Aucun titre de diapositive

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• SRC

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Safety Regulation Commission

• NINETEENTH MEETING
• Brussels, 24/25 February, 2004

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Agenda Item 1 - Chairmans Welcome and
Introduction

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Agenda Item 2 - Approval of Agenda
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Agenda Item 3 - Report of SRC18

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Agenda Item 4 - SSAP

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Agenda Item 4 - SSAP
4.1 - Programme Update Launch Event
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Agenda Item 4 - SSAP
4.2 - Runway Incursion Action Plan
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Actions (1)

• RFC 0346 - European Action Plan for Prevention of
  Runway Incursions, Implementation Actions by
  National Aviation Safety Authorities
• Deadline 22 September 2003
• Joint effort between SRC and Agency
• Replies received 18 out of 41 ECAC States
• plus REMINDER issued 10.10.2003
• additional 8 replies more (26/41)

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Actions (2)

• RFC 0363 Monitoring the implementation of the
  European Action Plan for Prevention of Runway
  Incursions, Follow-up - QUESTIONNAIRE
• Deadline 17 February 2004
• Joint effort between SRC and Agency
• Telephone calls for direct contact by the Agency
  
• Replies received until 17.02.2004 14/41

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Monitoring Tools

• Questionnaire
• ECIP/LCIP mechanism
• ESIMS ESARR Implementation Monitoring and
  Support Programme

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ECIP/LCIP mechanism

• Already addresses both regulators and service
  provider
• Reliable and tested mechanism over years
• Monitoring Periodicity each year
• Clear SLoA (Stakeholder Line of Actions) can be
  inserted to cover European Action Plan for
  Prevention of Runway Incursions
• Can meet the SSAP monitoring requirements for
  coverage- frequency TBD

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ESIMS Programme

• SCOPE Monitor ESARR Implementation at national
  level
• Identifies areas for support at national level
• Direct contact with safety regulatory bodies at
  national level not service providers
• In depth audit based approach
• Periodicity 3/4/5 years
• Alignment with ICAO Safety oversight Audit
  Programme - TBD
• One cycle of visits will be closed this year (mid
  year)

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Monitoring mechanisms

• ECIP/LCIP mechanism complemented by
  Questionnaire/Survey to complete and update the
  results obtained via ECIP/LCIP exercise
• ESIMS Programme is not feasible in its current
  status.
• Would need new mandate from Provisional Council.
• Logistically difficult
• Other methods to be investigated.

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Recommendations

• The SRC is invited to-
• note the status report
• note that ESIMS Programme is not an easy
  mechanism to use for an issue which is outside
  the scope of the Programme
• note the way forward proposed ECIP/LCIP and the
  survey
• contribute any other inputs regarding possible
  mechanisms to be used to monitor the
  implementation of the Action Plan.

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Agenda Item 5 - PC18 Outcome

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Agenda Item 5 - PC18 Outcome
5.1 - ESARR 2 - letter to States
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PC 18 action

• SRC to report to PC States not having -
• nominated an AST Focal Point
• incorporated ESARR 2 into their national safety
  regulatory framework
• SPG list of objective criteria
• EUROCONTROL Letter dated 14/1/04

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Assessment Criteria

• Nomination by 31/3/04 of an AST Focal Point
• Completion provision to SRU by 31/3/04 of an
  AST
• according to ESARR 2 Ed 2.0 requirement 5.2 and
  the associated template (EAM2/COD1Ed 3.0)
• Submission to SRU by 31/3/04 of national safety
  regulatory material enforcing ESARR 2,
  requirement 5.1

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Assessment Document

• Assessment of national regulatory material
  provided against ESARR 2 (with language and
  translation support)
• Compliant/Not Compliant comments (level of
  compliance, implementation plans..)
• Assessment of AST returns
• Received on time/late/not received comments
  (quality of contents)
• Assessment of Focal Point nomination
• Received on time/late/not received

21
ESARR 2- Letter to States

• The SRC is invited to -
• note the criteria to be used by SRU when
  assessing whether or not States have incorporated
  ESARR 2 into their national safety regulatory
  framework
• note that the outcome of the SRU assessment will
  be incorporated into the 2004 Safety Annual
  Report to be submitted to PC in November 2004.

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Agenda Item 6 - Interfaces

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Agenda Item 6 - Interfaces
6.1 - EC a) Briefing on SES Updates
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Agenda Item 6 - Interfaces
6.1 - EC b) Transposition of ESARRs
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Agenda Item 6 - Interfaces - EC
6.1 b) Transposition of ESARRs
26
ANS Regulation Article 4

• The Commission shall, in accordance with the
  procedures referred to in Article 5 (3) of the
  framework regulation, identified and adopted the
  EUROCONTROL Safety Regulatory Requirements
  (ESARRs) and subsequent amendments to those
  requirements within the scope of this regulation
  that shall be made mandatory under Community law.
  Publication should take the formal references to
  such ESARRs in the Official Journal of the
  European Union.

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PC Tasking on SRC

• in cooperation with the DG, within the context
  of the foreseen Memorandum of Cooperation between
  the EUROCONTROL Organisation and the European
  Commission, to establish practical arrangements
  with the European Commission to ensure
  consistency of Safety Regulatory Material and to
  report progress to the Provisional Council in
  April 2004.

