Juan Vázquez Sanz EUROCONTROL SRU Day 1 WORKSHOP, Nicosia 2-3rd July 2008 “Extension of SAFETY & QUALITY Common Requirements to the EMAC States” Item 7 : Safety Oversight Arrangements & Practices Juan Vázquez Sanz EUROCONTROL SRU 1

Let’s focus on safety oversight part… REMEMBER: National Supervisory Authorities (NSAs) supervise compliance with requirements: For safety (Safety Oversight) For other requirements (financial, security, etc…) They do that: When they certify ANSPs against a set of Common Requirements (which encompass the ESARRs) When they do ongoing oversight of the certified ANSPs Let’s focus on safety oversight part…

Safety Oversight What are the minimum safety oversight arrangements to be implemented by a NSA ?

Safety Oversight Requirements ESARR 1 / Commission Regulation (EC) 1315/2007 Identifies the minimum arrangements / processes for ATM safety oversight Applies to all NSAs in SES ESARR 1 SAFETY OVERSIGHT IN ATM EUROCONTROL SAFETY REGULATORY REQUIREMENT (ESARR) EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATION EDITION : 1.0 EDITION DATE : 27-02-2002 STATUS ISSUE : RELEASED CLASS : GENERAL UBLIC It is the “European standard” for ATM safety oversight

Safety Oversight Requirements ESARR 1 / Commission Regulation (EC) 1315/2007 Firstly… Minimum elements, inputs and outputs of the processes implemented by the NSA: Monitoring of Safety Performance Verification of compliance - Safety Regulatory Auditing Safety Review of Changes to the ATM System Conditions for the use of recognised organisations Issuance of Safety Directives Safety Oversight Annual Report

Safety Oversight Requirements ESARR 1 / Commission Regulation (EC) 1315/2007 Two core processes… Firstly… Minimum elements, inputs and outputs of the processes implemented by the NSA: Monitoring of Safety Performance Verification of compliance - Safety Regulatory Auditing Safety Review of Changes to the ATM System Conditions for the use of recognised organisations Issuance of Safety Directives Safety Oversight Annual Report

Safety Oversight Requirements ESARR 1 / Commission Regulation (EC) 1315/2007 Secondly… Minimum arrangements as regards the capabilities of the ATM safety oversight function State’s responsibility to provide resources Competence of the ATM safety regulatory staff Qualification criteria for personnel involved in audits Assessment of level of human resources needed

Safety Oversight Processes How do those processes work ? Safety regulatory auditing Safety Review of changes to the ATM system etc

Safety Oversight Processes NSA Within: Certification Introduction of new systems INITIAL SAFETY OVERSIGHT Continuously ONGOING SAFETY OVERSIGHT SAFETY REVIEW OF CHANGES (ACCEPTANCE BY THE NSA) SAFETY REGULATORY AUDITING ROUTINE OPERATIONS PROJECTS MODIFICATIONS NEW DEVELOPMENTS ATM Service Provision PROVIDER Steady State Major Changes

Safety Oversight Processes Safety Regulatory Audits: Annual Programme of audits Covering all providers and services Enough audits to cover over a period of two years all the relevant areas Including follow up audits Using information available to decide where to audit Qualification of audit personnel

Safety Oversight Processes Safety Regulatory Audits: Audit? … …What’s an audit? Independence from area been audited Systematic and documented Looking for objective evidence Checking against a reference

Safety Oversight Processes Safety Regulatory Audits: Audit? … …What’s an audit? PREPARATION INCLUDING A REVIEW OF DOCUMENTATION ON-SITE AUDIT / VISIT(s) FOLLOW UP Audit report

Safety Oversight Processes Safety Review of Changes: Applicable to new equipment, new procedures, new… The most important changes have to be reviewed by the NSA before their implementation takes place The NSA “accepts” the implementation of those changes The review evaluates the ‘safety argument/safety case’ produced by the ANSP in relation to the change

Safety Oversight Processes THOSE ARE THE CORE PROCESSES... But there is more: On monitoring of safety performance On the use recognised organisations On the production of an Annual Safety Oversight Report On safety directives ... ESARR 1 - Regulation EC 1315/2007 is quite detailed... ... In order to provide the level playing field needed

… WHAT’S THE LINK BETWEEN ALL THIS AND ICAO?

and Approval Obligations CE-1 IMPLEMENT ESTABLISH CE-2 CE-3 CE-4 CE-5 CE-6 CE-7 Primary Aviation Legislation Regulations Organisation Qualification and Training Guidance Technical Authorization and Approval Obligations Surveillance Obligations Resolution of Safety Issues CE-8

