Tools used in ATM & SAR - PowerPoint Presentation

Slide1

Tools used in ATM & SAR oversight

Chapter 4

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At the end of this course the participant should be able to:Describe the functions of an ATM/SAR oversight organization;

Highlight an ATM/SAR inspector’s role within the ATM oversight organization;Demonstrate an understanding of State safety management responsibilities;

State the duties and responsibilities an

ATM/SAR inspector;Describe the required ATM & SAR inspector training and competencies; Develop safety oversight tools for oversight of ATM & SAR providers;List requirements for licensing ATM personnel;Describe reviews and approvals of proposed changes to the airspace system; Perform an audit of an ATS & SAR service provider;Write and disseminate an audit report; andDevelop technical guidance material.

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Objectives

The CAA must have comprehensive documented policies and procedures which establish expected standards of service for all inspector-related tasks. Policies

and procedures should at least explain departmental values, codes of conduct, operational procedures, and internal reporting and recordkeeping requirements.

Procedures and other regulatory provisions should provide guidance to

inspectors in discharging their duties. Adherence to them protects inspectors in case an authority action or decision is challenged. Other safeguards could include documented government policies providing the individual inspector with the full legal support and representation of the government when circumstances could lead to the an inspector facing judicial prosecution.3

Introduction

Tools for Oversight

To effectively fulfil their responsibilities,

ATM & SAR inspectors need to be provided with various tools to enable them

undertake the required wide range of technical duties involved in safety oversight.These tools include:The Primary law/Civil Aviation Act/CodeATM & SAR related Civil Aviation Regulations TGMsInspectors’

HandbookOrdersAdvisory Circulars

Audit/Inspection

Checklists, forms, templates etc.

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The Primary Law/Legislation

This is the national legislative instrument known as the “civil aviation act” or “civil aviation

law” that is applicable to all individuals and organizations subject to the laws of the State concerned

.It relates to the operation and navigation of aircraft while within its territory, the registration of aircraft in the State, and the flight and manoeuvring of aircraft, including the certification and licensing of personnel.Forms the basis of and gives power to subsidiary regulations.5

It a law that is comprehensive, effective and commensurate with the size and complexity of the State’s aviation

activity, and consistent with the requirements contained in the Convention on International Civil Aviation.It enables the oversight and management of civil aviation safety and the enforcement of regulations through the relevant authorities or agencies established for that purpose.

The aviation law provides personnel performing safety oversight functions access to the aircraft, operations, facilities, personnel and associated records, as applicable, of individuals and organizations performing an aviation activity

.6The Primary Law/Legislation

Enables the State through an empowered CAA, to proactively and effectively regulate and supervise civil aviation activities in relation to ATS and

Search and Rescue

services, among others

.Primary aviation legislation is the key to effective and sustainable safety oversight by the State.It contains the legal basis for enforcement, including the ability to impose operating restrictions, suspend or revoke licences, certificates, authorizations or approvals as well as impose financial penalties.7

The Primary Law/Legislation

Civil Aviation Regulations

Like any other regulatory tools, civil aviation regulations consist of rules that, if not complied with, can lead to consequences. All

regulations share four dimensions: a

regulator, a target, a command/requirement and a consequence.Regulations should take a performance-based approach, where the

command focuses on “what needs to be achieved” or on the outcomes and not a prescriptive approach, where

the command focuses on the “how things must be done” and on the means to achieve an

outcome.

Example:

Prescriptive

:

Training

records

shall

be kept for five years in a secure manner that ensures that they are protected from

theft, alteration and weather elements.

Performance-based:

Training records shall

be

kept

in a manner that ensures preservation and

traceability.

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Specific operating regulations should be comprehensive, clear, consistent and up to date.S

hould conform with the Annexes to the Chicago Convention.States should develop regulations which contain sufficient details that are consistent with their legal frameworks.

Should be amended regularly so as to keep pace with amendments to the annexes to the Convention.

