Risk Based Surveilance

Your Course Leader:
Bereket Yoseph (Bek), CRMA, CISA, CIA, CFSA, CCSA, CoPA

End of Presentation Objective
Condition: Class room based
Performance: To impact transition from compliance based

to risk based surveillance program
Standard: DOC-8335, ICAO - Manual of Procedures for

Operations inspection, certification and continued
surveillance, FSF – Basic Aviation risk standards 2021
Risk-Based Surveillance
 Name?
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 What are your expectations out of

this course?
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Risk-Based Surveillance
Target Audience:
Civil Aviation Directorate (CAD) personnel responsible for safety oversight of
airlines, airports, and other aviation entities.
Course Description:
This course introduces participants to the principles and practices of risk-
based surveillance (RBS) in the context of civil aviation safety and security
oversight. Participants will learn how to identify and assess safety risks,
develop and implement surveillance programs, and conduct effective
inspections and audits.
Assessment:
The course will use a variety of assessment methods, including:
Pre-training assessment questions
Daily recaps by participants/facilitator
Active participation in class discussions
Group exercises and case studies
Final project: Developing a risk-based surveillance plan for a specific aviation
entity
Day 1: Introduction to Risk-Based Surveillance
(RBS)
Context setting
Definition and benefits of RBS
Comparison of RBS with traditional surveillance methods
Components of RBS program
International Civil Aviation Organization (ICAO) State Safety Program / Safety
Management System (SMS) and its relationship to RBS
Context setting
 Can you identify the three main contributions of surveillance

professionals?
 What are the three types of oversight exercised by surveillance
inspectors/auditors/analysts?
 How do inspectors/ auditors/analysts enhance/ create value from
historical data?
 How do inspectors/ auditors/analysts enhance/ create value from
the current data?
 How do inspectors/auditors/analysts enhance/ create value from
the future data?
Inspectors/Auditors
/analysts are trusted
advisors who:
 Create value
 Preserve value
 Sustain value
Trusted advisors who:
 Listen the past
 Observe the present
- when things go
wrong
 Smell the future
 Offer advice, speak
integrated truth to
power
What they oversee
makes a difference
through:
 Hindsight,
 Insight and
 Foresight
Their hindsight helps
organizations look back and
learn from:
 Experiences - untold
stories
 Through clear and
targeted reports they
uncover hidden value and
lessons learned.
 Their insight shows your
organization’s system/program
maturity, where you are and
where you need to get to.
 They add value by evaluating
their organization's current state
and examining the strengths,
weaknesses, and the maturity of
their organization systems.
Their foresight helps their
organization:
 Look ahead, see what's
coming and sharpen its
focus
 Create value by ensuring
new and emerging risks
are identified and
managed.
Condition: Class room based interactive environment
Performance: To impact transition from compliance

based to risk based surveillance program
Standard: ICAO - Manual of Procedures for

surveillance, FSF – Basic Aviation risk standards
The Aviation system
Law and Regulations
Financing and Accounting

Safety
Aviation Performance Airline Business Management
and Management
Ground Operations
Airline Operations Cargo Security

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and Quality ,
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Airport Planning,
Management and
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Operations
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Environment and Fuel
Dangerous Good Regulations
A i r N a v i g a t i o n Services Tr a v e l a n d To u r i s m
Civil Aviation Authorities

F a r e s a n d Tic k e t in g
Organization management system
• Management system • External monitoring
• Management commitment • Product control
• Roles and responsibilities • Data management
• Safety performance • Documentation system
• Resource management • Records system
• Outsourcing management • Hazard identification
• Emergency response • Risk assessment and mitigation
• Quality assurance • Flight data analysis
Organization management system
• Specific risk assessments • Management review
• Occurrence handling • Safety communication
• Cyber security risk management • Training
• Effectiveness
Operations control
-e .
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Accidents & Serious Incidents involving operator
B38M, en-route south east of Addis Ababa Ethiopia, 2019

B789, Oslo Norway, 2018
B763 / A320, Delhi India, 2017
B763, Addis Ababa Ethiopia, 2014
B788, London Heathrow UK, 2013
B738, en-route, south west of Beirut Lebanon, 2010


Definition
Safety oversight. A function performed by a State to ensure
that individuals and organizations performing an aviation
activity comply with safety-related national laws and
regulations.
Surveillance. The State activities through which the State

proactively verifies through inspections and audits that
aviation license, certificate, authorization or approval holders
continue to meet the established requirements and function at
the level of competency and safety required by the State.
Trends examples
Significant lay-offs or turnover of Inadequate maintenance of an aircraft
personnel Shortage of supplies and spare parts
Delay in meeting payroll Curtailment or reduced frequency of
Reduction of safe operating standard revenue flights
Decreasing standards of training Sale or repossession of aircraft or
Withdrawal of credit by suppliers other major equipment items
Definition
In aviation safety and security, surveillance refers to the ongoing process of
monitoring and evaluating threats, vulnerabilities, and risks. It's not a one-time
assessment but rather a systematic approach that ensures constant vigilance.
Definition
Monitoring: This involves gathering information on potential threats and
vulnerabilities. This could involve security screening data, maintenance reports,
intelligence briefings, and even social media monitoring for potential threats.
Definition
Evaluation: The collected information is continuously analyzed to assess the
evolving risk landscape. This analysis considers factors like changes in
technology, new security threats, and accident trends.
Definition
Adaptation: Based on the evaluation, safety and security measures are
adjusted as needed. This could involve implementing new security protocols,
updating training procedures, or modifying aircraft maintenance schedules.
Trajectory of Technical failures & human error
Definition of RBS
A risk-based approach prioritizes efforts based on the likelihood and severity of
potential threats. Here's how it works:
Definition of RBS
Definition of RBS
Identify risks: This involves pinpointing vulnerabilities and threats that could
cause harm. Examples include security breaches, system failures, or physical
accidents.
Analyze risks: Each risk is evaluated based on its likelihood of occurring and the
potential severity of the consequences.
Prioritize resources: Based on the risk analysis, resources are focused on
mitigating the most significant risks. This could involve implementing security
controls, improving safety procedures, or designing systems with redundancy.
Benefits of continuous surveillance
Proactive approach: By constantly monitoring and evaluating, aviation
authorities can identify and address potential problems before they occur.
Adaptability: The industry can stay ahead of emerging threats by continuously
adapting its safety and security measures.
Improved decision-making: Data-driven insights from continuous surveillance
inform better decisions about resource allocation and risk mitigation strategies
Examples of continuous surveillance in aviation:
Security agencies monitoring passenger screening data for suspicious patterns.

