1. WORKSHOP, Nicosia 2-3rd July 2008 “Extension of SAFETY & QUALITY Common Requirements to the EMAC States” Item 4 : Separation of Functions Responsibilities of the NSA Juan Vázquez Sanz EUROCONTROL SRU Day 1 1

2. 2 Separation of functions CHANGES IN ATM INDUSTRY  ATM service provision becoming increasingly commercialised  National ATM corporations and agencies  Increasing costs of safety  Increasing focus on liability  Progressive separation and clarification of safety roles Maintain and improve safety… … while increasing traffic levels Maintain and improve safety… … while increasing traffic levels

3. 3 Separation of functions CHANGES IN ATM INDUSTRY BUSINESS ORIENTED APPROACH MORE CAPACITY SAFETY FIRST PUBLIC INTEREST

4. 4 Separation of functions Safety Regulation – Safety Management SAFETY REGULATION is the process applied by States for establishing, overseeing and enforcing minimum safety levels in the public interest. It includes :  Rulemaking, usually in the form of Requirements,  Means for ensuring compliance with those Requirements Supervision / Oversight Operation / Service Provision

5. 5 Separation of functions Safety Regulation – Safety Management SAFETY MANAGEMENT is the process used by organisations for providing safety related services or products to ensure that all safety aspects of that provision have been adequately addressed It includes :  Setting of organisational safety policies & standards  Means for measuring safety achievements  Means for the rectification of deficiencies Supervision / Oversight Operation / Service Provision

6. 6 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently.

7. 7 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. The State nominates/establishes a NSA…. … in the public interest The State nominates/establishes a NSA…. … in the public interest

8. 8 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Independence of those who have to be supervised…

9. 9 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Independence at least at functional level…

10. 10 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Independence at least at functional level… Organisational separation: Two different organisations Organisational separation: Two different organisations Functional separation: Within the same organisation separation of reporting lines, responsibilities, budget, etc… Functional separation: Within the same organisation separation of reporting lines, responsibilities, budget, etc… TWO MODELS Minimum required in SES

11. 11 Separation of functions in SES NSA - ANSP Regulation (EC) 549/2004 (Framework Regulation) Article 4 – National Supervisory Authorities 1.Member States shall nominate or establish a body or bodies as their national supervisory authority in order to assume the tasks assigned to such authority under this Regulation […] 2.The national supervisory authorities shall be independent of air navigation service providers. This independence shall be achieved through adequate separation, at the functional level at least, between the national supervisory authorities and such providers. 3.Member States shall ensure that national supervisory authorities exercise their powers impartially and transparently. Impartiality & transparency…

12. 12 Separation of functions in SES NSA - ANSP LESSONS LEARNT: The notion of separation is fundamental… … but there must always be a balance Resources Capabilities Skills Expertise NSA ANSP OTHERWISE… … Safety Regulation may become a rubber-stamp exercise with no added value OTHERWISE… … Safety Regulation may become a rubber-stamp exercise with no added value

13. 13 The Role of the NSA Scope NSA SUPERVISION ADDRESSES: Safety (ATM Safety Oversight) Requirements on other aspects (financial, environmental, etc)

14. 14 The Role of the NSA Two Steps To be eligible to provide ANS services, an organisation has to be certified CERTIFICATION: The operations of certified providers will be subject to ongoing supervision conducted by the NSAs ONGOING SUPERVISION: With an approach based on… … the mutual recognition of what other NSAs do With an approach based on… … the mutual recognition of what other NSAs do

15. 15 Separation of Functions and Role of the NSA SUMMARY (1/2):  Need to keep the balance between Business & Public Interest  Two basic roles: safety regulation – safety management  Safety regulation is applied by States in the public interest  Within SES these roles are played by NSA & ANSP

16. 16 Separation of Functions and Role of the NSA SUMMARY (2/2):  NSA must be independent of ANSP at least at functional level  Keep always the balance: NSA needs resources & expertise  NSAs supervise safety and other requirements  NSAs certify service providers & supervise them all the time  Within SES, NSAs recognise what other NSAs do as valid

17. Thank you for your attention Juan Vázquez Sanz EUROCONTROL SRU Day 1 8