Circular No. 53/2011/TT-BGTVT on aviation operation safety

CIRCULAR

Provisions on flight operation safety

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Pursuant to the Civil Aviation Law of Vietnam dated June 29, 2006;

Pursuant to Decree No. 51/2008/NĐ-CP dated April 22, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Pursuant to Decree No. 94/2007/NĐ-CP dated June 4, 2007 of the Government on Air Traffic Management;

The Minister of Transport shall stipulate provisions on flight operation safety as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. This Circular prescribes the management of flight operation safety, preventive measures and enhanced safety, and the responsibilities of organizations and individuals in managing flight operation safety in Vietnam.

2. This Circular applies to organizations and individuals related to flight operations in Vietnam.

Article 2. Abbreviations

In this Circular, the following abbreviations shall be understood as follows:

1. ANS (Air Navigation Services): Flight operation assurance services;

2. HKDD: Civil aviation;

3. ICAO (International Civil Aviation Organization): International civil aviation organization;

4. SMS (Safety Management System): Safety management system.

Article 3. Explanation of Terms

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1. "Safety" means a state wherein the potential for harm to persons or damage to property is reduced and maintained at or below an acceptable level through a continuous process of hazard identification and risk management;

2. "Flight operation assurance services (ANS)" are necessary services to ensure safety, regulation, and efficiency of flight operations, including air traffic control services; information, guidance, surveillance services; meteorological services; aviation news reporting services; search and rescue services;

3. "Enterprise's Safety Management System (SMS) for ANS provision" is a systematic approach to safety management, including policies and objectives, organizational structure and responsibilities, methods to ensure safety for flight operations within the enterprise;

4. "Hazard" is a condition, object, or activity that has the potential to cause injury to persons, damage to equipment or structures, loss of material, or reduction in the ability to perform prescribed functions;

5. "Acceptable safety level" is the minimum level of safety that must be ensured by a system in actual operations;

6. "Safety objective" is determined by considering the desired and actual levels of safety performance for enterprises providing ANS in accordance with the enterprise's safety management system;

7. "Safety risk" is the potential for occurrence of adverse consequences of a predicted hazard in the worst-case scenario;

8. "Safety requirements" are requirements that must be met to achieve safety performance indicators and safety performance targets, including operational methods; technology, technical systems, equipment for flight operation assurance;

Chapter II

MANAGEMENT OF FLIGHT OPERATION SAFETY

Article 4. Contents of flight operation safety management

1. Establishing, amending, and supplementing regulations and guidelines on flight operation safety.

2. Establishing a flight operation safety management system including the flight operation safety supervisor system of the Civil Aviation Administration of Vietnam and the SMS of enterprises providing ANS.

3. Establishing a flight operation safety reporting system.

4. Inspecting and supervising the provision of ANS and flight operations.

5. Managing risks by identifying, assessing hazards and risks causing safety losses; proposing and organizing the implementation of preventive measures against risks and hazards.

6. Inspecting and evaluating the SMS of enterprises providing ANS; monitoring safety; collecting, analyzing, and exchanging safety data.

7. Investigating, analyzing, and evaluating incidents in the field of flight operations and unsafe conditions.

8. Enhancing safety measures by reasonably allocating resources for safety activities; enhancing training and information exchange on safety.

9. Building a safety culture and promoting and disseminating information about safety.

Article 5. Air Traffic Safety Management Process

1. Data collection.

2. Data analysis.

3. Prioritize handling unsafe conditions.

4. Develop and implement safety policies and strategies.

5. Define responsibilities for implementation by the Civil Aviation Administration of Vietnam and air navigation service providers.

6. Evaluate and re-evaluate situations and incidents.

7. Supplement data collection.

Article 6. SMS of Air Navigation Service Providers

1. Air navigation service providers establish and maintain SMS under the guidance and supervision of the Civil Aviation Administration of Vietnam in accordance with this Circular and ICAO guidelines.

