icao provisions for safety management
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ICAO Provisions for Safety Management. 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 - PowerPoint PPT PresentationTRANSCRIPT
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
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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
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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
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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