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SAFETY REGULATION COMMISSION. EUROCONTROL. ESARR 1 IMPLEMENTATION WORKSHOP. The agenda…. Tuesday afternoon: ESARR 1 and SES working together and some basic things (e.g. definitions) Wednesday morning: Safety Regulatory Audit Process Wednesday afternoon: Safety Oversight of Changes

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Presentation Transcript
slide1

SAFETY REGULATION COMMISSION

EUROCONTROL

ESARR 1 IMPLEMENTATION WORKSHOP

slide2

The agenda…

Tuesday afternoon:

  • ESARR 1 and SES working together
  • and some basic things (e.g. definitions)

Wednesday morning:

  • Safety Regulatory Audit Process

Wednesday afternoon:

  • Safety Oversight of Changes
  • Safety Directives

Thursday morning:

  • A national perspective (France)
  • Certification Process
slide3

a very quick recap …

  • ESARR 1 is intended to:
    • Work together with SES
    • Complement SES by dealing with the “HOW”
    • Cover various potential scenarios
      • Soft/tough certification + soft/tough designation
      • Inside/outside the SES/EU framework
      • Elaborate further the agreements on supervision of FABs
  • Don’t underestimate the importance of the ESARR 1 definitions

(notably, the definition of “applicable safety regulatory requirements”)

  • ESARR 1 is about processes…
  • ESARR 1 will be transposed into Community law…
    • Probably this year.
    • If there are “orphans” the need to implement them will stand
slide4

SAFETY REGULATION COMMISSION

EUROCONTROL

ESARR 1 IMPLEMENTATION WORKSHOP

ESARR 1 IMPLEMENTATION WORKSHOP

Safety Audit Process

slide5

CE-1

Primary

Aviation

Legislation

CE-3

CE-2

Organisation

Regulations

ESTABLISH

Technical

Guidance

Qualification

and Training

CE-5

CE-4

IMPLEMENT

Authorization

and Approval Obligations

Surveillance

Obligations

Resolution of

Safety

Issues

CE-6

CE-7

CE-8

slide6

verification

SAFETY AUDITING

SAFETY OVERSIGHT

OF CHANGES

SAFETY

REGULATORY

CAPABILITIES

(Section 9)

MONITORING OF SAFETY PERFORMANCE

(Section 4)

VERIFY

SAFETY REGULATORY RECORDS (Section 11)

SAFETY OVERSIGHT ANNUAL REPORT (Section 12)

SAF. OVERSIGHT OF

NEW SYS & CHANGES

HOW

Use of

Recognised

Organisations

(Section 8)

SAF. REG.AUDITING

SAFETY DIRECTIVES

(Section 10)

slide7

verification

SAFETY AUDITING

SAFETY OVERSIGHT

OF CHANGES

VERIFY

SAF. OVERSIGHT OF

NEW SYS & CHANGES

HOW

SAF. REG.AUDITING

slide8

VERIFY

(Section 5.1)

  • Compliance before issuing/renewing

a Certificate

  • Compliance before issuing/renewing

a Designation

  • Continuous compliance
  • Implementation of safety argument of

new systems and changes

SAFETY OVERSIGHT OF NEW SYSTEMS AND CHANGES

REVIEW SAFETY ARGUMENT

(Sections 7.3, 7.5, 7.6)

HOW

DO YOU VERIFY

(Section 5.2)

Major

Minor

ACCEPTANCE

Additional

Safety

conditions

CLASSIFY CHANGES (Sections 7.1, 7.2)

Accepted through

ATM provider procedures

(Section 7.4)

SAFETY REGULATORY AUDITING

(Section 6)

slide9

Audit? …

…What’s an audit?

