect to safety, the regulation defines targets for the efficiency of safety management, application of a risk analysis tool for severity classification as well as for a just culture. Finland has additionally determined national targets for the number of runway incursions and separation minima infringements where air traffic management has been involved The development of Finnish safety performance indicators is based on common European and international indicators. Alongside the indicators defined by EASA, efforts have been made to develop indicators that are as comprehensive as possible and take into account the national circumstances specific to Finland Appendix 2 lists the Finnish safety performance targets for the various sectors and the safety performance indicators used to monitor how the targets are achieved, and describes the principles for the definition of safety levels (tiers) Each service provider shall take into account the Tier 3 safety performance targets as described in the Appendix as far as they pertain to that service provider s activities and shall, in all of its operations, aim at meeting the specified target values. On the basis of the safety performance targets, the service providers shall assess what steps they shall take to reach that target, determine the necessary safety measures, and implement them The effectiveness of the safety performance targets and safety performance indicators is reviewed annually in connection with the assessment of the need for updating the. The review will take into account any future safety performance targets from the EASP and EASA European Aviation Safety Plan and other sources. Safety planning Finland s safety planning is primarily based on the transport policy report prepared by the Ministry of Transport and Communications, specifically the goals and actions set forth therein; on information gained through the transport system safety management process of the Finnish Transport Safety Agency; and on national targets and tasks specified in the EASA European Aviation Safety Plan The transport system safety management process of the Finnish Transport Safety Agency consists of systematic data acquisition and analysis procedures, decisions on action based on the data analyses, and the evaluation of their effectiveness.
13 13 (19) The Finnish Transport Safety Agency evaluates the risk levels of the various operators and areas in the aviation sector and, based on this evaluation, focuses regulatory, oversight and safety communications measures on areas where risk levels are highest In the future, the Finnish Transport Safety Agency will develop a risk assessment procedure for the entire aviation sector, to facilitate the comprehensive identification of risks in aviation and their mitigation as far as possible The European Aviation Safety Plan is a four-year plan issued by the EASA outlining the key areas of safety that should be addressed at European level, including measures specified in order to improve safety The transport policy report of the Ministry of Transport and Communications, the transport system safety management process of the Finnish Transport Safety Agency and the EASA European Aviation Safety Plan form the foundation for the Finnish National Aviation Safety Plan, given in Annex 1 of the present document. This Plan is principally drawn up to cover a four-year period. It identifies areas that will form the focus of oversight and other safety measures over the next period.
14 (19) 4 SAFETY ASSURANCE Safety oversight The responsibility for oversight of air operators and service providers is divided between the EU and national authorities, as described in Section 2. Section 3 above describes the responsibilities of service providers to manage the safety of their own operations The safety oversight carried out by the Finnish Transport Safety Agency is predominantly based on approvals and licensing, as well as oversight through practical inspections and audits. In addition, the Finnish Transport Safety Agency monitors the safety situation through other sources, as listed in item The Finnish Transport Safety Agency has described the processes by which safety oversight of flight operations, airworthiness, air traffic control, and aerodrome and flight training is conducted. These processes take into account the international and national requirements governing each area The approvals processes are used to ensure that the equipment, systems and procedures employed by service providers, and changes thereto, meet the national, international, and the service provider s own requirements. The approval process is used to judge whether a service provider has assessed the risks related to the deployment or change of approved equipment, systems and procedures in accordance with safety management principles and reduced them sufficiently for meeting the safety performance target. On the basis of the assessment, the Finnish Transport Safety Agency approves or rejects the deployment, requests further information, sets additional requirements and/or conducts an inspection of the organisation requesting the approval Through the appropriate licensing processes, the Finnish Transport Safety Agency also ensures that service providers personnel and private aviators meet any qualification requirements applicable to them The inspection and auditing processes are used to oversee the activities of the service provider and its safety management system, ensuring that they fulfil the national, international and the service provider s own requirements. Service providers are generally audited according to an annual oversight plan. In addition, operations are monitored through individual inspections, SAFA/SANA inspections, observation flights and monitoring of training events The oversight plan describes in more detail the areas, organisations or units to be audited. Audits are carried out by inspectors qualified in auditing in accordance with the relevant audit process. After the audit, the service provider receives an audit report, describing the findings and requesting the service provider to take any appropriate corrective actions. The Finnish Transport Safety Agency assesses the adequacy of the corrective actions and either approves them or requests further
15 (19) clarification if needed Points 3.4 and 4.3 describe in more detail how information received from air safety reports and other sources is used for risk-based targeting and focusing of oversight To ensure the quality of the Finnish Transport Safety Agency's own activity, the Agency has developed an operational system that describes the processes and operating procedures according to which oversight is conducted As part of the operational system, the Finnish Transport Safety Agency conducts internal audits. Internal audits will ensure that the Agency s operations comply with the processes and operational guidelines described in this system. Internal audits are carried out in accordance with the internal audit process and based on an annual audit plan The Finnish Transport Safety Agency is also subject to external audits. The EASA monitors national authorities through inspections performed for each area individually. As part of the USOAP work, ICAO conducted an audit of the Finnish aviation system in Safety data collection, analysis and exchange The Finnish Transport Safety Agency collects safety information from various sources. One of the main sources is occurrence reports, which, under Chapter 13 of the Aviation Act and Aviation Regulation GEN M1-4, shall be filed to the Finnish Transport Safety Agency by any air operator, its employee, or anyone performing flight safety-related duties on any accident, serious incident or other occurrence that compromise, or without intervention would compromise, the safety of an aircraft, its occupants or any other persons. Accidents and serious incidents must additionally be reported to the Finnish Safety Investigation Authority without delay Anyone who becomes aware of an issue affecting flight safety for which he or she is not obliged to file a report may submit a voluntary report. A voluntary report can also be submitted anonymously Reports to the Finnish Transport Safety Agency shall be made on forms approved by the Agency. If the task of filing reports with the Finnish Transport Safety Agency has been assigned to a certain entity within the air operator s organisation, the reporter need not submit the report personally. In this case, the operator shall employ a system for ensuring that the obligation to report is fulfilled.
