December 12th 2005

Direction des services Centre en route de la

direction générale de la Navigation Navigation aérienne Presented by
de l’Aviation civile aérienne sud-ouest Mrs Patricia TROISFONTAINE
and MrJean-Michel BOIVIN

Certification
of the French
Air Navigation
Services
Provider
 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 Requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 DSNA Main Missions

• To provide Air Navigations Services with the highest level of safety.

• To plan operational evolutions and appropriate means to cope with the increase of
traffic, as well as relevant studies.
• To carry out all studies to assess needs in airspace.
• To acquire, install, operate and maintain equipment and CNS systems.
• To ensure collection, production and publication of meteorological information.
• To cooperate with military organisations concerned with air navigation and foreign
ANSP.
• To lend support to the Regulation Authority in order to define norms, procedures and
regulations related to Air Navigation.
• To participate in international studies with regard to Air Navigation.
 DSNA
HEADQUATERS
(Paris – Except HR in Athis-Mons)

Human Planification
Safety-Quality Environment International adviser Scientic Adviser Finances Resources & Strategy
Security Pierre-Yves Maurice Georges Dominique Hervé Toro
Colin de Verdière Jean-Michel
Anne Frisch Huerre Raymond Rosso
Communication Cell Boivin
Jean-Marie Piduch

OPERATIONS Direction des Opérations Direction de laTechnique TECHNICAL

(Toulouse except
(Headquaters in Athis-Mons,
south of Paris) Françoise Deygout et de l ’Innovation part of R&D -
in Athis-Mons)
Jean-Marc Faysse
Deputy en-route Deputy APP / TWR
Jean-Claude Coulardot Pascal Planchon

Central
Systems
AIM Operational Research &
Systems Development
Daniel Azéma Philippe Merlo
Paris ACC
SNA/RP

SNA/SE
Brest ACC SNA/N

SNA/O
SNA/CE
8000 people
Bordeaux ACC
SNA/NE
5 ACC
SNA/SO

Reims ACC SNA/AG

SNA/S 11 regional units (« SNA »)

SNA/OI APP/TWR + 1 ACC overseas
Marseille ACC
SNA/SSE
 Operations Directorate Organisation Chart

Operations Directorate

ACC Deputy SNA Deputy

SQMS Advisor General Secretary Paris SNA

Paris ACC

Brest ACC Safety & SNA-N

Administrative
Performance
Division
Division
SNA-O
Bordeaux ACC
Airspace SNA-S
Technical
Division
Division SNA-SO
Marseilles ACC
SNA-SSE
SNA-SE
Reims ACC SIA
CESNAC
Aeronautical SNA-CE
Systems Operation
Information
Centre SNA-NE
Centre
 Inter-ACCs
S h a n w ic k Yearly Flows
Shannon
M aa stric h t

L o n d res
B ru x e lle s

P a ri s R e im s
F/K /S
B re st

Z u ri c h

G enève

B o rd e a u x
A ix

M a d ri d

B a rc elo ne
ITA L IE

P a lm a
> 2 5 0 0 0 0 Vo ls
fro m 1 5 0 0 0 0 to 2 5 0 0 0 0 Vo ls
A lg e r
fro m 1 0 0 0 0 0 to 1 5 0 0 0 0 Vo ls

fro m 5 0 0 0 0 to 1 0 0 0 0 0 Vo ls

fro m 5 0 0 0 to 5 0 0 0 0 Vo ls
 France Traffic Evolution
SURVOLS DOMESTIQUES INTERNATIONAL

100%

International : +4,86% 80%

60%
Domestic : -5,54% 40%

Overflights : +4,76% 20%

0%

125 000

115 000

105 000

95 000

85 000
nb vols

75 000 S URVOLS

65 000 INTERNATIONAUX

DOMES TIQUES
55 000

45 000

35 000
JAN FEV VEN AVR MAI JUN JUL AOU SEP OCT NOV DEC JAN FEV SAM AVR MAI JUN JUL AOU SEP OCT NOV DEC

2 003 2 004
 France Traffic Forecasts

S c e nario
Évolution annuelle du nombre de vols IFR FRANCE S TATFOR

3 400 000 High s ce na rio

a ve ra ge growth
3 300 000
2010 v 2004 : 4 %
3 200 000
3 100 000
Ba s e line s ce na rio
3 000 000 2010 v 2004 : 2,9 %
2 900 000
2 800 000 Low s ce na rio
2 700 000 2010 v 2004 : 1,6%
2 600 000
nb vols

