Risk based surveillance and Safety

Inspector‘s competency profile

Proposal for a Competency framework for
Authorities' Inspectors

Gian Andrea BANDIERI

Principal Standardisation Coordinator
EASA, Flight Standards Directorate

TE.GEN.00409-001
 About EASA and the EU-Latin America
and Caribbean Partnership Project

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 Facts and figures

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 The EU aviation safety system

Proposes rules / Adopts rules

issues guidance European Aviation European
material Launches
Safety Agency Commission infringement
Issues certificates and procedure
approvals where National Aviation Authorities
centralisation is more Issue licences, certificates and Manages Safety List
efficient approvals where centralisation is not
more efficient
Audits Authorities
Oversee organisations
Manages European
Aviation Safety Plan Implement EU law
Coordinates SAFA Conduct ramp inspections
programme

Industry

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 Objective of EU – LAC APP

Enhance political,
economic and
environmental
LATAM APP
partnership between
the EU, Latin America
and Caribbean in the
domain of civil
aviation
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 Specific Objectives

Promote EU Facilitate market

Standards access

Strengthen Improve the

regulatory environmental
cooperation performance

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 The EASA Proposal for a Competency
Framework for Authorities' Inspectors

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 IN THE PAST IT WAS EASY :
COMPETENCY = EXPERIENCE

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 On inspectors’ competencies

KNOWLEDGE
RECOMMENDATION #9
• Specific technical expertise
Initial and continuous training should be given to inspectors
• Auditing
• Inspector role and
implementing RBO, to cover: responsibilities
• Risk management
- development of proper culture
• Numerical when
methods interacting with industry
• Data collection and analysis
- use of expert judgment, specially when safety performance and “gut
feeling” are blended
- use of RBO-specific tools available at the competent authority.
Support and coaching should be availableSKILLS
ATTITUDE during the initial phase of RBO
deployment. • Openness • Listening
• Curiosity • Discussing
• Keep in mind the big • Negotiating
picture and overall • Analysis and judgment
strategy • Combine information from
• Flexibility multiple sources

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 Another good reason

Shortage of qualified,
ICAO EI: Effective Implementation
experienced technical
staff is the main root 100

cause for the weaknesses 80

detected by EASA
60
Standardisation in Europe.
For successful RBO, staff 40

competency will be even 20

more critical.
0
Current Regulations are CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 CE-7 CE-8

insisting on knowledge, World EASA States

not on competency CE-4: Technical personnel qualification and training

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 Mandate from EASA Management Board and timing

‘Define a concept on the competencies

expected to be held by Civil Aviation Inspectors
to deal with upcoming challenges’

Competencies
Workshop
Nominations
received
9 March 2016 22 June 2016

Drafting and comments Deliverable

25/26 April 2016

Roadmap
announced Consolidation
Meeting

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 The challenge for 21st century inspector

Knowledge is important, UNDERSTAND

but is not enough
Application of knowledge CHALLENGE
is more important
Focus is therefore on behaviour DECIDE
Doc 10070: Competency. A dimension of human performance that is
used to reliably predict successful performance on the job

Competency. A dimension of human performance that is used

to reliably predict successful performance on the job. A
competency is manifested and observed through behaviours
that mobilize the relevant knowledge, skills and attitudes to
carry out activities or tasks under specified conditions.
Doc 9995, EBT Manual

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 How we derived competencies

Imagine:
Challenges Possible scenarios Desired outcomes
Safety Performance-based
Effective compliance
Management requirements

Risk Based Oversight Discussion on risks Positive influence

Influence vs.
New business models Partnering relationship
enforcement
Multi- or supranational
Evolving technologies …
activities

… …

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 … and we listened to industry

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 Knowledge and competencies

Communication
Analytical
Interpersonal
thinking
skills Self
Dealing Performance-based
development orientation
with complexity
Role Oversight
awareness
Technical Responsibility
Expertise
Collaboration

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 List of knowledge

Knowledge

Practical HF experience Risk assessment

Auditing techniques
(training and exposure) techniques

Domain-specific knowledge: Practical understanding of

• Typical technical issues SMS and its implementation:
• Regulatory framework • SMS assessment tools and
• Operational experience related to techniques
the specific duties (e.g. FOI, GOI) • Definition and use of safety
performance indicators

