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

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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

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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

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Programme Principles

SOVEREIGNTY OF STATES

UNIVERSALITY

TRANSPARENCY / DISCLOSURE

TIMELINESS

FAIRNESS

OBJECTIVITY

QUALITY

ALL INCLUSIVENESS

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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

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The Process

Phase 1 Pre-on-site audit activities

Phase 2 On-site audit activities

Phase 3 Post-on-site audit activities

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Pre-on-site audit activities

Audit scheduling

Memorandum of Understanding

State Aviation Activity Questionnaire and Compliance Check-list

Team composition OPS – AIR – AGA – ANS

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On-site audit activities

Conduct the audit

Provide the CAA with full briefing on draft findings and recommendations Information on follow-up action

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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

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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

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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

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Elements of the Strategy

Transparency

Data Collection and Analysis

Partnership for Remedies

Monitoring Progress

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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

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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;

…

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Actions ?

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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.

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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

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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

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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

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The role of the EUR/NAT Office

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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

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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

Karsten TheilRegional Director

European and North Atlantic Office

ICAOProgramme Elements

on Aviation Safety

Thank you for your attentionQuestions ?