2 500 000
04/03 : +2,77%
2 400 000
2 300 000
2 200 000
2 100 000
2 000 000
1 900 000
1 800 000
1 700 000
1 600 000
1 500 000
90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 07 08 09 10
Anné e s
 France UIR

UAC REIMS
UAC PARIS
UAC BREST

UAC BORDEAUX

UAC AIX

UAC MADRID
UAC BARCELONE


Bordeaux ACC Organisation Chart

Jean-Michel BOIVIN
Head of ACC
C é cile M O U TO N P a tricia TR O IS FO N TA INE
P ro ject L ea d er H e a d o f SQ MS P rog ram

C h ristia n e M IR A N DA L a u ren t MO R IL L O N
C o m m u n ica tion Tra in ing

Je a n -P a ul M IC A RD R e n é P LA N C A DE
W o rkin g Co n d itio n s Sa fe ty S e cu rity

Christian GUERER Sylvie PLACIER Jean-Louis EBRAD

Head of OPS Dpt Head of ADM Dpt Head of TEC Dpt

A la in DE B A IRE Yve s A U S S A NT
D e p u ty A d m inistra tion D pt D e p u ty
2 5 pe rso ns

O p e ra tio n D pt Te ch n ica l D pt
4 0 0 p e rso ns 1 0 0 p e rso ns
Main Overflight Tracks
Bordeaux UIR

Canary
Islands

Balearic
Islands


 Bordeaux UIR Routes and Sectorisation

CDN
ANG

NTS P NEV

LCA MOU

3 layers
POI
L ROA
LMG THR
R CFA
Ill CGC
T
355
315 BDX

195 SAU X MEN

MTL
AGN GAI
BTZ Z TO FJR
TBO U H
N
PPG
PPN
 FIR sectors

NL
LFBH
LFBL
BN LFBG
LFBX SL
LFBE
LFBD
LFBA LFCR
BS LFBM
LFBO
LFBZ TA TG
LFBP
LFBT
 Bordeaux ACC Traffic Evolution
From 1948 to 2004
700000

600000

500000

400000

300000

200000

100000

0
 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

The European Safety Regulatory Requirements

 ESARR1: Safety Oversight in ATM (11.2007)

 ESARR3: Use of Safety Management System by ATM service providers
(07.2003)
 ESARR2: Reporting and Assessment of Safety occurrences in ATM (3 phases 
01.2002)
 ESARR4: Risk assessment and mitigation in ATM (04.2004)
 ESARR5: ATM Services’ Personnel (11.2003 Controllers – 04.2005 Technicians)
 ESARR6: Softwares in ATM Systems (11.2006)
 ESARR7: GNSS (Satellite navigation)

http://www.eurocontrol.int/src/public/standard_page/src_deliverables.html
 HOW IUSOAP WORKS?
ICAO
UNIVERSAL
SAFETY
ICAO OVERSIGHT
PROGRAMME

SAFETY National Regulator

OVERSIGHT

Service Provider
SMS INTERNAL VERIFICATION
(Safety Surveys/Audits/Reviews)
 A Safety Mangement System : Why ?
How an Accident Could Happen
Management Team Unsafe Decision
The Reason
Model
Line Management Fails to Correct

Unsafe or Untested Procedures

Controller or Engineers Error

Accident Shields

Latent Unsafe Conditions and Acts

Result ACCIDENT
Window of Opportunity

 A Safety Management System acts at each level

The European Safety Regulatory Requirements

 Requirements approved by the Safety Regulation Unit and by the Safety Regulation
Commission
 Applicability : to all providers of ATM services in Eurocontrol member states – ECAC
states who are not members are encouraged to use the requirements (the SMS has to
cover also all supporting services under the managerial control of the organisation)
 Requirements effective within three years from the date of adoption by the Eurocontrol
Commission
 Each state will have to ensure through appropriate safety regulation that ATM service
providers meet these requirements

 To ensure appropriate organisational performance with minimum safety

standards set up in the public interest
 For harmonisation across the ECAC area
 Contributors to incidents

4%
21% Human
elements
Procedures
elements
Equipment
75% elements
 Safety Management Systems