  • Independence from area been audited
  • Systematic and documented
  • Looking for objective evidence
  • Checking against a reference
  • ISO definition:
    • Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled
  • Some important ideas not explicitly mention in the official definitions:
  • AUDITING IS ABOUT SAMPLING…
  • THE SELECTION OF SAMPLES IS ESSENTIAL
  • PEOPLE ARE INNOCENT UNLESS YOU CAN DEMONSTRATE

THEY ARE GUILTY

  • AN AUDITOR ONLY RAISES A NONCONFORMITY IF HE HAS

OBJECTIVE EVIDENCE

  • AN AUDIT IS ALWAYS AN SNAPSHOT (situation found at the time of the audit)
slide10

Audit? …

…What’s an audit?

  • Some important ideas not explicitly mentioned in the official definitions:
  • AN AUDIT IS NOT CONFINED TO THE “ONSITE AUDIT VISIT”:
    • Preparation is essential
    • A rough estimate:

one auditor-man/day one/two auditor-man/days

on-site of preparation

  • AUDITING NEEDS:
    • A SIGNIFICANT AMOUNT OF QUALIFIED RESOURCES
    • GOOD PLANNING AND MANAGEMENT

MANAGEMENT IS ESSENTIAL…

slide11

Audit? …

…What’s an audit?

  • Some important ideas not explicitly mention in the official definitions:

ON-SITE

AUDIT / VISIT(s)

PREPARATION

INCLUDING A

REVIEW OF DOCUMENTATION

CORRECTIVE ACTION PROCESS

Audit

report

The approach changes after the audit report…

slide12

Yesterday I told you we would try to focus on issues and “tricks”…

So this is my list of proposed topics …

  • NSA roles and
  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits
  • NSA roles/functions in relation to auditing
  • Determination, follow up and closure of

corrective actions

  • Categorisation of non-conformities
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing / Managing a Programme of

Audits

slide13

Yesterday I told you we would try to focus on issues and “tricks”…

So this is my list of proposed topics …

  • NSA roles and
  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits
  • NSA roles/functions in relation to auditing
  • Determination, follow up and closure of

corrective actions

  • Categorisation of non-conformities
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing / Managing a Programme of

Audits

slide14

NSA roles and

  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits

1. NSA ROLES / FUNCTIONS IN

RELATION TO THE AUDIT PROCESS

  • The role of the NSA Top Management
  • The “Designated Point of

Responsibility” in the NSA

  • The Management of the Audit Programme
  • … and the auditors!
slide15

NSA

Top Management

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

Basic functions to be

organised / arranged /managed…

… as appropriate

  • Different arrangements are possible
  • Nothing prevents an NSA from
  • combining roles/functions:
  • Top management
  • Audit management
  • ‘Designated point of responsibility’
  • The execution of audits
  • There are things which must stay
  • within the NSA:
  • The programme of audits
  • The ‘designated point of responsibility’
  • (request / follow up of corrective actions)
  • Top management functions
slide16

Basic functions to be

organised / arranged /managed…

… as appropriate

TOP MANAGEMENT:

NSA

  • Overall responsibility for the safety oversight activity
  • Responsible for resourcing the various functions
  • Responsible for meeting the requirements established in ESARR 1 and the rest of the regulatory framework
  • Normally, it is the one deciding on enforcement actions to be taken in the light of documented findings

Top Management

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide17

Basic functions to be

organised / arranged /managed…

… as appropriate

AUDIT MANAGEMENT:

NSA

  • Determines, implements and follows up the Annual Programme of Safety Regulatory Audits
  • Manages the arrangements with recognised organisations (wherever they are used)

Top Management

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

  • AUDITORS:
  • Plan and conduct the audits
  • Produce the audit report
  • Identify areas of non-compliance (no corrective actions!)
  • They can be NSAs auditors or ROs auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide18

Basic functions to be

organised / arranged /managed…

… as appropriate

DESIGNATED POINT OF RESPONSIBILITY REQUIRED IN ESARR 1:

NSA

Top Management

Why did we invent that ?

