SAFETY REGULATION COMMISSION SAFETY REGULATION COMMISSION Harmonisation of ATM Safety Regulation &...

SAFETY REGULATION COMMISSIONSAFETY REGULATION COMMISSION

Harmonisation of ATM Safety RegulationHarmonisation of ATM Safety Regulation

& ESARRs& ESARRs



& ESARRs& ESARRs

Martine Blaize - Deputy of Safety Regulation Unit (SRU)

EUROCONTROL Safety Regulation Commission - Kiev, April 2003

CHANGES in the ATM INDUSTRYCHANGES in the ATM INDUSTRY

ATM service provision becoming increasingly ATM service provision becoming increasingly commercialised commercialised

National ATM corporationsNational ATM corporationsand agenciesand agencies

Increasing focus on liabilityIncreasing focus on liability

Progressive separation and Progressive separation and clarification of safety rolesclarification of safety roles

RULE-MAKINGRULE-MAKING SAFETYSAFETYOVERSIGHTOVERSIGHT

SETTING MINIMUM SETTING MINIMUM SAFETY LEVELSSAFETY LEVELS

SAFETY PERFORMANCE SAFETY PERFORMANCE MONITORING&IMPROVEMENTMONITORING&IMPROVEMENT

ATM SAFETY REGULATIONATM SAFETY REGULATION

KEY FUNCTIONS

EUROPEAN Harmonisation in EUROPEAN Harmonisation in ATM safety regulationATM safety regulation

EUROCONTROL SRC aims at ensuring a EUROCONTROL SRC aims at ensuring a harmonised ATM safety regulatory harmonised ATM safety regulatory

framework across ECACframework across ECAC

• Context of the EC Single European Sky Context of the EC Single European Sky

• Transfer to EASA anticipated by ECAC in Transfer to EASA anticipated by ECAC in 1997 1997

EUROCONTROLEUROCONTROL

RULERULEMAKINGMAKING

SAFETYSAFETYOVERSIGHTOVERSIGHT

ORGANISATIONALORGANISATIONALISSUESISSUES

PARTNERSHIPPARTNERSHIPWITH PROVIDERSWITH PROVIDERS

PROCESSESPROCESSES




SAFETY SAFETY PERFORMANCE &PERFORMANCE &

IMPROVEMENTIMPROVEMENT

PROCESSESPROCESSES

ATM SAFETY LEVELSATM SAFETY LEVELS


ICAO Annex 11… TLS for ATS in national airspace and aerodromes SRC POL DOC 1- ATM Safety Minima

SRC POL DOC 1 provides a minimum to be met

Consideration of Public Interest in area concerned

Link to safety performance monitoring and improvement

Link to the design of ATM system incl. required aircraft equipage

Top Down approachTop Down approach





PROCESSESPROCESSES






PROCESSESPROCESSESPROCESSESPROCESSES


RULE-MAKINGRULE-MAKING

2001/0235 - The Commission shall.. 2001/0235 - The Commission shall.. identify and adopt the ESARRs and identify and adopt the ESARRs and subsequent amendment to those subsequent amendment to those requirements within the scope of this requirements within the scope of this Regulation…Regulation…

… … that shall be made mandatory under that shall be made mandatory under Community LawCommunity Law

ICAO SARPS with any potential deviations

ESARRs demanding- describes the minimum to be enforced

EC ‘Common Requirements’ bearing on ANSPs , + Essential Requirements, Implementing Rules & Community

Specifications

Any additional/different safety (regulatory) requirements justified by local environment of operations or national context

Inputs to Rule DraftingInputs to Rule Drafting

GUIDANCE MATERIAL FOR REGULATORS

FOR EACHFOR EACHESARRESARR

GUIDANCE MATERIAL

FOR REGULATORS

ESARR ADVISORY MATERIAL (EAM)ESARR ADVISORY MATERIAL (EAM)

AMCAMC

FOR ESARR 3FOR ESARR 3

AMCAMC


AMCAMC

FORFORESARR 5, 6, ...ESARR 5, 6, ...

ACCEPTABLEMEANS OF

COMPLIANCE

AMCAMC


AMC

AMC


AMC

AMC

FORFORESARR 5, 6, 7ESARR 5, 6, 7..

