HARMONISATION OF ATM SAFETY REGULATION IN ECAC

1

• HARMONISATION OF ATM SAFETY REGULATION IN ECAC
• Peter Stastny
• Head of Safety Regulation Unit
• EUROCONTROL
• FAA/JAA Annual Conference 5th June 2002
• Phoenix, Arizona

2
Presentation Overview

• Developments in ATM safety regulation
• European Programmes - safety regulatory
  aspects
• Safety oversight
• Just Culture
• GAIN
• Issues for the future

3
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
4
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

5
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

6
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
7
SRCs INTERFACE with JAA

• JSSI
• JSSI Steering Group
• Action Plan Team
• Outputs in SRC Doc 10
• CNS/ATM Steering Group
• Regulation Sectorial Team
• In SRC

8
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
9
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

10
EUROCONTROL SAFETY REGULATORY REQUIREMENTS
(ESARRs)

• EUROCONTROL Member States obliged to implement -
  remaining ECAC States encouraged
• Complement ICAO SARPs
• 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

11
ESARR ADVISORY MATERIAL(EAM)

• Acceptable Means of Compliance - AMC
• Companion Documents - COD
• Guidance Material - GUI
• Reference Material - REF
• ICAO Consistency - ICAO

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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

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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

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ESARR 5ATM SERVICES PERSONNEL

• General and ATCO Requirements effective Nov.
  2003
• AMC - National licensing schemes - EUROCONTR
  OL Licensing Manual
• GUI - Supplementary material incl. Common
  Core Training Medical Requirements
• Complements ICAO Annex 1 except for Rating
  Classifications

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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

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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
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ACCEPTABLE MEANS OF COMPLIANCE
ESARR 1 ATM SAFETY REGULATORY FRAMEWORK
GUIDANCE MATERIAL FOR REGULATORS
FOR EACH ESARR
AMC
AMC
AMC
ESARR 2 SAF. OCCURRENCES
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, ...
18
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
AMC
ESARR 3 SAFETY MANAGEMENT SYSTEMS
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, ...
AMC
ESARR 5 ATM PERSONNEL
ESARR 6 SYSTEMS SW HW
ESARR 7 ATM PROCEDURES
AMC
FOR ESARR 5, 6, 7.
EATMP Programme Safety Deliverables
19
ESARR IMPLEMENTATION PROGRAMME
Promotional Literature CD Video Web-site
Helpdesk
Guidance Material Means of Compliance
Active support programme for national stakeholders
20
ECIP Objective for ESARR 3
21
SRC 03 Status report in 2002
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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.

23
EATMP PROGRAMMES
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
24
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

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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

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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.

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ENGINEERING A JUST CULTURE
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DEFINING THE BORDERS OF BAD BEHAVIOUR
unintentional
deliberate
deliberate
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ENGINEERING A JUST CULTURE

• Concerns over -
• Information Misuse
• Punishment/Enforcement
• Criminal Sanctions
• Civil Litigation
• Public Access
• ICAO Position - Annex 13
• The case continues..

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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..

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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

32
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

33
ISSUES FOR THE FUTURE

• Continuing institutional change
• Single European Sky
• EASA
• Global regulatory issues in ATM, incl.
• Provisions in SARPs
• IUSOAP

34
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

35

• HARMONISATION OF ATM SAFETY REGULATION IN ECAC
• Peter Stastny
• Head of Safety Regulation Unit
• EUROCONTROL
• FAA/JAA Annual Conference 5th June 2002
• Phoenix, Arizona