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide19

Proposes corrective actions that are accepted by the client if they fix the findings

The “client”

Forward report

of the audit

Requests corrective action

conducts

audit

auditee

auditor(s)

Basic functions to be

organised / arranged /managed…

… as appropriate

DESIGNATED POINT OF RESPONSIBILITY REQUIRED IN ESARR 1:

NSA

Top Management

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide20

Basic functions to be

organised / arranged /managed…

… as appropriate

DESIGNATED POINT OF RESPONSIBILITY REQUIRED IN ESARR 1:

NSA

Top Management

  • Receives the audit report produced by the auditors
  • Ensures that the audit findings are communicated to the senior management of the organisation audited
  • Requests corrective action
  • Assesses the corrective actions determined by the auditee, and accepts them (or not)
  • Undertakes additional actions regulatory actions if required.

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide21

PREPARATION

INCLUDING A

REVIEW OF DOCUMENTATION

PREPARATION

INCLUDING A

REVIEW OF DOCUMENTATION

ON-SITE

AUDIT / VISIT(s)

ON-SITE

AUDIT / VISIT(s)

Audit

report

Audit

report

Basic functions to be

organised / arranged /managed…

… as appropriate

NSA

Top Management

PREPARATION

INCLUDING A

REVIEW OF DOCUMENTATION

CORRECTIVE ACTION PROCESS

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

RECOGNISED

ORGANISATION

(wherever used)

slide22

Basic functions to be

organised / arranged /managed…

… as appropriate

DESIGNATED POINT OF RESPONSIBILITY REQUIRED IN ESARR 1:

NSA

Top Management

  • Receives the audit report produced by the auditors
  • Ensures that the audit findings are communicated to the senior management of the organisation audited
  • Requests corrective action
  • Assesses the corrective actions determined by the auditee, and accepts them (or not)
  • Undertakes additional actions regulatory actions if required.

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

What

does

this

means?

RECOGNISED

ORGANISATION

(wherever used)

slide23

Basic functions to be

organised / arranged /managed…

… as appropriate

  • This is intended to establish a focal point to trigger the internal coordination needed within the NSA:
  • If enforcement is needed
  • If a safety directive is needed
  • If an intervention from the NSA is needed…
  • If someone needs to know the findings of the audit inside the NSA for any purpose…
  • If…
  • But this does not mean that all these things are on the shoulder of the ‘designated point of responsibility’

DESIGNATED POINT OF RESPONSIBILITY REQUIRED IN ESARR 1:

NSA

Top Management

  • Receives the audit report produced by the auditors
  • Ensures that the audit findings are communicated to the senior management of the organisation audited
  • Requests corrective action
  • Assesses the corrective actions determined by the auditee, and accepts them (or not)
  • Undertakes additional actions regulatory actions if required.

Audit Management

Designated point of

Responsibility

required in ESARR 1

Auditors

NSA’s auditors

Recognised Organisation’s auditors

What

does

this

means?

RECOGNISED

ORGANISATION

(wherever used)

slide24

NSA roles and

  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits

2. Determination, follow up

and closure of corrective

actions

3. Categorisation of

non-conformities

slide25

Do you remember this diagram?

ON-SITE

AUDIT / VISIT(s)

PREPARATION

INCLUDING A

REVIEW OF DOCUMENTATION

CORRECTIVE ACTION PROCESS

Audit

report

The approach changes after the audit report…

slide26

Communicates findings

&

Requests corrective

action

Accepts the proposed

Corrective

actions

(or not)

Follows up implementation of corrective action and their effectiveness

Proposes corrrective

action

NSA

Evaluates effectiveness of corrective actions proposed

AUDIT

REPORT

Finding

(Non-conformity

or

Observation)

CLOSURE

Implements

corrective actions agreed

Determination of corrective action

ANSP

slide27

NSA

NSA might need to determine actions to be implemented by the ANSP

AUDIT

REPORT

WHAT HAPPENS IF THE FINDING

IS TOO “SERIOUS”?