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ESARRs in the SES

• Full implementation of Article 4 means full
  transposition, and should respect
• Consistency and contents
• Overall logic of safety regulatory function
• Common Requirements (Basis for certification)
  should include ESARR provisions

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ESARR Transposition

• ESARR 2
• Mapping versus two EC Directives.
• Coverage differences exist
• Further discussion with EC
• ESARR 5
• Mapping versus Draft EC Directives.
• Some coverage differences exist
• Further discussion with EC

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ESARR Transposition

• ESARR 3,4,6
• EC Study to assess overall transposition
• ESARR 3 as a test case
• Will produce an overall methodology applicable to
• ESARRs 4 and 6
• Any remaining parts of ESARRs 2 and 5
• Any further ESARRs

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Additional Factors

• ESARRs define minimum safety levels.
• States committed to implementation
• In transposition, requirements cannot be left
  out
• Respect structure no fragmentation.

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Mandates

• 7 Mandates so far
• Flexible Use of Airspace
• Functional Airspace Blocks
• Airspace Design
• Charging Scheme
• 3 on Interoperability
• Coordination and Transfer
• Flight Data Exchange
• Initial Flight Plan

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Safety Issues

• Any regulatory material produced by
  EUROCONTROL must -
• Ensure ESARRs are met
• Give adequate demonstration of safety
• But what action should SRC take?
• SRC Role?

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SRC Role

• Review mandates from a safety regulatory
  viewpoint
• Make proposals of where safety issues should be
  taken into account
• Proposed inclusions in the developed material to
  ensure safety consistency
• Mandates for safety

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Recommendations

• The Provisional Council is invited to -
• note the contents of this paper
• support the continuation of work with the
  European Commission on the transposition of ESARR
  requirements into European Community law, in
  accordance with the approach at Sections 4, 5 and
  6 above
• agree the SRCs role in relation to the EC
  Mandates in accordance with the proposals in
  Section 7 above.

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Agenda Item 6 - Interfaces
6.1 - EC c) Mapping of ESARR 2 vs. EC legislation
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Correlation ESARR 2 vs. 42/2003 and 56/1994
Directives
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Correlation ESARR 2 vs. 42/2003 and 56/1994
Directives

• Draft report presented at SRC18
• Reviewed and validated in between
• SRC18 and SRC19
• Main conclusions remain those presented at SRC18
  (section F7 of the report)
• EC Joint Practical guide for persons involved in
  drafting of legislation within the Community
  institutions scrutinised for both ESARR 2 and
  Directive

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Joint Practical Guide JPG assessment

• Community legislative acts shall be drafted
  clearly, simply and precisely.
• The drafting of a legislative act must be
• clear, easy to understand and unambiguous,
• simple, concise, containing no unnecessary
  elements,
• precise, leaving no uncertainty in the mind of
  the reader.

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JPG assessment contd

• The drafting style should take account of the
  type of act
• Regulations have direct application
• Directives (with some exceptions) are addressed
  to the member States they should be draft in a
  less detailed manner in order to leave Member
  States sufficient discretion in their
  implementation

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JPG assessment contd

• The recitals is to set out concise reasons for
  the chief provisions of the enacting terms,
  without reproducing or paraphrasing them. They
  SHALL NOT contain normative provisions or
  political exhortations

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JPG assessment contd

• The manner in which an act is drafted should also
  take account of whether or not the act is
  binding.
• The choice of verb and tense varies between
  different types of act and the different
  languages, and also between the recitals and the
  enacting terms
• In the enacting terms of binding acts, French
  uses the present tense, whilst English generally
  uses the auxiliary "shall". In both languages,
  the use of the future tense should be avoided
  wherever possible.
• By contrast, in non-binding acts (such as
  recommendations and resolutions), imperative
  forms must not be used, nor structures or
  presentation too close to those of binding acts.

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JPG assessment contd

• Overall 22 Guidelines in the Joint Practical
  Guidelines, not all applicable but found
  extremely useful to scrutinise ESARR 2 and the
  Directive
• ESARR 2 complies to the extent possible to the
  guidelines specially when translated into the new
  format adopted for ESARR 6

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EC Directives and ESARR2

• All ESARR 2 Requirements are using the
  construction shall ensure
• EC 42/2003 introduces terms such as
• Competent authorities May use
• Member States may publish
• States may designate

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Where we should aim

• Full transposition for the missing parts of ESARR
  2 is required and EC/SRC should investigate the
  best approach
• Temporary solutions could be developed to
  mitigate the present gap (alignment of taxonomy,
  usage of a single AST, requirement to report
  using the same AST at the same deadline to both
  EUROCONTROL and EC)
• Harmonisation of the tools
• Support to AST-FPs

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Agenda Item 6 - Interfaces
6.1 - EC d) Mapping of ESARR 5 vs. EC legislation
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Actions

• SRC action to assess ESARR 5 transposition into
  Community legislation
• Main purpose to identify any potential
  discrepancies and issues that lead to
  misunderstanding, confusion and duplication of
  work by the Safety regulators and other
  interested parties

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General Conclusions (1)

• A certain amount of overlap between both
  documents has been identified
• Draft EC Proposal goes beyond the objectives of
  ESARR 5 including provisions
• Certification of training providers
• Mutual recognition of licenses to ensure the
  freedom of movement to avoid shortages of
  controllers
• Penalties

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General Conclusions (2)

• The Draft EC Proposal addresses Member States and
  not Designated Authorities, Service Providers and
  Individuals as per ESARR 5
• The Draft EC Proposal is limited to only Air
  Traffic Controllers
• The Draft EC Proposal has no applicability for
  military authorities as per ESARR 5
• Geographical coverage of ESARR 5 is wider than of
  the Draft EC Proposal

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General Conclusions (3)

• Focusing on the safety regulatory requirements
  for ATCOs
• Shortlist of discrepancies have been drawn up
• Shortlist is now with EC for their analyse
• This will be discussed further within the
  co-ordination meetings between EC and EUROCONTROL
  
• Detailed assessment has been carried out within
  the SRU report document,

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Activities

• The SRU report has been distributed to SRC and EC
• EC organises a consultation session with
  EUROCONTROL and other stakeholders on 25.02.2004
• The SRU is represented in this consultation by
  Head of Unit and ESARR 5 Focal Point
• Representation from EUROCONTROL is ensured from
  HUM, IANS, ASR and SRU.

