AERONAUTICAL INFORMATION SERVICES AND CARTOGRAPHY INSPECTORS

AERONAUTICAL INFORMATION SERVICES AND CARTOGRAPHY INSPECTORS VIRTUAL COURSE

CHAPTER TWO The AIS and Cartography Safety Oversight

COURSE CONTENT Aviation Safety Oversight and the USOAP-CMA; The AIS and Cartography Safety Oversight Development and Review Regulations and other Oversight Documentation Tools used in AIS and Cartography oversight Audit/Inspection of an AIS and Cartography Providers Post-Audit Activities and audit/inspection Outcomes AIS and Cartography Competency Assessment and Certification (CE - 6) Continuous Surveillance of an AIS and Cartography provider (CE -7) Resolution of AIS and Cartography safety issues (CE - 8) Enforcement of AIS and Cartography Related Standards and Regulations (CE - 8)

COURSE OBJECTIVES At the end of this course the participant should be able to: Describe the ICAO Safety Oversight function and the USOAP/CMA; Demonstrate an understanding of the State Safety Oversight including the AIS and Cartography Inspector Roles within the Oversight organization Understand the duties and responsibilities an AIS and Cartography Inspector; Develop and Review Regulations, Guidance Material and other oversight documentation Develop and effectively utilize the tools used for the oversight of AIS and Cartography Service Providers; Conduct an Audit of an AIS and Cartography Service provider; Write and disseminate an audit report and undertake follow-up activities; Be able to undertake Resolution of safety issues and enforcement actions

Introduction The aviation safety inspector is a qualified person authorized by the State to carry out safety oversight activities for civil aviation (Doc 10070). On the other hand Safety oversight is a function performed by a State to ensure that individuals and organizations performing an aviation activity comply with safety-related national laws and regulations (Doc 9734) . Consequently for one to undertake the roles of an AIS or Cartography Inspector he/she has to be qualified and be authorized to undertake the function. To effectively fulfil its oversight responsibilities, a State civil aviation system needs to be: properly organized, and; staffed with qualified personnel capable of accomplishing the required wide range of technical duties involved in safety oversight. 5

Introduction The CAA must establish favourable conditions for the inspector to be able to work or execute the required tasks Requires delegation of specific powers of authority to Inspectors to support the accomplishment of their tasks. This form of arrangement needs to be contained in the primary aviation law It is also necessary that States create favorable conditions that allow oversight inspectors and auditors to discharge their duties. These include: Establishment of clear and comprehensive workplace policies and procedures; Provision of a safe working environment; and Supplying inspectors and auditors with adequate workplace resources. 6

Introduction AIS and Cartography Inspectors Qualification Criteria; States define qualification criteria for their auditors/inspectors so as to ensure an appropriate level of knowledge, training, experience and competency, covering at minimum, the following aspects: knowledge and understanding of the requirements against which audits and inspections are to be performed; techniques of examining, observing, interviewing, evaluating and reporting; skills required for managing an audit/ inspection such as planning, organizing, communicating, documenting and directing competency of auditors/inspectors that should be evaluated on a regular basis. 7

Introduction AIS and Cartography Inspectors Qualification Criteria; Since the inspector will be responsible for implementing the audit/inspection programme, s/he should have the necessary competence to do so; Should be able to take care of the associated risks and opportunities and external and internal issues effectively and efficiently, including knowledge of: a) audit principles methods and processes; b) applicable regulations ,standards and reference/guidance documents; c) information regarding the auditee and its context (e.g. external/internal issues, relevant interested parties and their needs and expectations, business activities, products, services and processes of the auditee); d) applicable statutory and regulatory requirements and other requirements relevant to the business activities of the auditee. 8

Inspector Qualification Requirements The auditors/inspectors should be knowledgeable on audit principles, procedures and methods; Be able to comprehend the audit scope and apply audit criteria depending the area of inspection; Application of the audit criteria will allow verification of compliance and a point of reference against which the audit evidence is compared; The auditors/inspectors should be aware of the legal, regulatory and policies of the organization and be able to work within the framework. . 9

Inspector Qualification Requirements AIS & Cartography Auditors/inspectors should have: a) achieved competency through formal education (academic) that is stipulated by the organization for the position held; b) Have undertaken specific professional training; c) Accumulated relevant technical experience commensurate to the function that is being oversighted (5 years ); d) Undergone requisite OJT as an inspector with an experienced officer who will in turn certify that he has attained the desired audit experience. 10

