Integra A/S1 WORKSHOP ATM SAFETY REGULATION (OVERSIGHT) January 2006 WORKSHOP ATM SAFETY REGULATION (OVERSIGHT) January 2006.

Integra A/SIntegra A/S 11

WORKSHOPWORKSHOP

ATM ATM SAFETY REGULATIONSAFETY REGULATION (OVERSIGHT) (OVERSIGHT)

January 2006January 2006


Welcome and Opening of WorkshopWelcome and Opening of Workshop

WelcomeWelcome Objectives of the workshopObjectives of the workshop Programme of the workshopProgramme of the workshop


Objective Objective

Introduction to Introduction to ATM Safety RegulationATM Safety Regulation

Introduction to ATM Safety Introduction to ATM Safety Regulatory OversightRegulatory Oversight

Understanding


Safety RegulationSafety Regulation

Objective of Safety regulation:Objective of Safety regulation:

To improve the safety performance of the services provided To improve the safety performance of the services provided

by the service providers subjected to safety regulationby the service providers subjected to safety regulation


Safety RegulationSafety Regulation

Means of Safety regulation:Means of Safety regulation:

Standards and requirementsStandards and requirements

Enforcing adherence to standards Enforcing adherence to standards

and requirementsand requirements


Safety Regulation, the Framework Safety Regulation, the Framework

Regulatory Functions:Rulemaking & Oversight

The States

Safety Management Systems

The Aviation Activities

Collectively: The (national) Safety Management SystemCollectively: The (national) Safety Management System

Management of SafetyManagement of Safety

Safety Management ProgrammeSafety Management Programme


Safety Regulation, the FrameworkSafety Regulation, the Framework

Basic Aspects of Safety Management:

Geographically

Functionally

Systematic, pro-active & explicit

Uniform & consistent

Global

ICAO SARPS

Independent

Nat. regulations


Safety Regulation, FunctionsSafety Regulation, Functions

Safety Regulation includes:

Rulemaking

Safety Regulatory Oversight


ATM Safety RegulationATM Safety Regulation

ATM Safety policy:ATM Safety policy:The National Civil Aviation Administration has safety as its highestThe National Civil Aviation Administration has safety as its highest

priority for the regulation of civil aviation and in the provision of air priority for the regulation of civil aviation and in the provision of air

traffic management services.traffic management services.

The safety regulation of air traffic management service providers for The safety regulation of air traffic management service providers for airspace and aerodromes is a vital function for achieving and maintaining airspace and aerodromes is a vital function for achieving and maintaining high levels of safety in the delivery of air traffic management services.high levels of safety in the delivery of air traffic management services.

The regulation will, as an ongoing safety oversight of service providers The regulation will, as an ongoing safety oversight of service providers

and services, be carried out impartially, independent of other interests and services, be carried out impartially, independent of other interests

and in a fair and transparent manner, based on published ATM Safety and in a fair and transparent manner, based on published ATM Safety Regulatory requirements.Regulatory requirements.


ATM Safety Regulation, FunctionsATM Safety Regulation, Functions

ATM Safety Regulation includes:

ATM Rulemaking

ATM Safety Regulatory Oversight


Safety Regulation, ext. arrangementSafety Regulation, ext. arrangement

Safety Regulation shall be (at least functionally) separated from Service Provision

Presently, there is a mix of roles, authorities and responsibilities between the DGCA and the AAI

During the first visit it was mentioned that a CAA may be form by joining the DGCA and parts of AAI

- What is the progress on this issue?


Safety Regulation, int. arrangementSafety Regulation, int. arrangement

Safety Rulemaking shall be functionally separated from Safety Regulatory Oversight

Independence within the regulator


Safety Regulation, int. arrangementSafety Regulation, int. arrangement

Section B

Safety Oversig

ht

Section CAnalysis/Statistics

Section AStandards

& Rule-making

Head

Organisational arrangement of ATM Safety Regulator:



ATM Safety Regulation, Rulemaking

Definition:

Rulemaking is the process by which safety objectives, requirements and standards are set. It consists of the definition of applicable safety standards, requirementsand practices to ensure that both the National ATM Acceptable Level of Safety and regulatory provisions that result from internationalcommitments are observed



ATM Safety Regulation, Rulemaking

Minimum rulemaking includes:

Specification of National ATM Acceptable Level of Safety for the provision of ATS within the airspace

