ICAO’s Role in Future Airport and ATS Safety Activities Mr. Raymond Ybarra Regional Director ICAO Regional Office for North America, Central America, and the Caribbean ICAO–AENA Seminar on Airport Management: Security and Quality Antigua, Guatemala, 14 - 18 October 2002

Without international rules, air travel would be in chaos.

Introduction ICAO Programmes that will impact directly on Airport and ATS regulators and service providers Global Aviation Safety Plan (GASP) ICAO Universal Safety Oversight Audit Programme (USOAP) 11/21/2018

Introduction ICAO Programmes that will impact directly on Airport and ATS regulators and service providers ATS Safety Management Systems ATS QA Programmes Airport Safety Management Systems Airport Certification ICAO’s vision of future airport and ATS activities 11/21/2018

Global Aviation Safety Plan (GASP) Background In response to a large number of aviation accidents that occurred in 1996, and The expected growth in air traffic, The ANC noted the need to reduce the accident rate, and In 1997 proposed an ICAO Global Aviation Safety Plan (GASP) 11/21/2018

Global Aviation Safety Plan (GASP) Background The 33nd Session of the ICAO Assembly endorsed the establishment of the GASP The concept underlying GASP is to concentrate on launching or continuing those safety initiatives that offer the best “safety dividend” in the terms of reducing the accident rate Priorities will be determine by conducting annual reviews of accident statistics to spot important trends GASP is first ICAO program where aviation industry is represented, manufacturers, etc. 11/21/2018

Global Aviation Safety Plan (GASP) Objectives Objective 1: Provide the necessary leadership by ICAO and gain a commitment from Contracting States and the aviation industry as a whole in a collaborative effort to enhance aviation safety Objective 2: Achieve a significant decrease in the world-wide accident rate; First real effort by ICAO to include aviation industry in safety efforts. 11/21/2018

Global Aviation Safety Plan (GASP) Objectives: Objective 3: Enhance the identification of deficiencies in the air navigation field and assist States to achieve a significant degree of improvement; Objective 4: Increase and improve ICAO’s own capability to compile, assess and disseminate safety-related information. First real effort by ICAO to include aviation industry in safety efforts. 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP These elements provide the basis for ICAO’s activities in developing an integrated safety management process Annual review of causal factors for accidents world-wide and disseminate the results to States 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Prioritize safety-related tasks of the Technical Work Programme Introduction of GNSS for non-precision approaches Continuation of CFIT/ALAR programme, predictive terrain hazard warning systems and minimum safe altitude warning systems As a result of A33-16, ICAO has sent out a State Letter which notes with concern that CFIT/ALAR type accidents remain significant in airline operations and reiterates implementation of CFIT/ALAR programs, particularly through the use of CFIT/ALAR tool kit. 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Prioritize safety-related tasks of the Technical Work Programme Implementation of ACAS Increase use of standard ATC phraseology As a result of A33-16, ICAO has sent out a State Letter which notes with concern that CFIT/ALAR type accidents remain significant in airline operations and reiterates implementation of CFIT/ALAR programs, particularly through the use of CFIT/ALAR tool kit. 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Introduction of global air traffic management Integration of human factors 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Address deficiencies in the air navigation field Collection of information Assessment of reports Identification of technical and operational remedies In the CAR/SAM regions, GREPECAS through its ASB, is closely looking at deficiencies determined to be of an urgent nature. 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Collaborate with States and the aviation industry to identify additional safety measures An essential part of this process is the dissemination of safety-related information to those who need it most Goal for the future is to integrate the different accident and incident databases for the benefit of all. 11/21/2018

Global Aviation Safety Plan (GASP) Elements of GASP Improvements to safety oversight through the ICAO safety oversight audit programme (USOAP) Corrections of deficiencies Introduction of quality assurance in USOAP Enhancement and expansion of USOAP Annex 11 – Air Traffic Services Annex 13 – Accident Investigation; Annex 14 – Aerodrome Operations; USOAP includes regular, mandatory audits of Annexes 1,6,8 Audits of other annexes is scheduled for 2004, protocols being developed 11/21/2018

USOAP Expansion The ICAO General Assembly A33-8 resolution resolved that the USOAP be expanded to Annex 11- Air Traffic Services, core elements of Annex 13 - Accident Investigation and Prevention and Annex 14 - Aerodromes as of 2004 ATS and Aerodrome Audits will affect two levels: i.e. that of the regulator and the service provider Audits will be mandatory, standardized, and regular. 11/21/2018