Inspector Qualification Requirements The CAA should competencies of inspectors. establish its AIS and and control the Cartography it should provide training or take other actions to reach the established level of competency, and it should evaluate the effectiveness of these actions. The CAA should ensure that safety inspectors are competent to carry out the tasks assigned to them; and that they are aware of the consequence of their actions for aviation safety. 11

Inspector Qualification Requirements For the officers who are joining the inspectorate the following qualifications may be mandatory. However, this may vary from state to state. a) a broad air navigation service background of five years or more; b) experience cartography in aeronautical information service and c) experience in technical training, on job training and use of various systems and applications deployed by the service provider d) a reputation for possessing tolerance and patience; and e) training in auditing techniques. qualities of initiative, tact, 12

Roles of an AIS Oversight Organization The AIS oversight organization is meant to support State in achieving its oversight mandate. It’s key roles include: a) Facilitate the recruitment of adequate and competent inspectorate personnel (apply a methodology to determine the staffing needs) b) Facilitate continuous training of the inspectorate team; c) Establishing State safety standards and approving AISP Quality Management Systems documentation; d) Monitoring compliance with safety standards and QMS through routinely and objectively auditing and inspecting the AISP; e) Development and review of the legislation and regulations for the oversight function; 13

Roles of an AIS Oversight Organization The AIS oversight organization is meant to support State in achieving its oversight mandate. It’s key roles include .continued: f) Putting systems in place to facilitate competency assessment of the AIS personnel (as may be applicable); g) Monitoring the AIS & Cartography Service providers’ corrective actions and continuous ensure service delivery improvement; h) Providing On-job training to AIS and Cartography Oversight technical personnel; i) Certificating AISPs (where provided in law). 14

Inspector Duties and responsibilities The AIS and Cartography tasks are not static but dynamic in nature; Inspectors’ duties have to adapt to the changing regulatory environment and the specific needs of their oversight organization. Have to adapt the priciples and guidelines provided by ICAO The principal operational duties of inspectors will normally be focused on inspection, certification and on-going surveillance. 15

Duties of an AIS/Cartography Inspector Development and review of regulations Development and review of technical guidance material Undertake / conduct of audits and inspections, generation of reports and making associated follow-ups for compliance Oversight of AIS and Cartography functions , including the QMS; Tracking the ICAO State letters and providing applicable responses as per the state work flow; Review and recommending for approval the ANSP operations manual, QMS manual training programme and plan and recommending the same for approval; Review of the aeronautical products for approval purposes Review of IFPs (where the role is assigned) and recommending the same for approval Management of various records 16

Duties and responsibilities of AIS Inspectors 1. Certification of the ANSP (where applicable) ICAO Doc 9734 Part A para 3.6.3.5 states that “Although some States require the certification of ANS providers, such certification is not mandatory according to ICAO provisions; Where the above obtains in a particular state then the role of the inspector shall be to ensure that the service providers effectively comply with the safety-related national legislation. 17

Duties and responsibilities of AIS Inspectors 1. Certification of the ANSP (where applicable) In circumstances where an authorization is given to provide any of the ANS services ( including AIS and Cartography) then the following aspects apply: The purpose of issuing a certificate is to certify that a specified ANSP/AISP operations are authorized by the State and are to be conducted in compliance with applicable regulations and rules. The CAA will need to establish procedures for the issuance of the certificate and for the continuing safety oversight and inspection. The Inspector will have to participate in the five phase certification process that includes pre-application phase, formal 18 application phase, document evaluation phase, demonstration and inspection phase and the certification phase.

Duties and responsibilities of AIS Inspectors 2. Surveillance Monitor the performance of the AIS and Cartography Services provider to ensure compliance with promulgated regulations and standards; Undertake regular audits/inspections to ensure compliance in the provision of AIS and Cartography Services including the implementation of quality management system; Where implemented ensure all personnel involved in the provision of services have the necessary competency in accordance with applicable regulations; Review AISPs Manuals of operations or other relevant documents and recommend for approval or amendments thereto; 19

Duties and responsibilities of AIS Inspectors 3. Surveillance Cont. Evaluate AIS and Cartography training programmes to ensure that training provided addresses the ability of staff to provide the required services for the safety, regularity and efficiency of air navigation; Ensure that the service provider develops and implements periodic training plans that are anchored on the training programme; Where applicable evaluate and recommend for approval flight procedures subject to the state work flow. Confirm if the AISP has published the mandatory charts 20

Duties and responsibilities of AIS Inspectors 3. Surveillance Cont. Annex 4 contains the specifications for seventeen types of aeronautical charts for which an international need for uniformity has been established. Of these charts the production/availability of six types of charts is mandatory, six non-mandatory and for four types of charts the production is “conditional”. The six mandatory charts are the Aerodrome Obstacle Chart — ICAO Type A; Precision Approach Terrain Chart — ICAO; Enroute Chart — ICAO; Instrument Approach Chart — ICAO; Aerodrome/Heliport Chart — ICAO; and the World 21 Aeronautical Chart — ICAO, 1:1 000 000.

