ICAOICAO

Aerodrome Safety Workshop

Almaty, Kazakhstan – 18 to 22 November 2002

ICAO Provisionsfor Safety Management

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

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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

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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

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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

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GASP Tasks Relevant to ATS and Aerodrome Safety

Management

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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

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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

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ATS and Aerodrome Related Tasks (3)

Develop provisions for enhancement of air-ground communication skills, including proficiency in the use of common English language

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Progress to Date (1)

Standards and Recommended Practices (SARPS) for Safety Management in ATS introduced in Amendment 40 toAnnex 11

Complementary procedures introduced in Amendment 4 to the PANS-RAC(Doc 4444, renamed the PANS-ATM)• General applicability date for both was

1 Nov 2001

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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.

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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

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How the USOAP Works

ICAOICAO

National RegulatorNational Regulator

Service ProviderService Provider

SMS INTERNAL VERIFICATIONSMS INTERNAL VERIFICATION(Safety Surveys/Audits/Reviews)(Safety Surveys/Audits/Reviews)

STATE SAFETYSTATE SAFETYOVERSIGHTOVERSIGHT

ICAOICAOUNIVERSALUNIVERSALSAFETYSAFETYOVERSIGHTOVERSIGHTPROGRAMMEPROGRAMME

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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

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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

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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

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ATS Safety Management Requirements

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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

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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

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PANS-ATM

The PANS-ATM specifies in more detail

what comprises an ATS safety management

programme

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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

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PANS-ATM Safety Provisions (2)

The PANS-ATM safety management provisions are contained in a newChapter, 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

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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

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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

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Aerodrome Safety Management

Requirements

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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

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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)

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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

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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

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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

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State Responsibilities for

Safety Management

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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

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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.

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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

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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

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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

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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,

http://www.icao.int/icao/en/res/a33_16.htm