Finding

(Non-conformity

or

Observation)

IN SOME CASES A DIRECT INTERVENTION FROM THE NSA MAY BE NECESSARY

IN RELATION TO A FINDING

ANSP

slide28

NSA

NSA might need to determine actions to be implemented by the ANSP

THIS SHOULD NORMALLY

BE EXCEPTIONAL

ONLY IF THERE IS A JUSTIFIED REASON RELATED TO SAFETY

AUDIT

REPORT

Finding

(Non-conformity

or

Observation)

IN SOME CASES A DIRECT INTERVENTION FROM THE NSA MAY BE NECESSARY

IN RELATION TO A FINDING

ANSP

slide29

CATEGORISATION OF NON-CONFORMITIES

  • NSAs need to define clear criteria to support the identification of

situations where an NSA intervention is needed to correct a finding

    • Wherever an audit reveals an unsafe situation
    • Wherever immediate reaction needed
  • The existence of objective evidence is even more critical in this case
  • Practical arrangements are needed:
    • Auditors should communicate the finding to the NSA management
    • NSA auditors might be in a position to determine a corrective action on-site in very serious situations
    • But auditors from recognised organisations’ auditors don’t
  • These procedures should only apply to ongoing oversight audits
  • The use of these procedures should be exceptional
slide30

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 3 GUIDANCE:

NON-CONFORMITIES

LEVEL 1

Any non-compliance which significantly hazards the safety of aircraft

NSA ACTION REQUIRED

LEVEL 2

Any non-compliance which significantly hazards the safety of aircraft

NORMAL CORRECTIVE ACTION PROCESS APPLIED

??

slide31

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

NON-CONFORMITIES

LEVEL 1

Any non-compliance which significantly hazards the safety of aircraft

NSA ACTION REQUIRED

LEVEL 1

Any non-compliance which significantly hazards the safety of aircraft

NORMAL CORRECTIVE ACTION PROCESS APPLIED

GUI 5 recommends that at least four types of possible situations

are identified as level 1 non-compliances

They are called “A, B, C and D”

CRITERIA TO BE DEFINED BY NSA

GUI 5 proposes some recommended criteria & gives examples

slide32

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

  • It is recommended that criteria identify at least the following types of possible situations as level 1 non-conformities:
    • Case A - Evidence demonstrates that a service provided is not compliant with safety-related specifications although it is obtained through the systematic application of the relevant processes.
    • Case B - Evidence demonstrates a lack of systematic implementation of
    • arrangements intended to identify or eliminate a potential or actual unsafe
    • situation.
    • Case C - Evidence demonstrates a lack of systematic implementation of a safety-related operational arrangement
    • Case D - Evidence demonstrates a lack of implementation of corrective
    • actions within the agreed timescale granted by the NSA in relation to the
    • findings of a safety regulatory audit.
slide33

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

  • It is recommended that criteria identify at least the following types of possible situations as level 1 non-conformities:
    • Case B - Evidence demonstrates a lack of systematic implementation of
    • arrangements intended to identify or eliminate a potential or actual unsafe
    • situation.
  • SOME EXAMPLES
  • See 1 and 2 on the table of EAM 1 GUI 5
  • Evidences are found showing that corrective actions resulting from the internal investigation of safety occurrences are (systematically) not implemented
slide34

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

  • It is recommended that criteria identify at least the following types of possible situations as level 1 non-conformities:
    • Case C - Evidence demonstrates a lack of systematic implementation of a safety-related operational arrangement
  • SOME EXAMPLES
  • See 15 and 16 on the table of EAM 1 GUI 5
  • Evidences are found showing that non essential maintenance works in relation to the runway are (systematically) authorised by the TWR in an area close to the ILS localizer at a time at which low visibility procedures applied.
slide35

