1. 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

2. 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…

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

4. 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 :
EDITION DATE :
STATUS ISSUE : RELEASED
CLASS : GENERAL UBLIC
It is the “European standard” for ATM safety oversight

5. 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

6. 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

7. 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

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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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

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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

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