ICAO EUR HLSC Preparatory Seminar 9-11 February 2010 Baku, Azerbaijan Theme 3: Other safety issues Topic 3.3: Other safety related issues

RSOOs – implications? The effectiveness of a regional safety oversight system, like that of an individual State’s safety oversight system, depends highly on the effective implementation of the critical elements of a safety oversight system that, in general address issues related to: primary aviation legislation; specific operating regulations; state civil aviation system and safety oversight functions; technical personnel qualification and training; technical guidance, tools and provision of safety critical information; licensing, certification, authorization and/or approval obligations; surveillance obligations; and the resolution of safety concerns. Under its Technical Cooperation Programme, ICAO has implemented a large number of projects over several decades to improve civil aviation safety in many developing States. However, despite these efforts as well as numerous initiatives designed to help States meet their safety oversight responsibilities, in many regions a number of States have failed to develop the capability for safety oversight. Safety oversight audits and audit follow-ups conducted by ICAO in the last six years indicate that a number of States have not been able to implement an effective safety oversight system over their aviation activities. The main reason identified for this situation is lack of adequate resources, specifically in terms of qualified technical expertise. This has led ICAO to conclude that regional or subregional safety oversight organizations may be required to overcome this problem through shared objectives, strategies and activities and, most importantly, that they would enable Member States to pool resources and thus be able to attract, recruit and retain appropriately qualified and experienced personnel. Although this is the first ICAO manual providing guidance for the establishment and management of regional safety oversight systems, it should be noted that a number of States have already established RSOOs or are in the process of doing so, in order to take advantage of the economies of scale that such cooperation presents. HLSC Preparatory meeting, Baku, Azerbaijan, 9-11 February 2010

Why ? Common deficiencies identified in the majority of assessed and audited States (under USOAP) are: lack of an adequate safety oversight organization; and lack of sufficient qualified technical personnel. Four areas of States’ safety oversight obligations are of special concern: Primary aviation legislation Institutional structure Qualified Personnel Financial Resources In the majority of cases, these deficiencies are the result of insufficient resource allocation by the government to the national civil aviation body. Consequently, such States are unable to comply in full with national and international requirements concerning the safety of civil aircraft operations. a high-level government commitment, without which a Contracting State cannot fully satisfy its aviation system safety-related responsibilities ICAO safety oversight audits and other ICAO missions have shown that many Contracting States have not established effective safety oversight systems and that control and supervision of aircraft operations, airworthiness of aircraft and the licensing of personnel are often deficient, thereby creating an opportunity for unsafe conditions.

In conclusion In conclusion, to properly implement ICAO SARPs and to rectify deficiencies identified under USOAP, a sound legislative base, adequate staffing and sufficient funds are essential prerequisites. To do so… many States around the world are establishing regional mechanisms in order to maximize the use of both their human and financial resources as it is often the International Civil Aviation Organization only practical way for States with a low level of activity and/or resources to fulfill their safety oversight responsibilities. Cooperation and collaboration on a regional level is critical to providing States with the necessary means to effectively impart their safety oversight requirements.

Assembly resolutions A36-2: Unified Strategy to resolve safety-related deficiencies, which recognized “that the establishment of regional and sub-regional safety oversight systems has great potential to assist States in complying with their obligations under the Chicago Convention through economies of scale and harmonization on a larger scale” A36-3: Implementation Support and Development Programme (ISD)-Safety, the Council was directed to promote the establishment of these regional mechanisms Furthermore, under this Resolution, the ICAO Council was directed to promote the concept of regional and sub-regional safety oversight systems. This premise is further emphasized under A36-3: Implementation Support and Development Programme (ISD)-Safety, where the Council was directed to promote the establishment of these regional mechanisms. QUOTE- Directs the Council to continue to implement an Implementation Support and Development (ISD) Programme based on: a) transparency and sharing of safety-critical information; b) promotion of the establishment of regional safety oversight systems and assistance to States; c) safety information analysis and exchange; and d) partnership with Contracting States, industry and other stakeholders for coordinating and facilitating the provision of financial and technical assistance to States in need for the purpose of rectifying deficiencies identified through the ICAO USOAP; UNQUOTE

Since then In cooperation with the EC - Symposium on Regional Organizations (10 -11 April 2008) identification of the need for ICAO to update its guidance material in order to provide Member States with the necessary tools to establish sustainable regional mechanisms ICAO Air Transport Symposium (Abuja, Nigeria , April 2008) – similar conclusion Council, at its 186th Session - establishment of a Secretariat/Council Group on Regional Bodies 23 October 2009, this Group submitted to the Council for its approval an ICAO Policy on Regional Cooperation and a Framework of Cooperation. The Council approved both the Policy and the framework and requested the Secretary General to develop an action plan for implementation