Aviation authorities analyzing accident reports to identify trends and
implement preventative measures.
Airlines conducting regular inspections of aircraft and airport facilities.
Air traffic control monitoring weather patterns and airspace anomalies.
Definition of Threat, Vulnerability and Risk
Threat: A potential cause of harm to people, property, or the operation itself. Threats
in aviation can be intentional (e.g., terrorism) or unintentional (e.g., severe weather).
Vulnerability: A weakness in a system, procedure, or element that could be exploited

by a threat. For example, a vulnerability in security screening procedures could allow
prohibited items to be brought on board. In safety, a vulnerability could be a design
flaw in an aircraft or a gap in pilot training.
Risk: The combination of the likelihood of a threat occurring and the severity of the
consequences if it does. High-risk situations involve threats that are both likely and
have serious consequences. For instance, the risk of a bird strike with a large engine is
considered higher than a lightning strike on a wingtip because of the greater potential
damage.
Definition of Threat, Vulnerability and Risk
Benefits of RBS
Focuses on what matters most: By prioritizing the biggest threats, organizations
can ensure they're addressing the most critical safety and security concerns.
Optimizes resource allocation: Resources aren't wasted on addressing every
minor risk. Instead, they're directed towards areas with the greatest potential
for harm.
Adapts to changing threats: The risk landscape constantly evolves. A risk-based
approach allows for ongoing evaluation and adjustments to safety and security
measures.


Documentation System
• Does your organization make the correct document information available
at the point of need?
• Does the organization’s documentation encourage ownership of the

Compliance Management system across the organization?
• Does your organization effectively manage document change from the

initial request, through drafting, approval, distribution and publishing?
Documentation System
• Does your organization’s documents enable people to consistently “do the right
things, right”?
• Does your organization’s documents reduce the bureaucratic burden of managing

Document Control within a Compliance Management environment?
Asset Management System
• Does your organization have a system which is easy to use and capable of
demonstrating that all assets & equipment having an impact on the quality of
service you provide are utilized, controlled and monitored in line with required
guidelines set by you and / or the manufacturers ?
• Does your organization have a mechanism to highlight to the appropriate person,
due visual, calibration or safety tests for assets and equipment?
• Does your organization have a mechanism to highlight and flag all assets and
equipment which are overdue service checks and provide details of their last
known location to management?
Asset Management System
• Does your organization have a chronological and historical record of all services,
tests and inspections carried out on each assets and equipment item, enabling
organizations to justify adjustments to scheduled service intervals?
• Does your organization have a direct link from the asset and equipment register
record to the specific revision controlled operating instructions, in order to assist
with staff training and reduce errors?
• Does your organization have a direct link from the asset and equipment register
record to the specific revision controlled instruction for servicing, calibration and
safety?
• Does your organization have a useful central register for all assets and equipment,
irrespective of whether they have direct impact on the quality of service you
provide?
People / Training
• Does your organization have a system which is easy to use and allows the
organization to demonstrate that their employees are adequately trained and
experienced enough to carry out their job function(s)?
• Does your organization have a chronological and historical record of each
individual’s formal qualifications, experiences and training episodes?
• Does your organization have a mechanism to manage, review and identify
additional training needs for an individual, team or organization on a regular,
systematic and timely basis?
People / Training Cont’d
• Does your organization have a mechanism to schedule, populate, conduct and
record training events in a controlled and effective manner?
• Does your organization have a capability to manage the competency of
individuals, teams and the overall organization?
• Does your organization have a mechanism to automatically identify employees,
suppliers or sub-contractors impacted by changes to working practices or
processes and to instigate relevant training as appropriate?
Supplier Management System
• Does your organization maintain a register of current approved suppliers and a
historical record of suppliers performance?
• Does your organization quickly and easily capture issues or concerns relating to
the quality of products or services offered by suppliers?
• Does your organization highlight suppliers deemed unsuitable based on previous
performance?
Supplier Management System
• Does your organization report on supplier issues collectively or in isolation to
assist in the identification of weak internal practices that contribute to one or
more suppliers producing or providing unsuitable products or services?
• Do you help your organization prepare for supplier reviews / audits and manage
any resultant actions through to closure?
• Do you allow organizations and suppliers to work together to develop win/win
situations?
Customer Management System
• Does your organization maintain a register of customer complaints AND a register
of customer compliments?
• Does your organization simply capture issues or concerns relating to the quality of
products or services sold or provided to customers and to help ensure each one is
addressed effectively and efficiently?
• Does your organization capture customer compliments quickly and easily and
make them available for testimonials, endorsements and marketing materials?
Customer Management System
• Does your organization report on customer issues collectively or in isolation to
assist in the identification of weak internal practices that contribute to one or
more customers reporting or tolerating unsuitable products or services?
• Are you prepared for customer reviews / audits and manage any resultant actions
through to closure?
• Do you enable organizations and customers to work together to develop win/win
situations?
Workload Management System
• Does your organization have a central source to manage and continually monitor
workload throughout the organization?
• Does your organization have a way to remind individuals and management of
outstanding actions?
• Does your organization have the means to escalate actions not being addressed
to appropriate management?
Workload Management System
• Does your organization have the ability to report all actions completed across the
management system during the previous week / month / quarter /year etc ?
• Does your organization have the capacity to escalate an excessive number of
related problems to management for investigation?
• Does your organization avail relevant information to each individual to encourage
engagement with, and contribution to, the Compliance Management system?
Occurrence and incident Mgmt System
• Does your organization enable the rapid creation of any Occurrence Report ?
• Does your organization ensure that completed Occurrence Reports are submitted
with sufficient information to commence an investigation?
• Does your organization allow reported occurrences to be managed individually or
as part of a collective incident?
Occurrence and incident Mgmt System
• Does your organization ensure that classifiers, descriptors and risk ratings are
assigned to incidents based on your own organization's methodology?
• Does your organization track, manage and implement all actions and findings
identified during an incident investigation?
• Does your organization allow incident findings to be analyzed alongside other
findings, including internal audit and identified non-compliances?
Audit Management System
• Does your organization have a central repository for all Audit information and
would allow organizations to demonstrate system compliance with minimum
overheads and disruption?
• Is your organization capable of managing internal, external and 3rd party Audits
across one specific or any number of Compliance Management systems?
Audit Management System
• Does your organization embrace the Audit function as the vehicle to identify
potential improvements in systems, processes, equipment, materials and people?
• Does your organization report on positive Audit results in addition to managing
any issues that may arise through to conclusion?
• Does your organization manage the complete Audit lifecycle from scheduling,
planning and conducting the Audit, to reporting and following up actions through
to conclusion?
CA/PA Management System
• Does your organization’s employees log events that would benefit from further
scrutiny and action?
• Does your organization’s system quickly and easily capture events from all aspects
of the business?
• Is your organization able to report on issues from each aspect of the organization
in isolation but also collectively, and in doing so avoid connections missed when
operating duplicate systems?
CA/PA Management System
• Does your organization inform appropriate people of issues specific and relevant
to them and consequently help avoid repeat occurrences of mistakes?
• Does your organization encourage a culture of learning and continuous
Improvement and in doing so reduce organizational risk by preventing problems
from occurring, resulting in better customer experiences and improved financial
performance?