2. The components of this system include:

a) Policies and objectives including management responsibility and commitment; safety reporting; designation of key safety personnel; coordination of emergency response plans and SMS documentation;

b) Safety risk management including hazard identification, risk assessment, and risk mitigation;

c) Safety assurance including safety reporting, monitoring and determining safety compliance, change management, and continuous improvement of SMS;

d) Safety promotion including training and education, and safety information exchange.

Article 7. SMS Documentation

1. SMS documentation includes the following contents:

a) General section including issuance decision, record of amendments, table of contents, foreword, explanation of terms and abbreviations;

b) Scope of SMS;

c) Safety policies and objectives;

d) Safety responsibilities;

đ) SMS organization;

e) Document control process;

g) Coordination of emergency response plan development;

h) Hazard identification and risk management diagrams;

i) Safety assurance;

k) Safety performance monitoring;

l) Safety surveillance inspection;

m) Change management;

n) Safety promotion activities;

o) Related activities.

2. Air navigation service providers organize the construction, submit to the Civil Aviation Administration of Vietnam for approval, and implement SMS documentation.

3. The Civil Aviation Administration of Vietnam is responsible for guiding, approving, and supervising the implementation of SMS documentation.

Article 8. Procedure for Approving SMS Documentation

1. Air navigation service providers must submit one set of documents directly or via postal service to the Civil Aviation Administration of Vietnam.

2. The initial approval application for SMS documentation includes:

a) A request for approval of SMS documentation according to the model prescribed in Appendix 1 issued together with this Circular;

b) Draft SMS documentation.

3. The modification and supplementation approval application for SMS documentation includes:

a) A request for approval of modification and supplementation of SMS documentation according to the model prescribed in Appendix 1 issued together with this Circular;

b) Modified and supplemented SMS documentation;

c) Previously approved SMS documentation.

4. From the date of receipt of the documents, within 30 days for initial approval and 10 days for modification and supplementation approval, the Civil Aviation Administration of Vietnam is responsible for reviewing the documents, conducting inspections, evaluations, and deciding on the approval or modification and supplementation approval of SMS documentation for air navigation service providers.

Within five working days from the date of receiving the documents, the Civil Aviation Administration of Vietnam checks the completeness of the documents according to regulations. If the documents are incomplete, the Civil Aviation Administration of Vietnam will notify the air navigation service provider directly or in writing, and the approval period will be calculated from when the documents are complete according to regulations.

In case the documents are accepted, within ten days for initial approval and five days for modification and supplementation approval, the Civil Aviation Administration of Vietnam organizes a review meeting with relevant organizations and enterprises. Based on the results of the review, the Civil Aviation Administration of Vietnam decides on the initial approval or modification and supplementation approval of SMS documentation for air navigation service providers.

During the inspection and evaluation of the documents, the Civil Aviation Administration of Vietnam may request the air navigation service provider to provide additional information or documents to clarify related issues.

Article 9. Inspection and Supervision of Air Traffic Safety Operations

1. The scope of inspection and supervision includes compliance with the provisions of the Civil Aviation Law of Vietnam and other regulatory legal documents, regulations, guidelines, methods, standards, and recommended practices of ICAO for agencies and organizations related to air traffic operations, and the implementation of Safety Management Systems (SMS) by enterprises providing Air Navigation Services (ANS).

2. Regular and spot inspections shall be carried out by air traffic safety supervisors.

3. The contents of inspection and supervision include:

a) Organization and use of airspace;

b) Issuance and execution of civil flight permits;

c) Flight plans including the establishment, implementation, and storage of seasonal, daily, and non-stop flight plans;

d) Pre-flight preparation, flight execution, and post-flight activities;

đ) Provision of ANS including organization and operation of service facilities and service quality;

e) Equipment systems ensuring air traffic operations;

g) Operational documentation systems;

h) Staff training;

i) Staff licenses: operation licenses for technical systems and equipment; operation licenses for ANS service facilities;

k) Reporting systems and SMS;

l) Inspection, investigation, and prevention of incidents in the field of air traffic operations;

m) Obstructions to aviation and other safety management activities related thereto.