The ICAO Policy on regional cooperation aims at promoting cooperation through the expanded use of best practices and better utilization of existing capabilities and resources within the regions takes into account relevant provisions of the Convention on International Civil Aviation (Chicago Convention) and relevant ICAO Assembly Resolutions applies to cooperation in technical and/or policy matters, as appropriate, with technical bodies (such as ACAC, AFCAC, LACAC, and Regional Safety Oversight Organizations) as well as between ICAO and regional organizations (such as the African Union and the European Union) Important vehicles for implementation of this Policy are ICAO’s Regional Offices. Therefore these offices should take into account in their inputs to strategic planning the regional needs and opportunities for cooperation with regional civil aviation bodies, regional organizations and other stakeholders, with the view to assisting States in ensuring harmonization in adherence to ICAO policy. For purposes of this Policy, regional organizations are groupings of States that are collectively identified politically and/or geographically for purposes of unifying efforts to bring about development in a region or sub-region. The European Union and the African Union are examples of regional organizations. Regional civil aviation bodies are specialized agencies of these groupings which deal with aviation. The African Civil Aviation Commission (AFCAC), which is the specialized agency of the African Union in the field of aviation, is an example of a regional civil aviation body. Such bodies include ACAC, AFCAC, ECAC and LACAC as well as other technical bodies such as regional safety oversight organizations.

Bottom line is… While ICAO encourages the activities of States, regional civil aviation bodies and regional organizations in facilitating, among others, the development of civil aviation infrastructure and implementation of SARPs and ICAO policy, States ultimately remain responsible for their obligations under the Chicago Convention, notwithstanding whatever arrangements States may conclude with their regional organizations and regional civil aviation bodies.

RSOOs- Implementation strategy States wishing to establish a regional safety oversight system formulate a well-defined strategy in terms of Purpose Objectives Activities Output Result indicators Duration and Expected results or outcomes It is important that States wishing to establish a regional safety oversight system formulate a strategy that is well-defined in terms of purpose, objectives, activities, output, result indicators, duration and the expected results or outcomes from establishing an effective regional safety oversight system. ICAO can play a significant role in assisting States in the development of such a strategy.

RSSOs - Considerations Prior to the establishment of the regional safety oversight system it must be ensured that Member States are committed to fully support the RSOO in all aspects, including the adoption of the joint operating regulations and procedures to be developed by it. The adoption of joint operating regulations and procedures for the certification of commercial air transport operators, aircraft maintenance organizations, aeronautical personnel and aeronautical training centres should reduce the cost of doing business, for both the States concerned and the aviation industry. Standardization of regulations that fully meet international requirements should help raise the level of air transport safety in the region. It would also enhance the safety oversight capability of States because they would also have access to a wider base of expertise. Member States would still be responsible for the issuance of air operator certificates, the approval of aircraft maintenance organizations, design organizations, product organizations, the certification of aircraft and aerodromes, the issuance of aeronautical licenses and ratings and the certification and approval of training centres, although tasks leading to the issuance of licenses and certificates and the approval of organizations would be performed by the regional safety oversight system using the same requirements and procedures. The RSOO should also act as an information centre facilitating the efficient handling of information among Member States.

COSCAPS The cooperative development of operational safety and continuing airworthiness programmes (COSCAPs) are an agreement between Member States, executed by ICAO’s Technical Co-operation Bureau by means of a Trust Fund, and are aimed at enhancing the safety and efficiency of air transport operations. The COSCAPs are limited to a few regions and within a region not all States are covered. In some subregions, Regional Safety Oversight Organizations (RSOOs) have been developed from COSCAP projects or have been established instead of COSCAPs. (ICAO SecGen Letter reference SWG 21/1-09/94 of 16 December 2009 refers. Deadline for response is 16 March 2010)