ATS Safety Management Systems Amendment 40, Annex 11 and Amendment 4, PANS-ATM Doc 4444 – 2001 Introduced concept of of safety management programs for ATS (November 2001) Requirement for establishment of an acceptable level of safety and safety objectives for provision of ATS in airspace and aerodromes. Recommended Practice becomes Standard effective November 2003 Requirement for implementation of ATS safety mgmt. under Annex 11 became effective 1 November 2001. Requirement for establishment of an acceptable level of safety and safety objectives becomes a Standard 27 November 2003. 11/21/2018

ATS Safety Management Systems Objectives Requirements in respect of Services, Systems and Procedures applicable to airspaces and aerodromes should be established on the basis of a regional air navigation agreement to facilitate harmonization. Ensure that safety in the provision of ATS is met and maintained ATS QA and Airport Certification are such safety management programs 11/21/2018

ATS Safety Management Systems Objectives The appropriate ATS authority shall implement formal and systematic safety management programmes for the air traffic services under its jurisdiction. Safety-related enhancements are implemented whenever necessary. 11/21/2018

ATS Safety Management Systems Activities Monitoring of overall safety level and detection of any adverse trends; Safety review of ATS units; General requirements Scope: Regulatory, Operational, Technical, Licensing and Training Issues Again, ATS and AGA QA Programs 11/21/2018

ATS Safety Management Systems Activities Safety Assessments in respect of planned implementation of airspace re-organizations, introduction of new equipment, systems or facilities and new or changed ATS procedures Mechanism for identifying the need for and implementing safety enhancing measures. RVSM, RNAV routes, 11/21/2018

ATS Quality Assurance Programme Background Increased awareness of ATS incidents in the CAR/SAM Regions Reports of ATS incidents increased by 43 per cent between 1996 and 1998 Concerns regarding the overall quality of air traffic services being provided GREPECAS ATS SG centered its efforts on ATS incidents and their direct relationship to air navigation safety 11/21/2018

ATS Quality Assurance Programme Background In November 1998, GREPECAS/8 developed 3 Conclusions addressing ATS incidents and outlined action to be taken by States, Users, and the ICAO Regional Offices in order to reduce ATS incidents in the CAR/SAM Regions 11/21/2018

ATS Quality Assurance Programme Background CAR/SAM RAN/3 Meeting (1999) Recommendation 5/36 - Development of ICAO guidance material on ATS quality assurance programmes Conclusion 5/37 – ATS quality assurance seminar and associated workshops Recommendation 5/38 – Implementation of an ATS quality assurance programme Rec 5/36 complete, Concl. 5/37 ongoing, Rec. 5/38 up to States 11/21/2018

ATS Quality Assurance Programme Purpose To provide specific guidance on reporting, investigating and resolving various types of ATS incidents that impact the quality of ATS The programme should be designed to work in conjunction with ICAO Standards and Recommended Practices as well as with State’s regulations 11/21/2018

ATS Quality Assurance Programme Objectives ATS QA Programmes should focus on identifying and correcting deficiencies before they result in an ATS incident or accident Continually improve the overall quality of air traffic services being provided Easy to reach good level of quality, difficult to maintain 11/21/2018

ATS Quality Assurance Programme ATS QA Programme Guidance Material The ICAO NACC Regional Office developed ATS quality assurance guidance material for use in the CAR/SAM Regions This material was approved by GREPECAS/10 Meeting in Canary Islands, Spain (October 2001) Possible Global application 11/21/2018

ATS Quality Assurance Programme ATM Evaluations in the CAR Region The ICAO NACC Regional Office implemented a programme of ATM evaluations for States/International Organizations responsible for FIRs in the CAR Region using the ATS Quality Assurance Guidance Material in preparation for ICAO ATS Audits in 2004. 11/21/2018

ATS Quality Assurance Programme ATM Evaluations in the CAR Region The following States/International Organization have been evaluated: COCESNA-Central American (March 2001); Trinidad & Tobago-Piarco (November 2001); Mexico-Merida (Jan./Feb. 2002); and Cuba (April 2002). Have developed audit check list. 11/21/2018

Certification of Aerodromes Amendment 4 to Annex 14, Volume I; New Section 1.3 (applicable 1 Nov. 2001) Aerodromes open to public use to be certified as per Annex 14, Vol. I and other relevant Annexes From 27 Nov. 2003, aerodromes used for international operations to be certified (Std) 11/21/2018

Certification of Aerodromes Amendment 4 to Annex 14, Volume I; New Section 1.3 (applicable 1 Nov. 2001) States’ regulatory framework to establish the criteria for certification (Std) Submission of an aerodrome manual as part of the application; Certified aerodromes to have a SMS (Safety Management System) From 24 Nov. 2005, SMS shall be in operation. 11/21/2018

Guidance Material in Doc. 9744 – Manual on certification of aerodromes Contents Introduction Aerodrome certification regulatory system Model regulations Certification procedure 11/21/2018