SMS = A total system approach

ATCOs
Surveillance
Support Communication

Engineers People Equipment Navaids

Procedures Information

SYSTEM
ATC Operating
Maintenance
 Schematic Representation of SMS Requirements in accordance to ESARR 3
SAFETY POLICY LEVEL
SAFETY MANAGEMENT SAFETY RESPONSIBILITY SAFETY PRIORITY SAFETY OBJECTIVE
TO IMPLEMENT A FORMAL AND EVERYBODY HAS AN OVER COMMERCIAL, TO MINIMISE THE ATM
EXPLICIT SAFETY MANAGEMENT INDIVIDUAL SAFETY OPERATIONAL, ENVIRONMENTAL CONTRIBUTION TO THE RISK OF
APPROACH RESPONSIBILITY FOR OR SOCIAL PRESSURES AN AIRCRAFT ACCIDENT
HIS/HER OWN ACTIONS

TO ACHIEVE SAFETY REQUIREMENTS FOR

MEANS FOR ACHIEVING HIGH SAFETY
STANDARDS SAFETY MANAGEMENT
AN APPROPRIATE ORGANISATION SYSTEMS
COMPETENCY
STAFF TRAINED, MOTIVATED AND COMPETENT

SMS DOCUMENTATION
THE SMS IS A DOCUMENTED SYSTEM ARISING
TO ENSURE SAFETY
FROM A SAFETY POLICY
MEANS FOR PROVIDING ASSURANCE THAT
SAFETY MANAGEMENT RESPONSIBILITY RISKS ARE BEING PROPERLY MANAGED
A SAFETY MANAGEMENT
FUNCTION WITHIN THE ORGANISATION
SYSTEMATIC ACTIONS
CONCERNING THE STEADY STATE
EXTERNAL SERVICES
SAFETY SURVEYS SAFETY
DEALING WITH EXTERNALLY PROVIDED
SERVICES
HAS TO BE VERIFIED INTERNALLY AND TO PROMOTE
CONTINUOUSLY
SAFETY
SAFETY MONITORING
SYSTEMATIC ACTIONS CONTINUOUS MONITORING AND ANALYSIS OF MEANS TO BUILD A SAFETY
SAFETY INDICATORS IMPROVEMENT CULTURE WITHIN
QUANTITATIVE SAFETY LEVELS
THE ORGANISATION
DERIVING QUANTITATIVE LEVELS
WHEREVER PRACTICABLE DOCUMENTING SYSTEMATIC ACTIONS LESSON DISSEMINATION
AND CHANGES DISSEMINATING PAST LESSONS
SAFETY OCCURRENCES WITHIN THE ORGANISATION
ATM OPERATIONAL OR TECHNICAL SAFETY RECORDS
OCCURRENCES ARE INVESTIGATED RECORDS ARE PRODUCED AND MAINTAINED
INTERNALLY THROUGHOUT THE SMS OPERATION
SAFETY IMPROVEMENT
RISK ASSESSMENT AND MITIGATION RISK ASSESSMENT AND MITIGATION INVOLVING ALL STAFF AND
THE SAFETY OF NEW SYSTEMS DOCUMENTATION IMPLEMENTING THE
AND CHANGES IS TO BE DEMONSTRATED THE RESULTS OF RISK ASSESSMENT AND IMPROVEMENT OF SAFETY AS A
USING A RISK BASED APPROACH. RISK IS MITIGATION PROCESSES ARE DOCUMENTED CONTINUOUS PROCESS
ASSESSED AND MITIGATED. THROUGHOUT THE SYSTEM LIFECYCLE

May 2001 - EUROCONTROL SRC

 ESARR2 requirements

To ensure that formal means exist to assess safety

performance
 ATM personnel are encouraged to systematically report safety
occurrences, to improve visibility on safety occurrences
(a non punitive culture is necessary)
 Investigating and assessing the ATM system contribution to the cause of
safety occurrences  to take corrective measures and preventive
measures
 The severity of each occurrence has to be determined
 Safety recommandations and corrective actions are developped, and their
implementation is monitored
 Each state ensures that appropriate safety data are collated and reported
to Eurocontrol
 In Bordeaux ACC, there are people in charge of collecting and
investigating all safety occurrences ; corrective and preventive actions are
then determined and implemented :
 In technical systems
 By feedback when causes are human factors (briefings to 12 controlers
teams – 3 times a year) : events are presented to all controlers
 ESARR4 requirements

Use of risk assessment and mitigation including hazard

identification in ATM when introducing/planning changes
• A quantitative and qualitative risk-based approach
• The requirement covers human, procedural and equipment elements
• Evidence from risk assessment and mitigation studies must be collated and
documented; safety requirements related to the implementation of a change
has to be traceable
(The depth and scope analysis depends on the types of functions performed,
the severity of the effects of the hazards, the complexity of the part of the
system,…)
• For existing parts of the ATM System, an analysis can take into account
historical data
• Hazards are classified with a Severity classification scheme
 ESARR5 requirements