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 COMPETENCY DESCRIPTION COMPETENCY DESCRIPTION
TECHNICAL Demonstrates knowledge COMMUNICATION Effective in expressing
EXPERTISE appropriate to the allocated information both verbally and in
tasks. writing.
ROLE AWARENESS Understands the implications of ANALYTICAL The process of gathering
the inspector role. THINKING relevant information and
identifying key issues related to
this information.
PERFORMANCE- Demonstrates an effective OVERSIGHT AND Makes the best use of available
BASED approach to oversight PROJECT resources to ensure effective
ORIENTATION considering the stakeholder's MANAGEMENT oversight and project
business model, risk profile and management.
organisational setup.
DEALING WITH Able to navigate complex DECISION- Makes sound decisions based on
COMPLEXITY organisations and systems which MAKING AND relevant facts, evidence and
operate in a global, RESPONSIBILITY safety information as well as
interdependent and fast- using common sense, expert
evolving environment. judgement and sometimes "gut
feeling".
SELF- Engaged in a life-long learning TEAMWORK, Partnering internally and
DEVELOPMENT process and able to operate COLLABORATION externally to achieve safety
effectively and flexibly within a AND objectives.
change environment. PARTNERSHIP
INTERPERSONAL Able to develop and maintain a
SKILLS suitable relationship in order to
achieve objectives.
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 Deliverable

Available on EASA
website

http://www.easa.europa.eu/document-
library/general-publications/easa-aviation-inspector-
competencies-report

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 Practical use

This framework is a common reference for Competent

Authorities

It has to be adapted to the local organisation, needs and culture

Complement the existing competency model/framework
Used as basis for developing own competency model/framework

Practical use
Basis for specific inspector qualifications
Considered in the Practical guide - Assigning pilots to oversight tasks
Further use in training

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 To take home
KNOWLEDGE

TECHNICAL EXPERTISE ANALYTICAL THINKING

UNDERSTAND
ROLE AWARENESS DECISION-MAKING AND RESPONSIBILITY

PERFORMANCE-BASED ORIENTATION COMMUNICATION

CHALLENGE
DEALING WITH COMPLEXITY OVERSIGHT AND PROJECT MANAGEMENT

DECIDE INTERPERSONAL SKILLS SELF-DEVELOPMENT

TEAMWORK, COLLABORATION AND

PARTNERSHIP

Application of
Behaviour Competency
knowledge
A dimension of human
performance that is used to
reliably predict successful
For feedback: gian-andrea.bandieri@easa.europa.eu performance on the job

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 BACKUP SLIDES

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 COMPETENCY DESCRIPTION BEHAVIOURAL ANCHORS
The proposed competency
 framework
Possesses an in-depth knowledge in the specific area of expertise;
 Has a broad understanding of related technical fields in order to do the job at
a high level of accomplishment;
Demonstrates  Utilises skilfully the sets of knowledge defined as an integral part of this
competency;
TECHNICAL knowledge
 Is able to have a meaningful technical conversation with the key personnel of
EXPERTISE appropriate to the the overseen organisations;
allocated tasks.  Picks up new knowledge quickly;
 Is committed to continuously improve and proactively update required
knowledge.

 Is able to advise and challenge taking relevant responsibility;

 Understands and acts in compliance with the rules for conflict of interest;
 Is prepared to apply enforcement measures when necessary;
Understands the  Recognises the limit of his/her own authority when taking decisions and when
ROLE AWARENESS implications of the to escalate to a higher level;
 Is open-minded, diplomatic, observant and decisive;
inspector role.
 Demonstrates a strong sense of integrity and is ethical;
 Is self-driven and able to work independently.

 Accurately determines and prioritises key points of risk management in

different business models;
Demonstrates an  Is capable of assessing objectively different approaches to manage business
risks and demonstrate compliance, without unnecessary preconception;
effective approach to
 Applies appropriate assessment techniques to drive effective compliance of
oversight considering the overseen organisations;
PERFORMANCE-
the stakeholder's  Is open to innovation and new ways of working, and is able to meet emerging
BASED ORIENTATION challenges;
business model, risk
 Recognises emerging trends in technical practice and is able to consider new
profile and solutions;
organisational setup.  Is forward-thinking and cognizant of new upcoming regulatory business
models/environments.

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 COMPETENCY DESCRIPTION BEHAVIOURAL ANCHORS
 Deals insightfully with complex technical concepts that are beyond
The proposed competency
Able to navigate 
frameworkaccumulated knowledge;
Pays attention and observes in depth, breadth and detail situations of high
complex complexity, novelty, or chaos;
 Exercises judgement when experience is not helping to bring forth the
organisations and solution, and is able to identify risks or opportunities through intuition and
DEALING WITH systems which foresight;
COMPLEXITY operate in a global,  Demonstrates a pragmatic approach in unpredictable situations and remains
trustworthy;
interdependent and  Recognises new forms of interdependence and acts considering economic
fast-evolving influences, conflicting interests and environmental consequences;
environment.  Able to think interdisciplinary and involve other disciplines when necessary;
can see opportunities for synergy and integration.

