ICAO Provisions for Safety Management

The Role of ICAO in Aviation Safety ICAO responsibilities and objectives are set out in the Chicago Convention Article 44 requires ICAO to: Ensure the safe and orderly growth of civil aviation throughout the world Meet the needs of the people of the world for safe, regular, efficient and economical air transport Promote safety of flight in international aviation Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Promulgation of Requirements ICAO promulgates requirements for international aviation as Standards and Recommended Practices (SARPS), which are published as Annexes to the Convention The Annexes are the foundation for all ICAO provisions, including those related to Safety Management Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Scope of the Presentation This presentation will concentrate on the safety management requirements resulting from recent amendments to: Annex 11 – Air Traffic Services and Annex 14 – Aerodromes Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Origins of ICAO Safety Requirements The concept of a Global Aviation Safety Plan (GASP) was first proposed by the Air Navigation Commission in April 1997 GASP was endorsed by the 32nd and 33rd ICAO Assemblies in 1998 and 2001 respectively Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

GASP Objectives Reduce the number of accidents and fatalities irrespective of the volume of air traffic Achieve a significant decrease in worldwide accident rates, placing emphasis on regions where these remain high Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

GASP Tasks Relevant to ATS and Aerodrome Safety Management Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

ATS and Aerodrome Related Tasks (1) Develop safety indicators to readily identify trends in safety performance Assist States to develop appropriate safety oversight structures Expansion of USOAP to other fields Develop Annex provisions and guidance material for voluntary incident reporting systems Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

ATS and Aerodrome Related Tasks (2) Develop provisions to ensure that airport and airspace capacity enhancement programmes are safe Provide guidance for and monitor the introduction of safety management systems for aerodromes and ATS Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

ATS and Aerodrome Related Tasks (3) Develop provisions for enhancement of air-ground communication skills, including proficiency in the use of common English language Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Progress to Date (1) Standards and Recommended Practices (SARPS) for Safety Management in ATS introduced in Amendment 40 to Annex 11 Complementary procedures introduced in Amendment 4 to the PANS-RAC (Doc 4444, renamed the PANS-ATM) General applicability date for both was 1 Nov 2001 Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Manual on Certification of Aerodromes finalized Progress to Date (2) Standards and Recommended Practices (SARPS) for Aerodrome Safety Management introduced in Amendment 4 to Annex 14 General applicability date - 1 Nov 2001 Manual on Certification of Aerodromes finalized Distribution in October 2001. Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Manual on Safety Management in ATS under development Progress to Date (3) Manual on Safety Management in ATS under development Safety Indicators Study Group (SISG) established First meeting in 2002 Proficiency Requirements in Common English Study Group (PRICESG) established First met November 2000 Proposals for amendment of Annexes 1, 6, 10 and 11 and the PANS-ATM Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Universal Safety Oversight Audit Programme Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

(Safety Surveys/Audits/Reviews) How the USOAP Works ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME ICAO National Regulator STATE SAFETY OVERSIGHT Service Provider SMS INTERNAL VERIFICATION (Safety Surveys/Audits/Reviews) Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

USOAP Procedures Audits examine the State’s legislative framework, and the organization to support State safety oversight activities A confidential audit report is prepared for the State, and a summary report is published 179 Contracting States and five territories had been audited as of November 2002 Follow-up audits have commenced Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

First programme audited compliance by States with the provisions of Scope of Audits First programme audited compliance by States with the provisions of Annex 1, Personnel Licensing Annex 6, Operation of Aircraft Annex 8, Airworthiness of Aircraft Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Audits will commence in 2004 Expansion of the USOAP A proposal for expansion of the USOAP to include the provisions of Annex 11 – ATS, and Annex 14 – Aerodromes, was approved by the 33rd ICAO Assembly (25/09/01 to 05/10/01) Audits will commence in 2004 Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