Regional Aviation Safety Groups (RASGs) The COSCAPs and RSOOs are organized on a subregional basis and do not cover all of the States of the region To guarantee regionwide coverage its necessary to establish a new regional mechanism known as Regional Aviation Safety Groups (RASGs) Planning initiated ASAP to adopt a systems approach so that RASGs address safety issues from an integrated perspective that includes flight operations and ATM safety Safety issues raised by the PIRGs and RASGs are to be fully coordinated until coordination mechanisms is in place Terms of reference in Appendix B to ICAO SecGen Letter reference SWG 21/1-09/94 of 16 December 2009 Regional structure. The COSCAPs and RSOOs are organized on a subregional basis. It may be noted that eventually some COSCAPs may evolve into RSOOs where appropriate. Considering that COSCAP/RSOO mechanisms are more focused on safety oversight issues and, as of now, do not cover all of the States of the region, it is considered necessary to establish a new regional mechanism known as Regional Aviation Safety Groups (RASGs) to address and harmonize all flight operations safety issues on an ICAO regionwide basis. Noting that in several regions there was actually a gradual evolution toward RASGs, this proposal, in effect, would facilitate ICAO to recognize groups that Contracting States had already chosen to form. The eventual recognition of RASGs by the Council would lead to the establishment of a formal reporting channel allowing ICAO to monitor the worldwide implementation of the Global Aviation Safety Plan (GASP). The RASGs are expected to build on the work already done by these existing subregional organizations. However, RASGs will facilitate the exchange of best practices, cooperation and collaboration using a top-down approach complementing the bottom-up approach of planning by subregions, States and industry. Regional groups and terms of reference. Consistent with the PIRG mechanism, it is proposed that the following RASGs covering all of the regions of the world be established: Regional Aviation Safety Group – Pan American (RASG-PA) for the Caribbean, South American and North American Regions; Regional Aviation Safety Group – Europe (RASG-EUR) for the European Region; Regional Aviation Safety Group – Asia Pacific (RASG-APAC) for the Asia and Pacific Regions; Regional Aviation Safety Group – Africa (RASG-AFI) for the African Region; and Regional Aviation Safety Group – Middle East (RASG-MID) for the Middle East Region. In fact RASG-PA has already been established by the Pan American States themselves and held its second meeting in November 2009. In addition, the AFI Comprehensive Implementation Programme (ACIP) and its Steering Committee are monitoring and coordinating the implementation of the GASP/GASR within the region; however, once the ACIP project has ended, an entity will be needed to follow-up, monitor and coordinate activities. These regional experiences have been taken into account in determining the global model. The terms of reference detailing membership of the RASGs and their work programme are proposed in Attachment B. Resources. With the creation of RASGs, one officer for each of the regional offices will be required. Currently, all regional offices have a post of Flight Safety Officer in their establishment. Further support for the RASG meetings would be provided using Headquarters staff. Coordination between PIRGs and RASGs: A concern rose related to the parallels that were being drawn between the PIRG framework and the RASGs. It was noted that while the PIRGs did touch on some safety issues, they had been developed to deal with air navigation plans at a regional and global level with ICAO playing a key leadership role. In contrast, safety continued to lie within the sovereignty of individual States. It would be helpful if States could provide input on how to determine the safety issues to be covered by the RASGs and those that should remain with the PIRGs. Also, the need for a mechanism for coordination between PIRGs and RASGs was discussed and accordingly this aspect has been reflected in the suggested terms of reference. HLSC Preparatory meeting, Baku, Azerbaijan, 9-11 February 2010 2 February 2010

In summary Different approaches in which States may organize on a regional level Coordination and cooperation with stakeholders and regional groupings required to promote transparency and the sharing of safety-related information Regular flow of communication to reduce duplication of efforts regarding the provision of assistance and guidance to these groupings There are many different approaches in which States may organize on a regional level. Under the Strategic Plan of Action, it will be necessary to study these various approaches (i.e., a COSCAP programme, RSOO, etc.) and how they may evolve or change over time. ICAO is considering the development of a strategy for the transition of COSCAP into RSOOs, whenever appropriate.

Proposals in WP 11... The Conference shall be invited to: note the Policy on Regional Cooperation developed by the Secretariat/Council Group on regional bodies, the intent of ICAO to update Doc. 9734, Part B, The Establishment and Management of a Regional Safety Oversight System and to develop a strategy for the transition of COSCAP programmes into RSOOs, whenever appropriate; encourage implementation of the ICAO Policy on Regional Cooperation and development of an associated Strategic Plan of Action; and support and actively participate in the Regional Aviation Safety Groups (RASGs). (ICAO SecGen Letter reference SWG 21/1-09/94 of 16 December 2009 refers. Deadline for response - 16 March 2010) update Doc. 9734, Part B, The Establishment and Management of a Regional Safety Oversight System One key area that will be addressed during this review is the need to explore different means of financial sustainability for these systems, which may include guidance to fund various oversight functions on a regional level, especially when service providers and oversight functions are separated

ICAO EUR HLSC Preparatory Seminar 9-11 February 2010 Baku, Azerbaijan ICAO Safety Oversight Manual-Part B The establishment and management of a Regional Safety Oversight System The ICAO flight safety information exchange website www.icao.int/fsix Thank you and… QUESTIONS ??