Components of risk based surveillance program
1. Data Collection and Analysis
• Gather data on safety performance, organizational factors, and external threats.
• Analyze data to identify trends and patterns of risk.
2. Risk Assessment
• Develop a methodology for assessing the risks associated with different aviation operations.
• Use the results of the risk assessment to prioritize oversight activities.
3. Surveillance Activities
• Conduct a variety of surveillance activities, such as inspections, audits, and analyses of safety data.
• Tailor surveillance activities to the specific risks identified for each aviation entity.
4. Corrective Action
• Take appropriate corrective action to address any safety deficiencies that are identified.
• Monitor the effectiveness of corrective actions.
5. Continuous Improvement
• Regularly review and update the RBSP to ensure that it remains effective.


Day 2: Risk Assessment in Aviation
Introduction to risk management concepts

Risk assessment methodologies for aviation (e.g., FMEA, Bow Tie Analysis)
Identifying and analyzing safety risks in the aviation industry
Data collection and analysis for risk assessment
Risk management concepts
Risk: Uncertainty about the future that can have a positive or negative impact
on your objectives.
Identify Risks: Brainstorm and actively search for potential risks that could
affect your project, organization, or personal goals.
Assess Risks: Analyze the likelihood (probability) of each risk occurring and the
potential severity (impact) of its consequences.
Risk Avoidance: Eliminate the risk entirely if possible.
Risk Mitigation: Reduce the likelihood or impact of the risk.
Risk Transfer: Share the risk with another party (e.g., insurance).
Risk Acceptance: Decide to live with the risk if the potential consequences are
minor or unavoidable.
Implement and Monitor: Put your risk response plan into action and track the
effectiveness of your strategies. Regularly review and update your plan as
needed.
Risk Appetite: The level of risk an organization or individual is comfortable
taking on.
Risk Tolerance: The specific amount of negative impact an organization or
individual is willing to accept for a particular risk.
Risk Register: A documented list of identified risks, their assessments, and
planned responses.
Proactive vs. Reactive Risk Management: Proactive management identifies and
addresses risks before they occur, while reactive management focuses on
responding to them after they happen.
Risk Assessment Methodologies for Aviation
1. FMEA (Failure Modes and Effects Analysis):
Focuses on identifying potential failures within a system (aircraft component,
procedure)
Analyzes the effects of these failures on overall operations
Assigns a severity ranking (e.g., catastrophic, major, minor) and likelihood (e.g.,
frequent, occasional, remote) to each failure mode
Helps prioritize mitigation strategies for high-risk failures
2. FTA (Fault Tree Analysis):
Creates a visual logic diagram depicting how a specific undesired event
(accident) can occur
Analyzes the sequence of events and contributing factors leading to the
accident
Identifies critical weaknesses and potential points of intervention to prevent
the accident
3. Bowtie Analysis:
Combines aspects of FMEA and FTA in a single diagram

Top section (bow) shows potential hazards and their control barriers
(preventive measures)
Bottom section (tie) depicts accident scenarios if control barriers fail
Bow Tie Analysis
Bow Tie Analysis
Risk Assessment Methodologies for
Aviation
4. SHIELD (Systematic Hazard Identification, Evaluation, and Limiting
Decisions):
Comprehensive approach focusing on hazard identification

throughout the aviation system
Analyzes safety barriers and their effectiveness in preventing
accidents
Provides a structured framework for risk assessment across various
aviation activities
Risk Assessment Methodologies for
Aviation
5. SCAS (Safety Culture Assessment Scorecard):
Assesses the overall safety culture of an aviation organization