Duties and responsibilities of AIS Inspectors 4. Resolution of Safety Issues. ensure that identified safety issues are resolved in a timely manner; Provide deadlines for the submission of the corrective action plan to be taken by the service provider; Verify that corrective actions and related timeframes are appropriate, before formal acceptance of the corrective action plan. Initiate appropriate follow-up to verify the effective implementation of the corrective actions ( Develop a tracking system for the recording and following up 22 resolution of identified non-compliances)

Duties and responsibilities of AIS Inspectors 5. Regulation Transpose ICAO standards into State specific legislation and regulations; Develop/review guidance material as may be necessary to facilitate the implementation of the regulations and standards; Recommend enforcement action in areas of non-compliance. Evaluate ANSP applications and recommend for certification; Review existing legislation/regulations and recommend amendments thereto; Analyse ICAO State letters and recommend appropriate action. Undertake the approval of aeronautical products 23

AIS Inspector Training and Competencies a robust training system needs to be established and implemented by the State to ensure that technical personnel receive the required training in an effective manner and maintain their competency,. The required comprehensive training is meant to ensure that they are adequately qualified to perform their regulatory functions and duties. Acquisition of this knowledge is acquired through a combination of: a) formal training courses; and b) on-the-job training. 24

AIS Inspector Training and Competencies The concerned state ought to develop and implement a policy established and signed at the management level; The training policy should commit to provide all necessary training to the AIS and Cartography Inspector in all areas, including initial training (e.g. induction and basic training), on-the-job training (OJT), recurrent training and specialized or advanced training; The training should be tailored to enable them execute they day to day tasks; Necessary funding should also be provided to support the training of the inspectors. 25

AIS Inspector Training and Competencies The training policy should provide for development of a Training programme for the AIS and Cartography Inspectors so as to meet the requirements of CE 4 of an effective safety oversight system. In the training programme, subjects of regulatory functions and specialized areas should be developed in order to provide overall skill and knowledge to the inspectors so as to meet the intent of the following objectives: Instilling knowledge and ethics regarding the overall functioning of the oversight organization and the regulatory framework. Familiarizing the inspectors with knowledge, procedures and practices required at various level of functioning. Standardizing the knowledge and understanding of inspectors. 26

AIS Inspector Training and Competencies Enabling the inspectors to take various decisions in their area of work. Empowering the safety inspectors with international best practices followed by other regulatory authorities. Providing guidance for technical documentation and record keeping. Orientating the inspectors towards their functioning in their specific oversight area. Optimizing resources and management of work. Developing skill and confidence through a structured On-Job Training (OJT) so as to enable the inspectors work independently and in teams. Improving the overall personality of inspectors. 27

AIS Inspector Training and Competencies a periodic training plan should be developed based on the training programme established for the staff member’s position. The training plan should detail the type of training to be provided during a specified timeframe as well as the training priorities. An AIS & Cartography Inspector shall only be authorized to perform safety oversight duties in the area or subject where the staff member has satisfactorily completed the required training and maintains the required competence. it is essential that the inspectors are also provided with training on subjects such as applicable CAA regulations, inspectors’ skills, knowledge, duties and responsibilities, and CAA procedures for 28 the implementation and enforcement of requirements

AIS Inspector Training and Competencies 1. Initial training The basic component of initial training should address the following topics: departmental ethics/conduct and discipline; overview of CAA-regulated entities and associated challenges; basics of human factors; security aspects of the safety inspector’s work; the role of safety oversight inspectors, their codified level of authority and degree of responsibility; 29

AIS Inspector Training and Competencies 1. Basic components of initial training Cont. certification and authorization policies, processes and procedures; surveillance and inspection policies, processes and procedures; audit policies, processes, and procedures; investigations and enforcement policies, processes and procedures; risk assessments; State safety programme (SSP); safety management systems (SMS); Quality Management Systems 30

