Briefing to ICAO TCB Seminar 13 January 2004 An Update Of the ICAO Universal Safety Oversight Audit Programme

Briefing to ICAO TCB Seminar 13 January 2004 Outline Background Establishment of USOAP Universal programme - principles and mandate Programme activities and personnel Audit Findings and implications Future of the program COSCAP-NA Briefing on USOAP 2

Safety Oversight - a definition Safety oversight is a function by which States ensure the effective implementation: Standards and Recommended Practices (SARPs) The critical elements of a safety oversight system Relevant safety practices and procedures COSCAP-NA Briefing on USOAP

Briefing to ICAO TCB Seminar 13 January 2004 Why an ICAO programme? Increased concern over the level of safety world-wide Various reports in the early 1990s on the lack of Implementation of ICAO SARPs by States Need to reduce accident rates to off-set the rapid increase in traffic COSCAP-NA Briefing on USOAP

Directors General of Civil Aviation Conference Montreal, November 1997. Attended by DGCAs from 147 Contracting States and one non-Contracting State, and by 13 international organizations. Objective: to develop a global strategy on safety oversight. 38 recommendations in all. COSCAP-NA Briefing on USOAP

COSCAP-NA Briefing on USOAP What is audited? Compliance with: Chicago Convention State Regulations Conformance with: ICAO Standards Adherence to: Recommended practices Related procedures Guidance material Relevant industry practices in general use COSCAP-NA Briefing on USOAP

Audits and Audit Follow-ups Completed (as of 31 October 2003) Briefing to ICAO TCB Seminar 13 January 2004 Audits and Audit Follow-ups Completed (as of 31 October 2003) COSCAP-NA Briefing on USOAP

Analysis of the findings Briefing to ICAO TCB Seminar 13 January 2004 Analysis of the findings Audit Findings and Differences Database (AFDD) Based on factual and recent data Enables an accurate identification of deficiencies impacting on safety Consistent with regional accident/ incident rates Reliable safety tool, both for ICAO and its Contracting States 181 audit interim reports analyzed Updated as audit follow-up validation missions are completed COSCAP-NA Briefing on USOAP

USOAP – findings and analysis Briefing to ICAO TCB Seminar 13 January 2004 USOAP – findings and analysis Lack of effective implementation of the critical elements (%) GLOBAL/181 – 28.8% ESAF/21 – 40.2% EUR/NAT/51 – 19.65% APAC/33 – 24.9% MID/17 – 30.52% WACAF/21 – 49.37% NACC/21 – 24.04% SAM/13 – 23.24% 10 20 30 40 50 60 70 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 COSCAP-NA Briefing on USOAP

Briefing to ICAO TCB Seminar 13 January 2004 What does this all mean? What is the impact of the results of the audits on safety? What can and should be done? COSCAP-NA Briefing on USOAP

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

Briefing to ICAO TCB Seminar Critical Elements of a Safety Oversight System - Lack of Effective Implementation Comparison of Audit and Audit Follow-up Results 13 January 2004 Global - Initial Audit = 30.3% 85 States - Initial Audit = 22.7% 85 States - Follow-up = 7.7% Global - Revised = 21.4% 40 35 30 25 20 15 10 5 Primary Aviation Legislation Specific Operating Regulations CAA Structure and Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing and Certification Obligations Continued Surveillance Obligations Resolution of Safety Issues COSCAP-NA Briefing on USOAP

COSCAP-NA Briefing on USOAP

Future of the Programme Briefing to ICAO TCB Seminar 13 January 2004 Future of the Programme Complete the remaining follow-up missions to validate the implementation of States’ corrective action plans Continue the implementation of the SOA Quality Management System Expansion of the Programme COSCAP-NA Briefing on USOAP

Expansion to Annexes 11, 13 and 14 Briefing to ICAO TCB Seminar 13 January 2004 Expansion to Annexes 11, 13 and 14 Expansion due to start in 2004 Provisions in Annexes 11 and 14 are highly interrelated with those in other Annexes (1,2, 4, 10, 12 and 15) Annexes 11 and 14 cannot be audited in isolation. Related provisions in other Annexes must be considered Expansion also entails the provision of: Seminar/workshops Guidance material COSCAP-NA Briefing on USOAP 2

ICAO Auditing practices to-date Briefing to ICAO TCB Seminar 13 January 2004 ICAO Auditing practices to-date Annex-by-Annex approach until now. Adding new Annexes would inflate the resource requirements of the Programme Lengthy and expensive proposition Momentum lost when area of concentration changes Entails replacing staff – and losing expertise at every audit cycle. Cannot keep receiving and monitoring progress from States Detrimental to the continuity and credibility of the Programme COSCAP-NA Briefing on USOAP 2

Briefing to ICAO TCB Seminar 13 January 2004 Systems approach A Systems Approach for the conduct of audits is being proposed for the ICAO Safety Oversight Audit Programme It moves away from the current approach of Annex-by-Annex auditing It will focus both on Oversight capability of States and the safety oversight critical elements It will be designed to cover all safety-related Annexes and will provide a more objective and cost-effective approach to auditing COSCAP-NA Briefing on USOAP 2

Systems approach to conducting audits Briefing to ICAO TCB Seminar 13 January 2004 Systems approach to conducting audits Implementation of Annex provisions and status of differences would be determined BEFORE the audit mission, through a series of tools and relevant reports A review of the State’s legislation, regulations, documentation and organization would also be done BEFORE the mission The final assessment of the organization and the remaining critical elements of a safety oversight system would be made on-site COSCAP-NA Briefing on USOAP 2

Systems approach to conducting audits Briefing to ICAO TCB Seminar 13 January 2004 Systems approach to conducting audits On site audit would validate the organization, procedures and processes established to help the State fulfill its safety oversight obligations Audits will be tailored to the level of activity and complexity of aviation activities in each State COSCAP-NA Briefing on USOAP 2

Systems approach to conducting audits Briefing to ICAO TCB Seminar 13 January 2004 Systems approach to conducting audits All Contracting States to be audited at least once in a six-year period Number, duration, frequency of visits and team size tailored to each State Core audit staff at Headquarters complemented with Regional Office and State-seconded staff will conduct the audits Systems approach offers cost advantages over Annex-by-Annex approach as the cost per Annex audited will be significantly reduced COSCAP-NA Briefing on USOAP 2

Briefing to ICAO TCB Seminar 13 January 2004 Conclusions USOAP’s activities related to Annexes 1, 6 and 8 cannot be abandoned. States have a vested interest and ICAO’s credibility would be at stake Audits in the expansion areas of Annexes 11, 13 and 14 cannot be conducted in isolation Support to States with seminar/workshops and guidance material must be continued and increased COSCAP-NA Briefing on USOAP 2

Briefing to ICAO TCB Seminar 13 January 2004 Conclusions Audits based on the systems approach can be launched in 2005 with a six-year cycle schedule Council has accepted this concept and the Assembly will be invited to endorse it The Preparatory work for launching the Systems Approach can be finalized in 2004 If the systems approach is endorsed there will be no need to start audits relating to Annexes 11, 13 and 14, in 2004 COSCAP-NA Briefing on USOAP 2

Briefing to ICAO TCB Seminar THANK YOU 13 January 2004 ICAO Universal Safety Oversight Audit Programme THANK YOU