Rules and requirements, for the implementation and operation of ATM services: Occurrence reporting Safety Management Systems Risk assessment and mitigation Licensing/certification of personnel




Definition:

The function undertaken by a designated authority to verify that safety regulatory objectives, requirements and standards are effectively met by the ATM service-providers




Oversight embraces:

The ATM service-providers’ Documentation Organisational structure Processes and procedures, including Safety Occurrence Reporting and Safety Management Systems Technical systems Personnel



ATM Safety policy:ATM Safety policy:The National Civil Aviation Administration has safety as its highestThe National Civil Aviation Administration has safety as its highest

priority for the regulation of civil aviation and in the provision of air priority for the regulation of civil aviation and in the provision of air

traffic management services.traffic management services.

The safety regulation of air traffic management service providers for The safety regulation of air traffic management service providers for airspace and aerodromes is a vital function for achieving and maintaining airspace and aerodromes is a vital function for achieving and maintaining high levels of safety in the delivery of air traffic management services.high levels of safety in the delivery of air traffic management services.

The regulation will, as an ongoing safety oversight of service providers The regulation will, as an ongoing safety oversight of service providers

and services, be carried out impartially, independent of other interests and services, be carried out impartially, independent of other interests

and in a fair and transparent manner, based on published ATM Safety and in a fair and transparent manner, based on published ATM Safety Regulatory requirements.Regulatory requirements.


ATM Safety Regulatory OversightATM Safety Regulatory Oversight

Objective of ATM Safety Regulatory Oversight

To monitor the provision of ATM services in respect of safety (safety performance) and to verify that objectives, requirements, directives and other safety regulation by the ATM Safety Regulator are complied with by the ATM service-providers



Principles of Safety Regulatory Oversight

Support the service provider’s adherence to the safety standards and requirements

Systematic Consistent and uniform Clearly defined terms of reference Factual, objective, unbiased and transparent Performed in co-operation with the service provider Adapted to the situation Outcome understandable and useful to the service provider



Scope of ATM Safety Regulatory Oversight

Regulatory issues

Operational and technical issues

Licensing and training issues



Scope of ATM Safety Regulatory Oversight (cont.) Regulatory issues:

- Operations manuals, ATS instructions etc. complete, concise and up-to-date

- Separation minima

- Overview of manoeuvring areas

- Low visibility aerodrome operations

- Traffic volume/controller work load

- Failures/degradation of systems

- Reporting procedures

- Route structures



Scope of ATM Safety Regulatory Oversight (cont.)

Operational and technical issues:

- Working conditions

- Automation systems

- Equipment

- CNS and other safety significant systems

- Records



Scope of ATM Safety Regulatory Oversight (cont.) Licensing and training issues:

- Training and licensing status for ATCOs & other staff

- Refresher training

- Teamwork competency

- English language skills

- Standard phraseology



Objective of ATM Safety Regulatory Oversight

To monitor the provision of ATM services in respect of safety (safety performance) and to verify that objectives, requirements, directives and other safety regulation by the ATM Safety Regulator are complied with by the ATM service-providers



Means of ATM Safety Regulatory Oversight

Monitoring the safety performance of the service provider

Safety regulatory audits to obtain objective evidence as regards the compliance with specific requirements by the service provider



Monitoring the safety performance

Oversight and review of occurrence reporting systems as well as use of the contents of the reports and the outcome of safety regulatory audits



Verifying the compliance with objectives, standards and requirements A process to ensure that ATM service-providers continuously comply with the standards and safety regulatory requirements issued by the ASR

Objectives, requirements, standards and other safety-related conditions identified in safety assessment and mitigation documentation to allow the proposed operation of new ATM systems, including transition into operational use, or proposed changes to the operation of existing ATM systems in the form of new developments or modifications are implemented

ATM service-providers implement safety-related conditions contained in Safety Directives



Linkage between monitoring safety performance and verification of compliance

The monitoring process should feed information into the planning of safety regulatory audits identifying areas of concern



Initial and on-going safety regulatory oversight

Supports the acceptance of

A new organisation and significant changes to the organisation of an ATM service-provider

Initial oversight

New systems and changes to systems



Initial and on-going safety regulatory oversight

Concerns the continued compliance in respect of

Continuous operation of Safety Management Systems and other activities based on safety requirements

On-going oversight

Continuous operation of in-service ATM systems



The cycle of of safety regulatory oversight & relation between regulator and service provider