AIS Inspector Training and Competencies 2. Specialized Training The purpose of specialized training is to upgrade the knowledge and competency of inspectors to be at par with international standards and for efficient functioning. During specialization training, Safety inspector candidates apply the knowledge and skills acquired during the basic phase. Often this can best be accomplished by introducing realistic, but hypothetical, scenario-based exercises. 31

AIS Inspector Training and Competencies 2. Specialized Training Cont. Specialized training should be tailored in inspectors undertaking specific tasks related to the day to day activities like: Review for approval of service provider operation manuals Review for acceptance training programmes and plans Conduct of inspections conduct a realistic risk assessment; assess a Quality Assurance programme; Note: During specialization training, the instructor should assess if the trainees demonstrate all the competencies at the level determined by the CAA. 32

Additional Training for Inspectors 3. Recurrent training This type of training is necessary to ensure that inspectors maintain competency, proficiency and keep current on latest techniques, procedures and new developments in their respective areas of expertise. Allows inspectors effectively respond to the needs of the industry, particularly when rapid improvements in technology and methodologies arise, while making sure that they are effective in their safety oversight duties covers additional specialized topics/changes/improvements within the industry relevant 33 to the inspector’s assigned area of responsibility.

AIS Inspector Training and Competencies 4. Requalification Training The CAA must establish policies regarding the maintenance of inspector competencies and qualifications. Policy addresses extended periods of absence from the inspectorate or from performing a specific function (e.g. audits or qualification checks) along with the re-training requirements to achieve and maintain the competencies to the level required. important for those individuals who represent the temporary workforce that is brought in under service agreements. 34

AIS Inspector Training and Competencies 5. Advanced Training The goal of advanced training is to enhance the competencies of experienced inspectors so they can effectively address challenging and complex oversight issues. These are competencies essential to effectively supervise the delivery of oversight programmes or lead multi-disciplinary inspection teams, including in performance-based regulatory environments. Training in the following areas can support the acquisition of competencies that inspectors should demonstrate as senior inspectors: 35

AIS Inspector Training and Competencies 5. Advanced Training Training in the following areas can support the acquisition of competencies that the inspector should demonstrate: a)programme management; b)organizational cultures and change management; c) quality management system implementation and audit techniques; d)dispute resolution; e)root cause analysis; f) corrective and preventive action plans; and g)conducting investigations and enforcement procedures 36

AIS Inspector Training and Competencies 6. On-job Training Technical personnel should satisfactorily complete OJT before being assigned safety oversight-related tasks and responsibilities. The OJT should : a) be provided by experienced, senior inspector as appropriate; and, b) follow a structured program that includes observing as the qualified inspector carries out oversight activities, working under supervision, competence 37 assessment and authorization, etc.

AIS Inspector Training and Competencies 6. On-job Training Cont. The potential inspector must, a) participate in the number of inspections specified in the training program while observing a qualified ANS Inspector conduct the audits; and, b) personally conduct the number of inspections specified in the training program under the supervision of an experienced/qualified ANS Inspector. 38

Continued Inspector Qualifications After completion of on-the job training, the AIS & Cartography Inspector will be issued with an authorization to undertake or perform inspections, investigations and audits on the service provider. The following courses may be relevant for the continued competence of the inspector. Air Navigation Services (AIS Inspectors Course) Compliance and enforcement procedures course Regulatory Auditing Techniques SSP/SMS Course AIS Data Quality Management Aeronautical Charts refresher Quality management Systems Safety Oversight Auditor’s Course Documentation, Record keeping and Report Writing Training Instructors Course USOAP CMA CBT (ANS) Basic and Advanced AIXM Surveillance Course 39

AIS Inspectors Attributes/Behaviours Inspectors should possess the necessary attributes to enable them to act in accordance with the principles of auditing. should exhibit professional behaviours during the performance of audit activities. Desired professional behaviours include being: a) ethical, i.e. fair, truthful, sincere, honest and discreet; b) open-minded, i.e. willing to consider alternative ideas or points of view; c) diplomatic, i.e. tactful in dealing with individuals; d) observant, i.e. actively observing physical surroundings and activities; e) perceptive, i.e. aware of and able to understand situations; f) versatile, i.e. able to readily adapt to different situations; 40

AIS Inspectors Attributes/Behaviours Desired professional behaviours .continued: g) tenacious, i.e. persistent and focused on achieving objectives; h) decisive, i.e. able to reach timely conclusions based on logical reasoning and analysis; i) self-reliant, i.e. able to act and function independently while interacting effectively with others; j) able to act with fortitude, i.e. able to act responsibly and ethically, even though these actions may not always be popular and may sometimes result in disagreement or confrontation; k) open to improvement, i.e. willing to learn from situations; l) culturally sensitive, i.e. observant and respectful to the culture of the auditee; 41 m) collaborative, i.e. effectively interacting with others, including audit team members and the auditee’s personnel.