Defines requirements for all ATM services’ personnel responsible for

safety related tasks
• A designated authority shall ensure that organisations and personnel
responsible for tasks related to the safety of air trafic are competent
to carry out those tasks
• Personnel are subject to appropriate measures to ensure ongoing
competence and that they meet medical requirements
• There are special requirements for on-the-job training instructors
• There must be a process by which controllers can be assessed
• Technical and engineering personnel must have and maintain
sufficient knowledge about the services they are supporting and the
potentiel effects of their work on the safety of those services
 Single Sky Regulations – Common Requirements

EC will publish at the end of 2005 a regulation laying down

« Common Requirements for the provision of Air Navigation Services »

This regulation covers all types of Air Navigation Services:

Air Traffic Services, CNS Services, Aeronautical Information Services and
Meteorological Services.

The Common Requirements will become effective on the day of their

publication.

This means that end 06/early 07, Member states will need to organise
certification of ANSPs.
Certificates will be valid for the whole EU.
 Single European Sky – Common Requirements
Single Sky regulation
on service provision
Ownership and
NATIONAL organisational structure
NSA
REGULATIONS
FOR : Financial strength
Security and sovereignty, Information
Finance & accounting, disclosure
Specifications :
USERs
Legal liabilities, Liability and insurance cover
Social rights,
….. Business plans
Security Annual plans
Annual reports
OACI Annexes
Technical and operational
PRC
competence and suitability
ISO 9000

ESSAR 2 Reporting systems

OACI SARP’s Systems and processes for safety other

ESSAR 3 & 4 and quality management ANSPs

ESSAR 5 Human resources

Single Sky
Quality of services regulation
on interoperability
 ISO 9001 requirements

ISO 9001 requirements are to establish, document and maintain a Quality Management System and
continuously improve its effectiveness
- processes have to be defined and managed
- It requires the focus to be on the customer with the aim of enhancing customer satisfaction
- Main other items :
- Control of documents, Control of records
- Quality policy, Planning : quality objectives
- Responsibility, authorities and communication
-
-
Management review
Provision of resources, Human resources
Deming wheel
- Infrastructure, environment
- Planning of product realisation, review of the requirements related to the product
P D Plan
- Design and development
-
-
Purchasing A C Do
Control of production , control of non-conforming product
- Measurement, analysis and improvement Check
Act
 QMS continuous improvement

5. Direction
R
Responsibility S
E
A
Q
T
U
I
I 6. Resources 8. Measures, Analysis
Management Improvement
S
R
F
E
A
M
C
E
T
N 7. SERVICE Service
Input PROVISION Output I
T
data data O
S
N
 ISO 9001 and ESARR3

• ISO 9001 requires a Quality Management System

• ESARR3 requires a Safety Management System
• Eurocontrol has made a mapping of ESARR-ISO and of ISO-ESARR
• In France, the development of a QMS based on ISO 9001 approach has
been used to implement in the ACCs the National Safety Management
System : ACCs have Safety and Quality Management Systems
• ESARR3 : is similar to ISO 9001 but includes more detailed
requirements for safety in ATM and a risk-based approach for main
changes
 ISO 9001 and ESARR3

• Both require :
• One person in charge of the system
• Quality policy – Safety policy
• Incident reporting and analysis – feedback
• Corrective and preventive actions
• Documentation on significant changes
• Transverse approach
• Updating of documentation
• Records
• The main differences :
• ISO requires the focus to be on the customer focus (to increase customer
satisfaction)
• ESARR requires risk assessment and mitigation processes
 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 Bordeaux ACC ISO 9001 Certification

April 2002 Sept. 2004 Oct. 2004 Jan. 2005 23.02.05.

ESARR audit ISO 9001 Certification ISO 9001
by the DNA Pre audit Audit Certification

• No exclusion :
– neither in Bordeaux ACC activities
– nor in ISO 9001 requirements
 Simultaneous implementation of a safety
management system and a quality
management system

• ISO 9001 used to implement ESARR :

– Process development included ESARR requirements
– ESARR implementation leads to « strong points » for ISO compliance

• What existed before Safety and Quality approach:

– Safety events notification and analysis – experience feedback (1)
– Operational procedures and manuals
– Coordinations between technical staff and control staff to organize changes
in ATM systems and procedures