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

  • It is recommended that criteria identify at least the following types of possible situations as level 1 non-conformities:
    • Case A - Evidence demonstrates that a service provided is not compliant with safety-related specifications although it is obtained through the systematic application of the relevant processes.
  • SOME EXAMPLES
  • See 6 and 7 on the table of EAM 1 GUI 5
  • Evidences are found showing that the declared capacity was exceeded in a number of situations.
  • However, no evidences are found to demonstrate the existence of an issue related to the relevant procedures
slide36

CATEGORISATION OF NON-CONFORMITIES

EAM 1 GUI 5 GUIDANCE:

  • It is recommended that criteria identify at least the following types of possible situations as level 1 non-conformities:
    • Case D - Evidence demonstrates a lack of implementation of corrective
    • actions within the agreed timescale granted by the NSA in relation to the
    • findings of a safety regulatory audit.

SOME EXAMPLES

See 17 on the table of EAM 1 GUI 5

The ANSP does not implement a corrective action in relation to a level 2 nonconformity within the timescales agreed by the NSA

Article 5(4) Common Requirements requires the NSA to take enforcement action

slide37

CE-1

Primary

Aviation

Legislation

CE-3

CE-2

Organisation

Regulations

ESTABLISH

Technical

Guidance

Qualification

and Training

CE-5

CE-4

IMPLEMENT

Authorization

and Approval Obligations

Surveillance

Obligations

Resolution of

Safety

Issues

CE-6

CE-7

CE-8

slide38

Initial certification

CLOSURE OF NON-CONFORMITIES

THERE IS A BIG ISSUE IN THE CURRENT CERTIFICATION PROCESS

172 days left

to complete the current

certification process!!!

Article 3 Common Requirements

1. In order to obtain the certificate necessary to provide air navigation services, and without prejudice to Article 7(5) of Regulation (EC) No 550/2004, air navigation service providers shall comply with the general common requirements set out in Annex I as well as with the specific additional requirements set out in Annexes II to V to this Regulation according to the type of service they provide, subject to the derogations under Article 4.

3. An air navigation service provider shall comply with the common requirements no later than the time at which the certificate is issued pursuant to Article 7 of Regulation (EC) No 550/2004.

Any non-conformity should be corrected (closed)

Before the certificate is issued

slide39

QUESTIONS ?

    • COMMENTS ?
      • VIEWS ?
      • … on anything said (or not said)
slide40

NSA roles and

  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits
  • 4. RESOURCES NEEDED
    • HOW MANY AUDITOR-DAYS
    • DO YOU NEED ?
slide41

The resources needed depend on:

  • Number of units, services, employees
  • Complexity of systems and services provided
  • Stage of development of the management of safety in the service provider organisation,
  • Observed strengths and weaknesses in the documented management of safety,
  • Level of service provider management maturity to safety management,
  • Level of service provider staff maturity to safety management processes and techniques,
  • Level of NSA maturity to safety management processes and techniques,
  • Level of NSA maturity / experience in respect of auditing,
  • Overall safety performance of the service provider
  • etc, etc…

???

slide43

There are some references which have NOT been validated in the context of ATM

BE VERY CAREFUL ABOUT USING THEM…

slide44

There are some references which have NOT been validated in the context of ATM

BE VERY CAREFUL ABOUT USING THEM…

slide45

Auditor-days in initial oversight

Auditor-days in ongoing oversight =

3

There are some references which have NOT been validated in the context of ATM

BE VERY CAREFUL ABOUT USING THEM…

slide46

There are some references which have NOT been validated in the context of ATM

BE VERY CAREFUL ABOUT USING THEM…

  • For the time being we don’t have that type of (validated) guidance to

support the implementation of ATM safety oversight

  • Maybe in the future… based on the experienced of the NSAs
  • Each NSA needs to consider this problem locally and ENSURE that

enough resources are put in place with

    • NSA auditorsOR/AND
    • Recognised Organisation auditors
  • To do all the audits needed, meeting at least the minimum established

in ESARR 1

slide47

NSA roles and

  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits
  • 5. POSSIBLE USE OF RECOGNISED
  • ORGANISATIONS
slide48

According to SES:

  • NSAs “organise”proper inspections and surveys to verify compliance with CRs
  • NSAs “may decide” to delegate in full or in part the inspections and surveys to recognised organisations
  • To become a recognised organisations, a set of requirements has to be met (they are in the SP Regulation)
  • A recognition granted by a NSA shall be valid within the EC. Any NSAs can use any recognised organisation.