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Recommendations

• The SRC is invited to-
• note the activity report
• note that SRC has received the SRU Report
  Correlation between ESARR 5 and the Draft EC
  Proposal for a European air traffic controller
  licence
• note that EC has received a copy of this Report
• note that SRU will be represented by Head of Unit
  and ESARR 5 Focal Point in the consultation
  meeting on 25.02.2004 regarding ESARR 5
  transposition into Community legislation
• note that SRC will be kept informed about the
  progress achieved within this activity

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Agenda Item 6 - Interfaces
6.1 - EC e) Conformity Assessment Task Force
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Conformity AssessmentBackground

• Presentation given at SRC 18 (WP18.02)
• SRC Agreed
• with the advice of SPG and the position of the RC
  on the establishment of the proposed Task Force
  Conformity Assessment of ATM/CNS Systems.
• to support the creation of a joint RU/SRU Task
  Force to refine the conformity assessment of
  CNS/ATM systems and to propose appropriate
  measures for the harmonised implementation of the
  conformity assessment activities
• to nominate a maximum of five representatives
  from the ATM safety regulatory community.
• SRC Commissioners agreed to delegate to SPG the
  agreement on any further changes to the Draft TORs

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Conformity AssessmentTask Force Representatives

• Mr. F. Giraud, France
• Ms. R. Cecchi, Italy
• Mr. T. Tvedt, Norway
• Mr. J-A Calvo, Spain
• Mr. H. Daly, UK

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Conformity Assessment Task Force activities since
SRC 18

• The activities of the TF were delayed due to
  discussions with the EC regarding priorities.
• After further discussions following the
  Interoperability Requirements Workshop held by
  the EC, it has been agreed with the EC that the
  TF should be established.
• The Draft Terms of Reference of the TF have been
  agreed between the Head of SRU and the Head of
  RU.
• A first meeting of the TF has been agreed for
  30th March at EUROCONTROL HQ Brussels. Specific
  letters inviting attendance from the nominated
  representatives will be forthcoming giving
  further details of the meeting

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Conformity Assessment Task Force Recommendations

• SRC is invited to note the contents of this
  paper.

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Agenda Item 6 - Interfaces
6.1 - EC f) Mandates
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Agenda Item 6 - Interfaces
6.2 - ICAO a) Runway Incursions definition
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Background

• Runway Safety Initiative European Action Plan
  for Prevention of Runway Incursions have spotted
  the lack of consistency for Runway Incursion
  definitions
• ICAO have identified that no ICAO DOC contains a
  definition for Runway Incursions
• EUROCONTROL (SRU, SAF, AFN, SMI) have carried out
  an extensive exercise to identify all definitions
  used for Runway Incursions
• NAV CANADA TRANSPORT CANADA
• FAA
• EUROCONTROL (ESARR 2, HEIDI, ANT, EATMP)

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ICAO ANC/11

• Runway Safety on the agenda of ANC/11
• ICAO ANC proposed the following definition
• RUNWAY INCURSION Any occurrence at an aerodrome
  involving the inadvertent presence of an
  aircraft, vehicle or person on the protected area
  of a surface designated for the landing and
  take-off of aircraft
• Inadvertent?
• Objects/animals?

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Amended definition

• Amended definition for Runway Incursions from
  ICAO
• Runway incursion. Any occurrence at an aerodrome
  involving the incorrect presence of an aircraft,
  vehicle or person on the protected area of a
  surface designated for the landing and take-off
  of aircraft
• The Definition has been circulated in the ICAO
  State letter introducing the amendments for
  PANS-ATM (25 November 2004)

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General Conclusions and way forward

• EUROCONTROL, FAA, NAV CANADA have agreed with
  this input
• FAA and EUROCONTROL within their agreement for
  co-operation will develop and validate a common
  severity assessment scheme and a risk model for
  Runway Incursions

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Recommendations

• The SRC is invited to-
• note the contents of this paper and of the
  proposed definition for Runway Incursion which
  has been circulated by ICAO in a State Letter
  introducing amendments to PANS ATM (November
  2004)
• agree with the ICAO proposed definition for
  Runway Incursions
• note that there is synergy between ICAO and
  EUROCONTROL within the runway safety initiative
• note that both FAA and EUROCONTROL will develop
  and validate a common severity assessment scheme
  and a risk model for Runway Incursions

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Agenda Item 6 - Interfaces
6.2 - ICAO b) IUSOAP
66
IUSOAP (1)

• Assembly Resolution A33-8
• USOAP to be continued and expanded
• Preparatory work by ICAO Secretariat to include
  Annexes 11,13 14 with a view to start related
  audits in May 2004 (DOC 9735)
• Training to safety oversight auditors (ISO
  certification)
• Development of technical guidance related to
  safety oversight (Doc 9734 parts A B)
• Safety oversight management system seminars and
  workshops

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IUSOAP (2)