Guidance Material in Doc. 9744 – Manual on certification of aerodromes Contents Regulatory authority Details to be included in an aerodrome manual Safety management system Sample forms 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Aerodrome Certification Regulatory System: Prerequisites – legislation and organization Basic Aviation Law – authorize establishment of the CAA; adoption of regulations, empower DGCA to issue, transfer, refuse or cancel certificates etc. Main elements of regulations – certification criteria, procedure, safety audits, sanctions for violations Implementation – adequate budget; CAA staffing and training 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Model regulations: General explanation of the intent of certification Submission of application & aerodrome manual Assessing applicant’s capability and adequacy of the airport infrastructure 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Model regulations: Aerodrome operator’s obligations Validity of a certificate Endorsement of conditions of operation Surrender/transfer/revocation of certificate Exemptions, if any 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Aerodrome certification procedure: Certification procedure to ensure full compliance with the State regulations The Process – assessment of applicant’s capability, the adequacy of the facilities and services by on-site inspection and verification by qualified inspectors, acceptance/approval of the aerodrome manual submitted by the applicant 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Aerodrome certification procedure: Issue/transfer/revoke the certificate as appropriate Notification of the aerodrome’s certified status in the AIP 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Main components of an Aerodrome Manual: A General Section explaining the purpose and scope of the Manual Administrative details of the operator Information on aerodrome facilities Information on aerodrome services Aerodrome operating plans, procedures and safety measures Safety management systems 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Safety Management System (SMS): What is SMS? A system for managing safety as part of the overall management objective and policy 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Safety Management System (SMS): Why SMS? To regulate airport operations and improve safety levels, especially in areas not covered by applicable ICAO or national standards and regulations How? Existence of comprehensive technical Standards/Specifications, those for SMS, their implementation and maintenance at all times 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Main elements of Safety Management System: Safety policy statement including the safety management approach and objectives Safety management strategies, its achievement, assurance and promotion Systems and procedures in place to control and manage safety of operations Safety audits and other means of measuring performance against established goals 11/21/2018

Doc. 9744 – Manual on certification of aerodromes Safety management approach, objectives and strategy: Management commitment and encouragement towards a positive safety culture Responsibility and technical competence of key officials, priorities, compliance with applicable specifications and standards Establishing a safety reporting system Safety orientation and recurrent training Emergency response planning 11/21/2018

Conclusions Many elements in the GASP programme are currently on ICAO’s Technical Work Programme The speed with which they are being progressed varies, depending on a number of factors, i.e. competing priorities (Security), available resources, etc. The thrust of the ICAO Global Aviation Safety Plan is to identify and prioritize those tasks and programmes likely to produce the best safety dividend in terms of reducing the fatal accident rate for airline operations world-wide 11/21/2018

Conclusions States shall ensure Air Traffic Services, CNS systems and Airport operations maintain an acceptable level of safety Requirements of services, systems and procedures be established on the basis of regional air navigation agreement to facilitate harmonization Authorities shall implement systematic safety management programmes for ATS and Aerodromes under their jurisdiction 11/21/2018

Conclusions ATS quality assurance programmes and aerodrome safety management systems will place safety at the forefront while expediting and maintaining an orderly flow of air traffic in the CAR/SAM Regions ATS quality assurance guidance material for use in the CAR/SAM Regions is available at ICAO web Site : www.icao.int/nacc 11/21/2018

Conclusions Aerodrome SMS guidance is contained in the ICAO Manual on Aerodrome Certification (Doc. 9774) ATM and Airport Evaluations in CAR Regions are helping States transition to the ICAO ATS and Aerodrome Audits that will start in 2004 11/21/2018

ICAO’s vision of future ATS and Airport Programmes ATS and Aerodrome Safety Management Systems ATS Quality Assurance Programmes Aerodrome Certification by States CFIT/ALAR Tool kits available. Mexican ATCS working on ATC module of ALAR tool kit. Mexico has trained over 80 ATCS on ALAR. 11/21/2018

ICAO’s vision of future ATS and Airport Programmes ATM/Airport Audits Regulators Service Providers CFIT/ALAR Tool kits available. Mexican ATCS working on ATC module of ALAR tool kit. Mexico has trained over 80 ATCS on ALAR. 11/21/2018

ICAO’s vision of future ATS and Airport Programmes Additional ATS and Airport efforts CFIT/ALAR- Pan American Aviation Safety Team (PAAST) Runway Incursion Programme- PAAST Runway Safety/Runway Incursion Conference Mexico City, 22-25 October 2002 PAAST members include IFATCA.. Mexican ATCS working on ATC module of ALAR tool kit. Mexico has trained over 80 ATCS on ALAR. CFIT/ALAR Tool kits available 11/21/2018