Evaluates leadership commitment, risk reporting practices, and
employee engagement in safety matters
Identifies areas for improvement to foster a proactive safety culture
Identifying safety risks in the aviation industry
Results of audits;
Findings from operational inspections and investigations;
Operational feedback;
Incidents and near-miss reports;
Changes in regulatory policy or civil aviation legislation;
Process performance and organizational conformance;
Status of corrective and preventative actions;
Results from implementation or rehearsal of the emergency response plan
(ERP);
Follow-up actions from previous management reviews;
Feedback and recommendations for management system improvement;
Analyzing safety risks
Data collection and analysis for risk assessment
Analysing Major & Significant Safety Risk
Controls


Day 3: Developing and Implementing an RBS
Program
Designing a risk-based surveillance program
Defining the scope and objectives of surveillance activities
Developing risk-based inspection plans and checklists
Selecting appropriate surveillance tools and techniques
Program
Program
Designing a Risk-Based Surveillance Program
1. Foundational Elements:
Data is King: Establish a data management system to collect information from

various sources. This could include safety reports, incident databases, flight
data analysis programs, and operational statistics of aviation service providers.
Standardized Framework: Align your program with international standards set
by the International Civil Aviation Organization (ICAO) for Safety Risk-Based
Surveillance (SRBS) [ICAO SRBS]. This ensures consistency and global
compatibility.
2. Risk Assessment:
Organizational Risk Profiles: Develop a system to assess the risk profile of each
aviation entity you oversee (airlines, airports, maintenance organizations etc.).
Consider factors like:
Size and complexity of operations
Historical safety performance
Safety management system maturity
Exposure to specific hazards (e.g., frequent bad weather operations)
3. Surveillance Planning:
 Prioritization: Based on the risk profiles, prioritize which entities require more
intensive oversight. High-risk organizations will receive more frequent and in-
depth inspections.
 Tailored Surveillance: Design your surveillance activities to address the specific
risks identified for each entity. This could involve:
On-site inspections focusing on critical areas like maintenance procedures or
pilot training.
Document reviews to assess compliance with regulations.
Data analysis to identify trends and emerging risks.
4. Continuous Improvement:
Feedback Loop: The program should be cyclical. Use findings from inspections
and data analysis to update risk profiles and refine your surveillance strategies.
Performance Monitoring: Track the effectiveness of your program. Measure if
it's leading to a reduction in safety risks and incidents.
Additional Insights:
Collaboration: Maintain open communication with the aviation industry. Share

your risk assessments and involve them in developing mitigation strategies.
Progressive Approach: If you're new to RBS, start by implementing it for a

specific sector (e.g., airlines) and gradually expand.
Scalability: The program should be adaptable to accommodate future growth

and changes within the aviation sector.
Defining the Scope and Objectives of Aviation
Surveillance Activities
Scope:
The scope of aviation surveillance activities outlines the boundaries of what your program will
cover. Here's a breakdown of key areas to consider:
Industry Segments: Specify which parts of the aviation industry your program will oversee.
This could include airlines, airports, air traffic control (ATC), maintenance providers, and pilot
training organizations.
Activities Covered: Define the specific activities within each segment that will be subject to
surveillance. Examples include aircraft maintenance procedures, pilot training programs, air
traffic control operations, and airport safety protocols.
Level of Detail: Determine the depth of your surveillance for different entities. High-risk
organizations might undergo more comprehensive inspections, while low-risk ones might
Defining the Scope and Objectives of Aviation
Surveillance Activities
Main Considerations:
Data-Driven Approach: The scope and objectives should be based on a

comprehensive analysis of safety data, incident reports, and historical trends.
Proportionality: The intensity of surveillance should be proportionate to the
identified risk level of each entity. Don't overburden low-risk entities with
excessive oversight.
Transparency: Clearly communicate the scope and objectives of your program
to all stakeholders within the aviation industry.
By clearly defining the scope and objectives of your aviation surveillance
program, you create a targeted and effective approach to ensure the safety of the
Developing risk-based inspection plans and
checklists
1. Preparation:
Data Gathering: Compile information on:
Regulations and Standards: Reference international standards from ICAO (e.g.,
[ICAO Annex 6]) and national aviation authority regulations.
Industry Best Practices: Review industry guidelines and recommendations for
specific areas like maintenance or pilot training.
Safety Data: Analyze historical safety reports, incident databases, and audit
findings to identify recurring issues and high-risk areas.
Organizational Risk Profiles: Understand the specific risks associated with each
aviation entity you oversee (airlines, airports, maintenance facilities etc.).
checklists
1. Preparation:
Data Gathering: Compile information on:
Regulations and Standards: Reference international standards from ICAO (e.g.,
[ICAO Annex 6]) and national aviation authority regulations.
Industry Best Practices: Review industry guidelines and recommendations for
specific areas like maintenance or pilot training.
Safety Data: Analyze historical safety reports, incident databases, and audit
findings to identify recurring issues and high-risk areas.
Organizational Risk Profiles: Understand the specific risks associated with each
aviation entity you oversee (airlines, airports, maintenance facilities etc.).
checklists
3. Checklist Development:
 Standardized Structure: Create a standardized checklist format for consistency

across inspections.
 Content: Include relevant questions, tasks, and verification points that address
the inspection objectives and scope.
 Risk-Based Prioritization: Prioritize checklist items based on risk. Critical safety
items should be at the top and reviewed meticulously.
 Clear Documentation: Ensure checklist items are clearly worded, easy to
understand, and leave no room for misinterpretation.
checklists
4. Implementation and Continuous Improvement:
Inspector Training: Ensure inspectors are adequately trained on using the

