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Juan Vázquez Sanz EUROCONTROL SRU

Day 1. WORKSHOP, Nicosia 2-3rd July 2008 “Extension of SAFETY & QUALITY Common Requirements to the EMAC States” Item 4 : Separation of Functions Responsibilities of the NSA. Juan Vázquez Sanz EUROCONTROL SRU. 1. ATM service provision becoming increasingly commercialised

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Juan Vázquez Sanz EUROCONTROL SRU

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  1. Day 1 WORKSHOP, Nicosia 2-3rd July 2008“Extension of SAFETY & QUALITY Common Requirements to the EMAC States”Item 4 : Separation of FunctionsResponsibilities of the NSA Juan Vázquez SanzEUROCONTROL SRU 1

  2. ATM service provision becoming increasingly commercialised National ATM corporations and agencies Increasing costs of safety Increasing focus on liability Progressive separation and clarification of safety roles Separation of functionsCHANGES IN ATM INDUSTRY Maintain and improve safety… … while increasing traffic levels

  3. Separation of functionsCHANGES IN ATM INDUSTRY BUSINESS ORIENTED APPROACH MORE CAPACITY SAFETY FIRST PUBLIC INTEREST

  4. SAFETY REGULATION is the process applied byStates for establishing, overseeing and enforcing minimum safety levels in the public interest. It includes : Rulemaking, usually in the form of Requirements, Means for ensuring compliance with those Requirements Separation of functionsSafety Regulation – Safety Management Operation / Service Provision Supervision / Oversight

  5. SAFETY MANAGEMENT is the process used by organisations for providing safety related services or products to ensure that all safety aspects of that provision have been adequately addressed It includes : Setting of organisational safety policies & standards Means for measuring safety achievements Means for the rectification of deficiencies Separation of functionsSafety Regulation – Safety Management Operation / Service Provision Supervision / Oversight

  6. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP

  7. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP The State nominates/establishes a NSA…. … in the public interest

  8. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP Independence of those who have to be supervised…

  9. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP Independence at least at functional level…

  10. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP TWO MODELS Organisational separation: Two different organisations Functional separation: Within the same organisation separation of reporting lines, responsibilities, budget, etc… Independence at least at functional level… Minimum required in SES

  11. Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Separation of functions in SESNSA - ANSP Impartiality & transparency…

  12. Resources Capabilities Skills Expertise ANSP NSA Separation of functions in SESNSA - ANSP LESSONS LEARNT: The notion of separation is fundamental… … but there must always be a balance OTHERWISE… … Safety Regulation may become a rubber-stamp exercise with no added value

  13. NSASUPERVISION ADDRESSES: Safety (ATM Safety Oversight) Requirements on other aspects (financial, environmental, etc) The Role of the NSAScope

  14. The Role of the NSATwo Steps CERTIFICATION: To be eligible to provide ANS services, an organisation has to be certified ONGOING SUPERVISION: The operations of certified providers will be subject to ongoing supervision conducted by the NSAs With an approach based on… … the mutual recognition of what other NSAs do

  15. SUMMARY (1/2): Need to keep the balance between Business & Public Interest Two basic roles: safety regulation – safety management Safety regulation is applied by States in the public interest Within SES these roles are played by NSA & ANSP Separation of Functionsand Role of the NSA

  16. SUMMARY (2/2): NSA must be independent of ANSP at least at functional level Keep always the balance: NSA needs resources & expertise NSAs supervise safety and other requirements NSAs certify service providers & supervise them all the time Within SES, NSAs recognise what other NSAs do as valid Separation of Functionsand Role of the NSA

  17. Day 1 Thank you for your attention Juan Vázquez SanzEUROCONTROL SRU 8

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