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					EUROCONTROL




               HARMONISATION OF ATM
              SAFETY REGULATION IN ECAC

                             Peter Stastny
                  Head of Safety Regulation Unit
                          EUROCONTROL

   FAA/JAA Annual Conference                                      5th June 2002
   Phoenix, Arizona

                   19th Annual FAA/JAA International Conference
EUROCONTROL
              Presentation Overview

     Developments in ATM safety regulation
     European Programmes - safety
               regulatory aspects
     Safety oversight
     “Just Culture”
     GAIN
     Issues for the future
                19th Annual FAA/JAA International Conference
                      EUROCONTROL
                   Institutional structure
EUROCONTROL




                                  (Ministers level)                     Civil/Military
         Audit Board                                                      Interface
                               General Assembly                         Committee

   Performance Review                   (DGCAs’ Level)                Safety Regulation
       Commission                                                       Commission
                                          Council

    Functional                                                                  Functional

                                  (Director General)
        Performance                                                      Safety
                                          Agency
        Review Unit                                                   Regulation Unit
                       Administrative               Administrative


                       19th Annual FAA/JAA International Conference
EUROCONTROL
                       SRC MEMBERSHIP
    One Commissioner per EUROCONTROL
          Member State + Advisers and Observers:

                Non-member ECAC States
                ATM service providers, airspace users
                Aviation organisations
                Professional organisations
                JAA, ICAO, FAA, TC, EC
                Military representation
                    19th Annual FAA/JAA International Conference
EUROCONTROL
               KEY SRC FUNCTIONS
     Within ECAC
               Co-ordinate ATM safety regulation
               Develop safety regulatory requirements and
                   associated safety standards
               Define and assess target levels of safety,
                   and standards of safety performance
               Monitor national application of EUROCONTROL
                   safety regulatory requirements
               Co-ordinate with national / regional / global
                   safety regulatory bodies

     A similar role to that undertaken by JAA in
              other aviation sectors
                      19th Annual FAA/JAA International Conference
                                     NATIONAL NEEDS FOR ATM SAFETY DEVELOPMENT
EUROCONTROL        SERVICE PROVIDERS                                      SAFETY REGULATORS
                   Safety Management                                              Safety Regulation
                       (through ATM Service Providers)                                    (through ATM Safety Regulators)


                                CO-ORDINATION                                                                        CO-ORDINATION
              INPUTS            SUPPORT                                                              INPUTS          SUPPORT
               NEEDS            HARMONISATION                                                         NEEDS          HARMONISATION




                                           EUROCONTROL WORK
          EATMP Safety Domain
          (Safety Group/SQS)

                                                                                                                            SRC
                    SAFETY                                     COMMON                             (supported by SRU)
                  MANAGEMENT                                 SAFETY TASKS
                  DELIVERABLES                                                               SAFETY
                                                                                           REGULATION
                                                                                          DELIVERABLES
                                                                                                        •




                                                         COMPLIANCE WITH REGULATORY PROVISIONS

                                             19th Annual FAA/JAA International Conference
EUROCONTROL
              SRC’s INTERFACE with JAA
      JSSI
                  JSSI Steering Group
                  Action Plan Team
                  Outputs in SRC Doc 10

      CNS/ATM Steering Group

      Regulation Sectorial Team

      In SRC
                     19th Annual FAA/JAA International Conference
EUROCONTROL
                   SRC WORK PROGRAMME OBJECTIVES


                                                          TO PRODUCE
                                   SAFETY REGULATORY FRAMEWORK
                                        FOR ATM ACROSS THE ECAC REGION



                                         TO CO-ORDINATE
                         FRAMEWORK IMPLEMENTATION
                                ACROSS THE ECAC REGION




                     TO ESTABLISH A PROCESS
              TO MEASURE SAFETY PERFORMANCE
                 AND IDENTIFY ATM KEY RISK AREAS


                       19th Annual FAA/JAA International Conference
                  NATIONAL ATM SAFETY REGULATORY
EUROCONTROL         FRAMEWORK (SRC Policy Doc 3)
 Contents include:-
             NATIONAL SAFETY REGULATORY RESPONSIBILITIES
             SETTING MINIMUM ACCEPTABLE LEVELS OF SAFETY
             RULE-MAKING
             DEFINING REQUIREMENTS, STANDARDS AND
                PRACTICES
  SAFETY REGULATORY APPROVALS
  ROLE and REGULATION OF SAFETY MANAGEMENT
                SYSTEMS
  SAFETY OVERSIGHT
                       19th Annual FAA/JAA International Conference
              EUROCONTROL SAFETY REGULATORY
EUROCONTROL

