1. ICAO Provisions for Safety Management

2. 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

3. 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

4. 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

5. 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

6. 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

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

8. 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

9. 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

10. 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

11. 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 Nov 2001
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002

12. 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

13. 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

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

15. (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

16. 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

17. 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

18. 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

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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

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

29. 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

30. 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

31. 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

32. 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

33. 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

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

35. 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

36. 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

37. 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

38. 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

39. 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

40. 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,
Aerodrome Safety Workshop - Almaty, Kazakhstan - 18 to 22 November 2002