AIS Inspectors’ Knowledge and Skills Inspectors should possess the knowledge and skills necessary to achieve the intended results of the audits/inspections that they are expected to perform. An auditor should be able to: a) understand the types of risks and opportunities associated with auditing and the principles of the risk-based approach to auditing; b) plan and organize the work effectively; c) perform the audit within the agreed time schedule; d) prioritize and focus on matters of significance; e) communicate effectively, orally and in writing (either personally, or through the use of interpreters); f) collect information through effective interviewing, listening, 42 observing and reviewing documented information, including records and data;

AIS Inspectors’ Knowledge and Skills An auditor should be able to . continued: g) understand the appropriateness and consequences of using sampling techniques for auditing; h) understand and consider technical experts’ opinions; i) audit a process from start to finish; j) verify the relevance and accuracy of collected information; k) confirm the sufficiency and appropriateness of audit evidence to support audit findings and conclusions; l) assess those factors that may affect the reliability of the audit findings and conclusions; m) document audit activities and audit findings, and prepare reports; 43 n) maintain the confidentiality and security of information accessed.

Inspector Competencies The oversight inspector competencies are used to reliably predict successful performance of inspectors in the performance of their duties and tasks. This is especially useful as inspectors need to adapt to a changing regulatory environment. Over the course of their careers, inspectors will find themselves in unusual and frequently complex situations. Depending upon the circumstances, they can be called upon to act as observers, analysts, investigators, auditors, mediators, negotiators, technical experts, judges or even as witnesses. Technical expertise alone does not prepare a person to function competently in such an environment. 44

The ICAO Inspector Competency Framework For these reasons, ICAO Promotes a competency framework for safety oversight inspectors. The ICAO competency frameworks present a set of competencies for a given aviation discipline. Each competency has an associated description and observable behaviours. It is a generic blueprint to guide the development and maintenance of a strong inspectorate workforce. The ICAO Civil Aviation Safety Inspectors’ competency framework should be adapted by States to the context of the oversight organization in which the inspectors work. . 45

INSPECTORS AND THE FUTURE Conclusively Implementing competency-based assessment can yield the following benefits: training and a) It ensures that inspector’s achieve a level of performance that enables them to work independently and effectively. b) It supports decision-makers/managers in monitoring the ongoing competence of inspectors through the identification and collection of assessment evidence. c) It supports the early identification of performance gaps and the design of more effective training to close the performance gap. d) It supports the development of effective recruitment and selection tools. e) It supports a more accurate analysis of how the inspector tasks, techniques and methods will be affected by changes which, in 46 turn, will support the development of more effective continuation training.

Issuance Inspector Credentials all technical personnel authorized to perform licensing, certification, approval and/or surveillance functions, as applicable, need to possess appropriate credentials (with the empowering legislation indicated)- (ICAO Doc 9734 para. 3.3.2.2 ); The credential identifies the inspectors as technical experts employed by the CAA, with the right to unlimited and unrestricted access to aircraft, aviation-related documents, aerodromes, ANS and other relevant facilities and the associated inspection powers, as applicable and as provided by the primary legislation. They also need to be provided with guidance that addresses ethics, personal conduct and the avoidance of actual or perceived conflicts of interest in the performance of official duties Use of Credentials a) The credentials shall be used only in the conduct of official business b) Holders of credentials are responsible for their proper safekeeping at all times c) Misuse or improper possession of the credentials can subject the offender 47

Safety Management System 48

Safety Management System Introduction: Safety management system is a systematic approach to managing safety, including the necessary organizational structures, accountability, responsibilities, policies and procedures. Safety management seeks to proactively mitigate safety risks before they result in aviation accidents and incidents. Helps States to manage their safety activities in a more disciplined, integrative and focused manner 49

Safety Management System Benefits of Safety Management a) Strengthened safety culture – When management actively endorses safety as a priority, it is typically wellreceived by personnel and becomes part of normal operations. b) Documented, process-based approach to assure safety – the documentation can be understood by all allows controlled changes when continuously improving the safety programme/system. c) Better understanding of safety-related interfaces and relationships –can benefit the organization’s understanding of the interprocess relationships, leading to an enhanced understanding of the end-to-end process 50 and exposing opportunities for increased efficiencies.