4. The Department of Civil Aviation of Vietnam shall issue a manual detailing the procedures for inspection and supervision for air traffic safety supervisors.

Article 10. Air Traffic Safety Supervisor

1. The air traffic safety supervisor is an officer or specialist of the Department of Civil Aviation of Vietnam and airport authorities; appointed by the Director of the Department of Civil Aviation of Vietnam; authorized to perform the function of inspecting and supervising the assurance of air traffic safety operations. The areas of inspection and supervision are clearly recorded on the Air Traffic Safety Operation Supervision Card, including the following specific areas:

a) Air traffic operations (AN);

b) Air traffic management (ATM);

c) Communication, navigation, surveillance (CNS);

d) Aviation Meteorology (MET);

đ) Aeronautical Information Service (AIS);

e) Air Rescue (SAR);

g) Standardized air traffic procedures (PANS-OPS).

2. The air traffic safety supervisor must meet the following requirements regarding qualifications and experience:

a) At least five years of experience in one of the positions within the assigned inspection and supervision areas including airspace organization and use; issuance of flight permits; flight planning; air traffic control; communication, navigation, surveillance; meteorology; information dissemination; search and rescue; standardized air traffic procedures, flight rules;

b) Trained in safety policies, inspection, supervision, and approval procedures in the field of air traffic operations; holding certificates from recognized training institutions or having certificates of qualification for training issued by the Department of Civil Aviation of Vietnam;

c) Proficient in English (reading, understanding, speaking, and listening);

d) Knowledge of the Civil Aviation Law of Vietnam, regulations, and guidelines on safety, incident investigation in the field of air traffic operations;

đ) Ability and experience in developing documents and procedures; conducting inspections and supervision of ANS provision.

3. The air traffic safety supervisor has the following responsibilities and powers:

a) Conducting inspection and supervision activities of air traffic safety operations according to the contents stipulated in Clause 3 of Article 9 of this Circular;

b) Accessing and inspecting any air traffic operation assurance equipment system, ANS service facility, flight permit issuing authority; air traffic activity zones at airports; airport clear zone with air traffic operations;

c) Requesting any staff member of ANS service facilities, pilots to provide relevant documents and evidence related to air safety incidents or serving incident investigations; air traffic safety inspection and supervision work;

d) Inspecting and copying licenses, certificates, technical logs, documents, or files related to air traffic operation management, ANS as prescribed in this Circular.

4. When exercising the powers stipulated in Clause 3 of this Article, the air traffic safety supervisor has the right to recommend the Director of the Department of Civil Aviation of Vietnam to consider suspending flights and suspending the activities of staff, technical systems, equipment, and ANS service facilities related to preventing and stopping threats to flight safety.

5. When performing duties, the air traffic safety supervisor must wear a supervisor card and be responsible for their actions. The Department of Civil Aviation of Vietnam issues air traffic safety operation supervisor cards to air traffic safety supervisors of the Department of Civil Aviation. The format of the air traffic safety operation supervisor card is specified in Appendix 2 attached to this Circular. This card is valid for three years from the date of issuance. The holder of the air traffic safety operation supervisor card will have it revoked in the following cases:

a) No longer meeting the requirements set forth in Clause 2 of this Article;

b) Not being assigned to continue performing the role of air traffic safety supervisor;

c) Violating legal regulations on air traffic safety management.