(1) existed in the french ACCs before ESARR2

 What had to be done

• To describe our processes and to pilot them with indicators

• To give evidence of customer satisfaction – to collect their expectations by
annual meeting with Airlines and other airspace users
• To define quantitative safety levels and safety objectives (coming from
national safety objectives)
• To define methods to guarantee the updating of documentation
• To collect corrective and preventive actions data – to monitor their
implementation
• To implement risk assessment and mitigation methods :
– MISO
– EPIS
• To implement internal auditing
• To implement management review meetings
• To assess external services from a safety point of view
 Planification

• The development of the Quality and Safety Management System

needs planning (Project Management Method) :
– To identify all the tasks
– To ensure that each person knows what he has to do
– To monitor the advancement
– To transmit information

 The Bordeaux ACC schedule for ISO certification in 2004

 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 December 12th 2005

Direction des services Centre en route de la

direction générale de la Navigation Navigation aérienne
de l’Aviation civile aérienne sud-ouest

2005
A New Organisation
2005 : French CAA (DGAC) has restructured
and modernised its organisation in an effort to
increase customer satisfaction
and improve efficiency.
 December 12th 2005

Direction des services Centre en route de la

direction générale de la Navigation Navigation aérienne
de l’Aviation civile aérienne sud-ouest

2005
A New Organisation
New organisation copes with European
regulations and with French state
modernisation.
 DGAC Missions

 The main mission is to ensure a high level of safety in

• Air Navigation Services
• Surveillance and Certification of aircraft manufacturers and maintenance workshops, airlines, flying
crews, etc.
• Airports Certification

 To guarantee a high level of protection of environment (noise, air

quality…)

 To exercise economic regulation over airlines and airports

 To provide support to aircraft manufacturers

 To guarantee a high level of security to passengers and freight

operations
 December 12th 2005

2005
DGAC
Direction des services Centre en route de la
direction générale de la Navigation Navigation aérienne
de l’Aviation civile aérienne sud-ouest New Organisation

STRATEGY Strategic and Technical Affairs

& REGULATION
Economic Regulation
(DAST and DRE)

Three fields
PROVIDERS
of activity
AERONAUTICAL TRAINING
PROVIDERS (ENAC and SEFA)
AIR NAVIGATION SERVICES
PROVIDER (DSNA)
Supervisory
NATIONAL authority is
SUPERVISORY
AUTHORITY independant of
(DCS)
ANSP
d

Directorate General Of Civil Aviation

i
r

2005 New organisation

e
c
t
i
o
n
DCS DAST
g STRATEGY & REGULATION
NATIONAL SUPERVISORY AUTHORITY
é
ANSP
n Certification and Supervision Government Representative
é
r Procedures,
a Safety analysis… Regulation
l
e

d
e
Participation to
Certificates, audits
l international meetings
’
A
v
t
i
DSNA
o Air Navigation
n
Services Provider
c
i
v
i
l
e
 OACI
EC / EASA
Eurocontrol

DGAC
Regulator
DAST DCS
Direction des Affaires Direction du Contrôle de la Sécurité
Stratégiques et Techniques Checks compliance with
Strategy + Regulation european regulation

Foreign Defense AFIS Meteo Over Seas DSNA

Polynésie Française ANSP
Providers France Nouvelle Calédonie
St Pierre et
(CH, G, Jersey) Miquelon

Air Navigation Services Providers

 DAST Missions

 To determine strategic orientations

 Air Navigation
 Aircraft Safety
 Etc.

 To elaborate technical regulations

 To deal with Security & Defense Affairs

 To ensure coordination between DGAC and

European and International Institutions.
 DCS Mission

 To make sure that laws and regulations are

respected
As regards:
safety, security, environment
aircraft design, industry and maintenance
flight crew licensing
air navigation operations
airport operations
 December 12th 2005

Direction des services Centre en route de la

direction générale de la Navigation Navigation aérienne
de l’Aviation civile aérienne sud-ouest

2005
A New Organisation
To know more about it, see
www.dgac.fr
 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 Certification : a Twofold Process

• A process from the top down : DCS will deliver a certificate to DSNA.
• A process from the bottom up : each ATC unit will get an ISO
certification.
 ISO Certification Schedule

Integrated Safety Quality Security Environment

Management System

DSNA-HQ

ISO end 2006

DO-HQ DTI-HQ

ISO ISO ISO

ISO 2005-2006 ISO end 2006 from 2003 from 2002 from 2002

5 ACC 11 SNA CESNAC SIA Ops R&D

ACC/SO : ISO 23 february 2005
Sys
ACC/SE : ISO 20 march 2005
ACC/E : certification audit Dec. 2005
ACC/N : ISO draft audit end 2005
 The ANSP certification: Why ?