Safety Management System Benefits of Safety Management d) Enhanced early detection of safety hazards – Improves the State/service provider's ability to detect emerging safety issues, which can prevent accidents and incidents through the proactive identification of hazards and management of safety risks. e) Safety data-driven decision-making – Improves the State/service provider's ability to gather safety data for the purpose of safety analysis. f) Enhanced communication of safety – Provides a common safety language throughout an organization that is a key enabler to the development of a common understanding of the organization’s safety goals and accomplishments. g) Evidence that safety is a priority – Demonstrates how management supports and enables safety, how safety risks are identified and managed, and how safety performance is continually improved, 51 resulting in increased confidence by the aviation community, internal and external to the organization.

Safety Management System Benefits of Safety Management h) Possible financial savings – May allow for some service providers to qualify for a discount on their insurance premiums and/or a reduction to their workers’ compensation premiums based on their SMS results. i) Improved efficiencies – Possible reduction in the cost of operations by exposing inefficiencies in existing processes and systems. Integration with other internal or external management systems may also save on additional costs. j) Cost avoidance – Through the proactive identification of hazards and safety risk management (SRM), the cost 52 incurred due to accidents and incidents can be avoided.

Safety Management System Implementing Safety Management The following aspects should be addressed as the first steps in implementing SSP or SMS requirements: a) Senior management commitment: It is essential that senior management of all State aviation agencies is committed to effective safety management implementation. b) Compliance with prescriptive requirements: The State should ensure that a mature safety oversight system is in place for the licensing, certification, authorization and approval of individuals and organizations performing aviation activities in their State, including qualified technical personnel. Service providers should have processes in place to 53 ensure continued compliance with the established prescriptive requirements.

Safety Management System Implementing Safety Management cont c) Enforcement regime: The State should establish an enforcement policy and frameworks to enable parties to manage and resolve deviations and minor violations. d) Safety information protection: It is essential that States put in place a protective legal framework to ensure the continued availability of safety data and safety information. 54

Safety Management System SMS Framework Annex 19 specifies the framework for the implementation and maintenance of an SMS. Regardless of the service provider’s size and complexity, all elements of the SMS framework apply. The implementation should be tailored to the organization and its activities. The framework comprises four components and twelve elements as the minimum requirements for SMS implementation. 55

Safety Management System SMS Framework # 1. Component Safety policy and objectives Element 1.1 Management commitment 1.2 Safety accountability and responsibilities 1.3 Appointment of key safety personnel 1.4 Coordination of emergency response planning 2. Safety risk management 1.5 SMS documentation 2.1 Hazard identification 2.2 Safety risk assessment and mitigation 3. Safety assurance 3.1 Safety performance monitoring and measurement 3.2 The management of change 3.3 Continuous improvement of the SMS 4. Safety promotion 4.1 Training and education 4.2 Safety communication 56

State Safety Programme SSP Objective The State safety programme includes activities as diverse as safety regulations, safety oversight, mandatory and voluntary reporting systems, accident and incident investigations, safety data analysis and exchange, safety assurance and safety promotion; As part of a State’s safety programme, it is necessary for the State to require air operators to implement safety management systems (SMS) acceptable to the State; The requirement for SMS also extends to ATS providers, certified aerodrome and heliport operators 57 and approved maintenance organizations (AMOs).

Safety Management System AIS Safety Considerations Annex 19 – Safety Management requires certain service providers to implement a safety management system (SMS) whose activities are directly related to flight operations, such as aerodromes operators, aeroplane or helicopter operators, ATS providers, maintenance Organizations etc. the SMS provisions in Annex 19 do not directly apply to AIS providers; AIS providers can make a significant contribution to the safety of the products or services of other service providers that are required to have an SMS. mechanisms should be established for contributing to the 58 SMS process of those service providers required to have one.