ESARR 3ESARR 3SAFETY MANAGEMENT SYSTEMSSAFETY MANAGEMENT SYSTEMS

ESARR 4ESARR 4RISK ASSESSMENT AND MITIGATIONRISK ASSESSMENT AND MITIGATION

ESARR 5ESARR 5ATM PERSONNELATM PERSONNEL

ESARR 6ESARR 6SYSTEMS SW & HWSYSTEMS SW & HW

ESARR 7ESARR 7ATM PROCEDURESATM PROCEDURES

ESARR 2ESARR 2SAF. OCCURRENCESSAF. OCCURRENCES

ESARR 1ESARR 1 ATM SAFETY REGULATORY FRAMEWORKATM SAFETY REGULATORY FRAMEWORK


AMC

AMC


Acceptable means

of complianc

e

EATM Programme Safety Deliverables

REQUIREMENTSAPPLICATION

DOCUMENTS (RAD)

RVSM GNSS

EGNOS

GBAS

8.33 HEP

Link 2000+

ADS

Data Link ETC…ETC…

ESARR WHAT is required ?WHAT is required ?=

Acceptable Means Of Compliance = Ideas Ideas

HOW this can be achieved ?HOW this can be achieved ?

ANSPs internal procedures

= Customised solutionsCustomised solutions on HOW ANSPs meet ESARRson HOW ANSPs meet ESARRs

EAM AMC EAM AMC

RULE-MAKINGRULE-MAKING SAFETYSAFETYOVERSIGHTOVERSIGHT


SAFETY PERFORMANCE SAFETY PERFORMANCE MONITORING&IMPROVEMENTMONITORING&IMPROVEMENT

ATM SAFETY REGULATIONATM SAFETY REGULATION

KEY FUNCTIONS

Trust me...

Neither blind trust...Neither blind trust...

SAFETY OVERSIGHTSAFETY OVERSIGHTRULERULE

MAKINGMAKINGSAFETYSAFETY

OVERSIGHTOVERSIGHT



PROCESSESPROCESSES






PROCESSESPROCESSESPROCESSESPROCESSES


Safety OversightSafety Oversight

Safety regulatory oversight of procedures

implemented by ANSPs & related approval of organisation and SMS

Safety regulatory review of Safety Argument/Case & related approval of ATM systems/changes, procedures and safety staff

EC Conformity assessment processes

Certification/safety regulatory approval processes

SES: National Supervisory Authorities, with SES: National Supervisory Authorities, with reliance on third party organisations....reliance on third party organisations....

This has to be done by the provider...This has to be done by the provider...

EUROCONTROL Safety Regulation Commission - Workshop on ESARR 3 and Related Material

SPECIFICATIONSDETERMINATION

DESIGN ANDDEVELOPMENT

INSTALLATIONAND TRANSITION

OPERATIONOPERATION

PROJECT

RISK ASSESSMENT AND MITIGATION DOCUMENTATIONRISK ASSESSMENT AND MITIGATION DOCUMENTATION

Risk Assessmentand MitigationDeliverables



RISK ASSESSMENT AND MITIGATION ACTIVITIESRISK ASSESSMENT AND MITIGATION ACTIVITIES

ACCEPTANCEACCEPTANCEREVIEW OF THE RISK ASSESSMENTREVIEW OF THE RISK ASSESSMENTAND MITIGATION DOCUMENTATIONAND MITIGATION DOCUMENTATION




OPERATIONOPERATION

PROJECTPROJECT






ACCEPTANCEREVIEW OF THE RISK ASSESSMENTAND MITIGATION DOCUMENTATION

Role of ATM Safety Regulator ?Role of ATM Safety Regulator ?




OPERATIONOPERATION

PROJECTPROJECT






ACCEPTANCEREVIEW OF THE RISK ASSESSMENTAND MITIGATION DOCUMENTATION




OPERATION

PROJECT

RISK ASSESSMENT AND MITIGATION DOCUMENTATION




RISK ASSESSMENT AND MITIGATION ACTIVITIES



EATM programmes(GNSS, RVSM, ACAS..)

SRC Co-ordination

National ATS providers

National Regulator

Inputs/co-ordination

Final “approval”

Submission of safety policy and arguments, with related operational assumptions

Request for “approval” in national context of operations

Co-ordinated views on acceptability of safety policy and arguments

EATM PROGRAMMES relatedEATM PROGRAMMES related

Approval ProcessApproval ProcessEUROCONTROLEUROCONTROL

ESARR4: Risk Assessment & ESARR4: Risk Assessment & Mitigation in ATMMitigation in ATM

ESARR4: Risk Assessment & ESARR4: Risk Assessment & Mitigation in ATMMitigation in ATM



ESARR 4 REQUIREMENTS

ESARR 2 deals with the PAST…

ESARR 3 is focused on the PRESENT…

ESARR 4 is about the FUTUREESARR 4 is about the FUTURE

WHAT CAN GO WRONG ?