• Council approval- a System Approach- (New
  Assembly Resolution in 2004)
• Phase 1
• State Aviation Activity Questionnaire (2003)
• Compliance Check List (May 2004)-AFDD
• Review of national documents
• Phase 2- ICAO Audit team
• Validation of information provided
• On site audit of safety oversight capability,
  tailored to level and complexity of aviation
  activities (refer to phase 1)

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IUSOAP (3)

• System Approach Focus on States safety
  oversight capabilities
• Phase 2 (Continue..)
• Focus on safety critical areas, eight critical
  elements (ICAO Doc 9735) interfaces
• Audit at least once in any six year period
• Follow up visits on a need basis (flexibility)
• First audits mid 2005
• More transparency
• First audits in Europe around June 2005
• Identified need to visit/audit EASA and EC SES

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IUSOAP

• The SRC is invited to -
• note that the System Approach being adopted in
  IUSOAP will focus on the safety oversight
  capabilities of States
• note that the initial audits in Europe wont take
  place before May or June 2005.

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Agenda Item 6 - Interfaces
6.2 - ICAO c) ADREP / HEIDI alignment
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Overall Mapping Statistics before the alignment
exercise
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for a combination of all terms in the
HEIDI taxonomy. 1 - Identical Terms 2 - Similar
compatible terms 3 - Similar incompatible
terms. 4 - No equivalent term found
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Background Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Background chapter of the HEIDI
taxonomy before the alignment exercise Chapter
COMPLETELY ALIGNED after January meeting
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Event Types Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Event Types chapter of the
HEIDI taxonomy before alignment
exercise. Chapter COMPLETELY ALIGNED after
January meeting
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Descriptive Factor Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Descriptive Factor chapter of
the HEIDI taxonomy before the alignment
exercise The 8 of similar but incompatible
occurrences were mainly due to the extensive use
of a HEIDI Other attribute which is implemented
as a free text attribute. Chapter COMPLETELY
ALIGNED after January meeting
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Explanatory Factor Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Explanatory Factor chapter of
the HEIDI taxonomy. HEIDI uses the HERA modal to
describe human error in explanatory and a loss of
data quality will occur when automatically
converting data to the ADREP SHELL
modal. Chapter TO BE FURTHER ALIGNED
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Classification Scheme Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Classification Scheme chapter
of the HEIDI taxonomy before alignment
exercise The classification scheme chapter is a
small section and the high percentage of unmapped
terms was due to occurrence frequency
attributes. Chapter ALIGNED (some fields will
be added later by ICAO after the JSSI work will
be finished)
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Safety Recommendations Mapping Statistics
The graph shows the results of the SHIELD task of
developing an automatic mapping from HEIDI to
ADREP2000 for the Safety Recommendations chapter
of the HEIDI taxonomy before the alignment
exercise Safety recommendations are handled is a
different way in ADREP than in HEIDI and data
transfer would be a manual exercise Chapter
NOT REQUIRED TO BE ALIGNED ADREP is handling
Safety Recommendations through an outside
application
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Where we are

• Human factors (explanatory factors) chapter to be
  aligned March/April 2004
• Validation exercise with ICAO and JRC in Late
  April or May
• Update of HEIDI after JUNE
• Second iteration mapping from ADREP to HEIDI
  from June onwards

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Agenda Item 6 - Interfaces
6.2 - ICAO d) 11th ANC - Follow-up actions
80
Agenda Item 6 - Interfaces
6.3 - GASR
81
ATM-Aerodrome regulations

• Considering
• Gate to gate concept
• Common issues
• Total aviation system approach
• SPG identified the need for
• Closer co-operation SRC and GASR
• Investigating common areas
• A proposed way forward to a harmonised SRC/GASR
  roadmap of activities

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Recommendations (1)

• )The SRC is invited to-
• a)recognise and note common operational issues
  and the sense of common purpose that exists
  between ATM and Aerodrome safety regulation, and
  between SRC and GASR
• b)approve observer status for GASR at the Safety
  Regulation Commission

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Recommendations (2)

• )The SRC is invited to-
• c)approve the development of working links
  between SPG and GASR on the concept and
  principles of the work of the two organisations
  including the formulation of a matrix of areas of
  common ground and interest
• d)authorise close SPG/GASR co-operation in order
  to develop detailed steps and timescales for
  inclusion in a harmonised SRC/GASR roadmap of
  activities
• e)require the SPG to report progress made in
  respect of c) and d) to SRC 21.

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Agenda Item 6 - Interfaces
6.4 - JAA a) JSSI / FAST
85
Agenda Item 6 - Interfaces
6.4 - JAA b) UAVs
86
Agenda Item 6 - Interfaces
6.5 - CMIC
87
Agenda Item 7 - EUROCONTROL Programmes

88
Agenda Item 7 - EUROCONTROL Programmes
7.1 EATM Status Report
89
Overview

• Status Report of the SRC Interface with EATM
  Programmes (Update from SRC 18)
• EATM Programmes to be included in the SRC Work
  Programme

90
RVSM

• Last deliverable Post Implementation Safety Case
• POSC sent out to SRC for comments
• SRVG re-activated meeting 23.05.03
• CRD v 0.1 with Programme Feedback circulated to
  SRC (RFC 354, closed 01.12.2003)
• CRD v 0.2 Proposed Issue will be presented under
  agenda item 7.3

91
8.33 HEP

• The 8.33 Horizontal Expansion Programme has been
  implemented end October 2002
• The RAD-8.33 formally released on 18.02.03
• The POSC v 0.2 was circulated to SRC (RFC 350,
  closed end October 2003). No comments received,
  the safety activities related to HEP being now
  closed.
• Safety activities related to the 8.33 Vertical
  Expansion Programme are expected in the future.

