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Karsten TheilRegional Director
European and North Atlantic Office
ICAO Programme Elements
on Aviation Safety
ICAO Safety Management Seminar/WorkshopAlmaty, 5 to 9 September 2005
Almaty, 5 – 9 September 2005 2
Narrative
The Universal Safety Oversight Audit Programme – USOAP
The Unified Strategy to Rectify Safety Related Differences
The roles and responsibilities of the States ICAO
Almaty, 5 – 9 September 2005 3
USOAP History
1992: Assembly Resolution A29-13
June 1995: Council Decision on the ICAO Safety Oversight Voluntary Assessment Programme
November 1997: DGCA Conference
May 1998: Council Decision on the USOAP
1998: Assembly Resolution A32-11: Establishment of USOAP
2001: Assembly Resolutions A33-8 and A33-9: Expansion of USOAP
2004: Assembly Resolution A35-6: Comprehensive Systems Approach
Almaty, 5 – 9 September 2005 4
USOAP History
1995-1998 1999-2004 2005-2008
Voluntary Assessment Programme
Mandatory Audit Programme (USOAP)
USOAP with transparent audit reports
Annexes 1, 6 and 8 Annexes 1, 6 and 8 All safety related provisions except Annexes 9 and 17
88 requests
67 assessments
181 audits
162 follow-ups
Target: all States
Almaty, 5 – 9 September 2005 5
Programme Principles
SOVEREIGNTY OF STATES
UNIVERSALITY
TRANSPARENCY / DISCLOSURE
TIMELINESS
FAIRNESS
OBJECTIVITY
QUALITY
ALL INCLUSIVENESS
Almaty, 5 – 9 September 2005 6
The Critical Elements
1. Primary aviation legislation
2. Specific operating regulations
3. State aviation system and safety oversight functions
4. Technical personnel qualifications and training
5. Technical guidance, tools and provision of safety critical information
6. Licensing, certification, authorisation and approval obligations
7. Surveillance obligations
8. Resolution of safety concerns
Almaty, 5 – 9 September 2005 7
The Process
Phase 1 Pre-on-site audit activities
Phase 2 On-site audit activities
Phase 3 Post-on-site audit activities
Almaty, 5 – 9 September 2005 8
Pre-on-site audit activities
Audit scheduling
Memorandum of Understanding
State Aviation Activity Questionnaire and Compliance Check-list
Team composition OPS – AIR – AGA – ANS
Almaty, 5 – 9 September 2005 9
On-site audit activities
Conduct the audit
Provide the CAA with full briefing on draft findings and recommendations Information on follow-up action
Almaty, 5 – 9 September 2005 10
Post-on-site Audit Activities
Audit interim report
State comments on interim reportand corrective action plan
Final audit report to State
State comments on final report
Final report available onICAO secure website
Audit Findings & DifferencesData Base
90 days
60 days
30 days
30 days
30 days
Almaty, 5 – 9 September 2005 11
Second Quarter 2005
April Canada
May Germany
June Thailand – Malaysia
Third Quarter 2005
July -
August -
September Gambia
Fourth Quarter 2005
October Panama – Trinidad and Tobago
November Bulgaria – Egypt – Kuwait
December Czech Republic
The Schedule - 2005
Almaty, 5 – 9 September 2005 12
First Quarter 2006
January Costa Rica – Fiji - Vanuatu
February Colombia – Belgium – Luxembourg
March New Zealand – Niger – Peru – Senegal – Solomon Islands
Second Quarter 2006
April Namibia
May Greece – Norway – Botswana – Cameroon – Cyprus - Italy
June Armenia – Dem. Rep. of the Congo – El Salvador – Israel - Mexico
Third Quarter 2006
July -
August -
September Benin – Russian Federation - Togo
Fourth Quarter 2006
October Bhutan – India - Lebanon
November Ghana – Jordan – Nigeria - Sudan
December Ethiopia
The Schedule - 2006
Almaty, 5 – 9 September 2005 13
Elements of the Strategy
Transparency
Data Collection and Analysis
Partnership for Remedies
Monitoring Progress
Almaty, 5 – 9 September 2005 14
Transparency
Increase the amount of safety information available to States because States must ensure adequate safety
oversight of own operators and service providers and of foreign operators
Sharing of safety information in order to focus assistance
Almaty, 5 – 9 September 2005 15
Transparency
Article 54
The Council shall:
…
j) Report to contracting States any infraction of this Convention, as well as any failure to carry out recommendations or determinations of the Council;
…
Almaty, 5 – 9 September 2005 17
Data Collection and Analysis
Full USOAP audit reports will be available
Information from AFDD available to ICAO secretariat, incl. Regional Offices Contracting States
Other safety data from IATA – IOSA – PIRGs – SAFA – Regional
Offices – etc.
Almaty, 5 – 9 September 2005 18
Data Collection and Analysis
The hunt for indicators – criteria: States not audited States not having submitted action plan States having completed less than 50% of
action plan at time of follow-up States having more than 20% lack of effective
implementation of critical elements
Almaty, 5 – 9 September 2005 19
Data Collection and Analysis
No. No. of AOC No. of A/C% of action plan
completedInitial Follow-up
1 4 10 32.6 31.6 62 70 1049 6.2 5.2 623 7 135 20.2 0.8 964 4 35 67.9 22.2 605 4 254 36.1 23.8 346 12 74 25.6 5.5 827 145 9466 3.1 1.7 338 33 1390 41.5 23.7 439 45 672 18.2 16.1 65
SUMMARY OF INFORMATION DERIVED FROM AFDD
C.E lack of effective
implementation
Almaty, 5 – 9 September 2005 21
Responsibilities of ICAO
Conduct audits in accordance with the Comprehensive Systems Approach
Make available ALL safety related information to States – Article 54 j)
Analyse safety related information in order to identify priorities
Assist in the rectification of safety related deficiencies
Almaty, 5 – 9 September 2005 23
Responsibilities of States
Effective safety oversight mechanism in place towards own operators and service providers towards foreign operators
Implement corrective measures as appropriate operationally procedurally legally
Almaty, 5 – 9 September 2005 24
Summary
The Comprehensive Systems Approach to Safety Oversight Audits the critical elements
The Unified Strategy to Rectify Safety Related Deficiencies transparency – data collection and
analysis – prioritising assistance
Different roles of ICAO and States