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ICAO Provisions for Safety Management

ICAO Provisions for Safety Management. Presented by Noel Karppinen Technical Officer ATM ICAO, Montreal EUROCONTROL Workshop on Implementation of ESARR3 and related guidance material, Brussels, 19 – 20 September 2001. The Role of ICAO in Aviation Safety.

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ICAO Provisions for Safety Management

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  1. ICAO Provisionsfor Safety Management Presented by Noel Karppinen Technical Officer ATM ICAO, Montreal EUROCONTROL Workshop on Implementation of ESARR3 and related guidance material, Brussels, 19 – 20 September 2001

  2. The Role of ICAO in Aviation Safety • ICAO responsibilities and objectives are set out in the Chicago Convention • Article 44 requires ICAO to: • Ensure the safe and orderly growth of civil aviation throughout the world • Meet the needs of the people of the world for safe, regular, efficient and economical air transport • Promote safety of flight in international aviation Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  3. Promulgation of Requirements ICAO promulgates requirements for international aviation as Standards and Recommended Practices (SARPS), which are published as Annexes to the Convention • The Annexes are the foundation for all ICAO provisions, including those related to Safety Management Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  4. Scope of the Presentation This presentation will concentrate on the safety management requirements resulting from recent amendments to: Annex 11 – Air Traffic Services and Annex 14 – Aerodromes Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  5. Origins of ICAO Safety Requirements • The concept of a Global Aviation Safety Plan (GASP) was first proposed by the Air Navigation Commission in April 1997 • GASP was endorsed by the 32nd ICAO Assembly in 1998 Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  6. GASP Objectives • Reduce the number of accidents and fatalities irrespective of the volume of air traffic • Achieve a significant decrease in worldwide accident rates, placing emphasis on regions where these remain high. Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  7. GASP Tasks Relevant to ATS and AD Safety Management Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  8. ATS and AD Related Tasks (1) • Develop safety indicators to readily identify trends in safety performance • Assist States to develop appropriate safety oversight structures • Expansion of USOAP to other fields • Develop Annex provisions and guidance material for voluntary incident reporting systems Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  9. ATS and AD Related Tasks (2) • Develop provisions to ensure that airport and airspace capacity enhancement programmes are safe • Provide guidance for and monitor the introduction of safety management systems for aerodromes and ATS Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  10. ATS and AD Related Tasks (3) • Develop provisions for enhancement of air-ground communication skills, including proficiency in the use of common English language For further information on GASP and its associated programmes, see the summary included in the ESARR3 Workshop Binder Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  11. Progress to Date (1) • Standards and Recommended Practices (SARPS) for Safety Management in ATS introduced in Amendment 40 to Annex 11 • Complementary procedures introduced in Amendment 4 to the PANS-RAC (Doc 4444) (Now re-named PANS-ATM) • General applicability date for both is 1 Nov 2001 Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  12. Progress to Date (2) • Standards and Recommended Practices (SARPS) for Aerodrome Safety Management introduced in Amendment 4 to Annex 14 • General applicability date - 1 Nov 2001 • Manual on Certification of Aerodromes finalized. • Distribution expected in October 2001. Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  13. Progress to Date (3) • Manual on Safety Management in ATS under development • Safety Indicators Study Group established • First meeting expected in 2002 • Proficiency Requirements in Common English Study Group (PRICESG) established • First met November 2000 Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  14. Universal Safety Oversight Audit Programme Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  15. Service Provider SMS INTERNAL VERIFICATION (Safety Surveys/Audits/Reviews) How the USOAP Works ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME ICAO National Regulator STATE SAFETY OVERSIGHT Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  16. USOAP Procedures • Audits examine the State’s legislative framework, and the organization to support State safety oversight activities • A confidential audit report is prepared for the State, and a summary report is published • 180 Contracting States had been audited as of August 2001 • Follow-up audits commence this year Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  17. Scope of Audits Current programme audits compliance by States with the provisions of • Annex 1, Personnel Licensing • Annex 6, Operation of Aircraft • Annex 8, Airworthiness of Aircraft Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  18. Expansion of the USOAP • A proposal for expansion of the USOAP to include the provisions of Annex 11 – ATS, and Annex 14 – Aerodromes, is to be considered by the 33rd ICAO Assembly (25/09/01 to 05/10/01) • If expansion of the programme is approved, audits should commence in January 2004 Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  19. ATS Safety Management Requirements Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  20. Annex 11 Provisions(1) States shall implement systematic and appropriate ATS safety management programmes to ensure that safety is maintained in the provision of ATS within airspaces and at aerodromes Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  21. Annex 11 Provisions(2) As of 27 November 2003, States will be required to establish acceptable levels of safety and safety objectives applicable to the provision of ATS within their areas of responsibility • When applicable, safety levels and safety objectives shall be established by regional air navigation agreement. Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  22. PANS-ATM The PANS-ATM specifies in more detail what comprises an ATS safety management programme Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  23. PANS-ATM Safety Provisions (1) An ATS safety management programme should include • Monitoring of overall safety levels and detection of any adverse trend • Safety reviews of ATS units • Safety assessments of system changes • A mechanism for identifying the need for safety enhancing measures Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  24. PANS-ATM Safety Provisions (2) The PANS-ATM safety management provisions are contained in a new Part II which specifies • Circumstances requiring a safety assessment • Factors to consider in undertaking safety assessments and unit safety reviews • Requirements for incident reporting and monitoring of safety Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  25. The Manual on Safety Management in ATS Will provide more detailed guidance on implementation of the provisions of Annex 11 and the PANS-RAC • Still under development Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  26. Topics to be Covered in the Manual • Management for safety • Factors affecting system safety • Determination of the acceptable level of safety • Safety assessment and risk management techniques • Ensuring the on-going safety of operational systems Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  27. Why ATS? • The ESARR3 requirements refer to ATM, the ICAO requirements refer to ATS • ICAO provisions require that any change which could have an impact on the safety of ATS operations be subject to a safety assessment • If changes in the ASM, AIS or ATFM areas could affect safety of ATS operations, they will require safety assessment Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  28. Aerodrome Safety Management Requirements Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  29. Aerodrome Certification Requirements • As of 1 November 2001, it is recommended that all aerodromes open for public use should be certified • As of 27 November 2003, certification will be required for all aerodromes used for international operations Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  30. Regulatory Framework for Aerodrome Certification • All States will be required to establish a regulatory framework specifying the criteria for the certification of aerodromes • Guidance material on what the regulatory framework should comprise can be found in the Manual on Certification of Aerodromes (Expected October 2001) Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  31. Certification and Safety Management • As of 1 November 2001, it is recommended that all certified aerodromes should have a safety management systems • As of 24 November 2005, a certified aerodrome will be required to have a safety management system Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  32. The Aerodrome Manual • One of the main requirements for certification is the production of an Aerodrome Manual • The Aerodrome Manual is required to contain details of the operator’s safety management programme Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  33. Oversight of Aerodrome Safety • The Manual on Aerodrome Certification recommends that States establish a Directorate of Aerodrome Safety to: • Assess applications for aerodrome certification • Conduct periodic inspections and audits to ensure that safe operating conditions continue to exist Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  34. State Responsibilities for Safety Management Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  35. State Regulatory Responsibilities The State will always be responsible for • The establishment of the regulatory framework which forms the basis of the safety management requirements • Oversight of the safety management procedures, and monitoring the achieved levels of safety, of the ATS providers and AD operators Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  36. The State as a Service Provider Where a State provides ATS services and operates aerodromes, it will, in addition, be responsible for the implementation of safety management programmes at its ATS units and aerodromes. Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  37. IndependentATS Providers and AD Operators State regulations and oversight programmes must ensure that independent ATS providers and AD operators implement adequate safety management programmes. Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  38. Third Party Service Providers The term Third Party Service Providers refers to organizations such as communications providers, which are not answerable to the State aviation authority Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  39. Safety Assurance of Third Party Services ATS providers and AD operators must consider third party provided services in carrying out safety assessments • Safety requirements applying to such services and the responsibilities of each party should be specified in contractual requirements, or formal documents such as letters of agreement Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

  40. Reference Material For full details of the ICAO safety management provisions, consult the documents in the ESARR3 binder: • Amendment 40 to Annex 11 • Amendment 4 to Annex 14 • Amendment 4 to the PANS-RAC, Part II • Draft Manual on Aerodrome Certification • Summary of the Global Aviation Safety Plan Presented to the EUROCONTROL Workshop on Implementation of ESARR 3 and related material, Brussels, 19 – 20 September 2001

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