92
GBAS

• The Safety Policy and Safety Plan were released
  at the end of 2001
• The GBAS Cat I FHA received by SRU beginning of
  February

93
Mode-S

• Last deliverables reviewed by SRC Operational
  Hazard Assessment and Safety Analysis
• The PSSA planned to be sent to SRC in the first
  quarter 2004 (initially planned in 2003)

94
EATM Programmes in the SRC WP

• The list of EATM Programmes to be included in the
  reviewed SRC WP (Edition 5.3) has been reviewed,
  to reflect
• Programmes which, in the view of SRC (as per RFC
  344), merit consideration from a safety
  regulatory viewpoint
• Programmes currently under development, in
  accordance with EATM preliminary plans and
  priorities for implementation.
• These Programmes are listed in the SRC WP 19.06

95
Recommendations

• The SRC is invited to-
• note the content of the WP SRC 19.06
• request SRU for any update of the fact sheets
  containing the status of the SRC work related to
  the EATM Programmes with which SRC has a formally
  established interface
• to approve the proposed undated list presented
  for incorporation into the SRC Work Programme

96
Agenda Item 7 - EUROCONTROL Programmes
7.2 CARDS
97

• CARDS
• Community Assistance for Reconstruction
  Development and Stabilisation
• Programme undertaken by EuropeAid Co-operation
• Office
• ASATC
• Project for Aviation Safety and ATC
• Involving Albania, Bosnia Herzegoivina,
  Croatia, FYROM and Serbia Montenegro

98
ASATC Objectives

• In those 5 countries
• Establishing highly professional CAAs
• Developing regulations and procedures for
  aviation safety
• Helping ANS to meet international standards
  (notably SMS)
• Preparing human resources

99
ASATC Project

• EUROCONTROL JAA were the recommended partners
  for carrying out the tasks
• EUROCONTROL involvement was discussed and agreed
  at PC level. As a result EUROCONTROL has become a
  leading party within the Project
• Arrangements between EUROCONTROL and JAA to
  develop the Project

100
ASATC Project

• Phase I already completed
• Assessment of situation and definition of 8
  working packages
• Phase II (mid 2004 by end 2005)
• Implementation of 8 working packages
• WP1 ATM Safety Regulation
• WP2 Legal Assistance
• WP3 Technical Support on JAA matters
• WP4 ATM safety management
• WP5 Legal Assistance on Separation
• WP6 Human Resources Development
• WP7 Establishment of basic AIS/EAD
• WP8 Strategic Planning (for 5 CAAs and 3 ANSPs)

101
WP 1 ATM Safety Regulation

• To enable the 5 countries to perform their ATM
  safety regulatory function
• SRU has been proposed to manage WP1
• Work has already been done to define the actions
  that will of WP1

102
WP 1 ATM Safety Regulation

• Identify and plan specific actions for each
  country
• Provide direct technical support
• Delivering specific training
• Sizing the resources for ATM safety regulation
• Assisting in the development and implementation
  of safety regulatory procedures

103
Relation of ASATC to SRC Goals

• Support to States has been discussed at previous
  SRC meetings
• ASATC presents a first opportunity to address, at
  regional level and in relation to 5 countries,
  direct support
• ESIMS could be complemented with specific support
  programmes developed at regional level, following
  the CARDS pattern
• Resources and priorities woul need to be
  considered if SRC decided to generalise this
  strategy

104
Recommendations

• SRC is invited to
• Note the ATM safety regulatory activities
  developed in the CARDS ASATC framework
• Approve the inclusion of ASATC WP 1
  Implementation in the SRC WP

105
Agenda Item 7 - EUROCONTROL Programmes
7.3 RVSM POSC
106
POSC Edition 0.2 PI

• Integrates comments from SRC consultation RFC
  0354
• Appendix D summary of Recommendations
• Recommendations are split in two Assessment
  against ESARR 4 carried out for lesson to be
  learned
• Executive summary contains the SRC position
  vis-à-vis POSC

107
Recommendations

• The SRC is invited to
• a) agree the content of SRC conclusions on POSC
  presented in the executive summary of the POSC
  CRD Ed 0.2
• b) agree the Release of the POSC CRD Proposed
  Issue 0.2
• c) discuss the opportunity to present at an
  appropriate juncture the SRC Position to the
  Provisional Council.

108
Agenda Item 7 - EUROCONTROL Programmes
7.4 Programme-related data collection
109
Agenda Item 7 - EUROCONTROL Programmes
7.5 PLOC
110
Agenda Item 8 - ESARR Issues

111
Agenda Item 8 - ESARR Issues
8.1 ESARR 1 - Update
112
Agenda Item 8 - ESARR Issues
8.2 ESARR 2 - Report
113
AST-FP 5th Meeting

• Bruxelles 18-20 February 2004
• 27 attendees from 17 States and EURCONTROL SRU
  and Agency (ASR) (15 EUROCONTROL States, 1
  multinational provider and 1 ECAC)
• Focus on meeting the annual deadline for ESARR2
  on 31st of March and progress of EAM2s

114
AST-FP5 AGENDA

• 1. Introduction Welcome

• 2. Extranet Demo

• 3. SRC Annual Report

• 4. ATM Programmes Safety Data Collection Wake
  Vortex Activities

• 5. AST Collection for 2002 and 2003

• 6. ESARR 2 training activities

• 7. ESARR 2 and EC Directives

• 8. Progression of the EAMs

115

• Progression of the EAM2s
• EAM2 GUI4 Explanatory Material on ESARR 2
  Requirements
• EAM2 GUI5 Guidance Material for Harmonisation
  of Safety Occurrence Severity and Risk
  Assessment
• EAM2 GUI6 Establishment of  JUST CULTURE
  Principles in ATM Safety Data Reporting and
  Investigation
• EAM2 GUI7 ESARR 2 and related Safety Oversight

