International Civil Aviation Organization Overview of the ICAO

International Civil Aviation Organization Overview of the ICAO Universal Safety Oversight Audit Programme North Asia Regional Aviation Safety Team Beijing, 25 September 2003

Outline QBackground QAudit programme QState Safety Oversight System QStatus of implementation QAnalysis of the findings – AFDD QImplications of the findings QFuture of the Programme COSCAP-NA ICAO Universal Safety Oversight Audit Programme 2

What is safety oversight? Safety oversight is a function by which States ensure the effective implementation of the safety -related Standards and Recommended Practices (SARPs), and associated procedures and practices contained in the Annexes to the Convention on COSCAP-NA International ICAO Universal Safety Oversight Audit Programme Civil Aviation 3

Most importantly, Safety oversight is about COMMITMENT to the Convention on International Civil Aviation; a commitment by Governments to satisfactorily fulfill their obligations under the Convention, having agreed on certain principles and arrangements in order that international civil COSCAP-NA ICAO Universal Safety Oversight Audit Programme 4

Universal safety oversight audit programme Ø The ICAO Universal Safety Oversight Audit Programme was established to: Ø Assist States to effectively implement the critical elements of a safety oversight system; Ø Assist them to better undertake their responsibilities for safety oversight under the Convention; and Ø Uphold the principles and the COSCAP-NA ICAO Universal Safety Oversight Audit Programme 5

Why an ICAO Programme? QVarious reports in the early 1990 s on the lack of implementation by States of ICAO SARPs QIncreased concern over the level of aviation safety world -wide QNeed to reduce accident rates to off-set rapid COSCAP-NA ICAO the Universal Safety Oversight Audit Programme 6

The making of a programme Q Assembly Resolution A 29 -13 (1992) Q Approval of the ICAO safety oversight voluntary assessment programme by the Council (June 1995) Q Voluntary assessments commence (March 1996) Q DGCA Conference (November 1997) Q Approval of the ICAO Universal Safety Oversight Audit Programme by the Council (May 1998) Q Assembly Resolution A 32 -11 (1998) Q Mandatory audit programme established on 1 January 1999. Q Assembly Resolutions and. Audit A 33 -9 (2001) ICAO Universal A 33 -8 Safety Oversight Programme COSCAP-NA 7

Evolution of the Programme ASSESSMENT PROGRAMME (Mar 96 - Dec 98) AUDIT PROGRAMME (Jan 99 ) VOLUNTARY MANDATORY CONFIDENTIAL TRANSPARENT FUNDED BY STATE CONTRIBUTIONS FUNDED BY ICAO COSCAP-NA ICAO Universal Safety Oversight Audit Programme 8

Scope of the audits Compliance with: ANNEXES: 1 – PEL 6 – OPS 8 – AIR QChicago Convention QState Regulations Q Conformance with: QICAO Standards Adherence to: QRecommended practices QRelated procedures QGuidance material Q Relevant industry The overall implementation of the Critical practices Elements of a Safety Oversight System COSCAP-NA ICAO Universal Safety Oversight Audit Programme 9

State safety oversight systems Ø The establishment of a safety oversight system is essential to fulfill State obligations under the Chicago Convention. Ø State safety oversight systems are comprised of a number of organizational processes and procedures, which enable civil aviation administrations to implement international SARPs and safe industry practices. Ø Failure to implement proper safety oversight systems could harbour COSCAP-NA ICAO Universal Safety Oversight Audit Programme 10

USOAP Audits Organizational Processes and Procedures Safety defences Workplace conditions Latent conditions Active failures

Audits = a tool for aviation safety The audits, as a tool to enhance aviation safety, enable ICAO to: ü Evaluate the effectiveness of organizational procedures and processes in Civil Aviation Administrations ü Reinforce safety defences ü Detect latent conditions which may be embedded in the system ü Identify workplace conditions which could adversily impact safety ü Avert active failures and, thus, prevent COSCAP-NA ICAO Universal Safety Oversight Audit Programme 12

Auditing philosophy and approach USOAP Audits Organizational Processes and Procedures Safety defences COSCAP-NA Workplace conditions ICAO Universal Safety Oversight Audit Programme 13

USOAP Audits Organizational Processes and Procedures Str org uctu ani re/ zat ion Co sur ntinu vei ing llan ce / ing ens ation Lic tific cer Critical Elements of a Safety Oversight System ng rat i Ope lations u reg Safety defences Pri on i t lu ty leg mar o s y e Re f saf rns islati on o nce co d e i Te f li cal a ch gu nica Qu chni nel ida n e nc l T erso e P

USOAP Audits Organizational Processes and Procedures - Job stability - Staff turn-over - Competitive remuneration - Support equipment, facilities and guidance - Qualifications and experience - Employee morale - Credibility and trust Workplace conditions

USOAP Audits Organizational Processes and Procedures Breaches in safety defences harbour latent conditions Safety defences Latent conditions Ø No effective laws, policy, procedures and guidance Ø No clearly established safety requirements Ø Non implementation of SARPS Ø No programmes to certify, inspect and surveille the industry Ø No training policy and programmes

