Air Traffic Management & Search and Rescue Inspectors Virtual Course Overview

 
Air Traffic
Air Traffic
Management & Search
Management & Search
and Rescue Inspectors’
and Rescue Inspectors’
Virtual Course
Virtual Course
 
1
The role of an Air Traffic Services (ATS)
The role of an Air Traffic Services (ATS)
oversight organization and an Air Traffic
oversight organization and an Air Traffic
and Search & Rescue Safety Inspector:
and Search & Rescue Safety Inspector:
 
Continuously improve the safety of the Air
Continuously improve the safety of the Air
Navigation Service Provider (ANSP)
Navigation Service Provider (ANSP)
particularly the ATM and ASAR functions and
particularly the ATM and ASAR functions and
the State airspace system through regulatory
the State airspace system through regulatory
oversight
oversight
.
 
2
Course Content
Course Content
 
 
State safety oversight responsibilities
State safety oversight responsibilities
The functions of an Air Traffic Services (ATS)
The functions of an Air Traffic Services (ATS)
and/or Aeronautical Search and Rescue
and/or Aeronautical Search and Rescue
oversight organization
oversight organization
 
 
 
 
Safety Management Systems
Safety Management Systems
 
 
 
 
Licensing and approvals processes
Licensing and approvals processes
 
 
 
 
Safety performance monitoring; and
Safety performance monitoring; and
 
 
 
 
Auditing Air Traffic Service Providers
Auditing Air Traffic Service Providers
 
3
Course Objectives
Course Objectives
 
At the end of this course the participant should be able to:
At the end of this course the participant should be able to:
Describe the functions of an ATM/SAR oversight organization;
Describe the functions of an ATM/SAR oversight organization;
State the duties and responsibilities 
State the duties and responsibilities 
an
an
 ATM/SAR inspector;
 ATM/SAR inspector;
Highlight an ATM/SAR inspector’s role within the ATM oversight
Highlight an ATM/SAR inspector’s role within the ATM oversight
organization;
organization;
Demonstrate an understanding of State safety management
Demonstrate an understanding of State safety management
responsibilities;
responsibilities;
List requirements for licensing ATM personnel;
List requirements for licensing ATM personnel;
Develop safety oversight tools for oversight of ATM & SAR providers;
Develop safety oversight tools for oversight of ATM & SAR providers;
Describe reviews and approvals of proposed changes to the airspace
Describe reviews and approvals of proposed changes to the airspace
system;
system;
Perform an audit of an ATS & SAR service provider;
Perform an audit of an ATS & SAR service provider;
Write and disseminate an audit report; and
Write and disseminate an audit report; and
Develop technical guidance material.
Develop technical guidance material.
 
4
 
An Overview of Safety oversight and
An Overview of Safety oversight and
the Universal Safety Audit Programme
the Universal Safety Audit Programme
- Continuous Monitoring Approach
- Continuous Monitoring Approach
(USOAP-CMA)
(USOAP-CMA)
 
Chapter One
Chapter One
 
5
Definitions
Definitions
 
Aviation safety oversight 
Aviation safety oversight 
- The process of ensuring that aviation
- The process of ensuring that aviation
professionals – such as air traffic controllers, Search and rescue
professionals – such as air traffic controllers, Search and rescue
coordinators and administrators – perform their functions safely and
coordinators and administrators – perform their functions safely and
responsibly and in compliance with applicable regulations,
responsibly and in compliance with applicable regulations,
procedures, rules, doctrines etc.
procedures, rules, doctrines etc.
Inspectorate
Inspectorate
 - An office or entity designated by the regulatory body to
 - An office or entity designated by the regulatory body to
support safety oversight activities over the service providers”. An
support safety oversight activities over the service providers”. An
inspectorate may be composed of inspectors, technical support staff,
inspectorate may be composed of inspectors, technical support staff,
administrative personnel and others directly engaged in supporting
administrative personnel and others directly engaged in supporting
the office or entity’s oversight activities.
the office or entity’s oversight activities.
Inspectors
Inspectors
 - Personnel directly engaged in carrying out oversight
 - Personnel directly engaged in carrying out oversight
activities (e.g. inspections, audits, etc.) over the service providers.
activities (e.g. inspections, audits, etc.) over the service providers.
Safety
Safety
 - The state in which the possibility of harm to persons or of
 - The state in which the possibility of harm to persons or of
property damage is reduced to, and maintained at or below, an
property damage is reduced to, and maintained at or below, an
acceptable level through a continuing process of hazard identification
acceptable level through a continuing process of hazard identification
and safety risk management.
and safety risk management.
 
6
Definitions
Definitions
 
Safety Management Systems (SMS) 
Safety Management Systems (SMS) 
- A systematic approach to managing safety,
- A systematic approach to managing safety,
including the necessary organizational structures, accountabilities, policies and
including the necessary organizational structures, accountabilities, policies and
procedures.
procedures.
Safety oversight 
Safety oversight 
-  a function performed by the State to ensure that individuals
-  a function performed by the State to ensure that individuals
and organizations performing an aviation activity comply with safety-related
and organizations performing an aviation activity comply with safety-related
national laws, regulations and procedures.
national laws, regulations and procedures.
State
State
 - refers to the authority that is signatory to the Chicago Convention and
 - refers to the authority that is signatory to the Chicago Convention and
which normally establishes a Civil Aviation Authority (CAA) and other aviation-
which normally establishes a Civil Aviation Authority (CAA) and other aviation-
related authorities.
related authorities.
Surveillance
Surveillance
 - Processes through which the State proactively verifies through
 - Processes through which the State proactively verifies through
inspections, audits and other activities that aviation licence, certificate,
inspections, audits and other activities that aviation licence, certificate,
authorization or approval holders continue to meet established requirements and
authorization or approval holders continue to meet established requirements and
function at the level of competency and safety required by the State.
function at the level of competency and safety required by the State.
 
7
Definitions
Definitions
 
Validation
Validation
 - The process of proving that the functions,
 - The process of proving that the functions,
procedures, controls, and safety standards are correct and the
procedures, controls, and safety standards are correct and the
right system is being built (i.e., the requirements are
right system is being built (i.e., the requirements are
unambiguous, correct, complete, and verifiable).
unambiguous, correct, complete, and verifiable).
Verification
Verification
 - The process that ensures that the system
 - The process that ensures that the system
requirements have been met by the design solution and the
requirements have been met by the design solution and the
system is ready to be used in the operational environment for
system is ready to be used in the operational environment for
which it is intended.
which it is intended.
 