 Regularly seeks feedback, uses reflection and analyses both successes and
setbacks for continuous self-improvement;
Engaged in a life-long  Shows interest and pursues appropriate learning activities that meet self-
learning process and development/learning needs;
 Is aware that different situations need different skills and approaches (e.g.
able to operate
SELF-DEVELOPMENT shift from compliance-based to performance-based);
effectively and  Has an open approach and perceives change as a personal challenge and
flexibly within a opportunity to grow;
change environment.  Is able to think ahead and obtain technical and professional knowledge
accordingly.

 Is able to lead open and tactful discussions where all parties can state their
case; Is diplomatic and settles misunderstandings skilfully;
 Is able to understand cultural differences and adapt behaviour to culture-
Able to develop and
specific expectations;
maintain a suitable  Can sense the emotional standing of a counterpart in a conversation and is
INTERPERSONAL
relationship in order able to react with respect and appreciation;
SKILLS  Is able to build constructive relationships - up, down, and sideways, inside and
to achieve
outside the organisation; Easily finds common ground;
objectives.  Is able to compromise and accept different views;
 Acknowledges the opinions of others even when he/she disagrees.
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 The proposed competency framework

COMPETENCY DESCRIPTION BEHAVIOURAL ANCHORS

 Demonstrates openness and honesty while communicating and
sharing information;
Effective in  Adapts communication style to the audience - language, tone,
expressing style, content, format, non-verbal elements etc. - and is able to get
COMMUNICATION information both messages across that have the desired effect;
verbally and in  Is able to summarise complex technical information;
writing.  Listens attentively, asks clarifying questions and is able to identify
common ground.

 Can think holistically and is able to read/interpret data and to draw

viable conclusions;
The process of  Is able to identify causes and consequences and to anticipate
gathering relevant impacts and outcomes;
 Can discuss multiple aspects and impacts of issues and project
ANALYTICAL information and
them into the future;
THINKING identifying key issues  Is comfortable to simplify complex processes;
related to this  Can think coherently and follow a reasonable line of thought;
information.  Can identify alternative ways and differentiate acceptable from
unacceptable possibilities.

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 The proposed competency framework

COMPETENCY DESCRIPTION BEHAVIOURAL ANCHORS

 Is aware of own strengths and limitations and those of the team,
and is able to prioritise and assign tasks to team members
accordingly;
 Manages issues by drawing on own experience and knowledge,
and plans, organises and calls on other resources as necessary;
 Takes personal responsibility for the quality and timeliness of work,
Makes the best use and achieves results in good cooperation with others;
of available  Highlights issues and concerns that might lead to enforcement
OVERSIGHT AND activity; Understands the escalation paths and the full range of
resources to ensure
PROJECT available enforcement actions to reach the desired safety
effective oversight outcomes;
MANAGEMENT
and project  In seeking efficient use of resources, shares responsibility with
management. others, sometimes managing tasks from a distance (remotely);
 Follows procedures and standards, and follows up issues
accordingly;
 Reflects on own performance within the team, observes and
monitors team members, seeks and gives constructive feedback to
others to ensure a standardised oversight approach.

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 The proposed
COMPETENCY
competency framework
DESCRIPTION BEHAVIOURAL ANCHORS
Makes sound  Draws on analysis, experience and consultation to take informed
decisions that are perceived as fair, objective and reasonable;
decisions based on  Remains factual, considers options and priorities, as well as any
relevant facts, potential consequences and resulting liability, before concluding on
evidence and safety a case;
DECISION-MAKING information as well  Is able to make decisions under pressure;
AND RESPONSIBILITY as using common  Is able to conclude timely on findings;
sense, expert  Takes decisions on regulatory action (enforcement) appropriate to
judgement and own level of responsibility;
 Is able to take on additional responsibility when necessary or
sometimes "gut deemed appropriate.
feeling".
 Collaborates within the team and other domains , as well as with
external stakeholders, for gathering information needed to
regulate the overseen organisations;
 Sustains constructive working relationships both internally and
externally characterised by acceptance, cooperation and mutual
Partnering internally respect;
TEAMWORK,  Recognises conflict and manages it constructively;
and externally to
COLLABORATION  Supports and acts in accordance with final team decisions, even
achieve safety when such decisions may not entirely reflect own position;
AND PARTNERSHIP
objectives.  Proactively engages others in joint working;
 Expresses views in a positive, persuasive manner whilst remaining
receptive to the views of others;
 Openly shares own experience and knowledge to benefit others
and encourages others to do the same.

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