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HARMONISATION OF ATM SAFETY REGULATION IN ECAC Peter Stastny Head of Safety Regulation Unit

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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HARMONISATION OF ATM SAFETY REGULATION IN ECAC Peter Stastny Head of Safety Regulation Unit

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  1. 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

  2. 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

  3. 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

  4. 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

  5. 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

  6. 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

  7. 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

  8. 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

  9. 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

  10. 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

  11. 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

  12. 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

  13. 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

  14. 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

  15. 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

  16. 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

  17. 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

  18. 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

  19. 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

  20. 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

  21. SRC 03 Status report in 2002 EUROCONTROL 19th Annual FAA/JAA International Conference

  22. 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

  23. 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

  24. 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

  25. 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

  26. 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

  27. EUROCONTROL Ease of reporting Independence TRUST Motivation & Promotion FEEDBACK Acknowledgement ENGINEERING A “JUST CULTURE” 19th Annual FAA/JAA International Conference

  28. 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

  29. 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

  30. 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

  31. 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

  32. 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

  33. 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

  34. 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

  35. 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

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