1. Karsten Theil Regional Director European and North Atlantic Office ICAO Programme Elements on Aviation Safety ICAO Safety Management Seminar/Workshop Almaty, 5 to 9 September 2005

2. 2 Almaty, 5 – 9 September 2005 Narrative  The Universal Safety Oversight Audit Programme – USOAP  The Unified Strategy to Rectify Safety Related Differences  The roles and responsibilities of  the States  ICAO

3. 3 Almaty, 5 – 9 September 2005 USOAP History  1992: Assembly Resolution A29-13  June 1995: Council Decision on the ICAO Safety Oversight Voluntary Assessment Programme  November 1997: DGCA Conference  May 1998: Council Decision on the USOAP  1998: Assembly Resolution A32-11: Establishment of USOAP  2001: Assembly Resolutions A33-8 and A33-9: Expansion of USOAP  2004: Assembly Resolution A35-6: Comprehensive Systems Approach

4. 4 Almaty, 5 – 9 September 2005 USOAP History 1995-19981999-20042005-2008 Voluntary Assessment Programme Mandatory Audit Programme (USOAP) USOAP with transparent audit reports Annexes 1, 6 and 8 All safety related provisions except Annexes 9 and 17 88 requests 67 assessments 181 audits 162 follow-ups Target: all States

5. 5 Almaty, 5 – 9 September 2005 Programme Principles SOVEREIGNTY OF STATES UNIVERSALITY TRANSPARENCY / DISCLOSURE TIMELINESS FAIRNESS OBJECTIVITY QUALITY ALL INCLUSIVENESS

6. 6 Almaty, 5 – 9 September 2005 The Critical Elements 1.Primary aviation legislation 2.Specific operating regulations 3.State aviation system and safety oversight functions 4.Technical personnel qualifications and training 5.Technical guidance, tools and provision of safety critical information 6.Licensing, certification, authorisation and approval obligations 7.Surveillance obligations 8.Resolution of safety concerns

7. 7 Almaty, 5 – 9 September 2005 The Process  Phase 1  Pre-on-site audit activities  Phase 2  On-site audit activities  Phase 3  Post-on-site audit activities

8. 8 Almaty, 5 – 9 September 2005 Pre-on-site audit activities  Audit scheduling  Memorandum of Understanding  State Aviation Activity Questionnaire and Compliance Check-list  Team composition  OPS – AIR – AGA – ANS

9. 9 Almaty, 5 – 9 September 2005 On-site audit activities  Conduct the audit  Provide the CAA with  full briefing on draft findings and recommendations  Information on follow-up action

10. 10 Almaty, 5 – 9 September 2005 Post-on-site Audit Activities  Audit interim report  State comments on interim report and corrective action plan  Final audit report to State  State comments on final report  Final report available on ICAO secure website  Audit Findings & Differences Data Base 90 days 60 days 30 days

11. 11 Almaty, 5 – 9 September 2005 Second Quarter 2005 AprilCanada MayGermany JuneThailand – Malaysia Third Quarter 2005 July- August- SeptemberGambia Fourth Quarter 2005 OctoberPanama – Trinidad and Tobago NovemberBulgaria – Egypt – Kuwait DecemberCzech Republic The Schedule - 2005

12. 12 Almaty, 5 – 9 September 2005 First Quarter 2006 JanuaryCosta Rica – Fiji - Vanuatu FebruaryColombia – Belgium – Luxembourg MarchNew Zealand – Niger – Peru – Senegal – Solomon Islands Second Quarter 2006 AprilNamibia MayGreece – Norway – Botswana – Cameroon – Cyprus - Italy JuneArmenia – Dem. Rep. of the Congo – El Salvador – Israel - Mexico Third Quarter 2006 July- August- SeptemberBenin – Russian Federation - Togo Fourth Quarter 2006 OctoberBhutan – India - Lebanon NovemberGhana – Jordan – Nigeria - Sudan DecemberEthiopia The Schedule - 2006

13. 13 Almaty, 5 – 9 September 2005 Elements of the Strategy  Transparency  Data Collection and Analysis  Partnership for Remedies  Monitoring Progress

14. 14 Almaty, 5 – 9 September 2005 Transparency  Increase the amount of safety information available to States  because States must ensure adequate safety oversight of own operators and service providers and of foreign operators  Sharing of safety information  in order to focus assistance

15. 15 Almaty, 5 – 9 September 2005 Transparency Article 54 The Council shall: … j)Report to contracting States any infraction of this Convention, as well as any failure to carry out recommendations or determinations of the Council; …

16. 16 Almaty, 5 – 9 September 2005 Actions ?

17. 17 Almaty, 5 – 9 September 2005 Data Collection and Analysis  Full USOAP audit reports will be available  Information from AFDD available to  ICAO secretariat, incl. Regional Offices  Contracting States  Other safety data from  IATA – IOSA – PIRGs – SAFA – Regional Offices – etc.

18. 18 Almaty, 5 – 9 September 2005 Data Collection and Analysis  The hunt for indicators – criteria:  States not audited  States not having submitted action plan  States having completed less than 50% of action plan at time of follow-up  States having more than 20% lack of effective implementation of critical elements

19. 19 Almaty, 5 – 9 September 2005 Data Collection and Analysis

20. 20 Almaty, 5 – 9 September 2005 Data Collection and Analysis  States listed: 1.Albania 2.Austria 3.Azerbaijan 4.Bosnia & Herzegovina 5.Croatia 6.Georgia 7.Germany 8.Hungary 9.Kazakhstan 10.Portugal 11.Russian Federation

21. 21 Almaty, 5 – 9 September 2005 Responsibilities of ICAO  Conduct audits in accordance with the Comprehensive Systems Approach  Make available ALL safety related information to States – Article 54 j)  Analyse safety related information in order to identify priorities  Assist in the rectification of safety related deficiencies

22. 22 Almaty, 5 – 9 September 2005 The role of the EUR/NAT Office

23. 23 Almaty, 5 – 9 September 2005 Responsibilities of States  Effective safety oversight mechanism in place  towards own operators and service providers  towards foreign operators  Implement corrective measures as appropriate  operationally  procedurally  legally

24. 24 Almaty, 5 – 9 September 2005 Summary  The Comprehensive Systems Approach to Safety Oversight Audits  the critical elements  The Unified Strategy to Rectify Safety Related Deficiencies  transparency – data collection and analysis – prioritising assistance  Different roles of ICAO and States

25. Karsten Theil Regional Director European and North Atlantic Office ICAO Programme Elements on Aviation Safety Thank you for your attention Questions ?