1 Documentation Legal Framework Air Navigation Orders Guidelines ATS Manual Airport Manual Safety Management Manual ICAO Annexes Licenses / Certificates

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DocumentationDocumentation

LegalFramework

Air Navigation

Orders

Guidelines

ATSManual

AirportManual

SafetyManagement

Manual

ICAOAnnexes

Licenses /Certificates

2

Safety Regulatory Safety Regulatory FrameworkFramework

LegalFramework

Air Navigation Orders SafetyManagement

Manual

ICAOAnnexes11, 14

SafetyOccurrence Reporting

SafetyManagement

Systems

RiskAssessment &

Mitigation

AcceptableLevels of

Safety

SafetyManagementProcedures

RegulatorApproval

3

Safety Management Safety Management SystemsSystems


ManualSafety Management Systems• General Requirements

• Safety Management• Safety Responsibilities• Safety Priority / Policy• Safety Objectives

• Safety Achievements• Competency• Safety Management Resp.• Quantitative Safety Levels• Risk Assessment and

Mitigation• SMS Documentation• External Services

• Safety Assurance• Safety Surveys• Safety Monitoring• Safety Records• Risk Assessment and

Mitigation Doc.• Safety Promotion

• Lesson Dissemination• Safety Improvement


RegulatorApproval

RegulatorComplianceChecklist

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Safety Management Safety Management SystemsSystems

Air Navigation Orders

Safety Management Systems• General Requirements

• Safety Responsibilities

• Safety Achievements• Safety Management Resp.

• Safety Assurance• Safety Monitoring

Within the Safety Management System, the Service Provider:

• shall ensure that a safety management function is identified with organisational responsibility for development and maintenance of the safety management system;

• shall ensure that this point of responsibility is, wherever possible, independent of line management, and accountable directly to the highest organisational level;

• shall ensure that the highest level of the service provider organisation plays a general role in ensuring safety management;

The Service Provider shall have in place a Safety The Service Provider shall have in place a Safety Management System which ensures that everyone Management System which ensures that everyone involved in the safety aspects of ATM service-involved in the safety aspects of ATM service-provision has an individual safety responsibility for provision has an individual safety responsibility for their own actions, and that managers are their own actions, and that managers are responsible for the safety performance of their own responsible for the safety performance of their own organisations;organisations;

Within the Safety Management System the Service Providers shall ensure that methods are in place to detect changes in systems or operations which may suggest any element is approaching a point at which acceptable standards of safety can no longer be met, and that corrective action is taken.

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Safety Management Safety Management ManualManual

Air Navigation OrdersThe Service Provider shall have in place a Safety The Service Provider shall have in place a Safety Management System which ensures that everyone Management System which ensures that everyone involved in the safety aspects of ATM service-involved in the safety aspects of ATM service-provision has an individual safety responsibility for provision has an individual safety responsibility for their own actions, and that managers are their own actions, and that managers are responsible for the safety performance of their own responsible for the safety performance of their own organisations;organisations;

Safety Management Manual

Job descriptions

Safety ResponsibilitiesThe Manager isResponsible for …

General statement ofdivision of responsibilities

•Management•Departments•All staff

Specific responsibilitieswill be included in theindividual Job Descriptions

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Air Navigation OrdersWithin the Safety Management System, the Service Provider:

• shall ensure that a safety management function is identified with organisational responsibility for development and maintenance of the safety management system;

• shall ensure that this point of responsibility is, wherever possible, independent of line management, and accountable directly to the highest organisational level;

• shall ensure that the highest level of the service provider organisation plays a general role in ensuring safety management;

Job Description

Safety Manager

Safety Organisation

SafetyManager

ATSDepartm ent

TechnicsDepartm ent

Adm inDepartm ent

Manager

Manager

Safety OPS

TECH

Safety Committee


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Within the Safety Management System the Service Providers shall ensure that methods are in place to detect changes in systems or operations which may suggest any element is approaching a point at which acceptable standards of safety can no longer be met, and that corrective action is taken.