checklists, understanding relevant regulations, and effectively conducting risk-
based inspections.
Non-punitive Approach: Focus on promoting safety improvement, not
punishment. Use findings to identify areas for improvement and collaborate
with aviation entities to address them.
Data Feedback Loop: Analyze inspection data to identify trends and emerging
risks. Use this information to update risk profiles and refine future inspection
plans and checklists.
checklists
Flexibility: Allow inspectors to adapt the checklist based on real-time

observations during the inspection.
Technology Integration: Consider using electronic checklists on tablets for
improved data collection and analysis.
Industry Feedback: Involve industry stakeholders in reviewing and refining your
inspection plans and checklists to ensure their effectiveness.
Selecting Appropriate Surveillance Tools and
Techniques in Aviation
Aviation safety relies on a multi-layered approach, and choosing the right
surveillance tools and techniques is crucial for identifying and mitigating risks.
Here's a guide to help you make informed decisions:
1. Risk Assessment:
Foundation for Selection: The selection process hinges on the specific risks you're
targeting. Analyzing historical data, incident trends, and the risk profiles of
aviation entities will guide your choices.
2. Available Tools and Techniques:
Here's a breakdown of some common tools and techniques used in aviation
surveillance, categorized by their focus:
Physical Inspections: On-site inspections remain a cornerstone of aviation
surveillance. Inspectors can visually assess facilities, equipment, and
procedures for compliance with regulations.
Document Reviews: Examining maintenance records, training manuals, safety
management system documents, and operational procedures can reveal
potential safety gaps.
Data Analysis: Advanced analytics of flight data, operational data, and safety
reports can uncover hidden trends and patterns that might signify emerging
risks.
2. Available Tools and Techniques:
Surveillance Technologies:
 Flight Data Monitoring (FDM): Analyzes recorded flight data to identify
deviations from standard operating procedures and potential safety issues.
 Air Traffic Management (ATM) Surveillance: Radar and other systems track
aircraft movements for safety separation and potential conflict identification.
 CCTV (Closed-Circuit Television): Monitors key areas in airports and restricted
zones for security purposes.
3. Selecting the Right Tool:
Match Tool to Risk: Choose tools that directly address the risk you're trying to
mitigate. Don't overburden entities with irrelevant surveillance.
Efficiency and Cost: Consider the cost-effectiveness of each tool. For high-risk
areas, intensive data analysis might be justified, while simpler inspections
might suffice for low-risk situations.
Data Integration: Ensure the chosen tools can integrate with your data
management system for seamless analysis and trend identification.
Privacy Considerations: Be mindful of privacy regulations when selecting
surveillance tools and techniques. Ensure data collection and use is transparent
4. Additional Considerations:
 Human Expertise: Technological tools are powerful, but experienced inspectors

are irreplaceable. Combine data and human analysis for optimal results.
 Training and Resources: Ensure inspectors are adequately trained to use the
chosen tools and interpret the data they generate.
 Communication and Collaboration: Communicate your surveillance strategy to
the aviation industry and collaborate with them to build trust and encourage a
culture of safety.
By carefully considering the risks and available tools, you can select a surveillance
mix that is both effective and efficient in promoting aviation safety. Remember,


Day 4: Conducting Risk-Based Inspections
Pre-inspection planning and preparation
Conducting effective inspections
Communication skills for inspectors
Documenting inspection findings
Pre-Inspection Planning and Preparation in
Aviation
Effective pre-inspection planning and preparation are crucial for ensuring a smooth, efficient, and thorough
aircraft inspection. Here's a guide to help you get ready:
1. Gather Information:
 Aircraft Type and Maintenance Program: Identify the specific aircraft type you'll be inspecting. Review the
relevant aircraft maintenance program (AMP) or manufacturer's maintenance manuals (MM). This will
outline the specific inspections required and their intervals.
 Previous Inspections and Maintenance Records: Review the aircraft's technical logbook for any recent
inspections, defects reported, and corrective actions taken. This helps identify areas that might require
closer scrutiny.
 Weather Conditions: Be aware of the expected weather conditions during the inspection. Extreme cold,
rain, or strong winds might limit access to certain areas or require additional precautions.
 Personnel and Equipment: Ensure you have the necessary personnel with the appropriate qualifications and
experience for the planned inspection. Prepare all the required tools, equipment, and inspection aids
(flashlights, mirrors, borescopes, etc.)
 Permits and Authorizations: Certain inspections might require specific permits or authorizations. Secure
Aviation
2. Develop an Inspection Plan:
Scope of Inspection: Define the specific areas or systems you'll be focusing on during the
inspection. This could be a routine inspection, a post-maintenance check, or a specific
component inspection.
Task Breakdown: Break down the inspection into smaller, manageable tasks. This helps
ensure all areas are covered systematically and efficiently.
Inspection Sequence: Plan the order in which you'll perform the inspections. This could
be based on accessibility, logical workflow, or minimizing disruption to ongoing
maintenance activities.
Documentation Requirements: Identify the forms and documentation required to record
your inspection findings. Ensure you have these readily available and understand the
Aviation
3. Communication and Coordination:
Briefing: If working with a team, conduct a pre-inspection briefing to discuss