• To implement an integrated surveillance system (DCS + DAC) able

to meet European regulations and ICAO requirements.
Integrated = Safety–Quality–Security-(Environment)

• To check that the ANSP meets the single sky regulations.

• To improve safety and security levels through formal procedures and
improved working methods such as formalized internal and external
audits.
 Surveillance Principles

Certification :
o the ANSP demonstrates it has implemented all
measures to meet requirements, and that these measures
will continue to be in force.
o the ANSP will be increasingly supported by safety
management systems.

Continuous Surveillance :
o the Surveillance Authority (DCS) checks that ANSP
(DSNA) operations are at all times fully compliant with the
regulations.
o main methods of surveillance: continuous surveillance,
change management, incident analysis, follow up of
safety indicators.
 Surveillance Principles

Authority ANSP

DAST
Regulates
EC

Agrees Demonstrates
DCS
Checks
DACs
Approves
Grants
Detects
Assesses
Checks Corrects
DCS Analyses
…. Corrects
BEA Internal
External Feedback Feedback
Surveillance Principle

DSNA DCS
demonstrates it meets agrees (or not)
requirements
 European Regulation Applicable to ANSPs
« Single European Sky »
- Organised structure
- 5-year Business plan
- Safety management System (ESARR/3, ESARR/4)
- Quality management System (Applicable mean of conformity = ISO 9001)
- Security management system
- Operating manuals
- Human resources : ESARR/5
- Financial strength
- Risk insurance coverage
- Customers enquiries about quality of service provided.
- Contingency plans
- Annual reports
- Compliance with ICAO Annexes (2, 3, 4, 10, 11, 14, 15)
 Surveillance Organisation

Environment Safety Quality DCS

DSNA
Security Mngt (NSA)
ANSP
Strategy Certificat
HR Finances
Planning

OPS TEC

5 ACC
OPS Sys
11 SNA R&D
Internal
AIM Surveillance External
Surveillance
Systems
 DCS : Overall Surveillance

DCS ANSP certification

Audits and inspections

Deputy in charge of
Deputy
Flight Crew

Methods Air Navigation

Aircraft Flight Crew Airports
and Quality
Security

Directions
Civil Aviation Of GSAC
Technical Department Civil Aviation
(7+ OS)
 DCS : Detailed Organisation Chart
DCS

Deputy Deputy in charge of

Flight Crew

METHODS & QUALITY AIRWORTHINESS FLYING CREW AIR NAVIGATION

OPERATIONS AIRPORTS & SECURITY

Quality Program Air Transport Aircraft Schools ANSP Certification

Operations

General Aviation Helico Ops Exams AIR NAVIGATION

Legal studies Staff

Hélicopters International Licences AN Systems

Human resources

Motors Simulators Medical Airports

Finances

Technical Systems Staff Security

Agreements Softwares
Conception,
DCS : 300 people Production,
Maintenance
45 people
 Safety Quality Security Management Network

DSNA
A
DSN nager
-Ma
S QS

Safety, Quality Environment Human Strategy

Finances
Security Mngt Pierre-Yves Hervé Toro Resources Planification
Anne Frisch Huerre JM Boivin Raymond Rosso

M
SQ
M SQ
Direction des Opérations Direction de laTechnique et de l ’Innovation
Françoise Deygout Jean-Marc Faysse
Safety Airspace Systèmes
Occurrence Management Specifications
Handling

SDSO SDER
Operational Systems Research & Development
Daniel Azema Philippe Merlo
M
SQ Aeronautical
Information
Management

SQ
M QM
12 S
Central
Systems 11
21 relays for
regional units :
APP/ TWR
Safety-Quality-Security
5S
QM
5 ACC
+ 1 overseas ACC
Management
 Safety Quality Security Management

• To elaborate DSNA policy in terms of Safety, Security and Quality, and to follow its
implementation.
• To guarantee that the conditions of delivery of the ANSP certificate are still in force.
• To coordinate, to lead and to assess the DSNA Safety-Quality-Security Management
System.
• To ensure proactive safety management.
• To perform internal audits.
• To report to DSNA in terms of safety performances (through indicators and incidents
follow up).
• To study, develop and promote safety study methods.
• To follow the elaboration and to validate safety studies.
• To develop a Security Plan and to coordinate DSNA security measures, including
information systems security.
 Safety Quality Security Management

Builds DSNA i cat

SQS Mngt Reference f
erti
S P C NA
AN DS

Alerts & Makes proposals

(by anticipation
Advises & Assists or in reaction)
for the SQS reference
application

Controls / Monitors:
Is the SQS reference well
applied and efficient ?
 Safety Quality Security Management Unit

15 people

Internal audit Performances Systems

and Certification Division Security
Division Division

- DSNA integrated - Safety Follow up - Safety studies

Management System
Implementation - Objectives and - International WG
recommandations
- DSNA Manual - Support to DO and DTI
- Indicators
- DSNA Certification
Coordination - Security
- DSNA internal audits - Regulation expertise
- Security Training
Management
 Working Organisation and Methods

• Target date for ANSP certification: end 2006.