8
 
 
Safety oversight has its roots in the ICAO
Safety oversight has its roots in the ICAO
convention (The Chicago convention) of 1944.
convention (The Chicago convention) of 1944.
 
The Purpose of the Convention
The Purpose of the Convention
The convention agreed on certain principles and
The convention agreed on certain principles and
arrangements in order that international civil
arrangements in order that international civil
aviation may be developed in a safe and
aviation may be developed in a safe and
orderly manner and that international air
orderly manner and that international air
transport services may be established on the
transport services may be established on the
basis of equality of opportunity and operated
basis of equality of opportunity and operated
soundly and economically.
soundly and economically.
The ICAO convention
The ICAO convention
 
9
Aims and objectives of ICAO stated in article 44
of the 
Chicago
 convention
 
10
 
To develop the principles and techniques of international air navigation to foster the
To develop the principles and techniques of international air navigation to foster the
planning and development of international transport so as to:
planning and development of international transport so as to:
1)
Insure the safe and orderly growth of international civil aviation throughout the
Insure the safe and orderly growth of international civil aviation throughout the
world;
world;
2)
Encourage the arts of aircraft design and operation for peaceful purposes;
Encourage the arts of aircraft design and operation for peaceful purposes;
3)
Encourage the development of airways, airports, and air navigation facilities for
Encourage the development of airways, airports, and air navigation facilities for
international civil aviation;
international civil aviation;
4)
Meet the needs of the peoples of the world for safe, regular, efficient and
Meet the needs of the peoples of the world for safe, regular, efficient and
economical air transport;
economical air transport;
5)
Prevent economic waste caused by unreasonable competition;
Prevent economic waste caused by unreasonable competition;
6)
Insure that the rights of contracting States are fully respected and that every
Insure that the rights of contracting States are fully respected and that every
contracting State has a fair opportunity to operate international airlines;
contracting State has a fair opportunity to operate international airlines;
7)
Avoid discrimination between contracting States;
Avoid discrimination between contracting States;
8)
Promote safety of flight in international air navigation;
Promote safety of flight in international air navigation;
9)
Promote generally 
Promote generally 
the development of all aspects of international civil aeronautics.
the development of all aspects of international civil aeronautics.
ICAO’s Strategic Objectives Relevant to
ICAO’s Strategic Objectives Relevant to
ANS Provision and Oversight
ANS Provision and Oversight
​​
 
1. Safety:
1. Safety:
Enhance global civil aviation safety - focused primarily
Enhance global civil aviation safety - focused primarily
on the State's regulatory oversight capabilities.
on the State's regulatory oversight capabilities.
 
2. Air Navigation Capacity and Efficiency:
2. Air Navigation Capacity and Efficiency:
Increase the capacity and improve the efficiency of
Increase the capacity and improve the efficiency of
the global civil aviation system - focused primarily on
the global civil aviation system - focused primarily on
upgrading the air navigation and aerodrome
upgrading the air navigation and aerodrome
infrastructure and developing new procedures to
infrastructure and developing new procedures to
optimize aviation system performance.
optimize aviation system performance.
 
11
Articles of the Convention
Articles of the Convention
 
Establishes privileges and restrictions
Establishes privileges and restrictions
Provides for adoption of Standards and
Provides for adoption of Standards and
Recommended Practices
Recommended Practices
Accepts principle of sovereignty of the airspace
Accepts principle of sovereignty of the airspace
above a State’s territory
above a State’s territory
Privileges
Privileges
unrestrictive passage of aircraft between States or
unrestrictive passage of aircraft between States or
over their territory from a technical point of view
over their territory from a technical point of view
recognition of Licenses and Certificates
recognition of Licenses and Certificates
bring obligations to abide by Standards and
bring obligations to abide by Standards and
Recommended Practices contained in Annexes
Recommended Practices contained in Annexes
 
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12
 
Article 3
Article 3
: 
: 
Civil and state aircraft
Civil and state aircraft
 
This Convention shall be applicable only to civil aircraft, and shall
This Convention shall be applicable only to civil aircraft, and shall
not be applicable to state aircraft.
not be applicable to state aircraft.
Aircraft used in military, customs and police services shall be
Aircraft used in military, customs and police services shall be
deemed to be state aircraft.
deemed to be state aircraft.
No state aircraft of a contracting State shall fly over the territory of
No state aircraft of a contracting State shall fly over the territory of
another State or land thereon without authorization by special
another State or land thereon without authorization by special
agreement or otherwise, and in accordance with the terms
agreement or otherwise, and in accordance with the terms
thereof.
thereof.
 
13
Articles relevant to the Air Traffic Services and Search
Articles relevant to the Air Traffic Services and Search
& Rescue
& Rescue
 
Article 3 
Article 3 
bis: 
bis: 
Interception of Civil Aircraft
Interception of Civil Aircraft
a)
States must refrain from resorting to the use of weapons against civil aircraft in
States must refrain from resorting to the use of weapons against civil aircraft in
flight and that, in case of interception, the lives of persons on board and the
flight and that, in case of interception, the lives of persons on board and the
safety of aircraft must not be endangered.
safety of aircraft must not be endangered.
b)
Every State, in the exercise of its sovereignty, is entitled to require the landing at
Every State, in the exercise of its sovereignty, is entitled to require the landing at
some designated airport of a civil aircraft flying above its territory without
some designated airport of a civil aircraft flying above its territory without
authority or if there are reasonable grounds to conclude that it is being used for
authority or if there are reasonable grounds to conclude that it is being used for
any purpose inconsistent with the aims of this Convention; it may also give such
any purpose inconsistent with the aims of this Convention; it may also give such
aircraft any other instructions to put an end to such violations.
aircraft any other instructions to put an end to such violations.
c)
Every civil aircraft shall comply with an order given in conformity with paragraph
Every civil aircraft shall comply with an order given in conformity with paragraph
b) above, and in which case each contracting State shall establish all necessary
b) above, and in which case each contracting State shall establish all necessary
provisions in its national laws or regulations to make such compliance mandatory
provisions in its national laws or regulations to make such compliance mandatory
for any civil aircraft registered in that State or operated by an operator who has
for any civil aircraft registered in that State or operated by an operator who has
his principal place of business or permanent residence in that State.
his principal place of business or permanent residence in that State.
 