Safety Management System Implementation of SMS by AIS Service Providers. AIS organizations should consider the following aspects with respect to the SMS activities and processes of other service providers they interface with: a) SMS awareness and training, to ensure that AIS personnel are aware of the SMS within other service providers; b) safety communication, to ensure awareness of the SMS to a degree commensurate with their roles and responsibilities; c) hazard identification (in cooperation with other service providers), to effectively support other service providers in identifying hazards associated with aeronautical products and services; and d) safety risk assessment and mitigation (in coordination with 59 other service providers), to support other service providers analyse, assess and control the safety risks associated with

Quality Management System 60

Quality Management System Definitions (Annex 15) Quality. Degree to which a set of inherent characteristics fulfils requirements . Quality assurance. Part of quality management focused on providing confidence that quality requirements will be fulfilled Quality control. Part of quality management focused on fulfilling quality requirements. Quality management. Coordinated activities to direct and control an organization with regard to quality. 61

Quality Management System Requirements (Annex 15) 3.6.1 Quality management systems shall be implemented and maintained encompassing all functions of an AIS, as outlined in 2.2. The execution of such quality management systems shall be made demonstrable for each function stage. 2.2.1 An AIS shall ensure that aeronautical data and aeronautical information necessary for the safety, regularity and efficiency of air navigation are made available in a form suitable for the operational requirements of the air traffic management (ATM) .: 62

Quality Management System Fundamental Concepts An organization focused on quality promotes a culture that results in the behaviour, attitudes, activities and processes that deliver value through fulfilling the needs and expectations of customers and other relevant interested parties. The quality of an organization’s products and services is determined by the ability to satisfy customers. The quality of products and services includes not only their intended function and performance, but also their perceived value and benefit to the customer. A QMS comprises activities by which the organization 63 identifies its objectives and determines the processes

Quality Management System Fundamental Concepts Top management support of the QMS enables: provision of adequate human and other resources; monitoring processes and results; determining and evaluating of risks and opportunities; implementing appropriate actions 64

Quality Management System General QMS Requirements Annex 15 stipulates the following provisions as being key in the implementation of QMS: QMS (Policies, Processes and Procedures) Metadata (5Ws –What, Why, When, Who, Where) Competency Currency) (Qualifications, Assessments and Assurance( Accuracy, Traceability, Currency) Monitoring; and Audit (compliance, resolution of non conformities and 65 documentation)

Quality Management System 1. QMS 3.6.5 Each quality management system shall include the necessary policies, processes and procedures, including those for the use of metadata, to ensure and verify that aeronautical data is traceable throughout the aeronautical information data chain so as to allow any data anomalies or errors detected in use to be identified by root cause, corrected and communicated to affected users. 66

Quality Management System 2. Competency 3.6.4 Within the context of the established quality management system, the competencies and the associated knowledge, skills and abilities required for each function shall be identified, and personnel assigned to perform those functions shall be appropriately trained. Processes shall be in place to ensure that personnel possess the competencies required to perform specific assigned functions. Appropriate records shall be maintained so that the qualifications of personnel can be confirmed. Initial and periodic assessments shall be established that require personnel to demonstrate the required 67 competencies. Periodic assessments of personnel shall be used as a means to detect and correct shortfalls in

Quality Management System 3. Metadata 3.6.5 Each quality management system shall include the necessary policies, processes and procedures, including those for the use of metadata, to ensure and verify that aeronautical data is traceable throughout the aeronautical information data chain so as to allow any data anomalies or errors detected in use to be identified by root cause, corrected and communicated to affected users. 4.2.1 Metadata shall be collected for aeronautical data processes and exchange points. 4.2.2 Metadata collection shall be applied throughout the aeronautical information data chain, from68 origination to distribution to the next intended user.

Quality Management System 3. Metadata PANS-AIM – 10066. The metadata to be collected shall include, as a minimum: a) the names of the organizations or entities performing any action of originating, transmitting or manipulating the data; b)the action performed; and c) the date and time the action was performed. 69

Quality Management System 4. Assurance 3.6.6 The established quality management system shall provide users with the necessary assurance and confidence that distributed aeronautical data and aeronautical information satisfy the aeronautical data quality requirements. 5. Monitoring 3.6.7 All necessary measures shall be taken to monitor compliance with the quality management system in place. 70

Quality Management System 6. Audit 3.6.8 Demonstration of compliance of the quality management system applied shall be by audit. If nonconformity is identified, initiating action to correct its cause shall be determined and taken without undue delay. All audit observations and remedial actions shall be evidenced and properly documented. 71

Implementation of a quality management Quality Management System system Implementation of the system can impact aeronautical data quality, aeronautical data and aeronautical information product or service quality and operational efficiency; Should encompass all functions of an AIS provider; it ensures that the aeronautical data and aeronautical information provided complies with specific quality standards. critical for the successful transition to data-centric AIM; High-quality aeronautical information is essential to 72

