International Civil Aviation Organization European and North Atlantic Office 1 ICAO EUR HLSC Preparatory Seminar 9-11 February 2010 Baku, Azerbaijan Theme 1: The foundation for global aviation safety Topic 1.2:The evolution of the safety oversight audit process by ICAO

ICAO EUR/NAT Office 2 2 Safety Oversight USOAP evolution Transition to CMA Theme 1-The foundations for global aviation safety Topic 1.2 – The evolution of the safety oversight audit process by ICAO Objective  Present a report on the evolution of the safety oversight audit process by ICAO, highlighting the transition from periodic compliance audits to safety risk-based continuous monitoring ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 3 3 Safety Oversight USOAP evolution Transition to CMA  Safety oversight is a function by which Contracting States ensure the effective implementation of:  ICAO Standards and Recommended Practices (SARPs);  the critical elements of a safety oversight system; and  relevant safety practices and procedures. What is safety oversight ? Safety oversight is a State’s responsibility ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 4 4 Safety Oversight USOAP evolution Transition to CMA Critical elements of a State’s safety oversight system 1 Legislation 2 Operating Regulations 3 Organization, SO Functions 4 Technical Experts Trg. 5 Guidance, Procedures & Info. 6 Licensing & Certification Obligations 7 Surveillance & Inspection Obligations 8 Resolution of Safety Concerns ESTABLISH IMPLEMENT DOC 9734 Part A ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 5 5 Safety Oversight USOAP evolution Transition to CMA  Various reports in the early 1990s on the lack of implementation by States of ICAO SARPs.  Accidents indicating insufficient safety oversight by States.  Increased concern over the level of aviation safety worldwide.  Need to reduce accident rates to off-set the rapid increase in traffic. Why an ICAO Programme? ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 6 6 Safety Oversight USOAP evolution Transition to CMA  The objective of USOAP is to promote global aviation safety through auditing Contracting States, on a regular basis, to determine States’ capability for safety oversight by assessing the effective implementation of the critical elements of a safety oversight system and the status of States’ implementation of safety-relevant ICAO Standards and Recommended Practices (SARPs), associated procedures, guidance material and safety- related practices. ICAO EUR High Level Safety Conference Preparatory Seminar Objective of the Programme

ICAO EUR/NAT Office 7 7 Safety Oversight USOAP evolution Transition to CMA Evolution of USOAP Voluntary Assessment Programme 1995 – 1998 Annexes 1, 6, 8 88 Requests 67 Assessments Annex-by-Annex Approach Mandatory Audit Programme (USOAP) A-32/ – Audits 162 Follow-ups Annexes 1, 6, 8 Annex-by-Annex Approach   D G C A C O N F ’97  35 TH A S E M B L Y ’04  ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 8 8 Safety Oversight USOAP evolution Transition to CMA Annex by Annex approach  It was applied from 1996 – start of the voluntary assessments until 2004 – end of first cycle of mandatory audits.  Assessed the implementation of specific annexes.  Experience shows that it was successfully implemented and served the intended purpose:  Raised State awareness on their safety oversight responsibilities.  Provided reliable information on the status of implementation of ICAO SARPs.  Enabled the identification of deficiencies in the global safety of aviation activities in the three areas. ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 9 9 Safety Oversight USOAP evolution Transition to CMA Evolution of USOAP ICAO EUR High Level Safety Conference Preparatory Seminar Comprehensive Systems Approach A-35/ Safety-related Provisions in all Safety-related Annexes (All except 9 and 17) Comprehensive Systems Approach Greater Transparency – Public information Procedure for Significant Safety Concerns  D G C A C O N F ’06   

ICAO EUR/NAT Office 10 Safety Oversight USOAP evolution Transition to CMA Comprehensive systems approach  Endorsed by Assembly Resolution A35-6 (2004):  USOAP to be further expanded to include the safety-related provisions in all safety- related Annexes.  USOAP to adopt a comprehensive systems approach in conducting safety oversight audits.  PEL, OPS, AIR, ATM, AGA and AIG to constitute the core elements (subjects) of the audit Programme. ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 11 Safety Oversight USOAP evolution Transition to CMA Comprehensive systems approach LegislationandRegulationsConvention PersonnelLicensing Annex 1 Organization & Safety Oversight FunctionsSAAQ AircraftOperations Annexes 6, 18 PANS-OPS Airworthiness of Aircraft Annexes 6, 7, 8, 16 Aerodromes Annex 14 AirNavigationSystem Annexes 2,3,4,5 10,11,12,15 & PANS-ATM Accident & IncidentInvestigation Annex 13 Effective State Safety Oversight System

ICAO EUR/NAT Office 12 Safety Oversight USOAP evolution Transition to CMA Results of the DGCA Conference 2006  Greater transparency – audit information to be made public.  Procedure to deal in a timely manner with significant safety concerns identified during audits.  Classification of audit findings under the critical elements.  Consequential amendments to the MOU on safety oversight audits. ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 13 Safety Oversight USOAP evolution Transition to CMA USOAP CSA Audits Completed as of December 2008 ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 14 Safety Oversight USOAP evolution Transition to CMA Release of audit information to the public  Information released to the public is posted in the Flight Safety Information Exchange (FSIX) website.  For audits conducted during the first audit cycle:  States were requested to sign a release consent form authorizing ICAO to release either a summary of the audit report and a graph, or the entire report.  For audits under the comprehensive systems approach:  Graph depicting implementation of the critical elements; or full audit report.  MOU amended to allow for the release to the public ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 15 Safety Oversight USOAP evolution Transition to CMA Global Audit Results ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 16 Safety Oversight USOAP evolution Transition to CMA Lack of CEs effective implementation in the EUR Region ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 17 Safety Oversight USOAP evolution Transition to CMA Accident rate (global) analysis ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 18 Safety Oversight USOAP evolution Transition to CMA Accident rate by ICAO Region ICAO EUR High Level Safety Conference Preparatory Seminar Accident rate per 10 million departures