USOAP Audits Organizational Processes and Procedures Adverse workplace conditions result in active failures Ø Inappropriate issuance, validation or renewal of licenses/certificates Ø Improper approval of procedures and documents Ø “Cutting corners” Ø Errors and violations Ø Inability to identify safety concerns and take remedial actions Ø Lack of enforcement Workplace conditions Active failures

USOAP Audits Organizational Processes and Procedures REINFORCE Latent conditions T ER Workplace conditions AV FY FI TI EN ID Safety defences ENHANCE AUDIT Active failures

Status of implementation 181 * 181 180 173 102 Audits completed Interim reports Action plans Summary Audit reports follow-ups *In addition, five territories have been audited under the auspices of Contrac Total – 187 Contracting States

Analysis of the findings Audit Findings and Differences Database (AFDD) 1. Based on factual and recent data 2. Enables identification of deficiencies impacting on safety 3. Coincides with regional accident/ 4. incident rates 5. Safety tool, both for ICAO and its Contracting States COSCAP-NA ICAO Universal Safety Oversight Audit Programme 6. 178 audit interim reports 20

Benefits of the AFDD Customization of remedial action: Q At a State or group of States level Q At a regional or sub-regional level Q Can be targeted to resolve specific problems on the basis of established priorities It will support and allow: Q ICAO Regional Offices prioritize their activities, seminars and workshops Q ANB Sections identify needs for guidance material, seminars, workshops and SARPs amendment Q Identification of regional or subregional needs and development COSCAP-NA ICAO Universal Safety Oversight Audit Programme 21

SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734) Lack– 25. 3% of Effective Implementation (%) EUR/NAT/53 – 20. 42% GLOBAL/180 – 28. 63% APAC/33 ESAF/21 – 40. 03% MID/17 – 30. 65% NACC/21 – 23. 16% SAM/13 – 23. 47% WACAF/21 – 50. 17% 70 60 50 40 30 20 10 Primary Aviation Legislation Specific Operating Regulations CAA Structure & Safety Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing & Certification Obligations Continued Surveillance Obligations Resolution of Safety Issues

SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734) Lack of Effective Implementation (%) COSCAP-NA ICAO Universal Safety Oversight Audit Programme 23

Parallel between findings and regional accident rates 80 70 Audit Findings – Lack of Effective Implementation of SARPs, (178 audit reports) Accident rates per 1 000 departures - scheduled (International and Domestic, 1996) Accident rates per 1 000 departures - scheduled (International and Domestic, 2000) 60 50 40 30 20 10 0 Asia and Pacific Eastern and European and Region Southern African N. Atlantic Region Middle East Region N. / C. American Southern American. Western and Caribbean Region Central African Region

What does this all mean? 1. What is the impact of the results of the audits on safety? 2. What can and should be done? COSCAP-NA ICAO Universal Safety Oversight Audit Programme 25

What can and should be done? 1. Increased commitment on the part of Governments to fulfill their responsibilities 2. Greater support to Civil Aviation Administrations: 1. Legislation and regulations 2. Delegation and empowerment 3. Proper staffing, resourcing and financing 3. Working together – joining efforts Ø ICAO, Contracting States, international organizations and industry COSCAP-NA ICAO Universal Safety Oversight Audit Programme COSCAP-NA 26

Working together REGIONAL AND INTERNATIONAL ORGANIZATIONS ICAO PARTNERS IN THE PROMOTION OF AVIATION SAFETY CONTRACTING STATES COSCAP-NA AVIATION INDUSTRY ICAO Universal Safety Oversight Audit Programme 27

Taking corrective action CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM LACK OF EFFECTIVE IMPLEMENTATION (%) GLOBAL: 181 (29. 58%) GLOBAL Follow-Up: 181 (22. 56%) Initial Audit: 85 (26. 30%) Audit Follow-Up: 85 (9. 51%) 40 35 30 25 20 15 10 5 0 Primary Aviation Legislation Specific Operating CAA Structure and Technical Guidance Qualified Technical Regulations Safety Oversight Material Personnel Functions COSCAP-NA Licensing and Certification Obligations Continued Surveillance Obligations ICAO Universal Safety Oversight Audit Programme Resolution of Safety Issues 28

Taking corrective action COSCAP-NA ICAO Universal Safety Oversight Audit Programme 29

Future of the Programme Q Continued validation of the implementation of State corrective action plans Q Generic air navigation support to States Q Expansion of the Programme to other safety-related areas (Annexes 11, 13 and 14 as of 2004) Q Promotion of the development of ICAO Universal Safety Oversight Audit Programme State Safety Quality Management COSCAP-NA 30

Review QBackground QAudit programme QState Safety Oversight System QStatus of implementation QAnalysis of the findings – AFDD QImplications of the findings QFuture of the Programme COSCAP-NA ICAO Universal Safety Oversight Audit Programme 31

International Civil Aviation Organization Overview of the ICAO Universal Safety Oversight Audit Programme THANK YOU! MBeland@icao. int