116
AST-FP 5 AGENDA contd

• 9. Severity and Risk Mark sheets practical
  session

• 10. Key Risk Areas
• Communication Issues
• Unauthorised penetration of airspace
• Round Table discussion

• 11. Lessons not learned

• 12. A.O.B

117
Issues

• Still countries without nominated AST-FP
• All AST-FPs present at the meeting are committed
  to meet the deadline but asked to report to SRC
  the lack of resources and support Guidelines
  from SRC to level of resources
• This year Phase 3 will be an issue for some
  States as the data for this phase comes from
  ANSPS and not all the interface protocols are
  clear and established
• EXTRANET forum extremely well received
• SRU/SRC and EC/JRC to work so as to have only one
  ATM European Summary Template from 2005
• Practical session on severity and risk assessment
  improved the developed mark sheets national
  validation to be undertaken by AST-Fps

118
Issues contd

• Collection of safety data in EUROCONTROL should
  be centralised for EATM programmes
• Although potentially additional workload will be
  induced to AST-FPs they will be in favor of one
  maximum two channels
• The reporting should be dynamic not static and
  technology should pave the way for that
  (feasibility for automatic exchange tools and
  protocol for data usage, confidentiality etc.)
• All regulatory work required by SSAP in the area
  of ESARR 2 adds extra burden on limited resources
  of AST-FPs

119
Issues contd

• Lessons not learned very well received and
  asked to be continued
• Multimedia dis-identified to be dispatched on CDs
  to be attached to EAM2-GUI5
• In addition both above activities to be available
  to the extent possible on the EXTRANET for
  training and national usage
• Unauthorised penetration of controlled airspace
  by General Aviation confirmed as a key issue
  initial material and suggestions built up at the
  meeting can be fed into a wider Safety
  Initiative

120
Finally

• To introduce two annual awards
• The first AST to arrive in EUROCONTROL
• The best in quality AST

121
Agenda Item 8 - ESARR Issues
8.3 ESARR 5 - Medical Requirements
122
Background

• Requirements for European Class 3 Medical
  Certification of Air Traffic Controllers
  (version 1.0) as means to comply with ESARR 5.
• Compliance Assessment Panel for ESARR 5 was
  re-activated to consider this new proposal (14
  March 2003 at EUROCONTROL HQ )

123
Background

• The results of the Assessment Panel are
  summarised within the following documents
• Minutes of the meeting
• Assessment of EATMP European Class 3 Medical
  Certification of Air Traffic Controllers as a
  means of compliance with ESARR 5, Edition2.0
  SRC DOC 28
• Acceptable Means of Compliance with ESARR 5 EAM
  5/ AMC, Edition 1.1
• According to SRC DOC 9

124
Current situation

• RFC 0340 SRC Consultation for the results of
  the Assessment Panel
• One State raised concerns over safety issues
  within the PMC (see Attachment to the Working
  Paper 19.08)
• Action by SRU
• Letter to SRC (ref 1098lt - RFC 0359) to have
  their views on the issues
• Not a conclusive outcome
• Felt the need for discussions to clarify the way
  forward
• Close the AMC process and raise additional safety
  issues

125
Recommendations

• The SRC is invited to-
• note the contents of this paper and attachment
• define their position regarding the issues listed
  within the Attachment to the Working Paper
• define their position regarding the acceptability
  of the European Class 3 Medical Certification of
  Air Traffic Controllers as a means to comply with
  ESARR 5

126
Agenda Item 8 - ESARR Issues
8.4 ESARR 6 - Implementation Plan
127
ESARR 6 Implementation Plan

• At SRC 18, the Commissioners agreed the
  submission of ESARR 6 for adoption and approval
  at the forthcoming 18th Session of the
  Provisional Council / Permanent Commission.
• At PC 18, the Permanent Commission endorsed ESARR
  6 by Decision 100 of 6/11/2003.
• For each previous ESARR an implementation
  Programme was constructed and this paper
  therefore details a provisional Implementation
  Programme for ESARR 6.
• Note This Programme is based on that contained
  in SRC DOC 3 which remains the master planning
  document.

128
(No Transcript)
129
(No Transcript)
130
ESARR 6 Implementation Plan Recommendations

• The SRC is invited to
• note ongoing activities in this area
• consider and approve the proposed modifications
  in the Programme, as presented in the attachment
  to this working paper
• note the mechanisms proposed for developing the
  ESARR 6 material and propose attendees
• note that, following approval, the ESARR 6
  implementation actions will be progressed through
  the requisite actions in the SRC Work Programme
• in next SRC meetings, to review and update the
  content of the ESARR 6 related parts of the SRC
  Work Programme in the light of new requests and
  developments as well as availability of
  resources.