14
Articles relevant to the Air Traffic Services and Search
Articles relevant to the Air Traffic Services and Search
& Rescue
& Rescue
Articles relevant to the Air Traffic Services
Articles relevant to the Air Traffic Services
and Search & Rescue
and Search & Rescue
 
Article 12: Rules of the air
Article 12: Rules of the air
Each contracting State undertakes to adopt
measures to insure that every aircraft flying over or
maneuvering within its territory and that every aircraft
carrying its nationality mark, wherever such aircraft
may be, shall comply with the rules and regulations
relating to the flight and maneuver of aircraft there in
force.
 
15
Article 25: Aircraft in distress
Article 25: Aircraft in distress
 
Each contracting State undertakes to
Each contracting State undertakes to
provide such measures of assistance to
provide such measures of assistance to
aircraft in distress in its territory as it may find
aircraft in distress in its territory as it may find
practicable, and to permit, subject to control
practicable, and to permit, subject to control
by its own authorities, the owners of the
by its own authorities, the owners of the
aircraft or authorities of the State in which the
aircraft or authorities of the State in which the
aircraft is registered to provide such measures
aircraft is registered to provide such measures
of assistance as may be necessitated by the
of assistance as may be necessitated by the
circumstances. Each contracting State, when
circumstances. Each contracting State, when
undertaking search for missing aircraft, will
undertaking search for missing aircraft, will
collaborate in coordinated measures which
collaborate in coordinated measures which
may be recommended from time to time
may be recommended from time to time
pursuant to this Convention.
pursuant to this Convention.
 
16
Article 28; Air navigation facilities and standard systems
Article 28; Air navigation facilities and standard systems
 
17
 
Each contracting State undertakes, so far as it may find practicable, to:
Each contracting State undertakes, so far as it may find practicable, to:
 
a)
Provide, in its territory, airports, radio services, meteorological services and
Provide, in its territory, airports, radio services, meteorological services and
other air navigation facilities to facilitate international air navigation, in
other air navigation facilities to facilitate international air navigation, in
accordance with the standards and practices recommended or
accordance with the standards and practices recommended or
established from time to time, pursuant to this Convention;
established from time to time, pursuant to this Convention;
 
b)   
b)   
Adopt and put into operation the appropriate standard systems of
Adopt and put into operation the appropriate standard systems of
communications procedure, codes, markings, signals, lighting and other
communications procedure, codes, markings, signals, lighting and other
operational practices and rules which may be recommended or
operational practices and rules which may be recommended or
established from time to time, pursuant to this Convention;
established from time to time, pursuant to this Convention;
 
c)   
c)   
Collaborate in international measures to secure the publication of
Collaborate in international measures to secure the publication of
aeronautical maps and charts in accordance with standards which may
aeronautical maps and charts in accordance with standards which may
be recommended or established from time to time, pursuant to this
be recommended or established from time to time, pursuant to this
Convention.
Convention.
Article 37: Adoption of international standards and
Article 37: Adoption of international standards and
procedures
procedures
 
Each contracting State undertakes to collaborate in
Each contracting State undertakes to collaborate in
securing the highest practicable degree of uniformity in
securing the highest practicable degree of uniformity in
regulations, 
regulations, 
standards, procedures, and organization in
standards, procedures, and organization in
relation to aircraft, personnel, airways and auxiliary services
relation to aircraft, personnel, airways and auxiliary services
in all matters in services which such uniformity will facilitate
in all matters in services which such uniformity will facilitate
and improve air 
and improve air 
navigation.
navigation.
To ensure currency, International Civil Aviation Organization
To ensure currency, International Civil Aviation Organization
(ICAO) shall adopt and amend from time to time,
(ICAO) shall adopt and amend from time to time,
international standards and recommended practices and
international standards and recommended practices and
procedures dealing with Air Traffic Services and Search &
procedures dealing with Air Traffic Services and Search &
Rescue among others.
Rescue among others.
 
18
Article 38: Departures from international
standards and procedures
 
When a State finds it impracticable to
When a State finds it impracticable to
comply with the Standards in full, the
comply with the Standards in full, the
State shall give immediate notification to
State shall give immediate notification to
the International Civil Aviation
the International Civil Aviation
Organization of the differences between
Organization of the differences between
its own practice and that established by
its own practice and that established by
the international standard
the international standard
.
.
 
19
Overview of ICAO and the Universal Safety
Overview of ICAO and the Universal Safety
Audit Programme (USOAP)
Audit Programme (USOAP)
 
Air Traffic Services & Search and rescue form separate audit
Air Traffic Services & Search and rescue form separate audit
areas within the Air Navigation Services audit area under the
areas within the Air Navigation Services audit area under the
Universal Safety Oversight – Continuous Monitoring Approach
Universal Safety Oversight – Continuous Monitoring Approach
(USOAP-CMA) framework.
(USOAP-CMA) framework.
The annexes to the convention that fall under this subset are:
The annexes to the convention that fall under this subset are:
Annex 2 – Rules of the air,
Annex 2 – Rules of the air,
Annex 11 – Air traffic services, and
Annex 11 – Air traffic services, and
Annex 12 – Aeronautical search and rescue
Annex 12 – Aeronautical search and rescue
 
20
ATS Oversight and The USOAP-CMA
ATS Oversight and The USOAP-CMA
 
Early State safety audits were based on
Early State safety audits were based on
implementation of standards in three annexes
implementation of standards in three annexes
only; Annexes 1, 6 and 8
only; Annexes 1, 6 and 8
At the 33
At the 33
rd
rd
 Assembly, USOAP was expanded to
 Assembly, USOAP was expanded to
include Annexes 11 (Air Traffic Services), 13 and 14
include Annexes 11 (Air Traffic Services), 13 and 14
At the 35
At the 35
th
th
 Assembly, USOAP was further
 Assembly, USOAP was further
expanded to include all safety related annexes,
expanded to include all safety related annexes,
 
21
ATS and SAR Within The Continuous Monitoring
ATS and SAR Within The Continuous Monitoring
Approach
Approach
 
ATS & SAR are essential air navigation services that enable safety
ATS & SAR are essential air navigation services that enable safety
and efficiency of air transport.
and efficiency of air transport.
These services therefore benefit from CMA framework that
These services therefore benefit from CMA framework that
enables Collection and analysis of safety information from
enables Collection and analysis of safety information from
Member States and other stakeholders in order to identify and
Member States and other stakeholders in order to identify and
prioritize appropriate oversight and monitoring activities to be
prioritize appropriate oversight and monitoring activities to be
carried out by ICAO.
carried out by ICAO.
CMA is a strategy that uses a risk-based approach for measuring
CMA is a strategy that uses a risk-based approach for measuring
and monitoring the safety oversight capabilities and improving
and monitoring the safety oversight capabilities and improving
safety performance of States and global aviation on a continuous
safety performance of States and global aviation on a continuous
basis.
basis.
.
 