• Certificate delivered by DCS, National Surveillance Authority.
• This is a new process, from new regulations.
• It will need
– a common understanding of applicable rules.
– good cooperation between DCS and DSNA.
For DCS, the representative of DSNA is MSQS
• Organisation
– Certification Steering Committee
– Certification Working Group
 Certification Steering Committee

To follow up the certification process.

• To present the organisation of surveillance

• To exchange information about the problems
• To follow the planning of audits
• To set up a common understanding of the applicable referential
• To define the process of DSNA certification as an AIS and CNS services provider
• To define how to check compliance with ICAO requirements
• To ensure full coherence with the methods of certification elaborated at a european
level
• To identify the risks that the objective is not met (DSNA certification at the end 2006)
– Delays in delivery of conformity documentation
– Delays in the implementation of a security management system
– Possible non-conformity and discovered late, if its correction is a preliminary condition for
certification.
 Certification Steering Committee

• Chaired by DCS Director

• Members:
– DCS Managing Staff
– DAST Managing Staff
– STAC Director
– DAC Directors
– DSNA Director
– MSQS
– DSNA DO Director
– DSNA DTI Director
– Experts
 Certification Working Group

To ensure coordination between DCS and DSNA with

regards to the certification process

• To follow the planning of the certification process.

• To work on and validate ANSP documentation: DSNA manual.
• To examine the findings of the audits.
• To analyse difficulties and propose solutions.
 Certification Working Group

• Chaired by DCS Head of Certification Board

• Members:
– DCS Air Navigation Dpt Staff
– DCS Flying Crew Dpt Staff
– DCS Methods & Quality Dpt Staff
– DAST Staff
– STAC Staff
– DAC representative
– MSQS
– Experts
 Certification Audits Schedule

• Audits performed by DCS with STAC and DAC support.

• Audits coordinated with MSQS.
• 11 audits scheduled, from November 2005 until September 2006:
– 3 ACC : Reims, Bordeaux and Brest
– 6 SNA : NE, SO, Paris (CDG), S, West Indies, SE
– DSNA and DO headquarters
– DTI
• 2 or 3 additional audits of small aerodromes

Documentation of reference for the audits:

- ESARR2, ESARR3, ESARR4, ESARR5
- DSNA manual
 DSNA Manual

To demonstrate compliance with the regulation

To describe the modes of implementation of the requirements

an A
M SN

l
ua
D
 DSNA Manual Table of Contents (Draft)

• 0. Manual management (review…)

• 1. Organisation: context, regulatory requirements, cartography…
• 2. General: SQS policy, responsibilities, SQSMS organisation…
• 3. Adequate levels of SQS: resources, manual and records management,
external providers, risk assessment and mitigation, capacity planification, control of
deviations from objectives.

• 4. Insurance and promotion of SQS: audits, surveillance, corrective and

preventive actions, feedback, collection of improvement propositions, management
system updating.

The DSNA manual will be a short high level manual, with links
to relevant documents and procedures
DSNA Manual Relevant Documents

DSNA Manual

Organisation charts

Employment description

Business plan

Letters of agreement

Lists of documents

Lists of records

Annual reports

Contingency plans
DSNA Manual Relevant Procedures

DSNA Manual

Documentation Management

Records Management

Expertise Management

Safety Assessment Studies

Incident Analysis

Internal Audits

Corrective Actions Follow up

Security Procedures
 Continuous Surveillance

 Through Safety Occurences

 by DCS and MSQS
 input data : safety occurences, BEA recommandations,
Eurocontrol,…

 Through Safety Studies

 DCS (ESARR1)
- major changes  To get DCS agreement
- minor changes  To inform DCS
- DSNA procedures « safety studies »
 To get DCS approbation
 MSQS
 Letter of agreement DCS-DSNA

 Through audits
 DCS external audits (to check compliance with regulation)
 MSQS internal audits
 Summary of the presentation

• Presentation of French ANSP and Bordeaux ACC.

• European Safety Regulatory Requirements (ESARR) and ISO 9001 requirements.