“Organise”

“May decide”

MANAGEMENT OF ROs

THE REQUIREMENTS APPLICABLE TO ROs ARE CRITICAL

slide49

Significant Issue:

  • We thought (think) that the SES requirements applicable to ROs were (are) too generic
  • More details were needed to deal with safety...
slide50

NSA Management of arrangements with Recognised Organisations

  • Approach in ESARR 1:
  • Avoid interfering in the SES scheme:

The “right” to become a recognised organisation is regulated by SES

  • An organisation is only be eligible to be recognised if it meets the SES requirements
  • There will be a “list” of organisations recognised. If you are on the list, you have the right to be eligible
  • Focus on the “may decide”
  • which implies that someone adopts certain criteria to decide...

The “may decide” implies a need for “decisions”; that is to say, a need to manage these decisions.

  • The ESARR 1 requirements are formulated around what a NSA has to do wherever such a decision has to be made to deal with the supervision of safety
slide51

Another interesting issue:

Imagine an NSA hires a company to support the conduct of safety audits (or the review of safety cases, or…)

Must that company be a

recognised organisation ?

  • Remember that the SES Regulations state that:

“NSAs may decide to delegate in full or in part the inspections and surveys to recognised organisations”

The key question is… WHO IS TO SIGN THE AUDIT REPORT?

Someone in the NSA

Someone in the Recognised Organisation

slide52

NSA roles and

  • functions
  • Corrective Action Process
  • Categorisation of non-conform.
  • Determination of resources needed
  • Possible use of recognised organisations
  • Implementing the 24-month review cycle
  • Producing and managing a programme of audits
  • 6. IMPLEMENTING THE 24-MONTH
  • REVIEW CYCLE
  • How many audits have to be programmed / managed ?
slide53

MINIMUM TIMEFRAME & SCOPE REQUIRED:

  • The annual programme of audits must include audits to cover:
    • All ATM service provider organisations operating under the supervision of the NSA.
    • The different types of ATM services provided by those service providers operating under the NSA’s jurisdiction.

Audits must be conducted, over a period of two years,

    • To check the compliance of all service providers with the applicable safety regulatory requirements in all areas of functional relevance.

All providers have to be

audited

All types of services provided by the providers have to be audited

The expression “areas of functional relevance” should be interpreted as meaning the technical, operational and managerial functions needed by the service provider organisation to provide a safe operational ATM service and related to the requirements under consideration.

The functional areas of relevance are defined by the NSA…

slide54

MINIMUM TIMEFRAME & SCOPE REQUIRED:

    • To check the compliance of all service providerswith the applicable safety regulatory requirements in all areas of functional relevance.

THE MINIMUM IS:

At least one “X” per column

At least one “X” per row

slide55

A very quick recap …

  • NSAs have to organise and manage a safety audit process.

Various roles / responsibilities in relation to auditing:

      • Top management
      • Audit Management Function
      • Designated Point of Responsibility required in ESARR 1 (the “client”)
  • The execution of audits can be delegated to recognised organisations (ROs)
  • ESARR 1 provides criteria to make decisions when selecting a RO
  • Corrective actions are determined by the ANSP (and agreed by the NSA)
  • However, in some cases the NSA intervention may be needed.

To support these situations a categorisation of non-conformities has been

proposed

  • NSAs have to determine the audit resources needed
  • NSAs have to implement a minimum number of audits (24-month review cycle)
  • NSAs should consider these points to produce/manage an audit programme
slide56

QUESTIONS ?

    • COMMENTS ?
      • VIEWS ?
      • … on anything said (or not said)