22
Continuous monitoring approach (CMA)
Continuous monitoring approach (CMA)
 
CMA enables validation of;
CMA enables validation of;
Effective implementation of corrective action plans
Effective implementation of corrective action plans
(CAPs) submitted by States including subsequent
(CAPs) submitted by States including subsequent
progress reports received following audits.
progress reports received following audits.
The status of corrective or mitigating measures taken
The status of corrective or mitigating measures taken
by State to correct deficiencies including safety
by State to correct deficiencies including safety
concerns identified during an audit with regard to
concerns identified during an audit with regard to
the State’s safety oversight capability.
the State’s safety oversight capability.
 
23
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Sovereignty.
Sovereignty.
 Every Member State has complete and
 Every Member State has complete and
exclusive sovereignty over the airspace of its territory.
exclusive sovereignty over the airspace of its territory.
Accordingly, ICAO fully respects a sovereign State’s
Accordingly, ICAO fully respects a sovereign State’s
responsibility and authority for safety oversight,
responsibility and authority for safety oversight,
including its decision-making powers with respect to
including its decision-making powers with respect to
implementing corrective actions related to identified
implementing corrective actions related to identified
deficiencies
deficiencies
 
24
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Universality. 
Universality. 
All Member States shall be subject to
All Member States shall be subject to
continuous monitoring activities by ICAO, in
continuous monitoring activities by ICAO, in
accordance with the principles, methodologies,
accordance with the principles, methodologies,
processes and procedures established for conducting
processes and procedures established for conducting
such activities, and on the basis of the Memorandum
such activities, and on the basis of the Memorandum
of Understanding (MOU) signed by ICAO and each
of Understanding (MOU) signed by ICAO and each
Member State
Member State
 
25
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Transparency and disclosure. 
Transparency and disclosure. 
USOAP CMA activities
USOAP CMA activities
shall be conducted under a process that is fully
shall be conducted under a process that is fully
transparent and open for examination by all parties
transparent and open for examination by all parties
concerned.
concerned.
There shall be full disclosure of the finalized results of
There shall be full disclosure of the finalized results of
USOAP CMA activities which shall provide sufficient
USOAP CMA activities which shall provide sufficient
information for Member States to make informed
information for Member States to make informed
decisions regarding the safety oversight capability of
decisions regarding the safety oversight capability of
other Member States.
other Member States.
 
26
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Timeliness. 
Timeliness. 
Results of USOAP CMA activities shall be
Results of USOAP CMA activities shall be
produced and posted by ICAO in a timely manner,
produced and posted by ICAO in a timely manner,
in accordance with a predetermined schedule for
in accordance with a predetermined schedule for
the preparation and submission of these results.
the preparation and submission of these results.
Member States shall submit updates, comments,
Member States shall submit updates, comments,
action plans and all required documentation in
action plans and all required documentation in
accordance with the timelines set out in the USOAP
accordance with the timelines set out in the USOAP
CMA on-site activity timelines and in the MOU.
CMA on-site activity timelines and in the MOU.
Relevant information will be published by ICAO on
Relevant information will be published by ICAO on
an ongoing basis.
an ongoing basis.
 
27
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
All-inclusiveness.
All-inclusiveness.
 The scope of USOAP CMA includes
 The scope of USOAP CMA includes
the ICAO SARPs contained in all safety-related
the ICAO SARPs contained in all safety-related
Annexes to the Convention, Procedures for Air
Annexes to the Convention, Procedures for Air
Navigation Services (PANS), guidance material and
Navigation Services (PANS), guidance material and
related procedures. 
related procedures. 
and practices
 
28
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Systematic, consistent and objective.
Systematic, consistent and objective.
 USOAP CMA
 USOAP CMA
shall be conducted in a systematic, consistent and
shall be conducted in a systematic, consistent and
objective manner.
objective manner.
Standardization and uniformity in the scope, depth
Standardization and uniformity in the scope, depth
and quality of USOAP CMA activities shall be
and quality of USOAP CMA activities shall be
achieved through the use of trained and qualified
achieved through the use of trained and qualified
auditors and SMEs, through the use of standardized
auditors and SMEs, through the use of standardized
PQs and the provision of relevant guidance material
PQs and the provision of relevant guidance material
 
29
USOAP CMA PRINCIPLES
USOAP CMA PRINCIPLES
 
Fairness. 
Fairness. 
USOAP CMA activities shall be conducted in
USOAP CMA activities shall be conducted in
a manner such that Member States have every
a manner such that Member States have every
opportunity to monitor, comment on, and respond to
opportunity to monitor, comment on, and respond to
the CMA processes.
the CMA processes.
 
30
USOAP CMA PRINCIPLE
USOAP CMA PRINCIPLE
S
S
 
Quality.
Quality.
 The quality of USOAP CMA activities shall be
 The quality of USOAP CMA activities shall be
ensured by 
ensured by 
assigning trained and qualified auditors
assigning trained and qualified auditors
and SMEs to conduct USOAP CMA activities, as well as
and SMEs to conduct USOAP CMA activities, as well as
by implementing and maintaining a documented
by implementing and maintaining a documented
QMS that continually monitors and evaluates
QMS that continually monitors and evaluates
feedback received from USOAP CMA stakeholders to
feedback received from USOAP CMA stakeholders to
ensure their ongoing satisfaction.
ensure their ongoing satisfaction.
 
