1. 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, October 2002

2. Without international
rules, air travel
would be in chaos.

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

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

13. 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

14. 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

15. 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

16. 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

17. 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 Requirement for establishment of an acceptable level of safety and safety objectives becomes a Standard 27 November 2003.
11/21/2018

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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

31. 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

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

33. 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

34. 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

35. 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

36. 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

37. 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

38. 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

39. 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

40. 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

41. 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

42. 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

43. 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

44. 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

45. 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

46. 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 :
11/21/2018

47. 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

48. 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

49. 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

50. 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, 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