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EUROCONTROL. HARMONISATION OF ATM SAFETY REGULATION IN ECAC Peter Stastny Head of Safety Regulation Unit EUROCONTROL FAA/JAA Annual Conference 5th June 2002 Phoenix, Arizona. EUROCONTROL. Presentation Overview. Developments in ATM safety regulation
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EUROCONTROL HARMONISATION OF ATM SAFETY REGULATION IN ECAC Peter Stastny Head of Safety Regulation Unit EUROCONTROL FAA/JAA Annual Conference 5th June 2002 Phoenix, Arizona 19th Annual FAA/JAA International Conference
EUROCONTROL Presentation Overview • Developments in ATM safety regulation • European Programmes - safety regulatory aspects • Safety oversight • “Just Culture” • GAIN • Issues for the future 19th Annual FAA/JAA International Conference
EUROCONTROL EUROCONTROL Institutional structure Civil/Military InterfaceCommittee (Ministers level) Audit Board General Assembly (DGCAs’ Level) Performance ReviewCommission Safety Regulation Commission Council Functional Functional (Director General) Agency PerformanceReview Unit SafetyRegulation Unit Administrative Administrative 19th Annual FAA/JAA International Conference
EUROCONTROL SRC MEMBERSHIP • One Commissioner per EUROCONTROL Member State + Advisers and Observers: • Non-member ECAC States • ATM service providers, airspace users • Aviation organisations • Professional organisations • JAA, ICAO, FAA, TC, EC • Military representation 19th Annual FAA/JAA International Conference
EUROCONTROL KEY SRC FUNCTIONS • Within ECAC • Co-ordinate ATM safety regulation • Develop safety regulatory requirements and associated safety standards • Define and assess target levels of safety, and standards of safety performance • Monitor national application of EUROCONTROL safety regulatory requirements • Co-ordinate with national / regional / global safety regulatory bodies • A similar role to that undertaken by JAA in other aviation sectors 19th Annual FAA/JAA International Conference
EUROCONTROL NATIONAL NEEDS FOR ATM SAFETY DEVELOPMENT SAFETY REGULATORS SERVICE PROVIDERS Safety Management (through ATM Service Providers) Safety Regulation (through ATM Safety Regulators) CO-ORDINATION SUPPORT HARMONISATION CO-ORDINATION SUPPORT HARMONISATION INPUTS NEEDS INPUTS NEEDS EUROCONTROL WORK EATMP Safety Domain (Safety Group/SQS) • COMMON SAFETY TASKS SRC (supported by SRU) SAFETY MANAGEMENT DELIVERABLES • SAFETY • REGULATION • DELIVERABLES COMPLIANCE WITH REGULATORY PROVISIONS 19th Annual FAA/JAA International Conference
EUROCONTROL SRC’s INTERFACE with JAA • JSSI • JSSI Steering Group • Action Plan Team • Outputs in SRC Doc 10 • CNS/ATM Steering Group • Regulation Sectorial Team • In SRC 19th Annual FAA/JAA International Conference
EUROCONTROL SRC WORK PROGRAMME OBJECTIVES TO PRODUCE SAFETY REGULATORY FRAMEWORK FOR ATM ACROSS THE ECAC REGION TO CO-ORDINATE FRAMEWORK IMPLEMENTATION ACROSS THE ECAC REGION TO ESTABLISH A PROCESS TO MEASURE SAFETY PERFORMANCE AND IDENTIFY ATM KEY RISK AREAS 19th Annual FAA/JAA International Conference
EUROCONTROL NATIONAL ATM SAFETY REGULATORY FRAMEWORK (SRC Policy Doc 3) Contents include:- • NATIONAL SAFETY REGULATORY RESPONSIBILITIES • SETTING MINIMUM ACCEPTABLE LEVELS OF SAFETY • RULE-MAKING • DEFINING REQUIREMENTS, STANDARDS AND PRACTICES • SAFETY REGULATORY APPROVALS • ROLE and REGULATION OF SAFETY MANAGEMENT SYSTEMS • SAFETY OVERSIGHT 19th Annual FAA/JAA International Conference
EUROCONTROL EUROCONTROL SAFETY REGULATORY REQUIREMENTS (ESARR’s) • EUROCONTROL Member States obliged to implement - remaining ECAC States encouraged • Complement ICAO SARP’s • SRC “initial” rulemaking • formal 3-stage consultative, traceable process • consistent with JAR 11 • All documents approved or in final consultation are on the website (www.eurocontrol.int/src) • Full alignment with ENPRM to now commence • Prioritisation based on safety benefits 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR ADVISORY MATERIAL(EAM) • Acceptable Means of Compliance - AMC • Companion Documents - COD • Guidance Material - GUI • Reference Material - REF • ICAO Consistency - ICAO 