31
Critical Elements of a Safety Oversight System
Critical Elements of a Safety Oversight System
 
Critical elements (CEs) are essentially the safety
Critical elements (CEs) are essentially the safety
defense tools of a State’s safety oversight system
defense tools of a State’s safety oversight system
required for the effective implementation of safety-
required for the effective implementation of safety-
related standards, policy and associated procedures.
related standards, policy and associated procedures.
There are 8 Critical Elements that ICAO considers
There are 8 Critical Elements that ICAO considers
essential for a State to Establish, Implement and
essential for a State to Establish, Implement and
Maintain so as to have an effective safety oversight
Maintain so as to have an effective safety oversight
system
system
The CEs are divided into two categories; CE 1-5
The CEs are divided into two categories; CE 1-5
(Establishment CEs) and CE 6-8 (Implementation CEs)
(Establishment CEs) and CE 6-8 (Implementation CEs)
 
 
32
Critical elements of a safety oversight system
Critical elements of a safety oversight system
 
Critical Elements of a Safety Oversight System
 
33
Critical elements of a safety oversight
Critical elements of a safety oversight
system
system
 
Understanding the framework described by the Critical
Understanding the framework described by the Critical
Elements will help the ATM/SAR inspectors to understand
Elements will help the ATM/SAR inspectors to understand
their responsibilities as ATM/SAR inspectors,
their responsibilities as ATM/SAR inspectors,
organization’s responsibilities, and ANSP responsibilities
organization’s responsibilities, and ANSP responsibilities
While all of the Critical Elements are important to
While all of the Critical Elements are important to
effective aviation safety oversight, CEs 4, 6, 7 and 8 (to a
effective aviation safety oversight, CEs 4, 6, 7 and 8 (to a
great extent but not entirely) are most closely
great extent but not entirely) are most closely
associated with the ATS & SAR inspector responsibilities
associated with the ATS & SAR inspector responsibilities
 
34
CE 4: Technical Personnel Qualification
CE 4: Technical Personnel Qualification
and Training
and Training
 
Civil Aviation Authorities are required to:
Civil Aviation Authorities are required to:
Establish minimum knowledge and experience requirements
Establish minimum knowledge and experience requirements
for the technical personnel performing safety oversight
for the technical personnel performing safety oversight
functions – including ATS & SAR inspectors.
functions – including ATS & SAR inspectors.
Provide appropriate training to maintain and enhance their
Provide appropriate training to maintain and enhance their
competence at the desired level. Such training should
competence at the desired level. Such training should
include initial and recurrent (periodic) training.
include initial and recurrent (periodic) training.
 
35
 
The ATS & SAR oversight organization must ensure that:
The ATS & SAR oversight organization must ensure that:
The ATS & SAR Inspectors are capable of conducting
The ATS & SAR Inspectors are capable of conducting
effective surveillance of air traffic services in a
effective surveillance of air traffic services in a
standardized manner.
standardized manner.
Technical personnel performing ATS & SAR safety
Technical personnel performing ATS & SAR safety
oversight functions are expected to be at least as
oversight functions are expected to be at least as
qualified as the ANSP personnel to be inspected or
qualified as the ANSP personnel to be inspected or
supervised to ensure they can adequately assess ANSP’s
supervised to ensure they can adequately assess ANSP’s
performance.
performance.
Training and qualifications for ATS & SAR insopectors
Training and qualifications for ATS & SAR insopectors
form the basis on which to license the inspectorate staff.
form the basis on which to license the inspectorate staff.
CE 4: Technical Personnel Qualification
CE 4: Technical Personnel Qualification
and Training
and Training
 
36
 
Desirable Qualities of an ATM/SAR inspector
Desirable Qualities of an ATM/SAR inspector
Have a high degree of integrity;
Have a high degree of integrity;
Be impartial in carrying out your tasks;
Be impartial in carrying out your tasks;
Be tactful;
Be tactful;
Possess good communication skills;
Possess good communication skills;
Have a good understanding of human nature;
Have a good understanding of human nature;
Understand data collection; and
Understand data collection; and
Be methodical and possess analytical skills.
Be methodical and possess analytical skills.
CE 4: Technical Personnel Qualification
CE 4: Technical Personnel Qualification
and Training
and Training
 
37
 
ATM/SAR inspectors must therefore have the skills and
ATM/SAR inspectors must therefore have the skills and
knowledge, or competencies, to effectively perform
knowledge, or competencies, to effectively perform
oversight of ATS & SAR providers.
oversight of ATS & SAR providers.
Competencies
Competencies
 are the integrated knowledge, skills,
 are the integrated knowledge, skills,
judgment, and attributes that people need to perform a
judgment, and attributes that people need to perform a
job effectively
job effectively
CE 4: Technical Personnel Qualification
CE 4: Technical Personnel Qualification
and Training
and Training
 
38
CE 6: Licensing, Certification,
CE 6: Licensing, Certification,
Authorization and Approval Obligations
Authorization and Approval Obligations
 
Air traffic controllers must meet age, knowledge, experience,
Air traffic controllers must meet age, knowledge, experience,
medical fitness, and skill requirements.
medical fitness, and skill requirements.
ANSPs must meet operational and safety requirements to
ANSPs must meet operational and safety requirements to
provide air navigation services in the airspace system.
provide air navigation services in the airspace system.
Therefore, Critical Element 6 calls for the implementation of
Therefore, Critical Element 6 calls for the implementation of
processes and procedures to ensure that personnel and
processes and procedures to ensure that personnel and
organizations performing safety critical aviation activities
organizations performing safety critical aviation activities
meet the established requirements before they are allowed to
meet the established requirements before they are allowed to
exercise the provisions or authorizations of a license,
exercise the provisions or authorizations of a license,
certificate, authorization, and/or approval to conduct the
certificate, authorization, and/or approval to conduct the
relevant aviation activity.
relevant aviation activity.
 
39
 
A State’s obligation for a safe and orderly civil aviation system
A State’s obligation for a safe and orderly civil aviation system
does not end with the issuance of licenses, ratings, certificates,
does not end with the issuance of licenses, ratings, certificates,
or other approvals.
or other approvals.
Critical Element 7 calls for the establishment of processes, such
Critical Element 7 calls for the establishment of processes, such
as inspections and audits, to proactively ensure that:
as inspections and audits, to proactively ensure that:
aviation license, certificate, authorization, and/or approval
aviation license, certificate, authorization, and/or approval
holders continue to meet the established requirements
holders continue to meet the established requirements
and;
and;
 function at the level of competency and safety required
 function at the level of competency and safety required
by the State to undertake an aviation-related activity for
by the State to undertake an aviation-related activity for
which they have been licensed, certified, authorized,
which they have been licensed, certified, authorized,
and/or approved to perform.
and/or approved to perform.
CE 7: Surveillance Obligations
CE 7: Surveillance Obligations
 
