1. WORKSHOP, Nicosia 2-3rd July 2008 “Extension of SAFETY & QUALITY Common Requirements to the EMAC States” Item 3 : Regulatory Context Peter Stastny EUROCONTROL Safety Regulation Unit Day 1

2.  Requirements in Brief  ICAO, ESARRs, Single European Sky, EASA  Related Regulatory Issues  Monitoring and Measuring Implementation, Safety Improvement, Performance Monitoring,  Emerging Institutional Developments  SES II, EASA, EUROCONTROL CONTENTS

3.  Safety Management  Risk Assessment  National Safety Levels  Personnel Licensing (ATCOs)  Reporting of Accidents and Incidents  States’ Safety Programmes ICAO Requirements

4. SAFETY FRAMEWORKS

5. EUROCONTROL Safety Regulatory Requirements (ESARRs) SRC Role:  Development of harmonised safety objectives, approaches safety objectives, approaches and requirements and requirements (notably ESARRs) (notably ESARRs)  Advise Council on ATM safety regulatory matters, regulatory matters, including recommendations including recommendations for improvements to be for improvements to be implemented and enforced by implemented and enforced by Member States Member States EUROCONTROL SRC and the ESARRs ESARR 2 Reporting and Assessment of Safety Occurrences in ATM ESARR 3 ESARR 4 ESARR 5 ESARR 6 Safety Management Systems in ATM Risk Assessment and Mitigation in ATM ATM Services’ Personnel Software in ATM Systems ESARR 1 Safety Oversight in ATM

6. The SINGLE EUROPEAN SKY (SES) is an initiative to create an airspace and ATM system designed, managed and regulated in a harmonised way. l Demand for air travel increases in Europe. Need for improvement l ATM has traditionally been organised around existing national boundaries l SES is based on building a new approach to ATM provision not based on national boundaries SINGLE EUROPEAN SKY A level playing field for ATM In Europe beyond national boundaries

7. AREAS IDENTIFED WHERE REFORM IS REQUIRED: l Safety l Airspace management l Systems and operations l Service provision regime l etc SAFETY is of paramount importance in the SES initiative. Any reforms should maintain and enhance safety SINGLE EUROPEAN SKY

8. l The European Commission (EC) has powers to regulate civil ATM in the EU l A common rulemaking mechanism has been created l The rules produced are applicable in all the States under the SES framework:  27 EU Member States  Other States with specific arrangements (Norway, Switzerland) THE BIG DIFFERENCE: SINGLE EUROPEAN SKY

9. FOUR REGULATIONS IN FORCE SINCE APRIL 2004: l The Framework Regulation ( institutional arrangements ) l The Airspace Regulation l The Service Provision Regulation l The Interoperability Regulation Further Rules regulate specific aspects:  Common Requirements for the provision of ANS services  Various Interoperability Implementing Rules  etc SINGLE EUROPEAN SKY

10. REQUIREMENT FOR SEPARATION BETWEEN THE PROVISION OF SERVICES AND ITS SUPERVISION AT LEAST AT FUNCTIONAL LEVEL IMPLICATIONS FOR...... SAFETY MANAGEMENT AND SAFETY REGULATION ?

11. l States establish or nominate NSAs l Independent of service provision (at least functionally) l To supervise the implementation of requirements l Different arrangements are possible (e.g. multinational NSAs) l May use recognised organisations (to perform supervisory tasks) THE NATIONAL SUPERVISORY AUTHORITIES (NSAs) SUPERVISION ADDRESSES: l Safety (ATM Safety Oversight) l and requirements on other aspects (financial, environmental, etc)

12. In order to be eligible to provide ANS services in the countries under the SES framework...... an organisation has to be certified CERTIFICATION REGIME l Certification against a set of Common Requirements l The Certificate is valid in all the countries under the SES framework l The Certificate is issued by the NSA where the organisation has its main place of operations l The Certificate must be maintained...

13. States shall designate organisations holding a valid certificate in order to provide ATS services in specific airspace blocks DESIGNATION

14. And once certified and designated...... the providers will be subject to ongoing supervision conducted by the NSAs ONGOING SUPERVISION

15. PLAY A KEY ROLE IN THE CERTIFICATION SCHEME: There are common requirements on:  Technical and operational competence and suitability  Safety Management and Quality Management  Reporting systems  Financial strength  Liability and insurance cover  Human resources  Security  Quality of services  Ownership and organisational structure COMMON REQUIREMENTS

16. THE LINK WITH ESARRs  Article 4 (SES regulation on provision of ANS services)  Safety requirements The Commission shall, in accordance with the procedure referred to in Article 5(3) of the framework Regulation, identify and adopt the Eurocontrol Safety Regulatory Requirements (ESARRs) and subsequent amendments to those requirements within the scope of this Regulation that shall be made mandatory under Community law. Publication shall take the form of references to such ESARRs in the Official Journal of the European Union.

17. Transposition of ESARRs into Community Law COMMON REQUIREMENTS FOR TECHNICAL PERSONNEL Directive on ATCO Licensing FOR ATCOs Directives on Reporting of Occurrences & Accident Investigation NSA procedures for safety oversight Provisions focused on service providers ESARR 1 ESARR 2 ESARR 3 ESARR 4 ESARR 5 ESARR 6 EAM (ESARR ADVISORY MATERIAL) More than 30 guidance deliverables released or under development 5 means of compliance assessed and recognised as acceptable Other support materials Regulation on Establishing a Safety Oversight Function for ATM Regulation on Software Safety Management

18. National Supervisory Authorities (NSAs) will: l Exercise an ATM safety oversight function, as part of their supervisory roles l Certify providers after checking compliance with common requirements (that will cover the ESARRs) l Accept certificates issued by other NSAs l Monitor safety and conduct ongoing safety oversight by means of safety regulatory audits l Establish arrangements to work together Need to harmonise the procedures of the ATM safety oversight function (ESARR 1) SES FRAMEWORK - SUMMARY

19. Service Providers will: l Have to be clearly separated from NSAs l Be certified to be eligible to provide services l Have to meet the common requirements, including requirements on safety management processes (consistent with the ESARRs) An efficient Safety Management System will be a key element needed to meet the common requirements SES FRAMEWORK - SUMMARY

20. l A State responsibility (under ICAO SARPs and EC Law) l Audits, Inspections, Assessments, other information l ESIMS Audit Programme for ATM l 43 ECAC States l Operates in conjunction with IUSOAP l Overall measurement of safety performance l Accidents, incidents, events.. (lagging indicators) l Levels of implementation (leading indicators) l Safety Maturity Study MONITORING IMPLEMENTATION

21. In Europe, two levels of assessment: - Audits against applicable rules and standards (ESIMS, USOAP, etc.) SES Peer Review to identify and share best practice, support improvement.

22. l A need for further reinforcement of structures l New safety objectives taking into account: - l Traffic Growth l Desired system performance l Further development of legal frameworks l Continuing consistency with neighbouring States and Regions FOR THE FUTURE….

23. l FURTHER EC LEGISLATIVE PROPOSALS l EASA – ATM/ANS and Aerodromes l SES II – Performance-driven network l SES Implementation Programme (SESAR) l A re-defined role for EUROCONTROL l Protecting Safety through transition FOR THE FUTURE….

24. Thank you for your attention Peter Stastny EUROCONTROL Safety Regulation Unit Day 1