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR 2OCCURRENCE REPORTING AND ASSESSMENT IN ATM • Phased Introduction since 1-1-2000 • AMC - National reporting schemes - TOKAI - Annual Summary Template • COD - Severity Classification scheme - Publication and Confidentiality Policy • GUI - In place • REF - HEIDI Taxonomy 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR 3USE OF SAFETY MANAGEMENT SYSTEMS • Effective July 2003 • AMC - Nationally approved SMS - EUROCONTROL EATMP Safety Policy • GUI - 4 documents in place incl. Safety Oversight Small Organisations • Exceeds ICAO Annex 11 requirements 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR 5ATM SERVICES PERSONNEL • General and ATCO Requirements effective Nov. 2003 • AMC - National licensing schemes - EUROCONTROL Licensing Manual • GUI - Supplementary material incl. Common Core Training Medical Requirements • Complements ICAO Annex 1 except for Rating Classifications 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR 4RISK ASSESSMENT AND MITIGATION • Effective April 2004 • AMC - National arrangements - EUROCONTROL Safety Assessment Methodology - ED 78A / DO 264 • GUI - In progress • Anticipates ICAO Annex 11 requirements 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR 1 ATM SAFETY REGULATORY FRAMEWORK ESARR 2 ATM SAFETY OCCURRENCES ESARR 3 SAFETY MANAGEMENT SYSTEMS ESARR 4 RISK ASSESSMENT AND MITIGATION ESARR 5 ATM PERSONNEL ESARR 6 SYSTEMS SW & HW ESARR 7 ATM PROCEDURES ATM 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR ADVISORY MATERIAL (EAM) ACCEPTABLE MEANS OF COMPLIANCE ESARR 1 ATM SAFETY REGULATORY FRAMEWORK GUIDANCE MATERIAL FOR REGULATORS FOR EACH ESARR AMC AMC ESARR 2 SAF. OCCURRENCES AMC AMC FOR ESARR 3 FOR ESARR 3 GUIDANCE MATERIAL FOR REGULATORS ESARR 3 SAFETY MANAGEMENT SYSTEMS AMC AMC AMC FOR ESARR 4 AMC FOR ESARR 4 ESARR 4 RISK ASSESSMENT AND MITIGATION AMC AMC FOR ESARR 5, 6, ... AMC ESARR 5 ATM PERSONNEL ESARR 6 SYSTEMS SW & HW ESARR 7 ATM PROCEDURES AMC FOR ESARR 5, 6, ... 19th Annual FAA/JAA International Conference
EUROCONTROL ESARR ADVISORY MATERIAL (EAM) REQUIREMENTS APPLICATION DOCUMENTS (RAD) RVSM GNSS Data Link 8.33 HEP ETC… ETC… EGNOS Link 2000+ GBAS ADS Acceptable means of compliance ACCEPTABLE MEANS OF COMPLIANCE FOR EACH ESARR ESARR 1 ATM SAFETY REGULATORY FRAMEWORK GUIDANCE MATERIAL FOR REGULATORS AMC AMC ESARR 2 SAF. OCCURRENCES AMC GUIDANCE MATERIAL FOR REGULATORS AMC FOR ESARR 2 FOR ESARR 3 AMC ESARR 3 SAFETY MANAGEMENT SYSTEMS AMC FOR ESARR 3 AMC AMC FOR ESARR 4 AMC ESARR 4 RISK ASSESSMENT AND MITIGATION AMC FOR ESARR 4 AMC AMC FOR ESARR 5, 6, ... ESARR 5 ATM PERSONNEL ESARR 6 SYSTEMS SW & HW ESARR 7 ATM PROCEDURES AMC AMC FOR ESARR 5, 6, 7. EATMP Programme Safety Deliverables 19th Annual FAA/JAA International Conference
EUROCONTROL TASK “D” (To Develop) TASK “P” (To Promote) TASK “S” (To Support) Purpose: TO DEVELOP THE REQUIREMENT AND PROVIDE INTERPRETATION ON ITS MEANING Purpose: TO PROMOTE AND DISSEMINATE THE REQUIREMENT Purpose: TO SUPPORT NATIONAL IMPLEMENTATION PROCESSES ESARR IMPLEMENTATION PROGRAMME Promotional Literature CD Video Web-site Helpdesk Guidance Material Means of Compliance Active support programme for national stakeholders 19th Annual FAA/JAA International Conference
ECIP Objective for ESARR 3 EUROCONTROL JULY 00 OCT 01 JAN 02 JAN 03 JUL 03 2000 2001 2002 2003 IMPLEMENTATION OF ESARR 3 REQUIREMENTS - BY ATM SERVICE PROVIDERS IDENTIFY & SET UP NATIONAL ARRANGEMENTS TO IMPLEMENT ESARR 3 ASSESS NATIONAL REGULATIONS VS ESARR 3 DEAL WITH DIFFERENCES DRAFT NEW REGULATIONS TO SET UP THE ESARR 3 NATIONAL FRAMEWORK NOTIFY DIFFERENCES WITH ICAO PUBLISH NEW REGULATION COMPLIANT WITH ESARR 3 IMPLEMENT MECHANISMS TO VERIFY COMPLIANCE WITH NEW / MODIFIED REGULATIONS VERIFY THAT NEW REGULATION IS APPLIED 19th Annual FAA/JAA International Conference
SRC 03 Status report in 2002 EUROCONTROL 19th Annual FAA/JAA International Conference
EUROCONTROL EUROCONTROL PROGRAMMES • GNSS ACAS • 8.33 RVSM • LINK 2000+ Free-Route Airspace • A-SMGCS ADS (inc. NEAN Update) • RNAV EAD • Mode S FUA • Airport Operations …..etc. 19th Annual FAA/JAA International Conference