40
 
Annex 19 to the Convention on International Civil Aviation
Annex 19 to the Convention on International Civil Aviation
requires the State to implement documented surveillance
requires the State to implement documented surveillance
processes by:
processes by:
defining and planning inspections, audits, and;
defining and planning inspections, audits, and;
monitoring activities on a continuous basis, to
monitoring activities on a continuous basis, to
proactively assure that aviation license, certificate,
proactively assure that aviation license, certificate,
authorization, and/or approval holders continue to meet
authorization, and/or approval holders continue to meet
the established requirements.
the established requirements.
CE 7: Surveillance Obligations
CE 7: Surveillance Obligations
 
41
 
Surveillance should be accomplished on a continuing basis,
Surveillance should be accomplished on a continuing basis,
performed at specified times or intervals, or conducted in
performed at specified times or intervals, or conducted in
conjunction with the renewal of a license, certificate, or other
conjunction with the renewal of a license, certificate, or other
approval.
approval.
The standards of an organization’s capability and
The standards of an organization’s capability and
competence should at all times be equal to or exceed those
competence should at all times be equal to or exceed those
required at the time of original certification (the baseline).
required at the time of original certification (the baseline).
Accordingly,
Accordingly,
ATS providers must convincingly demonstrate that operations
ATS providers must convincingly demonstrate that operations
are being conducted in accordance with requirements.
are being conducted in accordance with requirements.
CE 7: Surveillance Obligations
CE 7: Surveillance Obligations
 
42
 
Surveillance is a primary ATS/SAR inspector’s
Surveillance is a primary ATS/SAR inspector’s
responsibility.
responsibility.
Through performing audits, inspections and continuous
Through performing audits, inspections and continuous
monitoring, an ATM/SAR inspector ensures the ANSP
monitoring, an ATM/SAR inspector ensures the ANSP
proactively addresses non-conformances before they
proactively addresses non-conformances before they
become safety hazards and risks leading to accidents.
become safety hazards and risks leading to accidents.
Surveillance of ATS & SAR operations and personnel is
Surveillance of ATS & SAR operations and personnel is
used to verify compliance with regulations, procedures,
used to verify compliance with regulations, procedures,
plans, and policies and is critical to an ATM/SAR
plans, and policies and is critical to an ATM/SAR
provider’s effectiveness.
provider’s effectiveness.
CE 7: Surveillance Obligations
CE 7: Surveillance Obligations
 
43
 
End of Chapter 1
End of Chapter 1
 
44
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This virtual course provides insights into the roles of Air Traffic Services oversight organizations and Air Traffic and Search & Rescue Safety Inspectors. It covers topics such as safety oversight responsibilities, licensing processes, safety management systems, and auditing practices. Participants will gain knowledge and skills to enhance safety within the aviation sector.


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  1. Air Traffic Management & Search and Rescue Inspectors Virtual Course 1

  2. The role of an Air Traffic Services (ATS) oversight organization and an Air Traffic and Search & Rescue Safety Inspector: 2 Continuously improve the safety of the Air Navigation Service Provider (ANSP) particularly the ATM and ASAR functions and the State airspace system through regulatory oversight.

  3. Course Content 3 State safety oversight responsibilities The functions of an Air Traffic Services (ATS) and/or Aeronautical Search and Rescue oversight organization Safety Management Systems Licensing and approvals processes Safety performance monitoring; and Auditing Air Traffic Service Providers

  4. Course Objectives 4 At the end of this course the participant should be able to: Describe the functions of an ATM/SAR oversight organization; State the duties and responsibilities an ATM/SAR inspector; Highlight an ATM/SAR inspector s role within the ATM oversight organization; Demonstrate an understanding of State safety management responsibilities; List requirements for licensing ATM personnel; Develop safety oversight tools for oversight of ATM & SAR providers; 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; and Develop technical guidance material.

  5. Chapter One Chapter One An Overview of Safety oversight and the Universal Safety Audit Programme - Continuous Monitoring Approach (USOAP-CMA) 5

  6. Definitions 6 Aviation safety oversight - The process of ensuring that aviation professionals such as air traffic controllers, Search and rescue coordinators and administrators perform their functions safely and responsibly and in compliance with applicable regulations, procedures, rules, doctrines etc. Inspectorate - An office or entity designated by the regulatory body to support safety oversight activities over the service providers . An inspectorate may be composed of inspectors, technical support staff, administrative personnel and others directly engaged in supporting the office or entity s oversight activities. Inspectors - Personnel directly engaged in carrying out oversight activities (e.g. inspections, audits, etc.) over the service providers. Safety - The state in which the possibility of harm to persons or of property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and safety risk management.

  7. Definitions 7 Safety Management Systems (SMS) - A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures. Safety oversight - a function performed by the State to ensure that individuals and organizations performing an aviation activity comply with safety-related national laws, regulations and procedures. State - refers to the authority that is signatory to the Chicago Convention and which normally establishes a Civil Aviation Authority (CAA) and other aviation- related authorities. Surveillance - Processes through which the State proactively verifies through inspections, audits and other activities that aviation licence, certificate, authorization or approval holders continue to meet established requirements and function at the level of competency and safety required by the State.

  8. Definitions 8 Validation - The process of proving that the functions, procedures, controls, and safety standards are correct and the right system is being built (i.e., the requirements are unambiguous, correct, complete, and verifiable). Verification - The process that ensures that the system requirements have been met by the design solution and the system is ready to be used in the operational environment for which it is intended.

  9. The ICAO convention 9 Safety oversight has its roots in the ICAO convention (The Chicago convention) of 1944. The Purpose of the Convention The convention agreed on certain principles and arrangements in order that international civil aviation may be developed in a safe and orderly manner and that international air transport services may be established on the basis of equality of opportunity and operated soundly and economically.

  10. Aims and objectives of ICAO stated in article 44 of the Chicago convention 10 To develop the principles and techniques of international air navigation to foster the planning and development of international transport so as to: 1) Insure the safe and orderly growth of international civil aviation throughout the world; 2) Encourage the arts of aircraft design and operation for peaceful purposes; 3) Encourage the development of airways, airports, and air navigation facilities for international civil aviation; 4) Meet the needs of the peoples of the world for safe, regular, efficient and economical air transport; 5) Prevent economic waste caused by unreasonable competition; 6) Insure that the rights of contracting States are fully respected and that every contracting State has a fair opportunity to operate international airlines; 7) Avoid discrimination between contracting States; 8) Promote safety of flight in international air navigation; 9) Promote generally the development of all aspects of international civil aeronautics.