ICAO EUR/NAT Office 19 Safety Oversight USOAP evolution Transition to CMA ICAO EUR High Level Safety Conference Preparatory Seminar Lack of implementation vs Accident rates Accident rate per 10 million departures

ICAO EUR/NAT Office 20 Safety Oversight USOAP evolution Transition to CMA Relationship between accident rates and individual CEs ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 21 Safety Oversight USOAP evolution Transition to CMA Evolution of USOAP ICAO EUR High Level Safety Conference Preparatory Seminar   USOAP beyond 2010 A-36/4 Continuous Monitoring Mechanism 36 TH A S E M B L Y ’07 I C A O H L S C ’10 

ICAO EUR/NAT Office 22 Safety Oversight USOAP evolution Transition to CMA Assembly resolution 36-4 Application of a continuous monitoring approach for the ICAO Universal Safety Oversight Audit Programme (USOAP) beyond 2010 Whereas the primary objective of the Organization continues to be that of ensuring the safety of international civil aviation worldwide; Whereas promoting the implementation of international standards contributes to this objective; Recalling that the 32nd Session of the Assembly resolved that a universal safety oversight audit programme be established, comprising regular, mandatory, systematic and harmonized safety oversight audits to be carried out by ICAO; Whereas the ICAO Universal Safety Oversight Audit Programme (USOAP) has been successful in meeting the mandate given by Resolutions A32-11 and A35-6; Recalling that the ultimate responsibility for safety oversight rests with Contracting States, who shall continuously review their respective safety oversight capabilities; Recalling that the 35th Session of the Assembly recognized that the establishment of regional and sub-regional safety oversight organizations has great potential to assist States in complying with their obligations under the Chicago Convention through economies of scale and promotion of uniformity on a larger scale; and Recognizing the need to address the future nature and direction of the USOAP following the completion of the current audit cycle in 2010; ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 23 Safety Oversight USOAP evolution Transition to CMA Assembly Resolution 36-4 The Assembly: 1. Expresses its appreciation to the Secretary General on the continuing success in the implementation of the comprehensive systems approach for the USOAP; 2. Directs the Council to make appropriate changes to USOAP to incorporate the analysis of safety risk factors, including the corresponding guidance material, and apply them on a universal basis, following the completion of the current audit cycle in 2010, to assess, on an on-going basis, States’ compliance with their oversight obligations and adapt the audit planning and scope accordingly; 3 Directs the Council to examine the feasibility, among the various options that could be considered, of a new approach based on the concept of continuous monitoring, to be implemented at the end of the current audit cycle in In so doing, the Council shall continue to maintain as core elements the key safety provisions contained in Annex 1 – Personnel Licensing, Annex 6 – Operation of Aircraft, Annex 8 – Airworthiness of Aircraft, Annex 11 – Air Traffic Services, Annex 13 – Aircraft Accident and Incident Investigation, and Annex 14 – Aerodromes; and 4. Requests that the Council report to the next ordinary Session of the Assembly on the overall implementation plan for this new auditing approach to commence after ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 24 Safety Oversight USOAP evolution Transition to CMA Continuous Monitoring-States ICAO EUR High Level Safety Conference Preparatory Seminar  On-line framework Update Corrective Action Plans Update State Aviation activity Questionnaire Complete CMA protocols Sign a new MoU Appoint a NCMC Update CAP Complete CMA protocols Update SAAQ Develop CMA protocols completion plan Pass a CBT

ICAO EUR/NAT Office 25 Safety Oversight USOAP evolution Transition to CMA Continuous Monitoring-ICAO ICAO EUR High Level Safety Conference Preparatory Seminar  On-line framework Update Corrective Action Plans Update State Aviation activity Questionnaire Complete CMA protocols Publish the new Doc9735 Agreements with International entities Test the CMA on-line framework CMA workshops Launch CBT auditor training ICVMs Audits on request

ICAO EUR/NAT Office 26 Safety Oversight USOAP evolution Transition to CMA ICAO transition to CMA ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 27 Safety Oversight USOAP evolution Transition to CMA Member States transition to CMA ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 28 Safety Oversight USOAP evolution Transition to CMA Conclusions  The USOAP programme CSA audits cycle is scheduled to be completed by the end of 2010  CSA audits have proven to be successful and facilitated to improving civil aviation safety  Changing environment requires continuous improvement and dynamic interaction  Integration of safety-risk based management concept into the USOAP  Transition to be completed by 2013  States are urged to support this process ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 29 Safety Oversight USOAP evolution Transition to CMA Questions and Answers ICAO EUR High Level Safety Conference Preparatory Seminar

ICAO EUR/NAT Office 30 Additional slides Guidance material

ICAO EUR/NAT Office 31 ICAO EUR/NAT Additional/Support Tools - Guidance material:  Designed to assist States in the implementation of SARPs and associated Procedures:  Doc 9734 Safety Oversight Manual, Part A – provides guidance on the establishment and management of a State ’ s safety oversight system (2nd Edition, 2006).  Doc 9734 Safety Oversight Manual, Part B – provides guidance on the establishment and management of a regional safety oversight system (First Edition 2006). Comprehensive systems approach

ICAO EUR/NAT Office 32 ICAO EUR/NAT Additional/Support Tools - Guidance material:  Doc 9735 Safety Oversight Audit Manual – provides detailed information on USOAP and on the conduct of safety oversight audits (2nd Edition, 2006).  Additional guidance material is associated with individual protocol questions, as applicable. Comprehensive systems approach