ICAO’s Role in Future Airport and ATS Safety Activ ities

1. ICAO’s Role in Future Airport and ATS Safety Activities Mr. Raymond Ybarra Regional Director ICAO Regional Office for North America, Central America, and the Caribbean ICAO–AENA Seminar on Airport Management: Security and QualityAntigua, Guatemala, 14 - 18 October 2002

2. Without international rules, air travel would be in chaos.

3. Introduction • ICAO Programmes that will impact directly on Airport and ATS regulators and service providers • Global Aviation Safety Plan (GASP) • ICAO Universal Safety Oversight Audit Programme (USOAP)

4. Introduction • ICAO Programmes that will impact directly on Airport and ATS regulators and service providers • ATS Safety Management Systems • ATS QA Programmes • Airport Safety Management Systems • Airport Certification • ICAO’s vision of future airport and ATS activities

5. Global Aviation Safety Plan (GASP) • Background • In response to a large number of aviation accidents that occurred in 1996, and • The expected growth in air traffic, • The ANC noted the need to reduce the accident rate, and • In 1997 proposed an ICAO Global Aviation Safety Plan (GASP)

6. Global Aviation Safety Plan (GASP) • Background • The 33nd Session of the ICAO Assembly endorsed the establishment of the GASP • The concept underlying GASP is to concentrate on launching or continuing those safety initiatives that offer the best “safety dividend” in the terms of reducing the accident rate • Priorities will be determine by conducting annual reviews of accident statistics to spot important trends

7. Global Aviation Safety Plan (GASP) • Objectives • Objective 1: • Provide the necessary leadership by ICAO and gain a commitment from Contracting States and the aviation industry as a whole in a collaborative effort to enhance aviation safety • Objective 2: • Achieve a significant decrease in the world-wide accident rate;

8. Global Aviation Safety Plan (GASP) • Objectives: • Objective 3: • Enhance the identification of deficiencies in the air navigation field and assist States to achieve a significant degree of improvement; • Objective 4: • Increase and improve ICAO’s own capability to compile, assess and disseminate safety-related information.

9. Global Aviation Safety Plan (GASP) • Elements of GASP • These elements provide the basis for ICAO’s activities in developing an integrated safety management process • Annual review of causal factors for accidents world-wide and disseminate the results to States

10. Global Aviation Safety Plan (GASP) • Elements of GASP • Prioritize safety-related tasks of the Technical Work Programme • Introduction of GNSS for non-precision approaches • Continuation of CFIT/ALAR programme, predictive terrain hazard warning systems and minimum safe altitude warning systems

11. Global Aviation Safety Plan (GASP) • Elements of GASP • Prioritize safety-related tasks of the Technical Work Programme • Implementation of ACAS • Increase use of standard ATC phraseology

12. Global Aviation Safety Plan (GASP) • Elements of GASP • Introduction of global air traffic management • Integration of human factors

13. Global Aviation Safety Plan (GASP) • Elements of GASP • Address deficiencies in the air navigation field • Collection of information • Assessment of reports • Identification of technical and operational remedies

14. Global Aviation Safety Plan (GASP) • Elements of GASP • Collaborate with States and the aviation industry to identify additional safety measures • An essential part of this process is the dissemination of safety-related information to those who need it most

15. Global Aviation Safety Plan (GASP) • Elements of GASP • Improvements to safety oversight through the ICAO safety oversight audit programme (USOAP) • Corrections of deficiencies • Introduction of quality assurance in USOAP • Enhancement and expansion of USOAP • Annex 11 – Air Traffic Services • Annex 13 – Accident Investigation; • Annex 14 – Aerodrome Operations;

16. USOAP Expansion • The ICAO General Assembly A33-8 resolution resolved that the USOAP be expanded to Annex 11- Air Traffic Services, core elements of Annex 13 - Accident Investigation and Prevention and Annex 14 - Aerodromes as of 2004 • ATS and Aerodrome Audits will affect two levels: i.e. that of the regulator and the service provider

17. ATS Safety Management Systems • Amendment 40, Annex 11 and Amendment 4, PANS-ATM Doc 4444 – 2001 • Introduced concept of of safety management programs for ATS (November 2001) • Requirement for establishment of an acceptable level of safety and safety objectives for provision of ATS in airspace and aerodromes. Recommended Practice becomes Standard effective November 2003

18. ATS Safety Management Systems • Objectives • Requirements in respect of Services, Systems and Procedures applicable to airspaces and aerodromes should be established on the basis of a regional air navigation agreement to facilitate harmonization. • Ensure that safety in the provision of ATS is met and maintained

19. ATS Safety Management Systems • Objectives • The appropriate ATS authority shall implement formal and systematic safety management programmes for the air traffic services under its jurisdiction. • Safety-related enhancements are implemented whenever necessary.

