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

3. COSCAP-NAICAO Universal Safety Oversight Audit Programme2 OutlineOutline  Background  Audit programme  State Safety Oversight System  Status of implementation  Analysis of the findings – AFDD  Implications of the findings  Future of the Programme

4. COSCAP-NAICAO Universal Safety Oversight Audit Programme3 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 International Civil Aviation and associated documents What is safety oversight?

5. COSCAP-NAICAO Universal Safety Oversight Audit Programme4 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 aviation may be developed in a safe and orderly manner. (Preamble to the Convention))

6. COSCAP-NAICAO Universal Safety Oversight Audit Programme5 Universal safety oversight audit programme   The ICAO Universal Safety Oversight Audit Programme was established to:   Assist States to effectively implement the critical elements of a safety oversight system;   Assist them to better undertake their responsibilities for safety oversight under the Convention; and  Uphold the principles and the spirit of the Convention on International Civil Aviation.

7. COSCAP-NAICAO Universal Safety Oversight Audit Programme6  Various reports in the early 1990s on the lack of implementation by States of ICAO SARPs  Increased concern over the level of aviation safety world-wide  Need to reduce accident rates to off-set the rapid increase in traffic Why an ICAO Programme?

8. COSCAP-NAICAO Universal Safety Oversight Audit Programme7  Assembly Resolution A29-13 (1992)  Approval of the ICAO safety oversight voluntary assessment programme by the Council (June 1995)  Voluntary assessments commence (March 1996)  DGCA Conference (November 1997)  Approval of the ICAO Universal Safety Oversight Audit Programme by the Council (May 1998)  Assembly Resolution A32-11 (1998)  Mandatory audit programme established on 1 January 1999.  Assembly Resolutions A33-8 and A33-9 (2001) The making of a programme

9. COSCAP-NAICAO Universal Safety Oversight Audit Programme8 Evolution of the Programme VOLUNTARY CONFIDENTIAL MANDATORY TRANSPARENT FUNDED BY ICAO FUNDED BY STATE CONTRIBUTIONS ASSESSMENT PROGRAMME (Mar 96 - Dec 98) ASSESSMENT PROGRAMME (Mar 96 - Dec 98) AUDIT PROGRAMME (Jan 99  ) AUDIT PROGRAMME (Jan 99  )

10. COSCAP-NAICAO Universal Safety Oversight Audit Programme9 Scope of the audits Compliance with:  Chicago Convention  State Regulations  Conformance with:  ICAO Standards Adherence to:  Recommended practices  Related procedures  Guidance material  Relevant industry practices The overall implementation of the Critical Elements of a Safety Oversight System ANNEXES: 1 – PEL 6 – OPS 8 – AIR

11. COSCAP-NAICAO Universal Safety Oversight Audit Programme10 State safety oversight systems  essential  The establishment of a safety oversight system is essential to fulfill State obligations under the Chicago Convention.  organizational processes and procedures,  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.   Failure to implement proper safety oversight systems could harbour conditions which may have an impact on the safety of civil aviation.

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

13. COSCAP-NAICAO Universal Safety Oversight Audit Programme12 The audits, as a tool to enhance aviation safety, enable ICAO to: Evaluate Evaluate the effectiveness of organizational procedures and processes in Civil Aviation Administrations Reinforce Reinforce safety defences Detect Detect latent conditions which may be embedded in the system Identify Identify workplace conditions which could adversily impact safety Avert Avert active failures and, thus, prevent accidents and incidents Audits = a tool for aviation safety

14. COSCAP-NAICAO Universal Safety Oversight Audit Programme13 Safety defences Workplace conditions USOAP Audits Organizational Processes and Procedures Auditing philosophy and approach

15. Safety defencesPrimarylegislation Operatingregulations Structure/ organization Qualified Technical Personnel Technical guidance Licensing/ certification Resolution of safety concerns Continuing surveillance USOAP Audits Organizational Processes and Procedures Critical Elements of a Safety Oversight System

16. Workplace conditions 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 - Job stability - Staff turn-over - Competitive remuneration - Support equipment, facilities and guidance - Qualifications and experience - Employee morale - Credibility and trust

