National Supervisory Authority

of

…

Regulation no. xxxxx

Regulation on Safety Management

Pre-amble

In pursuance of § xx of the Air Navigation Act, the National Supervisory Authority of xxxx hereby stipulates as follows on the authority of the Minister of ??????, cf. Order no. xxxx of <date> on delegation of authorities to the National Supervisory Authority of xxxx and on publication of the Regulations issued by the Authority:

1.Referenced documents

This Regulation includes references to the following documentation:

  1. Aviation Act of xxxx
  2. Regulation XX – Charges and Fees for services provided by the National Supervisory Authority
  3. Regulation XX – Tasks and Responsibilities of the National Supervisory Authority of xxxx

In case discrepancies between the referenced documentation, the NSA shall be consulted to determine which requirements are the valid.

2.DEFINITIONS

This section shall include relevant definitions or reference to other documentation including such definitions.

3.Applicability

1.This Regulation lays down regulatory requirements concerning the use of safety management systems (SMS) by providers of Air Traffic Management (ATM) services.

2.The requirement shall apply to all providers of ATM services that fall within the jurisdiction of the National Supervisory Authority.

3.Within the overall management of their ATM services, ATM service-providers shall have in place a safety management system (SMS) in accordance with these requirements.

4.Regulatory Requirements

4.1.General provisions

4.An ATM service-provider shall, as an integral part of the management of the ATM service, have in place a safety management system (SMS), which fulfils the following requirements.

4.1.1.Safety Management

5.The safety management system shall:

  1. Ensure a formalised, explicit and pro-active approach to systematic safety management in meeting its safety responsibilities within the provision of ATM services;
  2. Operate in respect of all ATM and supporting services which are under its managerial control;
  3. Include, as its foundation, a statement of safety policy defining the organisation’s fundamental approach to managing safety;

4.1.2.Safety Responsibility

6.The safety management system shall:

  1. Ensure that everyone involved in the safety aspects of ATM service-provision has an individual safety responsibility for their own actions,
  2. Ensure that managers are responsible for the safety performance of their own organisations;

4.1.3.Safety Priority

7.The safety management system shall:

  1. Ensure that the achievement of satisfactory safety in ATM shall be afforded the highest priority over commercial, operational, environmental or social pressures;

4.1.4.Safety Objective of the ATM Service

8.The safety management system shall:

  1. Ensure that while providing an ATM service, the principal safety objective is to minimise the ATM contribution to the risk of an aircraft accident as far as reasonably practicable.

4.2.Requirements for Safety Achievement

4.2.1.Competency

9.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That staff are adequately trained, motivated and competent for the job they are required to do, in addition to being properly licensed if so required;

4.2.2.Safety Management Responsibility

10.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That a safety management function is identified with organisational responsibility for development and maintenance of the safety management system;
  2. That this point of responsibility is, wherever possible, independent of line management, and accountable directly to the highest organisational level;
  3. That, in the case of small organisations where combination of responsibilities may prevent sufficient independence in this regard, the arrangements for safety assurance are supplemented by additional independent means;
  4. That the highest level of the service provider organisation plays a general role in ensuring safety management;

4.2.3.Quantitative Safety Levels

11.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That, wherever practicable, quantitative safety levels are derived and are maintained for all systems;

4.2.4.Risk Assessment and Mitigation

12.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That risk assessment and mitigation is conducted to an appropriate level to ensure that due consideration is given to all aspects of ATM;
  2. That changes to the ATM system are assessed for their safety significance, and ATM system functions are classified according to their safety severity;
  3. Appropriate mitigation of risks where assessment has shown this to be necessary due to the safety significance of the change;

13.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That the risk assessment and mitigation fulfils requirements as stated in Regulation no. xxxxx – Risk Assessment and Mitigation;
  2. That changes to the ATM system are managed according to requirements as stated in Regulation no. xxxxx – Safety Oversight.

