Mrs Patricia TROISFONTAINE and MrJean-Michel BOIVIN

1. Presented by Mrs Patricia TROISFONTAINE and MrJean-Michel BOIVIN Certification of the French Air Navigation Services Provider 

2. 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.

3. 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.

4. 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.

5. SNA/RP SNA/N SNA/SE Paris ACC SNA/O SNA/CE SNA/SO Brest ACC SNA/NE SNA/S Bordeaux ACC SNA/AG SNA/SSE SNA/OI Reims ACC Marseille ACC DSNA HEADQUATERS (Paris – Except HR in Athis-Mons) Safety-QualitySecurityAnne Frisch EnvironmentPierre-Yves Huerre Finances Hervé Toro Human ResourcesJean-Michel Boivin Planification & Strategy Raymond Rosso International adviser Maurice Georges Communication Cell Jean-Marie Piduch Scientic Adviser Dominique Colin de Verdière Direction des Opérations Françoise Deygout TECHNICAL (Toulouse except part of R&D - in Athis-Mons) Direction de laTechnique et de l ’Innovation Jean-Marc Faysse OPERATIONS (Headquaters in Athis-Mons, south of Paris) Deputy en-route Jean-Claude Coulardot Deputy APP / TWR Pascal Planchon Central Systems AIM Operational Systems Daniel Azéma Research & Development Philippe Merlo 8000 people 5 ACC 11 regional units (« SNA ») APP/TWR + 1 ACC overseas

6. Operations Directorate Organisation Chart Operations Directorate ACC Deputy SNA Deputy SQMS Advisor General Secretary Paris SNA Paris ACC Brest ACC Safety & Performance Division Administrative Division SNA-N SNA-O Bordeaux ACC SNA-S Airspace Division Technical Division SNA-SO Marseilles ACC SNA-SSE SNA-SE Reims ACC SIA Aeronautical Information Centre CESNAC Systems Operation Centre SNA-CE SNA-NE

7. Inter-ACCs Yearly Flows

8. France Traffic Evolution • International : +4,86% • Domestic : -5,54% • Overflights: +4,76%

9. France Traffic Forecasts

10. France UIR UAC REIMS UAC PARIS UAC BREST UAC BORDEAUX UAC AIX UAC MADRID UAC BARCELONE 

11. Bordeaux ACC Organisation Chart

12. Main Overflight Tracks Bordeaux UIR Canary Islands Balearic Islands 

13. Bordeaux UIR Routes and Sectorisation CDN ANG P NEV NTS LCA MOU L POI 3 layers Ill 355 315 195 ROA THR R LMG CFA CGC T BDX X MEN SAU MTL GAI AGN Z TOU FJR BTZ H TBO N PPG PPN

14. LFBH LFBL LFBG LFBX LFBE LFBD LFBA LFCR LFBM LFBO LFBZ LFBP LFBT FIR sectors NL BN SL BS TA TG

15. Bordeaux ACC Traffic Evolution From 1948 to 2004

16. 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.

17. 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

18. Service Provider SMS INTERNAL VERIFICATION (Safety Surveys/Audits/Reviews) HOW IUSOAP WORKS? ICAO UNIVERSAL SAFETY OVERSIGHT PROGRAMME ICAO National Regulator SAFETY OVERSIGHT

19. Management Team Unsafe Decision Line Management Fails to Correct ACCIDENT Controller or Engineers Error Unsafe or Untested Procedures A Safety Mangement System : Why ? How an Accident Could Happen The Reason Model Accident Shields Latent Unsafe Conditions and Acts Result Window of Opportunity  A Safety Management System acts at each level

20. 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

21. Contributors to incidents

22. ATCOs Surveillance Support Communication People Equipment Engineers Navaids Procedures Information SYSTEM ATC Operating Maintenance SMS = A total system approach Safety Management Systems

