OBJECTIVE BASED RULE MAKING

1

• OBJECTIVE BASED RULE MAKING
• Tony LICU
• Safety Regulation Unit
• EUROCONTROL
• INTERFACE - EATMP Programmes SRC
• WORKSHOP
• July 2002

2
Summary

• Safety Regulation
• Roles of regulator and Regulatee
• Prescriptive vs. Objective-based Regulation
• Flexibility offered to the Service Provider
• Impact on EATMP Programmes and ANSPs

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Safety Regulation
Is the process applied by States for
establishing, overseeing and enforcing minimum
safety levels in the public interest. It includes

• Rule making, usually in the form of safety
  regulatory requirements

• Means for ensuring compliance of those subject
  to safety regulation within national legal
  frameworks

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ROLES OF THE REGULATED ORGANISATION

• To verify externally-provided goods and services
• To have effective monitoring systems
• To detect changes which could affect safety,
  including deviations from standards
• To have an organisational safety policy
• To ensure staff safety-awareness
• To ensure adequate training and competence
• To respond to changes in requirements

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ROLES OF THE REGULATOR

• For national ATM
• To agree key safety standards and principles
• To ensure national standards meet international
• To resist unacceptable shortcuts to safety
• To ensure service providers have appropriate
  safety measures in place (including SMS)
• To monitor overall ATM safety performance
• To issue safety recommendations remedial actions

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Spectrum of Regulation
Do Nothing
Audit Regime
Resident Inspector
Respond to Problems
Frequent Inspection/ Reporting
Regulator does The Job
SMS
Approved Organisation/Operations
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Prescriptive vs. Objective based Regulations

• In prescriptive regulations the specific means of
  achieving compliance is mandated

You shall install a 1m high rail, 1 meter from
the edge of the cliff
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Shortcomings for Prescriptive Regulations

• ?The Regulatee is required to carry out the
  mandated actions to discharge his legal
  responsibilities to the regulator
• ?Prescriptive regulations encode the best
  practices at the time that they were written and
  become deficient as best practices change e.g.
  with evolving technologies
• ?Prescriptive safety regulations are unable to
  cope with a diversity of design solutions.

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Objective-based Regulations

• Objective-based regulation defines a goal to be
  achieved without mandating the means of
  compliance
• As such the Regulatee has the freedom to adopt
  the most suitable means of compliance

People shall be prevented from falling over the
edge of the cliff

• Objective-based regulation can be refined in a
  hierarchical manner, to provide many levels of
  sub-goals
• Objective-based regulation should reduce
  unnecessarily restrictive regulations which may
  be viewed as a barrier to open markets
• Objective-based regulation should not adversely
  affect the cost and technical quality of
  available solutions.

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An approach to Objective-based regulations (1)

• The Regulator is required to set objective goals
  which do not remove the Regulatees freedom of
  solution by prescribing the AMCs
• It is the responsibility of the Regulatee to
  present a claim that the safety goal has been
  achieved and convince the regulator that it is
  true
• It is not the responsibility of the regulator to
  construct the claim on behalf of the Regulatee.

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An approach to Objective-based regulations (2)

• Goals/Objectives shall be decomposed into
  sub-goals until are meaningful regulatory
  statements which can be comprehended by the
  Regulatee
• Unambiguous, concise, complete and measurable
  criteria must be agreed, to define areas where
  argument and evidence is required to support a
  claim that a goal is achieved
• The rigour of the argument and supporting
  evidence should correspond to the risk of a claim
  not being substantiated

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Impact on ANSPs and EATMP Programmes

• Need to demonstrate (ANSPs) that changes to ATM
  system are safe
• Need to demonstrate compliance with ESARRs
• State HOW the compliance is intended to be
  demonstrated
• Demonstrate through the Safety Documentation
  (Safety case)

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Safety Policy Safety Plan
Safety Deliverables
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Conclusion on Impact on ANSP and EATMP
Programme Safety Policy Describes the
Programme safety assessment strategy
Programme Safety Plan Outlines the
safety assessment activities, milestones,
timescale etc.
Programme Safety Deliverables Details safety
assessment, verification validation activities,
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Summary

• Safety Regulation
• Roles of regulator and Regulatee
• Prescriptive vs. Goal-based Regulation
• Flexibility offered to the Service Provider
• Impact on EATMP Programmes and ANSPs

16

• OBJECTIVE BASED RULE MAKING
• Tony LICU
• Safety Regulation Unit
• EUROCONTROL
• INTERFACE - EATMP Programmes SRC
• WORKSHOP
• July 2002

END OF PRESENTATION