Enforcement of ESARRs and Monitoring their Implementation

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Enforcement of ESARRs and Monitoring their
Implementation

• Peter Stastny, Safety Regulation Unit (SRU)

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EUROPEAN HARMONISATIONSafety Regulation
Commission
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EUROCONTROL Institutional structure
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Acceptable means of compliance
ACCEPTABLE MEANS OF COMPLIANCE
FOR EACH ESARR
ESARR 1 ATM SAFETY REGULATORY FRAMEWORK
GUIDANCE MATERIAL FOR REGULATORS
AMC
AMC
ESARR 2 SAF. OCCURRENCES
AMC
GUIDANCE MATERIAL FOR REGULATORS
AMC
FOR ESARR 2
FOR ESARR 3
AMC
AMC
ESARR 3 SAFETY MANAGEMENT SYSTEMS
FOR ESARR 3
AMC
AMC
FOR ESARR 4
AMC
ESARR 4 RISK ASSESSMENT AND MITIGATION
AMC
FOR ESARR 4
AMC
AMC
ESARR 6 SYSTEMS SW HW
FOR ESARR 5, 6, ...
AMC
ESARR 5 ATM PERSONNEL
ESARR 7 ATM PROCEDURES
AMC
FOR ESARR 5, 6, 7.
EATM Programme Safety Deliverables
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ESARR Implementation Monitoring and Support
Programme (ESIMS)

• PROGRAMME OBJECTIVES
• Ensure uniform Implementation of ESARRs
• Monitor timely Implementation of ESARRs
• Promote continuous Improvement of ESARRs and
  ESARR Advisory Material
• Support States in implementing ESARRs
• Support States preparedness to expanded IUSOAP
  audits

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Various levels of Oversight

ESARRs Implementation Monitoring Support
Programme
ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME
EUROCONTROL
ICAO
National Regulator
Service Provider
SAFETY OVERSIGHT
SMS INTERNAL VERIFICATION (Safety
Surveys/Audits/Reviews)
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Why an AGAS priority area?

• KEY AREAS
• Seamless implementation of ESARRs across ECAC
• Timely and effective implementation of ESARRs and
  safety regulatory capability at national level
• Weaknesses in existing ATM safety regulatory
  framework capabilities
• Late and non effective ESARRs implementation at
  national level
• Robust and periodic monitoring by EUROCONTROL of
  effective implementation of ESARRs into national
  safety regulatory framework

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SSAP requires actions ESARRs

• ENFORCEMENT OF ESARRs
• States to implement ESARRs into national
  framework
• Legal framework
• Regulatory framework
• Regulatory capacity and procedures
• EUROCONTROL and EC to ensure transposition of
  ESARRs into EC legislative framework
• EUROCONTROL to ease such transposition by
  reviewing format of ESARRs and to implement ENPRM

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SSAP requires actions ESIMS

• Monitoring of ESARRs implementation
• Institutionalised oversight programme
• Actions to be taken when a State is not compliant
• Assistance and training
• Public actions if  recalcitrant  State, with
  some disclosure of information
• Coordination with ICAO and EC
• No death by audits
• Optimisation of scarce resources
• Synergy of actions in case of non compliance
• 2004- ESARR 2 assessment with report to PC in
  November of non compliant States

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SSAP requires actions Support

• SUPPORT TO STATES
• Development and formal recognition of Means Of
  Compliance for each ESARR
• Training
• SeRT (safety audit in ATM)
• Review Common Core Content (ESARR 5)
• Regional workshops
• Assistance programme in liaison with EC and ICAO

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Conclusions

• Need for a political commitment at national level
  to enforce ESARRs and an effective safety
  regulatory capability
• Combination of assistance to States and periodic
  monitoring of States implementation of safety
  regulatory provisions- Public disclosure Name
  and Shame not excluded anymore-
• EC, EUROCONTROL and ICAO to coordinate their
  respective initiatives for a synergy of efforts