ASR

Safety Oversight Action: INITIAL SAFETY OVERSIGHT

The acceptance of new systems and changes to systems

Safety Oversight Action: ONGOING SAFETY OVERSIGHT

To demonstrate continuous compliance with requirements

Significant changes



Safety Regulatory Audit

An independent and systematic examination conducted by the ATM Safety Regulator to determine whether ATM services or specific parts of an ATM system comply with national requirements and ICAO SARPS

Definition



Safety Regulatory Audits

Apply to, but are not limited to, complete arrangements or elements thereof, to processes, to products or to services

Verify compliance of: Written procedures and other established arrangements against required procedures and other required arrangements, and/or Actual processes and their results against written procedures and other established arrangements

Scope




Provide the ASR with evidence of compliance with applicable safety regulatory objectives, requirements and standards and related arrangements by evaluating the need for improvement or corrective action

Verify by testing and/or examination whether prescriptive specifications required and previously published by the ASR have been met effectively

Be undertaken under the managerial responsibility and overall control of the NCAA, independent of the internal auditing activities undertaken by ATM service-providers as part of their safety management arrangements

Shall




Provide the auditee with an opportunity to correct nonconformities and improve the safety of the area under consideration

Shall, cont.




The physical act of auditing

Reaction on any systems weaknesses that have been revealed by the audit

A process of:




Established arrangements against required arrangements

Implemented arrangements and their results versus established arrangements and their expected results

Focus of the process:




A process:

Required procedures&

Required arrangements

AUDITING THE PROCESS(which may also involve auditing of product/service)

Actual processes &Actual arrangements

and their results

Written procedures &Written arrangements

and their expected results

VERIFIEDAGAINST

Actual parameters of ATM services

or parts of the ATM System

Required specifications for ATM services or

parts of the ATM Systems

AUDITING THE PRODUCT/SERVICE

APPLICABLESAFETY

STANDARDS &REQUIREMENTS

Requirementsfor processes and

other provider’s arrangements

Requirementsdefining

specificationsfor products or

services

VERIFIEDAGAINST

VERIFIEDAGAINST

Written procedures&

Written arrangements



Programme of Safety Regulatory Audits

The ASR shall establish an annual programme of safety regulatory audits that addresses each and all provider organisations providing ATM services in Thai airspace, and targets all the different ATM services. The programme shall ensure that all entities subject to safety regulatory oversight are audited at least once every xx years.




Planning

Conducting

Reporting

Corrective action and close-out

Four phases:




Appointing the Audit Team: Audit Team Leader & Auditors

Preliminary preparation: - Understanding the subject of auditing

- Specific requirements to be verified, the samples- Comm. with auditee, determine visit schedule - Determine the plan of activities

The Team Leader communicates with auditee and determines the visit schedule The Auditors prepare the plan of activities of the visit(s)

Planning audit:




Determine the audit basis - Study of auditee (documentation, organisation) and

requirements, make High Level Check Lists of specific requirements; and Low Level Check Lists of specific

evidence and questions. The lists form basis of plan of activities

Planning audit (cont.):

Stand. &

Req.

Hi lev. checklists

Lowlev.

Check lists




Audit entry meeting, chaired by Audit Team Leader; typical agenda:

Conducting audit:

IntroductionsTeam Leader and individual audit team membersService provider representativesPurpose / Objectives of the audit(e.g. routine oversight / compliance with requirements, etc.)Scope of the audit(areas of service provider to be audited)Audit visit schedule(times when each area / person will be visited and by whom)




Audit entry meeting, typical agenda (cont.)

Conducting (audit cont.):

Audit limitations(audit conclusions based on limited sample / snapshot in time)General administrative arrangementsOffice facilities etc.Audit guidesHow results will be formally communicated(reporting mechanism / documentation)Exit meeting ConfidentialityQuestions




Audit investigation

Conducting audit (cont.):

- Interviews - Checks of

documentation/recordsproceduresknowledge

Use of prepared checklists, but ready to make ‘controlled changes’ if required. - Careful, consistent recording - Team coordination – team meetings - Audit Tam Leader always in control




Highlights of auditing techniques:


- Auditors always need “Objective Evidence” to verify that a process functions effectively - “Objective Evidence” should be obtained by auditors examining documents / records etc. of their choosing and by selecting appropriate representative samples.

- Auditors should not treat the spoken word of the auditees as “objective evidence”. This must be obtained by observation.