131
Agenda Item 8 - ESARR Issues
8.5 ESARR Implementation Monitoring Programme
132
2002 2003 ESIMS Resources

• 28 Visits over 1,5 year
• 3 Man year total
• incl. 160 days/8 months for training
• estimated workload correct except
• management of contracts and missions for
  secondments
• quality control of the ESIMS reports
• 91 651 Euros - i.e, 96,58 of planned
  expenditures

133
ESIMS status

• Follow up from 2002 2003
• SRU letter
• LCIP
• SRC Closed sessions
• ESIMS audits from 2005 onwards
• 2004 visits till June 2004
• New EUROCONTROL member States
• ECAC States
• Re-design of ESIMS for 2005
• Co-ordination with ICAO EC

134
ESIMS IUSOAP (1)

• MOU EUROCONTROL-ICAO (Autumn 2004) - ECAC States
• Full visibility exchange of information
• Schedule and Audit reports
• Alternating audits - Audits follow up in ATM
• Safety Oversight capability (ESARR 1-Doc 9734)
• Areas of overlap SARPs/ESARRs
• EUROCONTROL SRU experts in ICAO audits to cover
  ESIMS follow up activities at ICAO expenses (if
  ESIMS findings accepted)

135
ESIMS IUSOAP (2)

• MOU EUROCONTROL-ICAO (Autumn 2004)-
• Proposal to co-ordinate EUROCONTROL or ECAC
  States responses to ICAO request of national
  ATM experts to participate to ICAO IUSOAP audits
• Benefits
• Respective audit objectives addressed
• Consistency and complementarity of findings
• Optimisation of resources (increased visibility
  of national issues, optimum follow up strategy)

136
Next Steps

• Draft MOU EUROCONTROL-ICAO
• Agreement on contents (SOA and SRU)
• Involvement of Legal Experts
• Signature at Assembly 35th Session
• Initiation of discussions with EC DG TREN
• Draft PC 20 Action Paper to SRC 20
• MOU EUROCONTROL-States
• New version of SRC DOC 21
• With SPG inputs

137
ESIMS Findings
138
(No Transcript)
139
ESARR Implementation Monitoring and Support
Programme

• Main findings (till end Dec 2003)
• Most of the States have a legislative framework
  or a constitutional framework allowing to
  establish ATM safety regulation independently
  from service provision (at least functionally)
• Often clarifications needed under way
• Majority of States have embarked upon setting up
  of ATM safety regulation however,
• Lack of political commitment to implement a sound
  safety regulatory function
• Huge resources issues (financial, human),
  specifically in safety oversight/surveillance
• Dependence upon the regulated parties

140
OVERALL ASSESSMENT
141
Legislative Arrangements ATM Safety Regulatory
Framework
142
ATM Safety Regulatory Competency
143

• ATM Safety Regulatory Organisation
• In fifteen States, there is an organisational
  separation between ATM safety regulation and
  service provision
• In five States the separation is only at
  functional level.
• In seven States there is yet no credible
  separation of functions

144

• ATM Rule Making
• Rule making appears to be a well know function,
  with a defined process being operated for the
  development of safety rules,
• The Rule making process is not always documented,
  making it more difficult to audit against and to
  ensure transparency of the rule making activities
  

145
ATM Safety Oversight Implementation of Safety
Oversight in ATM is still limited and suffers
from a lack of competent human resources
146
ESARRs Enforcement
147

• Accident and Incident Prevention Investigation
• (ESARR 2)
• Various and complex institutional arrangements
  for investigation of ATM incidents (CAA, ANSP,
  Accident Investigation Bureau)
• Work to be done to meet requirements on reporting
  and assessment in ATM underestimated

148
Safety Management Safety Assessment of changes
in ATM (ESARR 3 4)
149
ATCO Competency (ESARR 5)
In most of the States, elements of ATC licensing
or certificate of competence exist, compliant
with ICAO Annex 1.
150
Recommendations

• The SRC is invited to-
• a) note the information included in paper SRC
  19.10 related to ESIMS 2002 2003
• b) note the on going activity with regard to
  ESIMS 2004
• c) note the on going discussions with ICAO with
  regard to the overall co-ordination of IUSOAP
  and ESIMS 2005 onward
• d) request SPG to support SRU in re-designing
  ESIMS.

151
Agenda Item 8 - ESARR Issues
8.6 CMIC / SRC Workshop
152
Agenda Item 8 - ESARR Issues
8.7 Acceptable Means of Compliance
153
ASSESSMENT OF NATIONAL MEANS OF COMPLIANCE TO
ESARR

• A number of Proposed Means of Compliance (PMC) to
  ESARR are in the process of being submitted by
  national administrations. As these are generally
  specific national implementations they may fall
  outside the original intentions of the AMC
  process. If a number of these PMC are offered,
  they will add a considerable and potentially
  unsustainable workload to the SRU.
• The issue has been addressed at SPG and draft
  criteria proposed for inclusion in SRC Document 9
  Process for establishing acceptable means of
  compliance with ESARRS have been produced.

154
ASSESSMENT OF NATIONAL MEANS OF COMPLIANCE TO
ESARR

• Discussion at SPG 6
• The specific case of ESARR 4 has highlighted the
  need for SPG to look generally at SRC work on
  assessment of PMC. In considering the issues
  relating generically to the SRC assessment of
  PMCs, SPG has concluded that
• SRC and SRU have limited resources and needed to
  prioritise
• SRC should not take over national safety
  regulatory responsibilities
• There is a need for at least one AMC to be made
  available to ANSPs (specifically small ones) for
  each ESARR
• Not all ESARRs may generate the same number of
  PMCs

155
ASSESSMENT OF NATIONAL MEANS OF COMPLIANCE TO
ESARR

• At SPG 6, the above issues were discussed and it
  was agreed to propose to SRC to modify SRC DOC 9
  as follows-
• PMCs will be considered only if-
• there is a documented mapping and evidence
  available showing how the PMC meets ESARRs
• there is a form of formal recognition/approval by
  the national regulator that the PMC will be
  accepted for use in the national environment
• there is a documented demonstration that there is
  a European benefit in SRC assessment
• A high priority in the SRC WPG will be allocated
  to the assessment of a PMC meeting the above
  criteria if there is no AMC yet available which
  meet all of an ESARR further, a PMC expected to
  meet the entirety of a given ESARR will be given
  a higher priority than another one addressing
  only parts of an ESARR.
• If there is already an AMC recognised by SRC as
  meeting the totality of an ESARRs, even if all
  criteria above are met, only a priority 3 will be
  allocated to that assessment task in the SRC WPG.

