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c) strict adherence to proven SOPs;
d) significant international cooperation;
e) utilization of technological advances; and
f) ongoing system of evaluation, monitoring and improvement.
17.1.2 Keeping aircraft safely separated while expediting the flow of traffic in a highly dynamic
situation presents unique challenges. Controller workload, traffic density and complexity increasingly pose
significant risks to aviation. The frequency of air proximities, near mid-air collisions, runway incursions,
technical losses of required separation, etc. are indicative of the continuing accident potential in the
provision of ATS.
17.1.3 As traffic volumes and complexity continue to increase, ATS supervisors, investigators of ATS
occurrences and safety managers will be required to learn more about the effects of human performance on
the actions of ATS personnel. (Appendix 1 to this chapter lists some of the more common Human Factors
issues potentially affecting human performance in the provision of ATS.)
17.1.4 Delivery of ATS is being further challenged by organizational change. Although State
authorities have traditionally provided ATS in a growing number of States, service delivery is being
corporatized. Other States are joining regional consortia, such as EUROCONTROL, for the delivery of
services.
17.1.5 From a regulatory perspective, safety oversight for aerodromes and ATS units has traditionally
been conducted through a prescriptive process where detailed requirements were published and compliance
was confirmed through inspection. This approach encouraged a safety culture of compliance, with little
thought being given to proactive safety management. In view of increasing volumes of air traffic and a flat
accident rate, efforts to improve safety through the implementation of safety management systems (SMS)
are also increasing, including SMS for aerodromes and ATS units.
17-2 Safety Management Manual (SMM)
17.1.6 The approach to safety management outlined in this manual is based on “best practices” in
industries where safety management has long been an integrated part of their operations. While this chapter
is devoted specifically to ATS, a solid understanding of the material in the rest of the manual will be helpful
in implementing an effective SMS for ATS.
ICAO requirements
17.1.7 Annex 11 — Air Traffic Services requires that ATS providers implement an accepted SMS to
ensure safety in the provision of ATS. Such an SMS shall ensure that actual and potential safety hazards
can be identified, necessary remedial actions implemented and that continued monitoring ensures that an
acceptable level of safety is being achieved.
17.1.8 The Procedures for Air Navigation Services — Air Traffic Management (PANS-ATM, Doc 4444)
provides guidance for safety management in ATS. Inter alia, safety management in ATS should include the
following:
a) monitoring of overall safety levels and detection of any adverse trends, including:
1) collection and evaluation of safety-related data; and
2) review of incident and other safety-related reports;
b) safety reviews of ATS units, including:
1) regulatory issues;
2) operational and technical issues; and
3) licensing and training issues;
c) safety assessments in respect of the planned implementation of airspace reorganization, the
introduction of new equipment, systems or facilities, and new or changed ATS procedures; and
d) mechanisms for identifying the need for safety-enhancing measures.
Functions of the ATS regulatory authority
17.1.9 As outlined in Chapter 3, a State requires a regulatory authority to oversee the implementation
of its legislation and regulations governing air safety. The core functions of the regulatory authority with
respect to ATS safety are:
a) developing and updating the necessary regulations;
b) setting national safety performance targets; and
c) providing oversight of ATS providers.
Safety manager (SM)
17.1.10 The principles for organizing for safety management, and the functions and roles of an SM are
outlined in Chapter 12.
Chapter 17. Air Traffic Services (ATS) 17-3
17.1.11 Ideally, the SM for an ATS unit should have no responsibilities other than safety. The SM
should be a member of the management team of the organization, and needs to be at a sufficiently high
level in the management hierarchy to be able to communicate directly with other senior managers.
Examples of tasks to be included in an ATS SM’s terms of reference include:
a) to develop, maintain and promote an effective SMS;
b) to monitor the operation of the SMS and to report to the Chief Executive Officer on the performance
and effectiveness of the system;
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Safety Management Manual (SMM) 安全管理手册(128)