  11. ICAOs Strategic Objectives Relevant to ANS Provision and Oversight 11 1. Safety: Enhance global civil aviation safety - focused primarily on the State's regulatory oversight capabilities. 2. Air Navigation Capacity and Efficiency: Increase the capacity and improve the efficiency of the global civil aviation system - focused primarily on upgrading the air navigation and aerodrome infrastructure and developing new procedures to optimize aviation system performance.

  12. Articles of the Convention 12 The Convention has 96 articles Establishes privileges and restrictions Provides for adoption of Standards and Recommended Practices Accepts principle of sovereignty of the airspace above a State s territory Privileges unrestrictive passage of aircraft between States or over their territory from a technical point of view recognition of Licenses and Certificates bring obligations to abide by Standards and Recommended Practices contained in Annexes

  13. Articles relevant to the Air Traffic Services and Search & Rescue 13 Article 3: Civil and state aircraft This Convention shall be applicable only to civil aircraft, and shall not be applicable to state aircraft. Aircraft used in military, customs and police services shall be deemed to be state aircraft. No state aircraft of a contracting State shall fly over the territory of another State or land thereon without authorization by special agreement or otherwise, and in accordance with the terms thereof.

  14. Articles relevant to the Air Traffic Services and Search & Rescue 14 Article 3 bis: Interception of Civil Aircraft a) States must refrain from resorting to the use of weapons against civil aircraft in flight and that, in case of interception, the lives of persons on board and the safety of aircraft must not be endangered. b) Every State, in the exercise of its sovereignty, is entitled to require the landing at some designated airport of a civil aircraft flying above its territory without authority or if there are reasonable grounds to conclude that it is being used for any purpose inconsistent with the aims of this Convention; it may also give such aircraft any other instructions to put an end to such violations. c) Every civil aircraft shall comply with an order given in conformity with paragraph b) above, and in which case each contracting State shall establish all necessary provisions in its national laws or regulations to make such compliance mandatory for any civil aircraft registered in that State or operated by an operator who has his principal place of business or permanent residence in that State.

  15. Articles relevant to the Air Traffic Services and Search & Rescue 15 Article 12: Rules of the air Each contracting State undertakes to adopt measures to insure that every aircraft flying over or maneuvering within its territory and that every aircraft carrying its nationality mark, wherever such aircraft may be, shall comply with the rules and regulations relating to the flight and maneuver of aircraft there in force.

  16. Article 25: Aircraft in distress 16 Each contracting State undertakes to provide such measures of assistance to aircraft in distress in its territory as it may find practicable, and to permit, subject to control by its own authorities, the owners of the aircraft or authorities of the State in which the aircraft is registered to provide such measures of assistance as may be necessitated by the circumstances. Each contracting State, when undertaking search for missing aircraft, will collaborate in coordinated measures which may be recommended from time to time pursuant to this Convention.

  17. Article 28; Air navigation facilities and standard systems 17 Each contracting State undertakes, so far as it may find practicable, to: a) Provide, in its territory, airports, radio services, meteorological services and other air navigation facilities to facilitate international air navigation, in accordance with the standards and practices recommended or established from time to time, pursuant to this Convention; b) Adopt and put into operation the appropriate standard systems of communications procedure, codes, markings, signals, lighting and other operational practices and rules which may be recommended or established from time to time, pursuant to this Convention; c) Collaborate in international measures to secure the publication of aeronautical maps and charts in accordance with standards which may be recommended or established from time to time, pursuant to this Convention.

  18. Article 37: Adoption of international standards and procedures 18 Each contracting State undertakes to collaborate in securing the highest practicable degree of uniformity in regulations, standards, procedures, and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in services which such uniformity will facilitate and improve air navigation. To ensure currency, International Civil Aviation Organization (ICAO) shall adopt and amend from time to time, international standards and recommended practices and procedures dealing with Air Traffic Services and Search & Rescue among others.

  19. Article 38: Departures from international standards and procedures 19 When a State finds it impracticable to comply with the Standards in full, the State shall give immediate notification to the International Civil Aviation Organization of the differences between its own practice and that established by the international standard.

  20. Overview of ICAO and the Universal Safety Audit Programme (USOAP) 20 Air Traffic Services & Search and rescue form separate audit areas within the Air Navigation Services audit area under the Universal Safety Oversight Continuous Monitoring Approach (USOAP-CMA) framework. The annexes to the convention that fall under this subset are: Annex 2 Rules of the air, Annex 11 Air traffic services, and Annex 12 Aeronautical search and rescue

  21. ATS Oversight and The USOAP-CMA 21 Early State safety audits were based on implementation of standards in three annexes only; Annexes 1, 6 and 8 At the 33rd Assembly, USOAP was expanded to include Annexes 11 (Air Traffic Services), 13 and 14 At the 35th Assembly, USOAP was further expanded to include all safety related annexes,

  22. ATS and SAR Within The Continuous Monitoring Approach 22 ATS & SAR are essential air navigation services that enable safety and efficiency of air transport. These services therefore benefit from CMA framework that enables Collection and analysis of safety information from Member States and other stakeholders in order to identify and prioritize appropriate oversight and monitoring activities to be carried out by ICAO. CMA is a strategy that uses a risk-based approach for measuring and monitoring the safety oversight capabilities and improving safety performance of States and global aviation on a continuous basis..

  23. Continuous monitoring approach (CMA) 23 CMA enables validation of; Effective implementation of corrective action plans (CAPs) submitted by States including subsequent progress reports received following audits. The status of corrective or mitigating measures taken by State to correct deficiencies including safety concerns identified during an audit with regard to the State s safety oversight capability.

  24. USOAP CMA PRINCIPLES 24 Sovereignty. Every Member State has complete and exclusive sovereignty over the airspace of its territory. Accordingly, ICAO fully respects a sovereign State s responsibility and authority for safety oversight, including its decision-making powers with respect to implementing corrective actions related to identified deficiencies

  25. USOAP CMA PRINCIPLES 25 Universality. All Member States shall be subject to continuous monitoring activities by ICAO, in accordance with the principles, methodologies, processes and procedures established for conducting such activities, and on the basis of the Memorandum of Understanding (MOU) signed by ICAO and each Member State

  26. USOAP CMA PRINCIPLES 26 Transparency and disclosure. USOAP CMA activities shall be conducted under a process that is fully transparent and open for examination by all parties concerned. There shall be full disclosure of the finalized results of USOAP CMA activities which shall provide sufficient information for Member States to make informed decisions regarding the safety oversight capability of other Member States.