Chapter III

MEASURES FOR PREVENTION AND ENHANCEMENT OF AIR TRAFFIC SAFETY OPERATIONS

Article 11. Preventive Measures

1. In cases where there is a violation or failure to meet the required standards, regulations, or conditions for issuing licenses for personnel, operating systems of equipment and facilities providing ANS, flight permits, certificates, permission documents, or other documents within the authority of the Civil Aviation Administration of Vietnam, the Director of the Civil Aviation Administration of Vietnam may apply the following measures:

a) Require suspension of flights to prevent threats to flight safety;

b) Temporarily suspend or suspend for a limited period licenses, certificates, permission documents, or other related documents;

c) Revoke licenses, certificates, permission documents, or other related documents;

d) Amend the content and scope of activities of licenses, certificates, permission documents, or other related documents;

đ) Conduct re-inspection to issue again licenses, certificates, permission documents, or other related documents.

2. The application of preventive measures as prescribed in Clause 1 of this Article must be documented in a file, which includes documents clearly stating the nature and severity of the violation being addressed; the process of warning, rectification, or verification of the violation, and the measures already applied for handling.

3. The person subject to handling may appeal against the decision to apply preventive measures in accordance with the laws on appeals and complaints.

Article 12. Measures to Enhance Flight Operation Safety

The Civil Aviation Administration of Vietnam shall apply the following enhanced measures:

1. Printing and organizing the dissemination of regulatory documents guiding flight operation safety to relevant organizations and individuals;

2. Printing and disseminating through appropriate forms the experiences and lessons learned from around the world and in Vietnam related to flight operations to directly involved organizations and individuals;

3. Implementing and supervising the results of implementing safety recommendations from aircraft accident investigations and incidents in the field of flight operations;

4. Summarizing, evaluating, and analyzing annually the implementation of flight operation safety management; organizing the rectification of limitations and making proposals to improve safety management and SMS;

5. Organizing training and education on flight operation safety.

Chapter IV

RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS IN FLIGHT OPERATION SAFETY MANAGEMENT

Article 13. Responsibilities of the Civil Aviation Administration of Vietnam

The Civil Aviation Administration of Vietnam, as the aviation authority responsible for managing flight operation safety, has the responsibility to organize the implementation of the contents stipulated in Article 4 of this Circular and report periodically every six months to the Ministry of Transport.

Article 14. Responsibilities of Air Navigation Service Providers

1. Adhering to regulations and guidance documents on flight operation safety.

2. Developing and submitting to the Civil Aviation Administration of Vietnam for approval the SMS documentation and implementing it after approval.

3. Establishing and maintaining the implementation of SMS in compliance with this Circular, ICAO guidance materials, and actual operational conditions.

4. Conducting inspections and being responsible for flight operation safety within their business scope.

5. Reporting on safety and participating in investigations of incidents in the field of flight operations.

6. Complying with and facilitating inspections and supervision of flight operation safety.

Article 15. Responsibilities of organizations and individuals related to flight operations

1. Comply with regulations on and guidance materials regarding flight operation safety;

2. Collect and report to the Vietnam Civil Aviation Authority and relevant organizations information that may affect flight operation safety.

3. Propose to the Vietnam Civil Aviation Authority and relevant organizations measures to prevent and enhance flight operation safety assurance.

Chapter V

IMPLEMENTING PROVISIONS

Article 16. Implementation Organization

The Vietnam Civil Aviation Authority:

1. Is responsible for implementing this Circular, updating new contents related to flight operation safety;

2. Compile and report to the Ministry of Transport issues arising and difficulties encountered during implementation for timely research and resolution.

Article 17. Effectiveness and Responsibility for Implementation

1. This Circular shall take effect 45 days from the date of signature.

2. Attach two appendices to this Circular as follows:

a) Appendix 1: Sample application form for approval of safety management documentation (SMS);

b) Appendix 2: Sample flight operation safety monitoring card.

3. The Director of the Ministry's Office, the Inspector General of the Ministry, Heads of Departments, the Director of the Vietnam Civil Aviation Authority, Heads of agencies, organizations, and individuals related shall be responsible for enforcing this Circular./.