20. ATS Safety Management Systems • Activities • Monitoring of overall safety level and detection of any adverse trends; • Safety review of ATS units; • General requirements • Scope: Regulatory, Operational, Technical, Licensing and Training Issues

21. ATS Safety Management Systems • Activities • Safety Assessments in respect of planned implementation of airspace re-organizations, introduction of new equipment, systems or facilities and new or changed ATS procedures • Mechanism for identifying the need for and implementing safety enhancing measures.

22. ATS Quality Assurance Programme • Background • Increased awareness of ATS incidents in the CAR/SAM Regions • Reports of ATS incidents increased by 43 per cent between 1996 and 1998 • Concerns regarding the overall quality of air traffic services being provided • GREPECAS ATS SG centered its efforts on ATS incidents and their direct relationship to air navigation safety

23. ATS Quality Assurance Programme • Background • In November 1998, GREPECAS/8 developed 3 Conclusions addressing ATS incidents and outlined action to be taken by States, Users, and the ICAO Regional Offices in order to reduce ATS incidents in the CAR/SAM Regions

24. ATS Quality Assurance Programme • Background • CAR/SAM RAN/3 Meeting (1999) • Recommendation 5/36 - Development of ICAO guidance material on ATS quality assurance programmes • Conclusion 5/37 – ATS quality assurance seminar and associated workshops • Recommendation 5/38 – Implementation of an ATS quality assurance programme

25. ATS Quality Assurance Programme • Purpose • To provide specific guidance on reporting, investigating and resolving various types of ATS incidents that impact the quality of ATS • The programme should be designed to work in conjunction with ICAO Standards and Recommended Practices as well as with State’s regulations

26. ATS Quality Assurance Programme • Objectives • ATS QA Programmes should focus on identifying and correcting deficiencies before they result in an ATS incident or accident • Continually improve the overall quality of air traffic services being provided

27. ATS Quality Assurance Programme • ATS QA Programme Guidance Material • The ICAO NACC Regional Office developed ATS quality assurance guidance material for use in the CAR/SAM Regions • This material was approved by GREPECAS/10 Meeting in Canary Islands, Spain (October 2001) • Possible Global application

28. ATS Quality Assurance Programme • ATM Evaluations in the CAR Region • The ICAO NACC Regional Office implemented a programme of ATM evaluations for States/International Organizations responsible for FIRs in the CAR Region using the ATS Quality Assurance Guidance Material in preparation for ICAO ATS Audits in 2004.

29. ATS Quality Assurance Programme • ATM Evaluations in the CAR Region • The following States/International Organization have been evaluated: • COCESNA-Central American (March 2001); • Trinidad & Tobago-Piarco (November 2001); • Mexico-Merida (Jan./Feb. 2002); and • Cuba (April 2002).

30. Certification of Aerodromes • Amendment 4 to Annex 14, Volume I; New Section 1.3 (applicable 1 Nov. 2001) • Aerodromes open to public use to be certified as per Annex 14, Vol. I and other relevant Annexes • From 27 Nov. 2003, aerodromes used for international operations to be certified (Std)

31. Certification of Aerodromes • Amendment 4 to Annex 14, Volume I; New Section 1.3 (applicable 1 Nov. 2001) • States’ regulatory framework to establish the criteria for certification (Std) • Submission of an aerodrome manual as part of the application; • Certified aerodromes to have a SMS (Safety Management System) • From 24 Nov. 2005, SMS shall be in operation.