  27. USOAP CMA PRINCIPLES 27 Timeliness. Results of USOAP CMA activities shall be produced and posted by ICAO in a timely manner, in accordance with a predetermined schedule for the preparation and submission of these results. Member States shall submit updates, comments, action plans and all required documentation in accordance with the timelines set out in the USOAP CMA on-site activity timelines and in the MOU. Relevant information will be published by ICAO on an ongoing basis.

  28. USOAP CMA PRINCIPLES 28 All-inclusiveness. The scope of USOAP CMA includes the ICAO SARPs contained in all safety-related Annexes to the Convention, Procedures for Air Navigation Services (PANS), guidance material and related procedures. and practices

  29. USOAP CMA PRINCIPLES 29 Systematic, consistent and objective. USOAP CMA shall be conducted in a systematic, consistent and objective manner. Standardization and uniformity in the scope, depth and quality of USOAP CMA activities shall be achieved through the use of trained and qualified auditors and SMEs, through the use of standardized PQs and the provision of relevant guidance material

  30. USOAP CMA PRINCIPLES 30 Fairness. USOAP CMA activities shall be conducted in a manner such that Member States have every opportunity to monitor, comment on, and respond to the CMA processes.

  31. USOAP CMA PRINCIPLES 31 Quality. The quality of USOAP CMA activities shall be ensured by assigning trained and qualified auditors and SMEs to conduct USOAP CMA activities, as well as by implementing and maintaining a documented QMS that continually monitors and evaluates feedback received from USOAP CMA stakeholders to ensure their ongoing satisfaction.

  32. Critical Elements of a Safety Oversight System 32 Critical elements (CEs) are essentially the safety defense tools of a State s safety oversight system required for the effective implementation of safety- related standards, policy and associated procedures. There are 8 Critical Elements that ICAO considers essential for a State to Establish, Implement and Maintain so as to have an effective safety oversight system The CEs are divided into two categories; CE 1-5 (Establishment CEs) and CE 6-8 (Implementation CEs)

  33. Critical elements of a safety oversight system 33 Critical Elements of a Safety Oversight System

  34. Critical elements of a safety oversight system 34 Understanding the framework described by the Critical Elements will help the ATM/SAR inspectors to understand their responsibilities as ATM/SAR inspectors, organization s responsibilities, and ANSP responsibilities While all of the Critical Elements are important to effective aviation safety oversight, CEs 4, 6, 7 and 8 (to a great extent but not entirely) are most closely associated with the ATS & SAR inspector responsibilities

  35. CE 4: Technical Personnel Qualification and Training 35 Civil Aviation Authorities are required to: Establish minimum knowledge and experience requirements for the technical personnel performing safety oversight functions including ATS & SAR inspectors. Provide appropriate training to maintain and enhance their competence at the desired level. Such training should include initial and recurrent (periodic) training.

  36. CE 4: Technical Personnel Qualification and Training 36 The ATS & SAR oversight organization must ensure that: The ATS & SAR Inspectors are capable of conducting effective surveillance of air traffic services in a standardized manner. Technical personnel performing ATS & SAR safety oversight functions are expected to be at least as qualified as the ANSP personnel to be inspected or supervised to ensure they can adequately assess ANSP s performance. Training and qualifications for ATS & SAR insopectors form the basis on which to license the inspectorate staff.

  37. CE 4: Technical Personnel Qualification and Training 37 Desirable Qualities of an ATM/SAR inspector Have a high degree of integrity; Be impartial in carrying out your tasks; Be tactful; Possess good communication skills; Have a good understanding of human nature; Understand data collection; and Be methodical and possess analytical skills.

  38. CE 4: Technical Personnel Qualification and Training 38 ATM/SAR inspectors must therefore have the skills and knowledge, or competencies, to effectively perform oversight of ATS & SAR providers. Competencies are the integrated knowledge, skills, judgment, and attributes that people need to perform a job effectively

  39. CE 6: Licensing, Certification, Authorization and Approval Obligations 39 Air traffic controllers must meet age, knowledge, experience, medical fitness, and skill requirements. ANSPs must meet operational and safety requirements to provide air navigation services in the airspace system. Therefore, Critical Element 6 calls for the implementation of processes and procedures to ensure that personnel and organizations performing safety critical aviation activities meet the established requirements before they are allowed to exercise the provisions or authorizations of a license, certificate, authorization, and/or approval to conduct the relevant aviation activity.

  40. CE 7: Surveillance Obligations 40 A State s obligation for a safe and orderly civil aviation system does not end with the issuance of licenses, ratings, certificates, or other approvals. Critical Element 7 calls for the establishment of processes, such as inspections and audits, to proactively ensure that: aviation license, certificate, authorization, and/or approval holders continue to meet the established requirements and; function at the level of competency and safety required by the State to undertake an aviation-related activity for which they have been licensed, certified, authorized, and/or approved to perform.

  41. CE 7: Surveillance Obligations 41 Annex 19 to the Convention on International Civil Aviation requires the State to implement documented surveillance processes by: defining and planning inspections, audits, and; monitoring activities on a continuous basis, to proactively assure that aviation license, certificate, authorization, and/or approval holders continue to meet the established requirements.

  42. CE 7: Surveillance Obligations 42 Surveillance should be accomplished on a continuing basis, performed at specified times or intervals, or conducted in conjunction with the renewal of a license, certificate, or other approval. The standards of an organization s capability and competence should at all times be equal to or exceed those required at the time of original certification (the baseline). Accordingly, ATS providers must convincingly demonstrate that operations are being conducted in accordance with requirements.

  43. CE 7: Surveillance Obligations 43 Surveillance is a primary ATS/SAR inspector s responsibility. Through performing audits, inspections and continuous monitoring, an ATM/SAR inspector ensures the ANSP proactively addresses non-conformances before they become safety hazards and risks leading to accidents. Surveillance of ATS & SAR operations and personnel is used to verify compliance with regulations, procedures, plans, and policies and is critical to an ATM/SAR provider s effectiveness.

  44. End of Chapter 1 End of Chapter 1 44

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