• Implementation of a Safety and Quality Management System in Bordeaux ACC:

an integrated ISO process leading to certification.

• Reorganisation of French DGAC:

Regulator, Surveillance Authority and ANSP.

• ANSP Certification Process, initiated by DCS and DSNA

• Benefits of the Certification Process for Bordeaux ACC.

 Main improvements provided by the
SQMS implementation
ESARR2 :
Safety occurrences are reported or detected(1)  are entered into a national data
bank; are analysed and classified :
- In Local Safety Commissions (technical or operational) for the more significant
occurrences, with the controllers concerned and together with the management
- In local Safety meetings every month
- In a national Safety Commission (CNSCA) for the more significant operational
occurrences
 Causes are identified
 Corrective and preventive actions are decided
 The list of actions to be taken is monitored and updated every month
 3 times a year, the head of people in charge of safety occurrence analysis
presents the more significant events to all the controllers (the situation which
has been recorded is « re-played »)
(1) Spacing < 5 NM and < 1000ft are automatically detected
 Main improvements provided by the
SQMS implementation
ESARR3 and ISO 9001:
• A Safety and Quality Policy
• Objectives & performance indicators - Everyone can consult them
• New quality and safety quantitative levels
• All the documentation has been updated :
– All the operational manuals (for controllers, for supervisors, for technical
supervisor, for people in charge of alert service or information service,…)
– All the documentation on the control positions
– All the documentation in technical supervision
– Some « actions to take cards » are easy to find for urgency procedures
• Tracing has been improved
• Internal auditing has been implemented
• Internal and external communication has been improved
 Main improvements provided by the
SQMS implementation
ESARR4 :
• Using a Method for Interventions on Operational Systems for risk
assessment and mitigation for each planned intervention on technical
systems supporting ATC services
(MISO : Méthode d’Intervention sur Système Opérationnel)
- To identify the worst risk  define procedures to mitigate the risk
- To give information to all the people involved

• Using a method to support the decision process when evaluating if a

change deserves a full safety assessment process or not : EPIS
• Using a Project Management Method for significant changes to the ATM
system :
– One person in charge of planning
– Very short meetings every week with everybody involved, to identify all risks,
problems, delayed tasks, and to update the schedule
 anticipation improvement
 EPIS global process

Identification of the change

EPIS for airspace design
EPIS for equipment
and procedures

Contribution to a known hazard characterization of the size

Contribution to a support service characterization of the risk

Identification of severity of Worst

Credible Case (WCC)

Justification of risk
acceptability

Regular Safety Assessment ?

No Yes

No need for further assessment Regular Safety Assessment

 Simplified temporal scale for a project

Example : case of new system

T- x months T- x weeks T

Mentor (Project Management Tool)

EPIS

Safety Plan and Safety Case

MISO

Safety Assurance

Beginning of Put in operation End of the

the Projet after formal Project
decision
 Main improvements provided by the
SQMS implementation

ESARR 5 :
• Controllers
– All the different types of training have been defined (initial and continuous
training)
– Everyone involved in safety has to follow the required training
– The controllers have to pass an exam every three year to maintain their
qualification
– Everyone must have an updated medical certificate ; this certificate needs
special requipements for the controllers
• Technical staff:
– organisation of training has been done – will be improved in 2006.
– a procedure to qualify technical for maintenance is in the process of
being finalized.
 Main improvements provided by the
SQMS implementation

ESARR 3 :
• A special national organisation for safety management has been set
up, to overview the level safety, and to follow problems which
requires a national solution.
• There is a national feedback organisation for occurrences which
happen in one ACC and could happen in others ACC
 DO Direction
National
organisation
Operations Technical Safety for Safety
Commission
DO Safety National Group Management
Coordination

D1 D2 D3

National Safety Management National Safety Management

Review meeting « en-route » Review meeting « Approach »
+ Safety Coordination + Safety Coordination

Airport Safety Management

ACC Safety Management
Review meeting
Review meeting

Safety Safety
LSC Ops LSC T
LSC Ops LSC T Coordination
coordination

Operations Technical Operations Technical

Safety meeting Safety meeting Safety meeting Safety meeting
 Intranet site

To collect all the documentation about the Safety and Quality

Management System, an Intranet site has been developed,
including:
– The european and national requirements
– Safety policy and objectives
– Description of responsibilities
– All documents describing the system : processes, procedures, …
– Information on audits (planning and results)
– Indicators
– Records :
• Safety Management Review meetings reports,…

Intranet site : CRNA/SO Safety and Quality Manual

Thank you for your attention