the plan, task allocation, safety protocols, and communication channels.
Maintenance Personnel: Coordinate with any maintenance personnel who
might be working on the aircraft. Ensure clear communication to avoid any
conflict or safety hazards.
Flight Operations: If the inspection requires grounding the aircraft, notify flight
operations in advance to minimize disruption to flight schedules.
Aviation
4. Additional Tips:
 Personal Protective Equipment (PPE): Wear appropriate PPE based on the
specific tasks involved. This could include gloves, safety glasses, respiratory
protection, etc.
 Lighting and Access: Ensure adequate lighting for the inspection area. Prepare
for situations where you might need additional access platforms or ladders.
 Safety First: Always prioritize safety during the inspection. Be aware of
potential hazards and take necessary precautions.
 Unexpected Findings: Have a plan for documenting and reporting any
unexpected findings or discrepancies identified during the inspection.
Conducting effective inspections
Here's a guide to ensure your inspections are thorough, efficient, and contribute
to a safe operating environment:
 Pre-Inspection:
Preparation is Key (Refer to previous guide): Ensure thorough pre-inspection
planning and preparation have been completed (see previous guide on pre-
inspection planning).
During Inspection:
Systematic Approach: Follow the pre-defined inspection plan, meticulously checking each area or
system according to the relevant manuals and procedures.
Visual Inspection: Perform a thorough visual inspection of all components, looking for signs of wear,
damage, corrosion, leaks, or any abnormalities. Utilize appropriate inspection aids like flashlights,
mirrors, and borescopes when necessary.
Functional Checks: Where applicable, conduct functional checks to verify the proper operation of
systems and components.
Documentation: Record all your findings meticulously. Use standardized forms and document all
observations, including discrepancies, measurements taken, and reference codes from manuals.
Attention to Detail: Maintain a meticulous approach, paying close attention to detail throughout the
inspection. Don't overlook seemingly minor issues that could potentially develop into bigger
problems.
Communication: Maintain clear communication with your team members (if any) during the
Post-Inspection:
Evaluation and Analysis: Analyze your inspection findings to identify any
discrepancies or potential safety hazards.
Reporting: Complete the required inspection reports, accurately documenting all
observations and findings.
Corrective Action: If discrepancies are found, initiate corrective actions as per
established procedures. This might involve grounding the aircraft, scheduling
repairs, or issuing maintenance requests.
Follow-up: Depending on the severity of findings, follow up on corrective actions
to ensure proper resolution.
Continuous Improvement: Review your inspection experience and identify
Professionalism and Courtesy: Maintain a professional and courteous
demeanor throughout the inspection. This fosters a positive working
environment and encourages open communication.
Adaptability: Be prepared to adapt your inspection approach based on
unexpected findings or unforeseen circumstances.
Safety First: Never compromise safety during the inspection. If you encounter
any situations that jeopardize safety, immediately stop the inspection and
report the issue to the appropriate authorities.
Communication Skills for Aviation Inspectors:
Ensuring Clarity and Safety
Strong communication skills are essential for aviation inspectors. Here's a guide
to fostering clear communication during inspections and beyond:
 Active Listening:
Pay close attention to what mechanics, pilots, or other personnel are saying
during the inspection.
Ask clarifying questions to ensure you understand their concerns or
observations.
Avoid interrupting; allow them to fully explain their points.
 Clear and Concise Communication:
Use clear, concise, and professional language when explaining procedures,
asking questions, or reporting findings.
Avoid technical jargon unless the audience understands it.
If a discrepancy is found, explain the issue in a way that is easy to understand
and emphasizes the potential safety implications.
 Adapting Communication Style:
Tailor your communication style to your audience. Use more technical language
with experienced personnel and simpler terms with those less familiar with
aviation terminology.
Be mindful of cultural differences if working in a multicultural environment.
 Maintaining a Professional Demeanor:
Project a professional and confident demeanor throughout your interactions.

Be respectful and courteous even when dealing with challenging situations.
Avoid accusatory language or assigning blame. Focus on identifying solutions.
 Effective Documentation:
Use standardized forms and reports accurately and consistently.

Ensure your documentation is clear, concise, and easy to understand for others
reviewing the inspection findings.
Include photographs or diagrams to further clarify complex issues.
 Collaboration and Teamwork:
Foster a collaborative and teamwork-oriented environment during inspections.

Encourage open communication with mechanics and other personnel.
Value their input and expertise as they may have valuable insights from their
daily experience with the aircraft.
 Reporting Issues:
If you identify a serious safety concern, report it immediately to the

appropriate authorities using clear and concise language.
Follow established protocols for reporting discrepancies and ensure proper
documentation is completed.
 Conflict Resolution:
If disagreements arise during the inspection, remain calm and professional.
Focus on finding a solution that prioritizes safety and ensures compliance with
regulations.
If necessary, escalate the issue to a supervisor for further guidance.
 Effective Communication Benefits:
Clear communication promotes a positive working environment and builds

trust with other personnel.
It ensures everyone involved understands the findings and their safety
implications.
Accurate and thorough documentation facilitates efficient resolution of
discrepancies and promotes continuous improvement in maintenance practices.
Elements of a Value Adding Inspection
findings
 Criteria
 Condition
 Cause
 Effect/impact/risk
Criteria:-
 is prescriptive in nature.
 What should exist?
 It should contain two concepts:
 Valid standards guiding the performance
 The level of the quality of the accomplishment
 A yardstick of what should be.

Condition
 Is descriptive in nature.
 What is it?
 Facts and figures determined based on

auditor actions.
 Heart of a finding & withstands any attack.
 Representative of the total population.