WHAT CAN BE DONE TO PREVENT IT ?

MANAGING THE RISKMANAGING THE RISK

DETERMINATION& SPECIFICATION



OPERATIONOPERATION

PROJECT





RISK ASSESSMENT AND MITIGATION PROCESSRISK ASSESSMENT AND MITIGATION PROCESS




IN PRACTICAL TERMS...IN PRACTICAL TERMS...

Hazard identification & risk assessment and mitigation for Hazard identification & risk assessment and mitigation for any changeany change to to those those parts of the ATM System & supporting servicesparts of the ATM System & supporting services under the under the

provider's managerial controlprovider's managerial control


ESARR 4 REQUIREMENTSIN ACCORDANCE WITH ESARR 4….

VERIFICATION:

THAT ALL IDENTIFIED

SAFETY OBJECTIVESSAFETY OBJECTIVES SAFETY REQUIREMENTSSAFETY REQUIREMENTS

HAVE BEEN MET PRIOR TO IMPLEMENTATIONOF THE CHANGE

DURING ANY TRANSITIONINTO OPERATIONAL SERVICE

DURING OPERATIONAL LIFE

DURING ANY TRANSITIONTILL DECOMMISIONING

DERIVATION OFRISK MITIGATION

STRATEGY:

SPECIFY:

DEFENCES TO MEETSAFETY OBJECTIVESAND REDUCE ORELIMINATE THE RISKSINDUCED BY IDENTIFIEDHAZARDS

SAFETY REQUIREMENTSSAFETY REQUIREMENTSMAY BEAR ON THECONSTITUENT PARTUNDER CONSIDERATIONAND/OR OTHER PARTSOF THE ATM SYSTEM OROPERATIONALENVIRONMENT

DETERMINATION OFSAFETY OBJECTIVES:

(to be placed on the constituent part)

DETERMINE:

THEIRTOLERABILITYIN TERMS OF

HAZARD'SHAZARD'S MAXIMUMMAXIMUM PROBABILITY OFPROBABILITY OF OCCURRENCEOCCURRENCE

ASSESS:

THE EFFECTSTHEY MAYHAVE ON THESAFETY OFAIRCRAFT

&

THE SEVERITYOF THOSEEFFECTS

IDENTIFY:

ATM-RELATEDCREDIBLEHAZARDS

FAILURECONDITIONS

THEIRCOMBINEDEFFECTS

DETERMINATION OF:

SCOPESCOPE BOUNDARIES BOUNDARIES INTERFACESINTERFACES FUNCTIONSFUNCTIONS OPERATIONAL ENVIRONMENTOPERATIONAL ENVIRONMENT

OF THE CONSTITUENTBEING CONSIDERED

SAFETYOBJECTIVES(Quantitative)

SAFETYREQUIREMENTS(Quantitative and/or Qualitative)

(Both qualitative and quantitativemethods can be used)

SEVERITYSEVERITYCLASSIFICATIONCLASSIFICATION

SCHEMESCHEME

as included in ESARR 4Appendix A (Fig A1)

RISKRISKCLASSIFICATIONCLASSIFICATION

SCHEMESCHEMEconsistent with

the one of ESARR 4Appendix A (Fig A2)

(but not the same one !!)

SYSTEM DEFINITION

SYSTEM DESIGN

IMPLEMENTATIONOPERATION



FIRST STEPFIRST STEP Determination of the constituent part being considered

DETERMINATION OF:



DETERMINATION OF THE CONSTITUENT PARTDETERMINATION OF THE CONSTITUENT PARTBEING CONSIDEREDBEING CONSIDERED

The "constituent part" under assessment is determined by what the ATM service provider wants to introduce at the time



SECOND STEPSECOND STEP Determination of Safety Objectives



DETERMINE:



ASSESS:


&


IDENTIFY:


FAILURECONDITIONS




SCHEMESCHEME






DETERMINATION OF:



DETERMINATION OF SAFETY OBJECTIVESDETERMINATION OF SAFETY OBJECTIVES We identify hazards and determine "Safety Objectives" to express the the maximum tolerability of the hazards identified…

… These "Safety Objectives" will become targetsto be achieved when designing, developing and operating the system

DETERMINATION OF:





THIRD STEPTHIRD STEP Derivation of a Risk Mitigation Strategy



STRATEGY:

SPECIFY:





DETERMINE:



ASSESS:


&


IDENTIFY:


FAILURECONDITIONS




SCHEMESCHEME






DETERMINATION OF:



DERIVATION OF A RISK MITIGATION STRATEGYDERIVATION OF A RISK MITIGATION STRATEGY

In order to meet the Safety Objectives, various mitigation measures are identified. They are commonly known as "Safety Requirements"



DETERMINE:



ASSESS:


&


IDENTIFY:


FAILURECONDITIONS




SCHEMESCHEME






DETERMINATION OF:





FOURTH STEPFOURTH STEP Verification

VERIFICATIONVERIFICATION

Verify that all identified Safety Objectives and Safety Requirements have been met

VERIFICATION:

THAT ALL IDENTIFIED

SAFETY OBJECTIVESSAFETY OBJECTIVES SAFETY REQUIREMENTSSAFETY REQUIREMENTS

HAVE BEEN MET PRIOR TO IMPLEMENTATIONOF THE CHANGE

DURING ANY TRANSITIONINTO OPERATIONAL SERVICE

DURING OPERATIONAL LIFE

DURING ANY TRANSITIONTILL DECOMMISIONING

(Both qualitative and quantitativemethods can be used)



STRATEGY:

SPECIFY:





STRATEGY:

SPECIFY:





DETERMINE:



ASSESS:


&


IDENTIFY:


FAILURECONDITIONS




SCHEMESCHEME






DETERMINATION OF:



FAILURE HAZARD

CLASS 1Accidents

CLASS 2Serious

Incidents

CLASS 3Major

Incidents

CLASS 4SignificantIncidents

CLASS 5No Immediate

Effect on Safety

PROBABILITY OFTHE HAZARDLEADING TO

ACCIDENT/INCIDENTINCIDENT

OR ACCIDENT

MAXIMUM PROBABILITYOF OCCURRENCE

OF HAZARD EFFECTS

SEVERITY OFEFFECTS ON AIRCRAFT

OPERATIONS

1,55x10-8

TBD

LIMITATIONS…. LIMITATIONS…. ESARR2 collectionESARR2 collection

Quantification of Safety ObjectivesQuantification of Safety Objectives

SRC POL DOC 1SRC POL DOC 1ECAC ATM Safety ECAC ATM Safety MinimaMinima

PROBABILITY OFOCCURRENCE OF

THE HAZARD

SAFETYOBJECTIVE

MAXIMUM PROBABILITYOF OCCURRENCE

OF HAZARD

?

?

?

?

SEVERITY OF EFFECTSINDUCED BY THE HAZARD

TBD

TBD

Operationalenvironment

boundary

( TOTAL SYSTEM APPROACH)

CNS/ATMsystem

boundary

CNS/ATM Procedures

ATSU

People

ATC ProceduresGround Equipment

Airspace

Aircraft

Flight Operations proceduresPilot training

Aircraft equipment

The ATM system and supporting services

ATM SafetyATM Safetycodescodes

Airpor

t Saf

ety

Airpor

t Saf

ety

code

s

code

s

Airworthiness Airworthiness codescodes

Flight Flight Operations Operations Certification Certification codescodes

ICAO Annex 14 ICAO Annex 14

and associated docand associated doc



ICAO Annex 11ICAO Annex 11



and associated docand associated docICAO Annex 8ICAO Annex 8








ToTal System Approach ToTal System Approach

ToTal System Approach ToTal System Approach

AIS: AeronauticalInformation Services

State

Airspace

StateState

State

Aeroplane Manufacturer Aeroplane Operator ANSP Equipment Manufacturer

National AirworthinessAuthority

National AirworthinessAuthority

National OperationalApproval Authority

ANSPSupervisory Authority

Environment

SafetyAssessment

Equipment specifications,

limitations, operations and maintenance

Flight ManualMaintenance Manual

Types of operations authorised

Authorised areas of operations

AISAIS




More Guidance ?More Guidance ?

ESARR 4 Guidance Material - EAM4/GUI1ESARR 4 Guidance Material - EAM4/GUI1 Explanatory Material on ESARR 4Explanatory Material on ESARR 4 Edition 1.0Edition 1.0



& ESARRs& ESARRs



& ESARRs& ESARRs

Martine Blaize - Deputy of Safety Regulation Unit (SRU)

SAFETY REGULATION COMMISSION SAFETY REGULATION COMMISSION Harmonisation of ATM Safety Regulation &...

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