Quality Management System Benefits of Attaining QMS Certification a) Customer needs identified, met and monitored within a consistent management framework; b) Continuous improvement and enhanced quality culture embedded in the organization; c) Clear processes in place to address poor-quality/non-conforming products; d) Well-defined procedures and processes – employees know what to do and how to do it; e) Enhanced teamwork, and internal and external communication; f) Greater clarity of job specifications, descriptions and duties; g) Greater quality assurance of products and services; h) Significantly improved documentation processes and procedures i) Improved document control, which enhances the ability j) Competencies are identified, gained and maintained through appropriate training; k) Job satisfaction of employees can be significantly improved; l) Risk-based thinking – identifying opportunities and threats; m)Enhanced understanding of the context of the organization – internal and external 73

Quality Management System Implementation of a quality management system The Implementation of QMS involves the following activities:a) establishment of a quality policy and quality objectives, b) quality planning, c) quality control, d) quality assurance; and e) quality improvement 74

Quality Management System Implementation of a quality management system QMS implementation steps AIS Quality objectives Sample Procedures 75

Quality Management System Personnel Competency an AIS provider must ensure that job descriptions, training programs, training plans and training records are developed, maintained and continuously improved based on the ICAO competency framework; The CAA to develop and implement competency-based training and assessment for AIS professionals; In the ICAO competency framework competencies are formulated in a way that ensures they can be trained for, observed and assessed consistently; To be considered competent, an individual must 76 demonstrate an integrated performance of all the required competencies to a specified standard

Quality Management System Personnel Competency The AIS competency framework assists State authorities, AIS management and AIS training organizations to develop and implement competencybased training and assessment for AIS professionals; The AIS, management can efficiently align and adapt the required competency-based training and assessment for AIS professionals to the changing environment; 77

Quality Management System Personnel Competency The ICAO AIS competency framework has identified eight competencies that are required to cover paper-based and data-centric environments a) Aeronautical awareness data and b) Coordination c) Application of procedures d) Communication e) Workload management f) Team work aeronautical g) Information management expertise h) Self-management and continuous learning information 78

Quality Management System Application of the AIS Competency Framework a) tasks shall personnel; be performed only by competent b) identify tasks and assess the required competencies; c) establish clear performance criteria to assess the competencies; d) AIS management must ensure that required competencies are trained, observed and assessed consistently within the AIS organization; e) each party involved in the process including the trainee, instructor, training organization, operator and 79 regulator must have a common understanding of the AIS competency requirements.

Quality Management System Metadata metadata enables traceability which permits pinpoint faults to a particular step in the process; having access to metadata, improvements can be applied to the aeronautical data process to reduce errors and corrupt data; to assure that metadata is collected for data origination, the metadata requirements should be part of the formal arrangements between the AIS and the data originator; metadata documenting actions must be stored and 80 maintained by the AIS to

Quality Management System An example of a NOTAM meta data (extract from a NOTAM System) 81

Quality Management System Metadata 82

Quality Management System Quality Assurance Requiremen Description t Accuracy The order of accuracy for aeronautical data shall be in accordance with its intended use. Resolution The order of resolution of aeronautical data shall be commensurate with the actual data accuracy. Integrity The integrity of aeronautical data shall be maintained throughout the data process from origination to distribution to the next intended user. Traceability Traceability of aeronautical data shall be ensured and retained as long as the data is in use. Timeliness Timeliness shall be ensured by including limits on the effective period of the data elements. Completene Completeness of the aeronautical data shall be ensured in ss order to support the intended use. 83 Data format The format of delivered aeronautical data shall be adequate to ensure that the data is interpreted in a

Quality Management System Monitoring the AISP shall implement monitoring of the quality of each product The following are the items that may be monitored in an AIS set-up a) Formal arrangements b) Automation c) Standards d) SOPs e) Product timelines f) Product correctness and completeness 84

Quality Management System Audit a) Compliance will be via undertaking of Audits b) Identification and documentation of non conformities c) Resolution of non conformities d) remedial actions shall be evidenced and properly documented 85

Quality Management System Conducting Internal Audits CLAUSE STANDARD VERIFICATION OF COMPLIANCE Clause 6.1 Actions to address risks and opportunities the risks and opportunities register actions to address identified risks Action to leverage on opportunities Clause 6.2 Quality objectives and planning to achieve them Existence of quality objectives Measure of performance Actions undertaken Clause 7.2 Competence OJT records Training records Competence assessment Clause 8.5.1 Control of production and service provision appointment of competent persons implementation of actions to prevent human error 86

End of Chapter 2 Thank You