Highlights of auditing techniques (cont.):


- However, information obtained from the spoken word of several individuals may be used as confirmation of understanding by an auditor.

- When a non-conformity is found, auditors should take larger samples, sometimes in different parts of the organization, in order to establish if the non-conformity is an isolated incident or a common problem across the organisation




Audit exit meeting, chaired by Audit Team Leader; typical agenda:

Conducting audit:

IntroductionsTeam Leader and individual audit team membersService provider representativesPurpose of the meetingPurpose / Objectives of the audit(routine oversight / compliance with ESARRs etc.)Scope of the audit(areas of service provider audited)




Audit exit meeting, chaired by Audit Team Leader; typical agenda (cont.):

Conducting audit:

Appreciation of co-operation / assistance, etc.Confidentiality(indicating that all information will remain confidential)Formal report(when it will be sent to the service provider)Audit limitations(conclusions based on limited sample / snapshot in time)




Audit exit meeting, chaired by Audit Team Leader; typical agenda, (cont.):

Conducting audit:

Summary statement(main areas of concern revealed by the audit)Audit Findings(non-conformities presented and explained)Regulatory process for corrective action, follow up and audit close outQuestions




Reporting to ATM Safety Regulator

Reporting to CAA

Reporting to auditee

Reporting audit findings:




Reporting to ATM Safety Regulator (ASR) A report, to include the following to be forwarded to the ASR:

• date of oversight visit • subject of audit • auditor(s) • observers / specialists accompanying the auditors • objectives and scope of the audit • summary statement / audit conclusions • audit schedule (areas of the service provider visited together with times spent in each area)

Reporting audit findings (cont.):




Reporting to ATM Safety Regulator (ASR) (cont.) • overall status of this oversight visit in relation to the NSA annual programme of audits in relation to the organisation being audited • details of the specific management system elements / paragraphs sampled • status of previously agreed corrective actions (if forming part of this audit) • reference documentation used to plan the audit • specific documentation/records reviewed during the audit • key staff interviewed





Reporting to ATM Safety Regulator (ASR) (cont.) • specific activities observed • details of identified non-compliances • supporting details in relation to identified non-compliances • general audit observations • recommendations to the ASR by the auditor(s)





Reporting to CAA A report, to include the audit report and if applicable recommendations is to be forwarded to CAA





Reporting to auditee CAA (TBD) will – if possible not later than 2 weeks after the audit, transmit a report to the auditee including the following information • Date of oversight visit • Auditee • Auditor(s) • Observers / specialists accompanying the auditors • Objectives and scope of the oversight audit • Audit schedule (areas of the service provider visited) • Details of non-compliances identified by the audit team (including perceived significance)





Reporting to auditee (cont.) • Response of the ATM service provider to identified non-compliances, • Requirements for corrective actions, (including timeframes - determined by perceived significance/impact on safety) • Considerations for investigations (relating to auditor(s) general observations)





Complete set of records of all audits must be stored with easy access to the records

Records:




Definition Action to eliminate the cause of a detected nonconformity or other undesirable situation

Corrective action:

NOTE: Corrective action does not mean the action taken to restore a nonconforming situation to a conforming situation. This is known as remedial action. If the root cause of a nonconformity is not addressed then it is very likely that similar nonconformities will recur.




Responsibility The service provider is responsible taking corrective action

Corrective action:




Process

- Regulator finds nonconformity, and informs auditee

- Auditee decides upon and takes corrective action

- Regulator may perform audit follow-up

- Close-out after root cause of nonconformity is eradicated and required safety level is established

Corrective action, audit follow-up & close-out:




Audit management includes

- Appointing and organising resources for audits

- Elaborating and maintaining audit protocol

- Elaborating templates for audit activities

- Control of records

Audit management:




Audit management includes

- Elaborating and maintaining audit programmes

- Monitoring audit activities, their outcome and the feed- back to improve audit effectiveness

- Internal audit of audit activities

- Ensuring qualifications of auditors

Audit management (cont.):



Discussion and ConclusionDiscussion and Conclusion

Integra A/S1 WORKSHOP ATM SAFETY REGULATION (OVERSIGHT) January 2006 WORKSHOP ATM SAFETY REGULATION (OVERSIGHT) January 2006.

Documents

safety regulation slide

arrangement safety regulation

safety objectives

functions safety regulation

safety performance

integra as11 safety

integra as7 safety regulation

integra as8 safety regulation