                  REQUIREMENTS (ESARR’s)
  EUROCONTROL Member States obliged to implement -
              remaining ECAC States encouraged
  Complement ICAO SARP’s
  SRC “initial” rulemaking
        formal 3-stage consultative, traceable process
       consistent with JAR 11
  All documents approved or in final consultation are
              on the website (www.eurocontrol.int/src)
  Full alignment with ENPRM to now commence
  Prioritisation based on safety benefits
                       19th Annual FAA/JAA International Conference
              ESARR ADVISORY MATERIAL
EUROCONTROL

                       (EAM)

  Acceptable Means of Compliance - AMC

  Companion Documents - COD
  Guidance Material - GUI
  Reference Material - REF
  ICAO Consistency - ICAO
                19th Annual FAA/JAA International Conference
EUROCONTROL
                                    ESARR 2
                OCCURRENCE REPORTING AND
                    ASSESSMENT IN ATM
             Phased Introduction since 1-1-2000
  AMC              - National reporting schemes
                    - TOKAI
                    - Annual Summary Template
  COD              - Severity Classification scheme
                    - Publication and Confidentiality Policy
  GUI              - In place
  REF              - HEIDI Taxonomy
                       19th Annual FAA/JAA International Conference
EUROCONTROL
                                 ESARR 3
              USE OF SAFETY MANAGEMENT
                       SYSTEMS
  Effective July 2003
  AMC -      Nationally approved SMS
                -       EUROCONTROL EATMP Safety
                           Policy
  GUI -                4 documents in place incl.
                        Safety Oversight
                        Small Organisations
  Exceeds ICAO Annex 11 requirements
                    19th Annual FAA/JAA International Conference
EUROCONTROL
                                   ESARR 5
              ATM SERVICES PERSONNEL
  General and ATCO Requirements
              effective Nov. 2003
  AMC -                  National licensing schemes
                  -       EUROCONTROL Licensing
                               Manual
  GUI -                  Supplementary material incl.
                              Common Core Training
                              Medical Requirements
  Complements ICAO Annex 1 except for
              Rating Classifications
                      19th Annual FAA/JAA International Conference
                               ESARR 4
              RISK ASSESSMENT AND
EUROCONTROL




                    MITIGATION
  Effective April 2004
  AMC -      National arrangements
              -       EUROCONTROL Safety
                          Assessment Methodology
              -       ED 78A / DO 264
  GUI -              In progress
  Anticipates ICAO Annex 11 requirements
                  19th Annual FAA/JAA International Conference
                                        ESARR 1
                    ATM SAFETY        REGULATORY            FRAMEWORK
EUROCONTROL




                                  ESARR 2
                          ATM SAFETY OCCURRENCES

                                 ESARR 3
                        SAFETY MANAGEMENT SYSTEMS

                                  ESARR 4
                       RISK ASSESSMENT AND MITIGATION




                 ESARR 5              ESARR 6                       ESARR 7
              ATM PERSONNEL       SYSTEMS SW & HW               ATM PROCEDURES



                                             ATM
                        19th Annual FAA/JAA International Conference
                                                                               ACCEPTABLE
 GUIDANCE MATERIAL FOR                          ESARR 1                         MEANS OF
      REGULATORS                                                               COMPLIANCE
                          ATM SAFETY        REGULATORY          FRAMEWORK
EUROCONTROL




                                                                                    AMC
                                                                                     AMC
                                                                                   AMC
                                               ESARR 2
                                                                                 AMCESARR 3
                                                                                 FOR
                                         SAF. OCCURRENCES
                                                                               FOR ESARR 3
     GUIDANCE
     MATERIAL
                                           ESARR 3                                 AMC
        FOR
                                                                                 AMC AMC
    REGULATORS                    SAFETY MANAGEMENT SYSTEMS
                                                                                  AMC
                                                                                 FOR ESARR 4

      FOR EACH                                                                 FOR ESARR 4
       ESARR                               ESARR 4
                                RISK ASSESSMENT AND MITIGATION                       AMC
                                                                                      AMC
                                                                                 FOR
                                                                                  AMC
                                                                                 ESARR 5, 6, ...