Cause
 Is diagnostic in nature.
 Why the difference exists?
 Essential for the cure.
 Determining cause is a problem solving

exercise
2023-09-20 Issue 1 Rev 1 Bereket Woldeselassie

Effect/Impact/Risk
 Is predictive in nature
 so what?
 Who or what gets hurt and how badly?
 Effect is the element needed to

convince clients for corrective action.
2023-09-20 Issue 1 Rev 1 Bereket Woldeselassie



Day 5: Evaluation and Improvement of RBS
Programs
Analyzing inspection findings and identifying corrective actions
Developing enforcement measures for non-compliance
Evaluation of the effectiveness of RBS programs
Continuous improvement of RBS programs
Analyzing Inspection Findings
1. Gather Information:
 Review all inspection documentation, including notes, observations,

measurements, and photographs.
 Consult relevant manuals and maintenance programs (AMP/MM) for specific
guidance on component tolerances and limitations.
 If applicable, gather information from discussions with mechanics, pilots, or
other personnel involved in the inspection.
2. Evaluate Severity:
Assess the severity of each finding based on its potential impact on aircraft
safety and operational performance.
Consider factors like the location of the discrepancy, the extent of damage, and
the potential for failure.
Categorize findings based on severity (e.g., immediate grounding, deferred
maintenance, further investigation).
3. Root Cause Analysis:
Don't just address the symptoms. Dig deeper to identify the root cause of the
discrepancy.
This could be a manufacturing defect, improper maintenance practice, wear
and tear, or environmental factors.
4. Trend Analysis:
Look for trends in inspection findings across different aircraft or within the
same fleet.
Identifying recurring issues can help pinpoint systemic problems or areas
needing improvement in maintenance procedures
Identifying Corrective Actions:
1. Refer to Regulations and Manuals:
Consult relevant aviation regulations and manufacturer's maintenance manuals

(MM) for specific guidance on corrective actions for identified discrepancies.
2. Prioritize Actions:
Based on the severity assessment, prioritize the corrective actions required to

address the findings.
Immediate safety concerns should be addressed first.
3. Develop a Corrective Action Plan (CAP):
Create a documented plan outlining the specific actions to be taken, the

personnel responsible, and the timeframe for completion
4. Effectiveness of Action:
Consider the effectiveness and feasibility of the proposed corrective action.

Will it permanently address the root cause of the issue? Are the resources
readily available?
4. Effectiveness of Action:
Consider the effectiveness and feasibility of the proposed corrective action.

Will it permanently address the root cause of the issue? Are the resources
readily available?
5. Preventative Measures:
Explore ways to prevent similar issues from recurring in the future.

This could involve revising maintenance procedures, implementing additional
inspections, or improving training programs
Developing effective enforcement measures for
non-compliance
Maintaining compliance with aviation safety regulations is paramount. Here's a
guide to developing effective enforcement measures for non-compliance:
 Defining Non-Compliance:
Clearly define what constitutes non-compliance in your specific context. This
could be violations of regulations, deviations from approved procedures, or
failure to meet maintenance standards.
Categorize non-compliance based on severity (minor, major, severe) to
determine the appropriate enforcement response.
 Enforcement Hierarchy:
Implement a graduated enforcement hierarchy with escalating consequences
based on the severity of non-compliance. This promotes a corrective, rather
Enforcement Options:
Here are some potential enforcement measures, categorized by severity:
 Minor Non-Compliance:
Issuing warnings or advisory letters.
Requiring corrective action plans with specific timelines.
Increased surveillance or inspections.
 Major Non-Compliance:
Imposing fines or penalties.
Suspending or revoking licenses or certifications.
Grounding aircraft until corrective actions are implemented.
 Severe Non-Compliance:
Legal action against individuals or organizations.
Public disclosure of non-compliance incidents in severe cases.
Considerations for Effective Enforcement:
Clarity and Transparency: The enforcement process should be well-defined,
transparent, and communicated effectively to all stakeholders.
Proportionality: Enforcement actions should be proportionate to the severity of
the non-compliance.
Fairness and Consistency: Ensure consistent and fair application of enforcement
measures across all entities.
Deterrence: Enforcement measures should aim to deter future non-compliance
by promoting a culture of safety.
Clarity and Transparency: The enforcement process should be well-defined,
transparent, and communicated effectively to all stakeholders.
Proportionality: Enforcement actions should be proportionate to the severity of
the non-compliance.
Fairness and Consistency: Ensure consistent and fair application of enforcement
measures across all entities.
Deterrence: Enforcement measures should aim to deter future non-compliance
by promoting a culture of safety.
 Effective Communication:
Clearly communicate enforcement actions to relevant parties, including the entity found non-
compliant, industry stakeholders, and the public (if necessary).
Explain the rationale behind the enforcement action and the desired corrective actions.
 Continuous Improvement:
Regularly review and update enforcement measures based on their effectiveness in promoting
compliance.
Analyze trends in non-compliance to identify areas where regulations or procedures might
need improvement.
Utilize data from enforcement actions to target interventions and educational programs.
 Collaboration:
Collaborate with other aviation regulatory bodies to share best practices and ensure
consistency in enforcement across different jurisdictions.
 Effective Communication:
Clearly communicate enforcement actions to relevant parties, including the entity found non-
compliant, industry stakeholders, and the public (if necessary).
Explain the rationale behind the enforcement action and the desired corrective actions.
 Continuous Improvement:
Regularly review and update enforcement measures based on their effectiveness in promoting
compliance.
Analyze trends in non-compliance to identify areas where regulations or procedures might
need improvement.
Utilize data from enforcement actions to target interventions and educational programs.
 Collaboration:
Collaborate with other aviation regulatory bodies to share best practices and ensure
consistency in enforcement across different jurisdictions.
Evaluation of the effectiveness of RBS programs
 Data Collection and Analysis:
Data Quality: Assess the comprehensiveness and accuracy of data used for risk
assessments. This includes incident reports, safety audits, flight data analysis,
and maintenance records.
Risk Assessment Methodology: Evaluate the methodology used to identify
hazards, analyze likelihood and severity of consequences, and prioritize risks.
Data Sharing: Ensure smooth information flow between regulators, airlines,
and other stakeholders for a holistic risk picture.
 Surveillance Activities:
Targeting: Assess if surveillance activities prioritize high-risk areas identified