Incident rate

Serviceability

Performance Monitoring

Indicator 1Indicator 2Indicator 3

Safety Management ManualSafety concerns

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Safety OversightSafety Oversight

LegalFramework


Manual

ICAOAnnexes11, 14

SafetyOversight

AcceptableLevels of

Safety


SafetyOversight

Manual

9


LegalFramework


Manual

ICAOAnnexes11, 14

Safety Oversight

Safety Oversight FunctionMonitoring Safety PerformanceVerification of Compliance withSafety Regulatory RequirementsSafety Regulatory AuditingSafety Oversight of changesto the ATM SystemSafety Oversight capabilitiesSafety DirectivesSafety Oversight RecordsSafety Oversight Annual Report

AcceptableLevels of

Safety


SafetyOversight

Manual

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Safety Oversight of changesto the ATM System

Classification of changes intoMinor and Major

Minor Changes

Major ChangesThe implementation of major changes shall be subject for The implementation of major changes shall be subject for approval by the Safety Oversight / Regulatorapproval by the Safety Oversight / Regulator

Major change shall include – as a minimum – any new system Major change shall include – as a minimum – any new system or change with the potential of having a hazard of severity or change with the potential of having a hazard of severity Accident or Serious IncidentAccident or Serious Incident

•Use of procedures by the Service Provider to decide Use of procedures by the Service Provider to decide implementation of a minor change shall be subject to: implementation of a minor change shall be subject to: Regulator approvalRegulator approvalNotification of the RegulatorNotification of the RegulatorSafety OversightSafety Oversight

The Regulator shall review – as minimum – those safety The Regulator shall review – as minimum – those safety arguments associated with Major changes.arguments associated with Major changes.

•The Safety Argument shall demonstrate that an tolerable The Safety Argument shall demonstrate that an tolerable level of safety will be achieved and shall address:level of safety will be achieved and shall address:Completeness and correctness of listed hazardsCompleteness and correctness of listed hazardsConsistency of allocated severity categoriesConsistency of allocated severity categoriesDemonstrate that the safety objectives and safety Demonstrate that the safety objectives and safety requirements are meet and will continue to be meetrequirements are meet and will continue to be meetDemonstrate that the process used complies with Safety Demonstrate that the process used complies with Safety Regulatory RequirementsRegulatory Requirements

Changes to ATM Systems shall be classified in Minor and MajorChanges to ATM Systems shall be classified in Minor and Major

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Severity Classification

Classification of changes

MinorMajor


Major change shall include – as a minimum – any new system Major change shall include – as a minimum – any new system or change with the potential of having a hazard of severity or change with the potential of having a hazard of severity Accident or Serious IncidentAccident or Serious Incident

Changes to ATM Systems shall be classified in Minor and MajorChanges to ATM Systems shall be classified in Minor and Major

Guideline for the classification of changes in Minor and Major

SEVERITY CLASSIFICATION

Severity Category State Remark

1 Catastrophic Aircraft destroyed / multiple deaths

2 Significant Incident Considerable aircraft damage / loss of life

3 Major Incident Aircraft serious incident or personal injury

4 Serious Incident Aircraft minor incident or minor injury

5 Negligible Little or no consequence

Guideline for the Severity classification

Serious incident

large reduction in separation (e.g., a separation of less than half the separation minima), without crew or ATC fully controlling the situation or able to recover from the situation.

one or more aircraft deviating from their intended clearance, so that abrupt manoeuvre is required to avoid collision with another aircraft or with terrain (or when an avoidance action would be appropriate).

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•Use of procedures by the Service Provider to decide Use of procedures by the Service Provider to decide implementation of a minor change shall be subject to: implementation of a minor change shall be subject to: Regulator approvalRegulator approvalNotification of the RegulatorNotification of the RegulatorSafety OversightSafety Oversight

Handling of minor changes

Safety Management ManualNotice to Regulator

Argument why minorchangeDate for implementa-tion of change

Safety Record

Analysis of potentialimpact

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Handling of major changes

Safety AssessmentsSafety ArgumentOther applicable documents•System Specifications•Test Procedure Books•Test Records•Transition Plan•Training Plan

Safety Management ManualGuideline how to Develop SafetyArgument

Safety Argument

HazardsRisk EvaluationRisk Mitigation++++

The implementation of major changes shall be subject for The implementation of major changes shall be subject for approval by the Safety Oversight / Regulatorapproval by the Safety Oversight / Regulator

The Regulator shall review – as minimum – those safety The Regulator shall review – as minimum – those safety arguments associated with Major changes.arguments associated with Major changes.

Regulator Approval

Conditions under whichapproval is given

Documents

1 Documentation Legal Framework Air Navigation Orders Guidelines ATS Manual Airport Manual Safety Management Manual ICAO Annexes Licenses / Certificates