                            ESARR 5            ESARR 6            ESARR 7          AMC
                         ATM PERSONNEL     SYSTEMS SW & HW    ATM PROCEDURES   FOR
                                                                               ESARR 5, 6, ...




                          ESARR ADVISORY MATERIAL (EAM)

                           19th Annual FAA/JAA International Conference
                                                                                     Acceptable
                                                                                    ACCEPTABLE
 GUIDANCE MATERIAL FOR                          ESARR 1                               means of
      REGULATORS
                                                                                     MEANS OF
                          ATM SAFETY        REGULATORY           FRAMEWORK           compliance
                                                                                    COMPLIANCE
EUROCONTROL

                                                                                       AMC
                                                                                         AMC
                                                                                        AMC
     GUIDANCE                                  ESARR 2                                    AMC
                                         SAF. OCCURRENCES                           FOR ESARR 2
      MATERIAL                                                                        FOR ESARR 3
         FOR                                                                           AMC
    REGULATORS                                                                        AMC
                                             ESARR 3
     FOR EACH                                                                       FOR ESARR 3
                                                                                         AMC
                                    SAFETY MANAGEMENT SYSTEMS
       ESARR                                                                                AMC
                                                                                      FOR ESARR 4
                                                                                      AMC
                                           ESARR 4                                     AMC
                                RISK ASSESSMENT AND MITIGATION                      FOR ESARR 4
                                                                                         AMC
                                                                                          AMC
                                                                                       AMC
                                                                                      FOR
                            ESARR 5            ESARR 6              ESARR 7           ESARR 5, 6, ...
                         ATM PERSONNEL     SYSTEMS SW & HW      ATM PROCEDURES          AMC
                                                                                    FOR
                                                                                    ESARR 5, 6, 7.


                          ESARR ADVISORY MATERIAL (EAM)
 REQUIREMENTS                RVSM        GNSS       Data Link     8.33 HEP   ETC…
  APPLICATION                            EGNOS      Link 2000+               ETC…
DOCUMENTS (RAD)                            GBAS         ADS



                     EATMP Programme Safety Deliverables
                           19th Annual FAA/JAA International Conference
EUROCONTROL
                                ESARR IMPLEMENTATION PROGRAMME

                 TASK “D”                         TASK “P”                           TASK “S”
               (To Develop)                     (To Promote)                       (To Support)


                  Purpose:                         Purpose:                           Purpose:

              TO DEVELOP THE                  TO PROMOTE AND                    TO SUPPORT NATIONAL
                REQUIREMENT                     DISSEMINATE                       IMPLEMENTATION
                AND PROVIDE                   THE REQUIREMENT                        PROCESSES
              INTERPRETATION
               ON ITS MEANING




                                               Promotional
              Guidance                          Literature                      Active support
               Material                             CD                          programme for
                                                   Video                            national
               Means of                          Web-site
              Compliance                                                         stakeholders
                                                 Helpdesk
                                 19th Annual FAA/JAA International Conference
EUROCONTROL
                           ECIP Objective for ESARR 3
  JULY 00                                           OCT 01          JAN 02                         JAN 03             JUL 03



          2000                          2001                                       2002                        2003

                               IMPLEMENTATION OF ESARR 3 REQUIREMENTS - BY ATM SERVICE PROVIDERS


         IDENTIFY & SET UP NATIONAL ARRANGEMENTS
                    TO IMPLEMENT ESARR 3



         ASSESS NATIONAL REGULATIONS VS ESARR 3



                                                      DEAL WITH
                                                      DIFFERENCES




                                    DRAFT NEW REGULATIONS TO SET UP THE
                                       ESARR 3 NATIONAL FRAMEWORK
                                                                                                               NOTIFY
                                                                                                            DIFFERENCES
                                                                     PUBLISH NEW REGULATION                  WITH ICAO
                                                                     COMPLIANT WITH ESARR 3


                                                         IMPLEMENT MECHANISMS TO VERIFY
                                                    COMPLIANCE WITH NEW / MODIFIED REGULATIONS
                                                                                                        VERIFY THAT
                                                                                                        NEW REGULATION
                                                                                                        IS APPLIED




