ICAO Provisions for Safety Management

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• ICAO Provisionsfor Safety Management

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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
ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME
ICAO
National Regulator
STATE SAFETY OVERSIGHT
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USOAP Procedures

• Audits examine the States 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 operators 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/i
  cao/en/res/a33_16.htm