32. Guidance Material in Doc. 9744 – Manual on certification of aerodromes • Contents • Introduction • Aerodrome certification regulatory system • Model regulations • Certification procedure

33. Guidance Material in Doc. 9744 – Manual on certification of aerodromes • Contents • Regulatory authority • Details to be included in an aerodrome manual • Safety management system • Sample forms

34. Doc. 9744 – Manual on certification of aerodromes • Aerodrome Certification Regulatory System: • Prerequisites – legislation and organization • Basic Aviation Law – authorize establishment of the CAA; adoption of regulations, empower DGCA to issue, transfer, refuse or cancel certificates etc. • Main elements of regulations – certification criteria, procedure, safety audits, sanctions for violations • Implementation – adequate budget; CAA staffing and training

35. Doc. 9744 – Manual on certification of aerodromes • Model regulations: • General explanation of the intent of certification • Submission of application & aerodrome manual • Assessing applicant’s capability and adequacy of the airport infrastructure

36. Doc. 9744 – Manual on certification of aerodromes • Model regulations: • Aerodrome operator’s obligations • Validity of a certificate • Endorsement of conditions of operation • Surrender/transfer/revocation of certificate • Exemptions, if any

37. Doc. 9744 – Manual on certification of aerodromes • Aerodrome certification procedure: • Certification procedure to ensure full compliance with the State regulations • The Process – assessment of applicant’s capability, the adequacy of the facilities and services by on-site inspection and verification by qualified inspectors, acceptance/approval of the aerodrome manual submitted by the applicant

38. Doc. 9744 – Manual on certification of aerodromes • Aerodrome certification procedure: • Issue/transfer/revoke the certificate as appropriate • Notification of the aerodrome’s certified status in the AIP

39. Doc. 9744 – Manual on certification of aerodromes • Main components of an Aerodrome Manual: • A General Section explaining the purpose and scope of the Manual • Administrative details of the operator • Information on aerodrome facilities • Information on aerodrome services • Aerodrome operating plans, procedures and safety measures • Safety management systems

40. Doc. 9744 – Manual on certification of aerodromes • Safety Management System (SMS): • What is SMS? • A system for managing safety as part of the overall management objective and policy

41. Doc. 9744 – Manual on certification of aerodromes • Safety Management System (SMS): • Why SMS? • To regulate airport operations and improve safety levels, especially in areas not covered by applicable ICAO or national standards and regulations • How? • Existence of comprehensive technical Standards/Specifications, those for SMS, their implementation and maintenance at all times

42. Doc. 9744 – Manual on certification of aerodromes • Main elements of Safety Management System: • Safety policy statement including the safety management approach and objectives • Safety management strategies, its achievement, assurance and promotion • Systems and procedures in place to control and manage safety of operations • Safety audits and other means of measuring performance against established goals

43. Doc. 9744 – Manual on certification of aerodromes • Safety management approach, objectives and strategy: • Management commitment and encouragement towards a positive safety culture • Responsibility and technical competence of key officials, priorities, compliance with applicable specifications and standards • Establishing a safety reporting system • Safety orientation and recurrent training • Emergency response planning

44. Conclusions • Many elements in the GASP programme are currently on ICAO’s Technical Work Programme • The speed with which they are being progressed varies, depending on a number of factors, i.e. competing priorities (Security), available resources, etc. • The thrust of the ICAO Global Aviation Safety Plan is to identify and prioritize those tasks and programmes likely to produce the best safety dividend in terms of reducing the fatal accident rate for airline operations world-wide

45. Conclusions • States shall ensure Air Traffic Services, CNS systems and Airport operations maintain an acceptable level of safety • Requirements of services, systems and procedures be established on the basis of regional air navigation agreement to facilitate harmonization • Authorities shall implement systematic safety management programmes for ATS and Aerodromes under their jurisdiction

46. Conclusions • ATS quality assurance programmes and aerodrome safety management systems will place safety at the forefront while expediting and maintaining an orderly flow of air traffic in the CAR/SAM Regions • ATS quality assurance guidance material for use in the CAR/SAM Regions is available at ICAO web Site : www.icao.int/nacc

47. Conclusions • Aerodrome SMS guidance is contained in the ICAO Manual on Aerodrome Certification (Doc. 9774) • ATM and Airport Evaluations in CAR Regions are helping States transition to the ICAO ATS and Aerodrome Audits that will start in 2004

48. ICAO’s vision of future ATS and Airport Programmes • ATS and Aerodrome Safety Management Systems • ATS Quality Assurance Programmes • Aerodrome Certification by States

49. ICAO’s vision of future ATS and Airport Programmes • ATM/Airport Audits • Regulators • Service Providers

50. ICAO’s vision of future ATS and Airport Programmes • Additional ATS and Airport efforts • CFIT/ALAR- Pan American Aviation Safety Team (PAAST) • Runway Incursion Programme- PAAST • Runway Safety/Runway Incursion Conference • Mexico City, 22-25 October 2002