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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
