allpirg/4 meeting participants (montreal, 8 february 2001) [email protected] briefing to the icao...

ALLPIRG/4 MEETING ALLPIRG/4 MEETING PARTICIPANTS PARTICIPANTS

(Montreal , 8 February 2001)(Montreal , 8 February 2001)

[email protected]@icao.int

Briefing toBriefing to

The ICAO Universal Safety The ICAO Universal Safety Oversight Audit Programme Oversight Audit Programme

Montreal, 8 February 2001Montreal, 8 February 2001

ALLPIRG/4 MeetingALLPIRG/4 Meeting

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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgramme

The ICAO Safety The ICAO Safety Oversight Audit Oversight Audit Programme is about Programme is about “State commitment”“State commitment” to to the Convention on the Convention on International Civil International Civil AviationAviation



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State Commitment for Aviation Safety

Fundamental Principles:Fundamental Principles: Every State has complete and exclusive Every State has complete and exclusive

sovereignty over the airspace above and sovereignty over the airspace above and within its territorywithin its territory (Article 1 of the Convention)(Article 1 of the Convention)

State’s responsibility for safety oversight State’s responsibility for safety oversight is one of the tenets of the Convention and is one of the tenets of the Convention and individual States should reaffirm their individual States should reaffirm their safety oversight responsibilities and safety oversight responsibilities and obligationsobligations (Assembly Resolution A29-13)(Assembly Resolution A29-13)



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Nature of State responsibilities:Nature of State responsibilities: Responsibilities as a State of Registry Responsibilities as a State of Registry

and a State of the Operator, generally and a State of the Operator, generally obligates States to provide for the safe obligates States to provide for the safe and efficient operation of aircraftand efficient operation of aircraft

Licensing of operational personnel, the Licensing of operational personnel, the certification of aircraft, air operators, certification of aircraft, air operators, maintenance organizations, and the maintenance organizations, and the control and supervision of licensed control and supervision of licensed personnel, certified products and personnel, certified products and approved organizationsapproved organizations



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Nature of State Nature of State responsibilities:responsibilities:

The implementation and The implementation and proper management of theproper management of the “critical elements” “critical elements” of a of a safety oversight system safety oversight system enable ICAO Contracting enable ICAO Contracting States to fulfill their States to fulfill their Convention obligationsConvention obligations



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State Commitment for Aviation SafetyCritical elements of a State’s Critical elements of a State’s safety oversight systemsafety oversight system Primary aviation legislationPrimary aviation legislation Specific operating regulationsSpecific operating regulations Civil aviation structureCivil aviation structure Qualified technical personnelQualified technical personnel Documentation and guidance materialDocumentation and guidance material Licensing and certification activitiesLicensing and certification activities Continuing surveillance activitiesContinuing surveillance activities Resolution of safety concernsResolution of safety concerns



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ICAO’s Safety Oversight ProgrammeThe ICAO Safety Oversight The ICAO Safety Oversight Programme has been Programme has been established to assist States established to assist States to address the critical to address the critical elements, fulfill their safety elements, fulfill their safety oversight responsibilities and oversight responsibilities and obligations, and obligations, and uphold the uphold the “principles” and “spirit” of “principles” and “spirit” of the Convention on the Convention on International Civil AviationInternational Civil Aviation



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Evolution of the ICAO safety Evolution of the ICAO safety oversight programmeoversight programme Global safety concernsGlobal safety concerns

• Increased concern over safety world-Increased concern over safety world-wide. wide.

•Various reports on lack of Various reports on lack of implementationimplementation

Decisions of the 29Decisions of the 29thth Assembly (1992) Assembly (1992)•Assembly Resolution A29-13 (1992)Assembly Resolution A29-13 (1992)

Improvement of Safety OversightImprovement of Safety Oversight•Establishment of an ICAO Safety Establishment of an ICAO Safety

Oversight Assessment ProgrammeOversight Assessment Programme



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ICAO’s Safety Oversight ProgrammeSafety Oversight - DefinitionSafety Oversight - Definition

Safety oversight is a function by Safety oversight is a function by which States ensure the effective which States ensure the effective implementation of the safety-implementation of the safety-related Standards and related Standards and Recommended Practices (SARPs), Recommended Practices (SARPs), and associated procedures and and associated procedures and practices contained in the practices contained in the Annexes to the Convention on Annexes to the Convention on International Civil Aviation and International Civil Aviation and associated documentsassociated documents



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Activities of the safety Activities of the safety oversight assessment oversight assessment programmeprogrammeMarch 1996 to December 1998March 1996 to December 1998

•85 requests received85 requests received•67 States assessed67 States assessed•8 Seminar/workshops conducted8 Seminar/workshops conducted•4 Training sessions held4 Training sessions held



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Activities of the safety oversight Activities of the safety oversight assessment programmeassessment programme Findings and concernsFindings and concerns

•Problems existed but were not limited Problems existed but were not limited to any one area or region;to any one area or region;

•Areas of major concerns included:Areas of major concerns included:Lack of regulatory frameworkLack of regulatory frameworkLack of an adequate organizationLack of an adequate organizationLack of appropriate certification and Lack of appropriate certification and

licensing systemslicensing systemsLack of control and supervision Lack of control and supervision

capabilitiescapabilities



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Activities of the safety Activities of the safety oversight assessment oversight assessment programmeprogrammeFindings and concernsFindings and concerns

In general a need for a more active role by the In general a need for a more active role by the international aviation community was identified international aviation community was identified and a Conference of the Directors General of and a Conference of the Directors General of Civil Aviation was called in November 1997 to Civil Aviation was called in November 1997 to develop a global strategy on safety oversightdevelop a global strategy on safety oversight