                                    19th Annual FAA/JAA International Conference
                          SRC 03 Status report in 2002
                                            CIVIL                                                   MIL
EUROCONTROL
            SloA    ASP01REG01REG02REG03REG04REG05REG06REG07REG08ASP01REG01REG02REG03REG04REG05REG06REG07REG08
            State
        State 1     NFP   L     L     L     OT      OT    OT    OT    OT    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 2     OT    L     L     OT    OT      OT    OT    OT    OT
        State 3     OT    C     C     C     C       OT    OT    OT    OT    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 4     OT    OT    OT    OT    OT      NFP   OT    NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP
        State 5
        State 6     OT    L     L     L     OT      OT    OT    OT    OT    NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP
        State 7     OT    L     L     L     OT      OT    OT    OT    OT    NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP
        State 8     OT    L     L     L     OT      OT    OT    P     P     N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 9     OT    NFP   NFP   NFP   NFP     NFP   NFP   C     NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP
        State 10    OT    C     C     OT    OT      OT    OT    OT    OT    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 11    OT    L     L     NFP   NFP     NFP   NFP   NFP   NFP
        State 12    OT    OT    C     C     OT      OT    N/A   C     C
        State 13    OT    C     IO    US    IO      IO    US    IO    US    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 14
        State 15    OT    L     L     OT    OT    OT    OT      OT    OT
        State 16    OT    C     AgreedAg    proposed
                                                  proposed
                                                        Ag      Ag    Ag    OT    OT    OT    OT    OT    OT    N/A   P     P
        State 17    OT    P     P     P     P     P     P       P     P
        State 18    P     L     L     L     L     P     P       P     P
        State 19    OT    C     C     C     OT    OT    OT      C     OT
        State 20    L     L     L     L     L     L     OT      OT    OT    NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP   NFP
        State 21    OT    C     C     C     C     C     C       OT    C
        State 22    OT    C     C     OT    OT    OT    OT      NFP   NFP   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 23    OT    OT    OT    OT    OT    OT    OT      OT    OT
        State 24    OT    L     L     OT    OT    OT    OT      OT    OT
        State 25    OT    L     L     L     OT    OT    OT      OT    OT
        State 26    C     C     L     NFP   NFP   NFP   NFP     L     L     L     L     L     L     L     L     L     L     L
        State 27    OT    L     L     L     OT    US    US      US    US    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 28    NFP   NFP   NFP   NFP   NFP   NFP   NFP     NFP   NFP   NFP   NP    NP    NP    NP    NP    NP    NP    NP
        State 29    OT    L     L     OT    OT    OT    OT      OT    OT
        State 30    OT    PC    L     L     OT    P     P       P     P     N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 31    OT    C     C     C     OT    OT    OT      OT    OT    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 32    OT    L     L     L     NFP   NFP   NFP     NFP   NFP
        State 33    OT
        State 34    OT    C     C     C     OT      OT    C     C     OT    N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A   N/A
        State 35    OT    C     C     OT    OT      OT    OT    OT    OT    OT    OT    OT    OT    OT    OT    OT    OT    OT
        State 36    L     L     L     L     L       L     L     L     L
        State 37    OT    L     L     L     OT      OT    OT    OT    OT
        State 38    C     C     C     L     NFP     NFP   OT    C     NFP   NFP   L     L     L     NFP   NFP   N/A   C     C
        State 39


                                      19th Annual FAA/JAA International Conference
          EUROCONTROL PROGRAMMES
EUROCONTROL




      GNSS                        ACAS
      8.33                        RVSM
      LINK 2000+                  Free-Route Airspace
      A-SMGCS                     ADS (inc. NEAN Update)
      RNAV                        EAD
      Mode S                      FUA
      Airport Operations                               …..etc.

                19th Annual FAA/JAA International Conference
                                       EATMP PROGRAMMES
EUROCONTROL
                                       APPROVAL PROCESSES

                                            Inputs/co-ordination

        EATMP programmes                                                  National ATS providers
              (GNSS, RVSM, ACAS..)