17. Safety defences Latent conditions  No effective laws, policy, procedures and guidance  No clearly established safety requirements  Non implementation of SARPS  No programmes to certify, inspect and surveille the industry  No training policy and programmes  Self-regulating organizations  No identification of safety concerns  No resolution of safety issues USOAP Audits Organizational Processes and Procedures Breaches in safety defences harbour latent conditions

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

19. Safety defences Workplace conditions Latent conditions Active failures USOAP Audits Organizational Processes and Procedures Safety defences Workplace conditions Latent conditions Active failures USOAP Audits Organizational Processes and Procedures REINFORCE ENHANCE IDENTIFIFY AVERT AUDIT

20. Status of implementation Audits completed 181 * Interim reports181 Action plans173 Summary reports180 Audit follow-ups102 *In addition, five territories have been audited under the auspices of Contracting States Total – 187 Contracting States

21. COSCAP-NAICAO Universal Safety Oversight Audit Programme20   Based on factual and recent data   Enables identification of deficiencies impacting on safety   Coincides with regional accident/ incident rates   Safety tool, both for ICAO and its Contracting States   178 audit interim reports analyzed   Updated as audit follow-up validation missions are completed Analysis of the findings Audit Findings and Differences Database (AFDD)

22. COSCAP-NAICAO Universal Safety Oversight Audit Programme21 Customization of remedial action:   At a State or group of States level   At a regional or sub-regional level   Can be targeted to resolve specific problems on the basis of established priorities It will support and allow:   ICAO Regional Offices prioritize their activities, seminars and workshops   ANB Sections identify needs for guidance material, seminars, workshops and SARPs amendment   Identification of regional or subregional needs and development of specific projects to resolve identified and quantified problems Benefits of the AFDD

23. SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734) Lack of Effective Implementation (%) ESAF/21 – 40.03% APAC/33 – 25.3% MID/17 – 30.65% WACAF/21 – 50.17% GLOBAL/180 – 28.63% EUR/NAT/53 – 20.42% NACC/21 – 23.16% SAM/13 – 23.47% 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

24. COSCAP-NAICAO Universal Safety Oversight Audit Programme23 SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734) Lack of Effective Implementation (%)

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

26. COSCAP-NAICAO Universal Safety Oversight Audit Programme25 What does this all mean? 1. 1. What is the impact of the results of the audits on safety? 2. 2. What can and should be done?

27. COSCAP-NAICAO Universal Safety Oversight Audit Programme26  commitment  Increased commitment on the part of Governments to fulfill their responsibilities  support  Greater support to Civil Aviation Administrations:   Legislation and regulations   Delegation and empowerment   Proper staffing, resourcing and financing  Working together  Working together – joining efforts   ICAO, Contracting States, international organizations and industry   Regional, sub-regional or group of States What can and should be done?

28. COSCAP-NAICAO Universal Safety Oversight Audit Programme27 CONTRACTING STATES AVIATION INDUSTRY PARTNERS IN THE PROMOTION OF AVIATION SAFETY PARTNERS IN THE PROMOTION OF AVIATION SAFETY ICAO REGIONAL AND INTERNATIONAL ORGANIZATIONS Working together

29. COSCAP-NAICAO Universal Safety Oversight Audit Programme28 Taking corrective action CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM LACK OF EFFECTIVE IMPLEMENTATION (%) 0 5 10 15 20 25 30 35 40 Primary Aviation Legislation Specific Operating Regulations CAA Structure and Safety Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing and Certification Obligations Continued Surveillance Obligations Resolution of Safety Issues GLOBAL: 181 (29.58%)Initial Audit: 85 (26.30%) GLOBAL Follow-Up: 181 (22.56%)Audit Follow-Up: 85 (9.51%)

30. COSCAP-NAICAO Universal Safety Oversight Audit Programme29 Taking corrective action

31. COSCAP-NAICAO Universal Safety Oversight Audit Programme30   Continued validation of the implementation of State corrective action plans   Generic air navigation support to States   Expansion of the Programme to other safety-related areas (Annexes 11, 13 and 14 as of 2004)   Promotion of the development of State Safety Quality Management Systems Future of the Programme

32. COSCAP-NAICAO Universal Safety Oversight Audit Programme31 ReviewReview  Background  Audit programme  State Safety Oversight System  Status of implementation  Analysis of the findings – AFDD  Implications of the findings  Future of the Programme

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