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Assembly Resolution A32-11 Assembly Resolution A32-11 (1998)(1998) Established the ICAO Universal Safety Established the ICAO Universal Safety

Oversight Audit programme (USOAP) Oversight Audit programme (USOAP) Directed the ICAO Council to bring it into effect Directed the ICAO Council to bring it into effect

as of 1 January 1999as of 1 January 1999 Urged all Contracting States to accept an audit Urged all Contracting States to accept an audit

by ICAO by signing the MOU by ICAO by signing the MOU Requested the Council to report to the next Requested the Council to report to the next

Assembly on the progress of the programmeAssembly on the progress of the programme



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Objectives of the audit Objectives of the audit programme:programme: To promote global aviation safety through To promote global aviation safety through

auditing Contracting States, on a regular auditing Contracting States, on a regular basis, to determine the status of States’ basis, to determine the status of States’ implementation of safety oversight and implementation of safety oversight and relevant ICAO Standards and Recommended relevant ICAO Standards and Recommended Practices, associated procedures, guidance Practices, associated procedures, guidance material and safety related practices.material and safety related practices.



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Mandate:Mandate:To audit all Contracting States by 2001To audit all Contracting States by 2001Accelerate the report generating Accelerate the report generating

processprocessIncrease transparency by expanding the Increase transparency by expanding the

summary reportssummary reportsReport to the next Ordinary AssemblyReport to the next Ordinary Assembly



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State Commitment for Aviation SafetyProgramme principlesProgramme principles Sovereignty of StateSovereignty of State UniversalityUniversality Transparency / DisclosureTransparency / Disclosure TimelinessTimeliness ObjectivityObjectivity All inclusivenessAll inclusiveness FairnessFairness QualityQuality



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The Audit processThe Audit process Conducting the auditConducting the audit

•Scope of the auditScope of the auditPrimary aviation legislation and Primary aviation legislation and

regulationsregulationsCivil aviation organizationCivil aviation organizationPersonnel licensing and training Personnel licensing and training Aircraft operations certification Aircraft operations certification

and supervision and supervision Airworthiness of aircraftAirworthiness of aircraft



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The Audit processThe Audit process Audit FindingsAudit Findings

•ClassificationClassificationNon-compliance with Chicago Non-compliance with Chicago

Convention and/or National Convention and/or National RegulationsRegulations

Non-conformance with StandardsNon-conformance with StandardsNon-adherence with Recommended Non-adherence with Recommended

Practices, guidance material and Practices, guidance material and accepted safe practicesaccepted safe practices



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The Audit processThe Audit processAudit Reports and Action PlanAudit Reports and Action Plan

•Audit interim reportAudit interim report•Corrective action planCorrective action plan•Audit final reportAudit final report•Summary reportSummary report

Audit Follow-upAudit Follow-up



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Activities as of 31 December Activities as of 31 December 20002000

0

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131131121121

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APPROXIMATELY FIVE to SIX MONTHSAPPROXIMATELY FIVE to SIX MONTHS



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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgrammeAnalysis of Findings and Analysis of Findings and DifferencesDifferences The product of the audit which would The product of the audit which would

enable prioritization and resolution of enable prioritization and resolution of identified safety concernsidentified safety concerns

Eventually, corrective action taken by Eventually, corrective action taken by States should be factored into the analysis States should be factored into the analysis to enable the maintenance of factual and to enable the maintenance of factual and updated informationupdated information



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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgrammeContinuation and Expansion of Continuation and Expansion of the Programmethe Programme Assembly Resolution A32-11Assembly Resolution A32-11

•The Assembly resolves that a The Assembly resolves that a universal safety oversight audit universal safety oversight audit programme be established, programme be established, comprising regular, mandatory, comprising regular, mandatory, systematic and harmonized safety systematic and harmonized safety auditsaudits, to be carried out by ICAO; , to be carried out by ICAO; that such universal safety oversight that such universal safety oversight audit programme shall apply to all audit programme shall apply to all Contracting States; …Contracting States; …



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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgrammeExpansion of the Expansion of the ProgrammeProgrammeAreas of ExpansionAreas of Expansion

•Air Traffic Services (Annex Air Traffic Services (Annex 11)11)

•Aerodrome Ground Aids Aerodrome Ground Aids (Annex 14)(Annex 14)

•Accident Investigation (Annex Accident Investigation (Annex 13)13)



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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgrammeStrategy for the futureStrategy for the futureConsolidating all audit activitiesConsolidating all audit activities

•Aeronautical Information ServicesAeronautical Information Services

•Maps and ChartsMaps and Charts

•Meteorological servicesMeteorological services

•FacilitationFacilitation

•Environmental protection Environmental protection

•Transport of dangerous goods by Transport of dangerous goods by airair



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ICAO’s Safety Oversight ICAO’s Safety Oversight ProgrammeProgrammeRemedial ActionRemedial ActionResolution of identified deficienciesResolution of identified deficiencies

•State based solutions (action State based solutions (action plans and implementation)plans and implementation)

•Remedial support by ANB and Remedial support by ANB and Regional OfficesRegional Offices

•Remedial action based on TCB Remedial action based on TCB projectsprojects

thank thank youyou

[email protected]@icao.int

allpirg/4 meeting participants (montreal, 8 february 2001) [email protected] briefing to the icao...

Documents

state of registry

individual states

convention obligations

certification of aircraft

guidance material licensing

exclusive sovereignty

territory article

approved organizations