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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 ... – PowerPoint PPT presentation

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Title: ICAO Provisions for Safety Management


1
  • ICAO Provisionsfor Safety Management

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

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

4
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

5
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

6
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

7
GASP Tasks Relevant to ATS and Aerodrome Safety
Management
8
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

9
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

10
ATS and Aerodrome Related Tasks (3)
  • Develop provisions for enhancement of air-ground
    communication skills, including proficiency in
    the use of common English language

11
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

12
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.

13
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

14
Universal Safety Oversight Audit Programme
15
How the USOAP Works
ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME
ICAO
National Regulator
STATE SAFETY OVERSIGHT
16
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

17
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

18
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

19
ATS Safety Management Requirements
20
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

21
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

22
PANS-ATM
  • The PANS-ATM specifies in more detail what
    comprises an ATS safety management programme

23
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

24
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

25
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

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

27
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

28
Aerodrome Safety Management Requirements
29
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

30
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)

31
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

32
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

33
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

34
State Responsibilities for Safety Management
35
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

36
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.

37
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

38
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

39
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

40
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
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