4.2.5.SMS Documentation

14.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That the SMS is fully and properly documented in a e.g. Safety Management Manual with associated procedures, practices and instructions;
  2. That the SMS as documented provides a clear linkage to the organisation’s safety policy;

4.2.6.External Services

15.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. Adequate and satisfactory justification of the safety of the externally provided services, having regard to their safety significance within the provision of the ATM service;
  2. That requirements are put on externally provided services ensuring the safe provision of such services in line with relevant regulatory requirements and that compliance with such requirements are being audited on a regular basis.

4.2.7.Safety Occurrences

16.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That formal means of safety occurrence reporting and assessment is implemented, which as a minimum complies with requirements of Regulation no. xxxxx Mandatory Safety Occurrence Reporting;
  2. That any ATM operational or technical occurrence, which are considered to have significant safety implications are investigated immediately, and any necessary corrective action is taken.
  3. That such occurrence, the result of the investigation and the corrective action taken is notified to the NSA without undue delay.
  4. That provisions exist for any person within the organisation or within an organisation dependent of the services provided to report any such occurrence or situation in which he or she was involved, or witnessed, and which he or she believes posed a potential threat to flight safety or compromised the ability to provide safe ATM services. Such provisions shall not be restricted to the reporting of aircraft accidents or serious incidents, since other types of occurrences could reveal the same types of hazards as accidents or serious incidents;
  5. ATM personnel and third parties are encouraged by every means to systematically and consistently report such occurrences;
  6. That all relevant data that would aid understanding of the circumstances surrounding such occurrences are adequately identified, and that the data is secured, recorded and stored in a manner which ensures their quality and confidentiality as well as permitting subsequent collation and assessment;
  7. That investigation or assessment, by a team with the necessary expertise, of those occurrences that are considered to have significant[1]implications on flight safety and/or on the ability to provide safe ATM services, takes place immediately, and any necessary remedial action taken[2];
  8. That the severity of each such occurrenceis determined, the risk posed by each such occurrence classified, and the results recorded;
  9. That the causes of such occurrences are analysed, to the utmost degree of objectivity, to identify the extent to which the ATM system helped, or could have helped, to reduce the risk incurred, with the results recorded;
  10. That safety recommendations, interventions and corrective actions are developed, recorded where necessary, and their implementation monitored;
  11. That - to the extent possible – mechanisms are out in place which ensures that safety experience, based upon collected safety occurrence data and assessment, is exchanged between relevant parties (ATM-service providers, Aircraft Operators, etc.) in order to develop a more representative and common awareness of typical hazards and related causes, as well as safety trends and areas where changes to the ATM system could improve safety.

4.3.Requirements for Safety Assurance

4.3.1.Safety Surveys

17.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That safety surveys are carried out as a matter of routine, to recommend improvements where needed, to provide assurance to managers of the safety of activities within their areas and to confirm conformance with applicable parts of their Safety Management Systems.

4.3.2.Safety Monitoring

18.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. 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;
  2. That methods are in place to monitor whether assumptions, capacities, etc., as provided to the National Supervisory Authority as part of the safety arguments, are fulfilled throughout the life time of the systems or operations.

4.3.3.Safety Records

19.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That safety records are maintained throughout the SMS operation as a basis for providing safety assurance to all associated with, responsible for or dependent upon the services provided, and to the National Supervisory Authority;

4.3.4.Risk Assessment and Mitigation Documentation

20.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That the results and conclusions of the risk assessment and mitigation process of a new or changed safety significant system are specifically documented, and that this documentation is maintained throughout the life of the system.

4.4.Requirements for Safety Promotion

4.4.1.Lesson Dissemination

21.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. shall ensure that the lessons arising from safety occurrence investigations and other safety activities are disseminated widely within the organisation at management and operational levels.

4.4.2.Safety Improvement

22.Within the operation of the SMS, the ATM service-provider shall ensure:

  1. That all staff are actively encouraged to propose solutions to identified hazards, and
  2. That changes are made to improve safety where they appear needed.

5.Administrative aspects

5.1.Fee

23.Upon commencement of the certification of a safety management system, the NSA will, in accordance with Regulation XX – Charges and Fees for services provided by the National Supervisory Authority, demand payment of a certification fee, the size of which is depending on the services to be certified.