Single European Sky ESTABLISH ESTABLISH IMPLEMENT IMPLEMENT Primary (without ESARR 1) The four Regulations from Parliament/Council Establishment/Nomination of NSAs is required Separation between NSAs & ANSPs is required Common Requirements Interoperability Implementing Rules CE-1 CE-1 Primary Aviation Legislation Primary Aviation Legislation CE-2 CE-2 CE-3 CE-3 State Aviation Safety Oversight System and Functions Organisation Regulations Specific Operating Regulations Technical Guidance, Tools & provision Critical of Safety Info Qualification training and Qualified Technical Personnel Training and ESTABLISH ESTABLISH Technical Guidance, CE-5 CE-5 CE-4 CE-4 IMPLEMENT IMPLEMENT Licensing, Certification, Authorization and Approval Obligations. Authorization and Approval Obligations Surveillance Obligations Surveillance Obligations Resolution of Safety Concerns Resolution of Safety Concerns CE-7 CE-7 CE-6 CE-6 Certification scheme established in Regulation 550/2004 Conformity Assessment scheme established in Regulation 552/2004 ATCO Licensing scheme established in Directive CE-8 CE-8 Obligation for ongoing supervision established Various provisions related to enforcement by NSA

EC Regulation 1315/2007 ESARR 1 ESTABLISH ESTABLISH IMPLEMENT CE-1 CE-1 Provisions on FABs NSA responsibilities in audit process Assessment of resources needed Primary Aviation Legislation Primary Aviation Legislation CE-2 CE-2 CE-3 CE-3 State Aviation Safety Oversight System and Functions Organisation Regulations Specific Operating Regulations Guidance for use by NSA personnel is required Safety Oversight Records Safety Oversight Annual Report EAM 1 guidance deliverables to support the implementation of ESARR 1 Qualification of personnel in NSAs and Recognised Organisations (notably qualification of auditors) Technical Guidance, Tools & provision Critical of Safety Info Qualification training and Qualified Technical Personnel Training and ESTABLISH ESTABLISH Technical Guidance, CE-5 CE-5 CE-4 CE-4 IMPLEMENT IMPLEMENT Licensing, Certification, Authorization and Approval Obligations. Authorization and Approval Obligations Surveillance Obligations Surveillance Obligations Resolution of Safety Concerns Resolution of Safety Concerns CE-7 CE-7 CE-6 CE-6 CE-8 CE-8 Safety Directives Safety Regulatory Audits (initial oversight in the context of certification and/or designation) Safety Oversight of Changes Safety Regulatory Audits (ongoing oversight) ESARR 1 EC Regulation 1315/2007 PROCESSES / ARRANGEMENTS

Single European Sky EC Regulation 1315/2007 (without ESARR 1) Common Requirements Interoperability Implementing Rules The four Regulations from Parliament/Council Establishment/Nomination of NSAs is required Separation between NSAs & ANSPs is required CE-1 CE-1 Provisions on FABs NSA responsibilities in audit process Assessment of resources needed Primary Aviation Legislation Primary Aviation Legislation CE-2 CE-2 CE-3 CE-3 State Aviation Safety Oversight System and Functions Organisation Regulations Specific Operating Regulations Guidance for use by NSA personnel is required Safety Oversight Records Safety Oversight Annual Report EAM 1 guidance deliverables to support the implementation of ESARR 1 Qualification of personnel in NSAs and Recognised Organisations (notably qualification of auditors) Technical Guidance, Tools & provision Critical of Safety Info Qualification training and Qualified Technical Personnel Training and ESTABLISH ESTABLISH Technical Guidance, CE-5 CE-5 CE-4 CE-4 IMPLEMENT IMPLEMENT Licensing, Certification, Authorization and Approval Obligations. Authorization and Approval Obligations Surveillance Obligations Surveillance Obligations Resolution of Safety Concerns Resolution of Safety Concerns CE-7 CE-7 CE-6 CE-6 Certification scheme established in Regulation 550/2004 Conformity Assessment scheme established in Regulation 552/2004 ATCO Licensing scheme established in Directive CE-8 CE-8 Obligation for ongoing supervision established Safety Directives Safety Regulatory Audits (initial oversight in the context of certification and/or designation) Safety Oversight of Changes Safety Regulatory Audits (ongoing oversight) ESARR 1 EC Regulation 1315/2007 PROCESSES / ARRANGEMENTS Various provisions related to enforcement by NSA

Safety Oversight SUMMARY (1/2): NSAs supervise safety requirements (safety oversight) ESARR 1 – Commission Regulation EC 1315/2007: Establishes the requirements NSAs must meet as regards safety oversight Quite detailed with regard to the processes an NSA must put in place Requires a strong audit mechanism and audit capabilities Safety review of changes (new equipment, new procedures, etc) Competence of NSA personnel is key

Safety Oversight SUMMARY (2/2): There is a correspondence between SES and the ICAO eight critical elements ESARR 1 is key to deal with the ICAO critical elements related to the effective implementation

Thank you for your attention Day 1 Thank you for your attention Juan Vázquez Sanz EUROCONTROL SRU 8