EATMP PROGRAMMES EUROCONTROL APPROVAL PROCESSES National ATS providers Inputs/co-ordination EATMP programmes (GNSS, RVSM, ACAS..) Submission of safety policy and arguments, with related operational assumptions Request for approval in national context of operations Final approval Co-ordinated views on acceptability of safety policy and arguments National Regulator SRC Co-ordination 19th Annual FAA/JAA International Conference
EUROCONTROL ATM SAFETY OVERSIGHTSafety Regulatory Framework • Definition of national safety objectives, consistent with internationally agreed equivalents • Safety regulatory policies and principles • Regulations (to apply to Operations, Organisations, Systems and People) • Safety measurement and feedback mechanisms, to support safety decision-making 19th Annual FAA/JAA International Conference
EUROCONTROL ATM SAFETY OVERSIGHTFramework Implementation • Definition, implementation and demonstration of means of compliance with regulations • Effective national safety oversight of ATM operations • Ability of ATM safety roles and functions to be undertaken : • effectively • in conjunction with one another • consistently with other aviation domains • ICAO 33rd Assembly resolution 19th Annual FAA/JAA International Conference
EUROCONTROL ENGINEERING A “JUST CULTURE” • ECAC Ministerial requirement for penalty-free reporting • Conditions the effectiveness of the entire safety feedback process • No magic implementation solution, but…... • We are working on the necessary prerequisites……. 19th Annual FAA/JAA International Conference
EUROCONTROL Ease of reporting Independence TRUST Motivation & Promotion FEEDBACK Acknowledgement ENGINEERING A “JUST CULTURE” 19th Annual FAA/JAA International Conference
DEFINING THE BORDERS OF “BAD BEHAVIOUR” EUROCONTROL Criminal Offences Gross negligence Omissions Slips Lapses Mistakes Violations unintentional deliberate deliberate 19th Annual FAA/JAA International Conference
EUROCONTROL ENGINEERING A “JUST CULTURE” • Concerns over :- • Information Misuse • Punishment/Enforcement • Criminal Sanctions • Civil Litigation • Public Access • ICAO Position - Annex 13 • The case continues…….. 19th Annual FAA/JAA International Conference
EUROCONTROL GAIN W G E • Start-up activities under way • 3 telecons • Initial meeting 25th April • Action plan and detailed task plans set • Timescales till June 03 (6th Conf.) • Next meeting Sept / Oct 02 (Brussels) • Those involved…….. 19th Annual FAA/JAA International Conference
EUROCONTROL GAIN WG E Those involved…….. • FAA HQ + operational units • US Military • US Representative bodies - NATCA, ALPA • European/Global Representative bodies - EUROCONTROL, IATA IFATCA, IFALPA, CANSO • ………………………..more welcome 19th Annual FAA/JAA International Conference
EUROCONTROL GAIN WG E ACTION PLAN In relation to the interface between the Flt Ops and ATC Ops communities:- • Promote confidential, non-punitive reporting and exchange of safety information • Identify initiatives that promote and facilitate communication and information exchange • Facilitate the establishment / enhancement of information collection /exchange programs • Promote increased collection and sharing of safety information 19th Annual FAA/JAA International Conference
EUROCONTROL ISSUES FOR THE FUTURE • Continuing institutional change • Single European Sky • EASA • Global regulatory issues in ATM, incl. • Provisions in SARPs • IUSOAP 19th Annual FAA/JAA International Conference
EUROCONTROL CONCLUSIONS • Institutional change continues as a major feature in European ATM • ATM Safety Regulation is increasingly necessary, mature and better established • A harmonised ATM safety regulatory framework is the answer - implementation well under way • Further gains in effectiveness through the Single European Sky • A total aviation system approach is vital, with strong links to major aviation bodies 19th Annual FAA/JAA International Conference
EUROCONTROL HARMONISATION OF ATM SAFETY REGULATION IN ECAC Peter Stastny Head of Safety Regulation Unit EUROCONTROL FAA/JAA Annual Conference 5th June 2002 Phoenix, Arizona 19th Annual FAA/JAA International Conference