16 (19) In cases of accidents or serious incidents, the Safety Investigation Authority assesses the case and, if necessary, takes the decision to initiate an investigation. The Finnish Transport Safety Agency shall notify the Safety Investigation Authority of cases that are not accidents or serious incidents but that it nonetheless regards as possibly leading to an investigation The Finnish Transport Safety Agency stores the reports received, without identifying information, in the European ECCAIRS incident database. Through ECCAIRS, Finland exchanges safety information with other states that store data in the database In addition to air safety reports, sources of safety information include audit and inspection findings, analyses of FDM data, information from safety management systems of aviation organisations, accident investigation reports, findings on observation flights, the mass media, information from financial monitoring, ramp inspection findings, information gathered from the Finnish Transport Safety Agency s own studies, and other national and international information sources The Finnish Transport Safety Agency assesses the severity and frequency of every occurrence that has come to its knowledge. Based on all of the safety information gathered, it makes analyses to identify major trends that affect safety, factors contributing to the incidents, and the effectiveness of safety barriers. The information analysed is also used for monitoring the status of safety performance indicators and defining corrective actions if necessary Occurrence data received through air safety reports are used in accordance with the just culture principle: the authorities will refrain from legal action against unplanned or unintended violations that come to the authorities attention as a result of compliance with the requirement for occurrence reporting, except in cases of gross negligence or actions punishable under criminal law. Similarly, operators shall not discriminate against employees who report an incident of which they are aware The confidentiality of occurrence information is provided for under Section 24 of the Act on the Openness of Government Activities. In addition, the Finnish Transport Safety Agency may hold some circumstances related to occurrence information in confidence, if dissemination of the information would jeopardise access to such information in the future. Risk-based targeting of oversight Point 3.4 above describes the Finnish Transport Safety Agency s safety planning principles and risk-based targeting of actions The safety information collected and the results of analyses are used for risk-based targeting of oversight. Actions are targeted, for example, through an increase in the number of inspections or audits, increased frequency of inspections or audits, and emphasis on certain areas in the inspections or audits.
17 (19) Risk-based criteria in oversight planning and implementation are taken into account in the oversight processes and work instructions of the Finnish Transport Safety Agency To support an inspection or audit of an organisation or unit, the Transport Analysis Department of the Finnish Transport Safety Agency may assist the oversight unit, in addition to material produced on a regular basis, by making an analysis based on safety information concerning the organisation or unit to be inspected. This helps to identify risk areas and factors that should be taken into account in the audit or inspection. 5 SAFETY PROMOTION Internal training and dissemination of safety information The Finnish Transport Safety Agency maintains and develops the professional skills of its staff by providing training and supporting the maintenance of professional aviation skills (such as keeping a pilot s or air traffic controller s licence valid). Internal briefings are arranged for the staff on, for example, forthcoming changes to national and international regulations, and employee participation in external training programmes is supported A training register will be maintained for each employee, detailing completed training Dissemination of safety information within the Finnish Transport Safety Agency is mainly effected through regularly arranged Safety Review sessions. At these sessions, experts and management representatives are provided with a review of the safety situation, the status of Safety Performance Indicators and any other current safety-related issues At the daily level, internal dissemination of safety information within the Finnish Transport Safety Agency focuses on accidents and serious incidents and other occurrences in line with the safety- and environmental impact management process. In addition, other issues that are assessed as necessitating immediate action are reported The Finnish Transport Safety Agency posts information on its Intranet concerning the status of Safety Performance Indicators, safety analyses conducted, etc. External training and dissemination of safety information As part of its tasks as a regulatory authority, the Finnish Transport Safety Agency provides advice and information to aviation-industry organisations and individuals on, for example, changes in national and international regulations and guidelines. Advice is given in person, and information sessions are arranged as needed on specific safety-related matters that the operators should pay attention to in their activities.
18 18 (19) The Transport Analysis Department of the Finnish Transport Safety Agency arranges regular visits to aviation companies and organisations and convenes the national FDM group twice a year. Current safety matters are discussed during the visits and by the FDM group The Finnish Transport Safety Agency publishes an Annual Safety Review, which reviews the previous year's most significant aviation safety-related events and trends. The Transport Safety Agency's website (www.trafi.fi) publishes safety-related information as well as information on national and international law, any changes expected, and the effect of the changes on the operations of organisations and individuals in the aviation industry Aviation companies and other organisations will additionally be provided with a regular summary of the status of safety performance indicators and other current safety information, to keep the operators informed of the safety situation.
19 19 (19) 6 ANNEXES 1 Finnish Aviation Safety Plan The Finnish Aviation Safety Plan is published as a separate document available at 2 Finland s Safety Objectives and Safety Performance Indicators Finland s Safety Objectives and Safety Performance Indicators is published as a separate document available at