ATS Safety Management Requirements Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Annex 11 Provisions (1) States shall implement systematic and appropriate ATS safety management programmes to ensure that safety is maintained in the provision of ATS within airspaces and at aerodromes Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Annex 11 Provisions (2) As of 27 November 2003, States will be required to establish acceptable levels of safety and safety objectives applicable to the provision of ATS within their areas of responsibility When applicable, safety levels and safety objectives shall be established by regional air navigation agreement Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

PANS-ATM The PANS-ATM specifies in more detail what comprises an ATS safety management programme Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

PANS-ATM Safety Provisions (1) An ATS safety management programme should include Monitoring of overall safety levels and detection of any adverse trend Safety reviews of ATS units Safety assessments of system changes A mechanism for identifying the need for safety enhancing measures Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

PANS-ATM Safety Provisions (2) The PANS-ATM safety management provisions are contained in a new Chapter, which specifies Circumstances requiring a safety assessment Factors to consider in undertaking safety assessments and unit safety reviews Requirements for incident reporting and monitoring of safety Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

The Manual on Safety Management in ATS Will provide more detailed guidance on implementation of the provisions of Annex 11 and the PANS-ATM Still under development Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Topics to be Covered in the Manual Management for safety Factors affecting system safety Determination of the acceptable level of safety Safety assessment and risk management techniques Ensuring the on-going safety of operational systems Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Why ATS? ICAO provisions require that any change which could have an impact on the safety of ATS operations be subject to a safety assessment If changes in the ASM, AIS or ATFM areas could affect safety of ATS operations, they will require safety assessment Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Aerodrome Safety Management Requirements Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Aerodrome Certification Requirements As of 1 November 2001, it is recommended that all aerodromes open for public use should be certified As of 27 November 2003, certification will be required for all aerodromes used for international operations Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Regulatory Framework for Aerodrome Certification All States will be required to establish a regulatory framework specifying the criteria for the certification of aerodromes Guidance material on what the regulatory framework should comprise can be found in the Manual on Certification of Aerodromes (issued 2001) Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Certification and Safety Management As of 1 November 2001, it is recommended that all certified aerodromes should have a safety management system As of 24 November 2005, a certified aerodrome will be required to have a safety management system Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

The Aerodrome Manual One of the main requirements for certification is the production of an Aerodrome Manual The Aerodrome Manual is required to contain details of the operator’s safety management programme Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Oversight of Aerodrome Safety The Manual on Aerodrome Certification recommends that States establish a Directorate of Aerodrome Safety to: Assess applications for aerodrome certification Conduct periodic inspections and audits to ensure that safe operating conditions continue to exist Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

State Responsibilities for Safety Management Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

State Regulatory Responsibilities The State will always be responsible for The establishment of the regulatory framework which forms the basis of the safety management requirements Oversight of the safety management procedures, and monitoring achieved levels of safety of the ATS providers and AD operators Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

The State as a Service Provider Where a State provides ATS and operates aerodromes, it will, in addition, be responsible for the implementation of safety management programmes at its ATS units and aerodromes. Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Independent ATS Providers and AD Operators State regulations and oversight programmes must ensure that independent ATS providers and aerodrome operators implement adequate safety management programmes Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Third Party Service Providers The term Third Party Service Providers refers to organizations, such as communications providers, which are not answerable to the State aviation authority Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Safety Assurance of Third Party Services ATS providers and aerodrome operators must consider third party provided services in carrying out safety assessments Safety requirements applying to such services and the responsibilities of each party should be specified in contractual requirements, or formal documents such as letters of agreement Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

Reference Material For full details of the ICAO safety management provisions, consult the following documents: Annex 11, Chapter 2, Section 2.26 Annex 14, Chapter 1, Section 1.3 PANS-ATM, Doc 4444, Chapter 2 Manual on Certification of Aerodromes (Doc 9774) Global Aviation Safety Plan, http://www.icao.int/icao/en/res/a33_16.htm Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002