through the RBSP.
Focus: Evaluate if inspections and audits delve deeper into areas with greater
safety concerns.
Resource Allocation: Analyze if resources (personnel, expertise) are efficiently
allocated based on identified risks
 Program Outcomes:
Safety Performance: Track key safety metrics like accident rates, incidents, and
near misses. Look for a decrease in these events after RBSP implementation.
Corrective Actions: Evaluate the effectiveness of corrective actions taken in
response to RBSP findings. Did they address the identified risks?
Continuous Improvement: Assess if the RBSP is adaptable and incorporates
lessons learned from incidents and safety data to improve future surveillance
activities.
 Additional Considerations:
Industry Engagement: Evaluate the level of collaboration between regulators

and industry players in the RBSP process.
Staff Training: Ensure inspectors and auditors possess the necessary skills and
knowledge to conduct effective risk-based assessments.
Communication: Assess the clarity and effectiveness of communication
between regulators, airlines, and the public regarding RBSP findings and safety
improvements.
 Evaluation Methods:
Performance Measurement: Track safety metrics and compare them to

historical data and industry benchmarks.
Stakeholder Feedback: Conduct surveys and interviews with regulators,
airlines, and other stakeholders to gather insights.
Independent Audits: Engage independent auditors to objectively assess the
RBSP's design, implementation, and effectiveness.
Continuous improvement of RBS programs
 Data-Driven Decisions:
Regular Data Analysis: Schedule regular reviews of safety data (incident

reports, FOQA data) to identify emerging trends and potential new risks.
Benchmarking: Compare your safety performance metrics with industry
benchmarks and best practices to identify areas for improvement.
Leading vs Lagging Indicators: Don't just rely on incident data (lagging
indicators). Integrate proactive data collection (leading indicators) like safety
culture surveys to identify potential problems before they escalate.
 Flexibility and Adaptability:
Review and Update Risk Assessments: Periodically revisit your risk assessment
methodologies and criteria. Are they still capturing the current threats?
Scalability: Ensure your RBSP can adapt to changing industry dynamics, new
technologies, and unforeseen threats.
Lessons Learned: Incorporate learnings from incidents, audits, and near misses
into your RBSP to address similar risks proactively.
 Communication and Collaboration:
Stakeholder Feedback: Regularly solicit feedback from airlines, inspectors, and

other stakeholders on the effectiveness of the RBSP.
Sharing Best Practices: Facilitate knowledge sharing between inspectors and
encourage collaboration within the aviation safety community.
Transparency: Communicate RBSP findings and safety improvements
transparently to the public to build trust and confidence in the aviation system.
 Continuous Improvement Tools:
Root Cause Analysis: When incidents occur, delve deeper to identify root
causes and prevent similar occurrences.
Safety Performance Indicators (SPIs): Develop a set of key safety metrics to
track progress and measure the impact of RBSP interventions.
Technology Integration: Utilize data analytics tools and automation to enhance
data analysis and identify patterns hidden in large datasets.
 Remember:
Invest in Training: Provide ongoing training for inspectors and auditors on the
latest risk assessment methodologies and surveillance techniques.
Maintain Resources: Allocate sufficient resources (personnel, budget) to ensure
the RBSP's long-term sustainability.
Leadership Commitment: Strong leadership commitment from aviation
authorities is crucial for the successful implementation and continuous
improvement of the RBSP.

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Your Course Leader:

Bereket Yoseph (Bek), CRMA, CISA, CIA, CFSA, CCSA, CoPA

Performance: To impact transition from compliance based

Standard: DOC-8335, ICAO - Manual of Procedures for

 What are your expectations out of

 Can you identify the three main contributions of surveillance

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Financing and Accounting

Airline Operations Cargo Security

Environment and Fuel

Dangerous Good Regulations

Civil Aviation Authorities

B38M, en-route south east of Addis Ababa Ethiopia, 2019

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Surveillance. The State activities through which the State

Security agencies monitoring passenger screening data for suspicious patterns.

Vulnerability: A weakness in a system, procedure, or element that could be exploited

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

• Does the organization’s documentation encourage ownership of the

• Does your organization effectively manage document change from the

• Does your organization’s documents reduce the bureaucratic burden of managing

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Introduction to risk management concepts

Combines aspects of FMEA and FTA in a single diagram

Comprehensive approach focusing on hazard identification

Assesses the overall safety culture of an aviation organization

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Data is King: Establish a data management system to collect information from

Collaboration: Maintain open communication with the aviation industry. Share

Progressive Approach: If you're new to RBS, start by implementing it for a

Scalability: The program should be adaptable to accommodate future growth

Data-Driven Approach: The scope and objectives should be based on a

 Standardized Structure: Create a standardized checklist format for consistency

Inspector Training: Ensure inspectors are adequately trained on using the

Flexibility: Allow inspectors to adapt the checklist based on real-time

 Human Expertise: Technological tools are powerful, but experienced inspectors

Performance: To impact transition from compliance

Standard: ICAO - Manual of Procedures for

Briefing: If working with a team, conduct a pre-inspection briefing to discuss

Project a professional and confident demeanor throughout your interactions.

Use standardized forms and reports accurately and consistently.

Foster a collaborative and teamwork-oriented environment during inspections.

If you identify a serious safety concern, report it immediately to the

Clear communication promotes a positive working environment and builds

 What should exist?

 It should contain two concepts:

 Valid standards guiding the performance

 The level of the quality of the accomplishment

 A yardstick of what should be.

 Facts and figures determined based on

 Heart of a finding & withstands any attack.

 Representative of the total population.