24.Such fees shall be payable irrespective whether a certification granted or not, provided that a non-granting of a certificate is based on non-compliance with the requirements, or the inability of the provider to provide the NSA satisfactory documentation to confirm compliance, or the providers inability to fulfil procedural requirements for the certification process.

25.In addition, the ATM-service provider shall pay an annual fee in accordance with Regulation XX – Charges and Fees for services provided by the National Supervisory Authority for the NSA supervision of the safety management system (oversight function).

5.2.Appeal

26.Upon the NSA not granting a certificate, upon the NSA revoking or suspending a certificate or upon the NSA taking measures against the provider due to non-compliances with this Regulation, the ATM-service provider may in writing appeal the decision to the Ministry of xxxxx.

27.Such appeal will temporarily suspend the decision taken by the NSA. The NSA shall inform the Ministry of xxxxxx about the non-compliance identified, the decision taken and the appeal by the provider.

28.The Ministry of xxxx shall establish an appeal board for the sole purpose of considering the appeal. The Ministry shall determine the composition of the Appeal Board based on the specifics of the appeal and appoint a chairman of the board. The appeal board shall decide the appeal process to be followed.

29.The appeal board shall consider the evidence brought forward on identified non-compliances, and shall based hereon determine whether the provider is compliant or not. The decision ofthe appeal board shall constitute the final settlement of the matter.

5.3.Changes

30.Upon issuance of a Certificate, the Certificate will specify the services covered by the certification as well as other conditions under which the certification is given.

31.After a certificate has been granted, the ATM-service provider shall not any change responsibilities, services provided or the conditions of the certificate without prior approval by the NSA.

32.In case the ATM-service provider wishes to change the certification, the ATM-service provider shall forward to the NSA an Application for Change. The form included in Annex II shall be used.

33.The change shall not be implemented until the NSA has completed the assessment of the Application for Change and concluded that the ATM-service provider continues to comply with regulatory requirements and conditions for certification after the change has been implemented.

34.If approved, the NSA will re-issue the certificate reflecting the change, and with a note as for when this change will become effective.

5.4.Non-disclosure

35.All documents and information received by the NSA relating to the certification process and the continuing supervision is subject to protection from disclosure according to applicable national legislation.

36.The NSA will keep all documentation and information received during the initial certification, during changes to the certification and obtained during the supervision of the Service Provider in their archives for as long as the certification remains valid and for a period of at least 5 years after a certificate has been terminated.

6.Exemptions

37.The NSA may grant exemption from the regulation.

38.Such exemption shall be granted upon the NSA satisfactorily assessment that the …….. requirements.

39.The exemption does not relieve the provider from complying with any other Regulations, which are applicable for the particular field of operation.

7.Punishment

40.If the NSA determines that a provider no longer complies with requirements or conditions of the certificate, or does not inform the NSA of changes introduced to its services, arrangements, etc, the NSA will take any appropriate actions against the provider.

41.Such action may – at the NSA’s discretion – involve temporarily suspension or revocation of the certificate, may involve penalties proportional with the assessed consequence of the non-compliance, payable on a weekly basis for as long as the non-compliance continues, and may involve introduction of restrictions in the operations to ensure continued safe service.

42.Violation of the regulations is punishable with fine.

43.Criminal liability may be imposed on companies etc. (legal persons) under the rules of the Cypriot Criminal Code.

8.Implementation and transitional arrangements

44.This Regulation comes into force on the xx xxxx 2006.

45.As of xx xxxx 2007 all requirements shall be complied with for services provided at ….

46.As of xx xxxx 2008 all ATM-service providers shall comply with regulatory requirements.

Signed on behalf of the

National Supervisory Authority of Pakistan

NAMEName

Head of the xxxxxxxxx

National Supervisory Authority

[1]Severity Category 3 or above in the National Risk Classification Scheme (see Regulation no. xxxxxx – Acceptable Level of Safety)

[2] In respect to severity category 2 and above investigations and assessments will be performed by the Accident Investigation Board in accordance with Regulation no. xxxxxx – Accident Investigation Board. However, the ATM-service provider shall ensure that immediate actions are taken (in a safe manner) to avoid re-occurrence of the particular situation.