156
Recommendations

• SRC is invited to-
• note and discuss the contents of this paper
• confirm the policy agreed by SPG at end of
  paragraph 2.4 of this paper.
• to agree that SRC Document 9 be updated
  accordingly.

157
Agenda Item 9 - SRC Safety Regulatory Training
(SeRT)

158
Strategy Document

• Co-ordination with Agency
• Meeting IANS/SAF in January
• Competing Needs
• Strategy
• Training approach and principles
• Master plan and priorities
• Set of courses with priorities

159
Master Plan Priorities (1)

• 2004/2005
• Course 1-Beginner
• (ESARRs awareness and International context)
• Course 2- Safety regulatory concepts how to set
  up safety regulatory function
• Course 5- ESARR 2

• 2005/2006
• Course 7-ESARR 4
• Course 4- Safety Oversight
• 2006/2007
• Course 8- ESARR 5
• Course 6- ESARR 3
• Update Course 2

160
Master Plan Priorities (2)

• 2007/2008
• Course 3- Rule Making
• Course 9- ESARR 6
• Updates as necessary

• Main Issues
• Human resources (qualification and number)
• Financial Resources
• (IANS /or SRU)

161
Next steps

• On going- ESARR 2 related training in
  co-ordination with EATM SAF and IANS
  (requirements, skills, ASTs and tools)
• Meeting with IANS SAF mid March
• IANS decisions on 2005 courses end March
• Feed back to SPG and SRC

162
Recommendations

• SRC is invited to-
• discuss and agree the contents of paper SRC19.11,
  in particular the respective priorities allocated
  to the courses
• agree that SRU proceeds further discussions with
  the Agency on that basis and report related
  outcome to SRC20
• note and discuss ways around the lack of human
  and financial resources to address those training
  objectives.

163
Agenda Item 10 - SRC Work Programme
164

Agenda Item 11 - Staffing Budget
165
Agenda Item 12 - RD Updates

166
Agenda Item 12 - RD Updates

167
SRC DOC 27

• Safety RD projects
• ARDEP Review
• SRC Work Programme
• Conclusions and recommendations
• Annual Updates
• External assistance
• Reliance of ARDEP data collection process

168
Recommendations

• The SRC is invited to note that SRUs intent is
  to update yearly SRC DOC 34.
• SRC Commissioners are invited-
• to review from an ATM safety regulatory
  perspective, the completeness and correctness of
  the list of RD projects attached to paper SRC
  19.14 and
• if some RD projects of potential relevance to
  the SRC Work Programme are missing, to transmit
  as soon as possible through the national ARDEP
  focal points all the data concerning those
  projects.

169
Agenda Item 13 - Safety Nets
Comments arising on Policy Document 2
170
Safety Nets Policy Document 2Background

• Under RFC 0321 Policy Document 2 Use of Safety
  Nets in Risk Assessment and Mitigation in ATM
  was approved by SRC.
• The SRU has received a comment from outside the
  SRC that questions the policy agreed. This
  comment is enclosed at Attachment 1.
• This Working Paper discusses the mechanism that
  should be used to address this comment.

171
Safety Nets-Policy Document 2Discussion

• Under RFC 0321 Policy Document 2 Use of Safety
  Nets in Risk Assessment and Mitigation in ATM
  was approved by SRC.
• SRC working procedures are intended to embody the
  principles of the ENPRM (EUROCONTROL Notification
  of Proposed Rule Making) procedure. As such,
• all comments on any SRC formal publications, from
  any source (not just SRC members) should be
  considered.
• The forum for the consideration of such comments
  would normally be the respective working group of
  the SRC.
• Comments can arise at any point in the document
  lifecycle, even after SRC approval of a formal
  publication.
• The SRU has received a comment on Policy Document
  2 - which is enclosed as Attachment 1.
• This comment has been received from a source
  outside the SRC.
• Further discussions have taken place with the
  comment author in conjunction with the respective
  member state. As a result of this the member
  state has confirmed that the existing Policy
  Document 2 still agrees with the policy
  intentions of that State. However, there was
  sufficient discussion on the subject that the
  issues arising could have implications for the
  policy or future activities in the same area.
• The SRU therefore feel that the comment should be
  addressed by the relevant working group of the
  SRC to consider a recommendation as appropriate
  to the SRC.
• It is proposed that this comment should be
  addressed by RTF.

172
Safety Nets-Policy Document 2Recommendations

• SRC is invited to
• note the comments on Policy Document 2 at
  Attachment 1
• agree that RTF should consider the comments
  received and propose, as necessary, any changes
  to the policy for consideration by the SRC..

173
Agenda Item 14 - Any Other Business

174
Agenda Item 14 - Any Other Business
14.1 - PRR7
175
Agenda Item 14 - Any Other Business
14.2 - 2004 Meetings
176
Next SRC Meetings

• SRC20 Tuesday, 25 May
• Wednesday, 26 May 2004
• SRC21 Tuesday, 21 September
• Wednesday, 22 September 2004

177

• SRC