                       Submission of safety                                         Request for approval in
                       policy and arguments, with                                   national context of
                       related operational                                          operations
                       assumptions


                                                                                       Final approval
                                     Co-ordinated views on acceptability
                                               of safety policy
                                               and arguments
                                                                             National Regulator
          SRC Co-ordination


                                     19th Annual FAA/JAA International Conference
EUROCONTROL
               ATM SAFETY OVERSIGHT
              Safety Regulatory Framework
      Definition of national safety objectives,
              consistent with internationally agreed
                   equivalents
      Safety regulatory policies and principles
      Regulations (to apply to Operations,
                   Organisations, Systems and People)
      Safety measurement and feedback
              mechanisms, to support safety
                  decision-making
                    19th Annual FAA/JAA International Conference
                 ATM SAFETY OVERSIGHT
EUROCONTROL      Framework Implementation
  Definition, implementation and demonstration
              of means of compliance with regulations

  Effective national safety oversight of ATM
              operations

  Ability of ATM safety roles and functions to be
                         undertaken :
                 effectively
                 in conjunction with one another
                 consistently with other aviation domains
 ICAO 33rd Assembly resolution
                     19th Annual FAA/JAA International Conference
EUROCONTROL
                    ENGINEERING A
                   “JUST CULTURE”
           ECAC Ministerial requirement for
               penalty-free reporting
           Conditions the effectiveness of the
               entire safety feedback process
           No magic implementation solution,
               but…...
           We are working on the necessary
               prerequisites…….
                   19th Annual FAA/JAA International Conference
EUROCONTROL
               ENGINEERING A
              “JUST CULTURE”

                 Ease
                  of
                                                  Independence
               reporting          TRUST



              Motivation
                  &            FEEDBACK Acknowledgement
              Promotion




              19th Annual FAA/JAA International Conference
                   DEFINING THE BORDERS OF
EUROCONTROL
                       “BAD BEHAVIOUR”




    Gross                        Slips                                      Criminal
             Omissions                 Mistakes              Violations     Offences
  negligence                    Lapses


      deliberate                unintentional                             deliberate




                     19th Annual FAA/JAA International Conference
                      ENGINEERING A
                     “JUST CULTURE”
EUROCONTROL




               Concerns over :-
                    Information Misuse
                    Punishment/Enforcement
                    Criminal Sanctions
                    Civil Litigation
                    Public Access
               ICAO Position - Annex 13
               The case continues……..
                      19th Annual FAA/JAA International Conference
EUROCONTROL
                      GAIN W G E
           Start-up activities under way
           3 telecons
           Initial meeting 25th April
           Action plan and detailed task plans set
           Timescales till June 03 (6th Conf.)
           Next meeting Sept / Oct 02 (Brussels)
           Those involved……..
                     19th Annual FAA/JAA International Conference
EUROCONTROL
                       GAIN WG E
       Those involved……..
      FAA HQ + operational units
      US Military
      US Representative bodies - NATCA, ALPA
      European/Global Representative
              bodies - EUROCONTROL, IATA
                   IFATCA, IFALPA, CANSO
     ………………………..more welcome
                   19th Annual FAA/JAA International Conference
                GAIN WG E ACTION PLAN
EUROCONTROL



        In relation to the interface between the Flt Ops
          and ATC Ops communities:-
      Promote confidential, non-punitive reporting
               and exchange of safety information

      Identify initiatives that promote and facilitate
               communication and information exchange

       Facilitate the establishment / enhancement of
               information collection /exchange programs

      Promote increased collection and sharing of
               safety information
                     19th Annual FAA/JAA International Conference
EUROCONTROL
              ISSUES FOR THE FUTURE

        Continuing institutional change
        Single European Sky
        EASA
        Global regulatory issues in ATM, incl.
                Provisions            in SARPs
                IUSOAP

                  19th Annual FAA/JAA International Conference
EUROCONTROL
                         CONCLUSIONS
 Institutional change continues as a major feature
              in European ATM
 ATM Safety Regulation is increasingly necessary,
              mature and better established
 A harmonised ATM safety regulatory framework
              is the answer - implementation well under way
 Further gains in effectiveness through the
              Single European Sky
 A total aviation system approach is vital, with
              strong links to major aviation bodies
                       19th Annual FAA/JAA International Conference
EUROCONTROL




               HARMONISATION OF ATM
              SAFETY REGULATION IN ECAC

                             Peter Stastny
                  Head of Safety Regulation Unit
                          EUROCONTROL

   FAA/JAA Annual Conference                                      5th June 2002
   Phoenix, Arizona

                   19th Annual FAA/JAA International Conference

				
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