The State’s own regulations should govern all relevant aspects of its civil aviation activities, including, among others, requirements leading to the issuance or validation of licences, ratings, certificates and approvals, as appropriate.9Civil Aviation Regulations

The State’s regulations need to be formulated in legal phraseology. They

should also be written in such a way that they can be easily understood and used by the industry as well as by

safety oversight inspectors

in the execution of their day-to-day activities.States shall give immediate notification to the International Civil Aviation Organization of the differences between its own Practice (Regulations) and standards established in the annexes.10

Civil Aviation Regulations

SARPs that should

be adopted by the State for regulation of Air

Traffic Services

& Search and Rescue service providers are documented in the following annexes to the convention: Annex 2 — Rules of the AirAnnex 11 — Air Traffic ServicesAnnex 12 — Search and RescueAnnex 19 — Safety Management

Regulations transposing provisions of Annexes 3, 4, 5, 10, and 15 are of interest to the ATM/SAR inspector since they address activities supporting air traffic service.11Civil Aviation Regulations

Technical Guidance Material (TGM)and Procedures

TGM Serve two Purposes:

to provide guidance to technical personnel

(Both inspectorate and Service provider’s) on how to accomplish their specific functions and activities. to ensure that safety oversight functions and activities are carried out in an effective and standardized manner.States should develop and publish their own technical guidance material.Such guidance material should address all activities of the State’s aviation authority and all the tasks performed by its staffTGM from

ICAO, another State or an RSOO can be used as a base in preparation of the State’s guidance material.When this happens, the TGM

should be customized

to

reflect the national legislation

, organization

and practices.

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TGMs fall into two major categories as follows:TGMs for regulatory staff and;

TGMs for the industry.

States should

develop guidance for the industry to explain how the regulatory provisions should be implemented within the State. 13Technical Guidance Material (TGM)and Procedures

TGMs include:Orders – Provide guidance to regulatory staff on procedures and the conduct of specific oversight

activities.

Advisory Circulars

– Provide guidance to the industry on how to comply with regulatory requirements e.g. Training Programme for ATS staff.Forms and Templates – Used for collection of data in a standard format e.g. ATS provider certification application form, Corrective Action Plan (CAP) form/template.14

Technical Guidance Material (TGM)and Procedures

Inspectors Handbook

Sets out the rationale and procedures underpinning the safety oversight system. It addresses the following items:

oversight

basics concepts and methods for planning oversight activities performing safety audits/inspections of safety related structures, systems and components

evaluating the safety significance of audit/inspection findings, and

documenting

the results.

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Technical Guidance

Material (TGM)and Procedures

Inspectors Handbook Cont.

It is essential that inspectors are thoroughly familiar with provisions contained in the handbook and use it for reference when preparing for and undertaking oversight activities.

It ensures that oversight activities are conducted in a standardized manner,

andIt serves as a reference/resource material for inspectors/auditors in carrying out oversight activities.16Technical Guidance Material (TGM)and Procedures

Audit/Inspection ChecklistsChecklists are important audit tools used in ensuring that audit results are tied to the objective, scope, and focus areas.

Checklists reduce inadvertent errors and help to standardize results when the “human factor” causes variation. They are used as a guide to ensure uniformity and completeness of audit/inspection.

Comprehensive checklists ensure exhaustive audit/inspection and must always be used.

Checklists assist Auditors/Inspectors in determining the level of conformance to regulatory requirements. 17Technical Guidance Material (TGM)and Procedures

Audit/Inspection ChecklistsBased on the results of the completed checklist, a determination of the strengths and weaknesses of the ANSP’s control system will be possible.

Depending on the type of inspection, each item on the checklist need not be checked.

However

, this system will be most effective if all items are evaluated.18Technical Guidance Material (TGM)and Procedures

Basic Steps to developing

effective checklists:Determine the relevant safety and operational requirements applicable to the ANSP(s

) e.g. regulation

The requirements should be as narrow and as focused as possibleTurn the requirements into questions.The questions should be answerable in a “YES/NO” format or any other suitable format.Include a remarks section to give further insight into the response

The audit team will use the checklist(s) during the audit to record data regarding each of the audited facilities/sectors/areas.

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Technical Guidance

Material (TGM)and Procedures

Development of an Audit/Inspection Checklist20

Exercise 1

End of Chapter 4

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