23. Schematic Representation of SMS Requirements in accordance to ESARR 3 • SAFETY POLICY LEVEL SAFETY OBJECTIVE TO MINIMISE THE ATM CONTRIBUTION TO THE RISK OF AN AIRCRAFT ACCIDENT SAFETY MANAGEMENT TO IMPLEMENT A FORMAL AND EXPLICIT SAFETY MANAGEMENT APPROACH SAFETY RESPONSIBILITY EVERYBODY HAS AN INDIVIDUAL SAFETY RESPONSIBILITY FOR HIS/HER OWN ACTIONS SAFETY PRIORITY OVER COMMERCIAL, OPERATIONAL, ENVIRONMENTAL OR SOCIAL PRESSURES TO ACHIEVE SAFETY MEANS FOR ACHIEVING HIGH SAFETY STANDARDS REQUIREMENTS FOR SAFETY MANAGEMENT SYSTEMS AN APPROPRIATE ORGANISATION COMPETENCYSTAFF TRAINED, MOTIVATED AND COMPETENT TO ENSURE SAFETY MEANS FOR PROVIDING ASSURANCE THAT RISKS ARE BEING PROPERLY MANAGED SMS DOCUMENTATION THE SMS IS A DOCUMENTED SYSTEM ARISING FROM A SAFETY POLICY SAFETY MANAGEMENT RESPONSIBILITY A SAFETY MANAGEMENT FUNCTION WITHIN THE ORGANISATION SYSTEMATIC ACTIONS CONCERNING THE STEADY STATE EXTERNAL SERVICES DEALING WITH EXTERNALLY PROVIDED SERVICES SAFETY SURVEYS SAFETY HAS TO BE VERIFIED INTERNALLY AND CONTINUOUSLY TO PROMOTE SAFETY MEANS TO BUILD A SAFETY IMPROVEMENT CULTURE WITHIN THE ORGANISATION SAFETY MONITORING CONTINUOUS MONITORING AND ANALYSIS OF SAFETY INDICATORS SYSTEMATIC ACTIONS QUANTITATIVE SAFETY LEVELS DERIVING QUANTITATIVE LEVELS WHEREVER PRACTICABLE DOCUMENTING SYSTEMATIC ACTIONS AND CHANGES LESSON DISSEMINATION DISSEMINATING PAST LESSONS WITHIN THE ORGANISATION SAFETY OCCURRENCES ATM OPERATIONAL OR TECHNICAL OCCURRENCES ARE INVESTIGATED INTERNALLY SAFETY RECORDS RECORDS ARE PRODUCED AND MAINTAINED THROUGHOUT THE SMS OPERATION SAFETY IMPROVEMENT INVOLVING ALL STAFF AND IMPLEMENTING THE IMPROVEMENT OF SAFETY AS A CONTINUOUS PROCESS RISK ASSESSMENT AND MITIGATION THE SAFETY OF NEW SYSTEMS AND CHANGES IS TO BE DEMONSTRATED USING A RISK BASED APPROACH. RISK IS ASSESSED AND MITIGATED. RISK ASSESSMENT AND MITIGATION DOCUMENTATION THE RESULTS OF RISK ASSESSMENT AND MITIGATION PROCESSES ARE DOCUMENTED THROUGHOUT THE SYSTEM LIFECYCLE May 2001 - EUROCONTROL SRC

24. 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

25. 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

26. 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

27. 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.

28. Single European Sky – Common Requirements NSA PRC USERs Single Sky regulation on service provision Information disclosure Specifications : Business plans Annual plans Annual reports NATIONAL REGULATIONS FOR : Security and sovereignty, Finance & accounting, Legal liabilities, Social rights, ….. Ownership and organisational structure Financial strength Liability and insurance cover Security OACI Annexes OACI SARP’s Technical and operational competence and suitability ISO 9000 Reporting systems ESSAR 2 other ANSPs Systems and processes for safety and quality management ESSAR 3 & 4 Human resources ESSAR 5 Single Sky regulation on interoperability Quality of services

29. P D A C 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 • Infrastructure, environment • Planning of product realisation, review of the requirements related to the product • Design and development • Purchasing • Control of production , control of non-conforming product • Measurement, analysis and improvement Deming wheel Plan DoCheckAct

30. 5. Direction Responsibility 8. Measures, Analysis Improvement 6. Resources Management 7. SERVICE PROVISION Service Output data Input data QMS continuous improvement REQUIREMENTS S A T I S F A C T I O N

31. 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

32. 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

33. 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.

34. Sept. 2004 Oct. 2004 Jan. 2005 April 2002 23.02.05. ESARR audit by the DNA ISO 9001 Pre audit Certification Audit ISO 9001 Certification Bordeaux ACC ISO 9001 Certification • No exclusion : • neither in Bordeaux ACC activities • nor in ISO 9001 requirements

35. 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

36. 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

37. 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

40. 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.

41. 2005 A New Organisation 2005 : French CAA (DGAC) has restructured and modernised its organisation in an effort to increase customer satisfaction and improve efficiency.

42. 2005 A New Organisation New organisation copes with European regulations and with French state modernisation.

43. 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

44. 2005 DGAC New Organisation STRATEGY & REGULATION (DAST and DRE) Strategic and Technical Affairs Economic Regulation AIR NAVIGATION SERVICES PROVIDER (DSNA) Three fields of activity PROVIDERS • AERONAUTICAL TRAINING PROVIDERS (ENAC and SEFA) Supervisory authority is independant of ANSP NATIONAL SUPERVISORY AUTHORITY (DCS)

45. directiongénéralede l’Avtioncivile Directorate General Of Civil Aviation 2005 New organisation DAST STRATEGY & REGULATION Government Representative DCS NATIONAL SUPERVISORY AUTHORITY ANSP Certification and Supervision Procedures, Safety analysis… Regulation Participation to international meetings Certificates, audits DSNA Air Navigation Services Provider

46. OACI EC / EASA Eurocontrol DGAC Regulator DAST Direction des Affaires Stratégiques et Techniques Strategy + Regulation DCS Direction du Contrôle de la Sécurité Checks compliance with european regulation Foreign Providers (CH, G, Jersey) Defense AFIS Meteo France Over Seas Polynésie Française Nouvelle Calédonie St Pierre et Miquelon DSNA ANSP Air Navigation Services Providers

47. 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.

48. 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

49. 2005 A New Organisation To know more about it, see www.dgac.fr

50. 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.