1. 6-1. 항공안전평가프로그램 항공안전본부 항공기술과 항공사무관 이광희 02-2669-6471kcablee@moct.go.kr 6-1. 항공안전평가프로그램 항공안전본부 항공기술과 항공사무관 이광희 02-2669-6471kcablee@moct.go.kr

2. 2 January 2004 TCB Briefing on USOAP OutlineOutline Q Background Q Establishment of USOAP Q Universal programme - principles and mandate Q Programme activities and personnel Q Audit Findings and implications Q Future of the program

3. 3 January 2004 TCB Briefing on USOAP Safety Oversight - a definition Q Safety oversight is a function by which States ensure the effective implementation: Q Standards and Recommended Practices (SARPs) Q The critical elements of a safety oversight system Q Relevant safety practices and procedures

4. 4 January 2004 TCB Briefing on USOAP Why an ICAO programme? Q Increased concern over the level of safety world- wide Q Various reports in the early 1990s on the lack of Implementation of ICAO SARPs by States Q Need to reduce accident rates to off-set the rapid increase in traffic

5. 5 January 2004 TCB Briefing on USOAP ( 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. Directors General of Civil Aviation Conference

6. 6 January 2004 TCB Briefing on USOAP Making of a Program  Assembly Resolution A29-13(1992)  Approval of the ICAO safety oversight voluntary assessment program by the Council (June 1995)  Voluntary assessments commence (March 1996)  DGCA Conference (November 1997)  Approval of the ICAO Universal Safety Oversight Audit Program by the Council (May 1998)  Assembly Resolution A32-11 (1998)  Mandatory audit program established on 1 January 1999  Assembly Resolutions A33-8 and A33-9 (2001)

7. 7 January 2004 TCB 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

8. 8 January 2004 TCB Briefing on USOAP The eight critical elements 1. Primary aviation legislation 2. Operating regulations 3. Structure/Organizations 4. Qualified Technical Personnel 5. Technical Guidance 6. Licensing / Certifications 7. Continuing Surveillance 8. Resolution of safety concerns

9. 9 January 2004 TCB Briefing on USOAP Audits and Audit Follow-ups Completed (as of 31 October 2003)

10. 10 January 2004 TCB Briefing on USOAP  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 Analysis of the findings Audit Findings and Differences Database (AFDD)

11. 11 January 2004 TCB Briefing on USOAP USOAP – findings and analysis Lack of effective implementation of the critical elements (%) 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 0 10 20 30 40 50 60 70 GLOBAL/181 – 28.8% APAC/33 – 24.9% ESAF/21 – 40.2%EUR/NAT/51 – 19.65% MID/17 – 30.52% NACC/21 – 24.04% SAM/13 – 23.24%WACAF/21 – 49.37%

12. 12 January 2004 TCB Briefing on USOAP What does this all mean? 1. What is the impact of the results of the audits on safety? 2. What can and should be done?

13. 13 January 2004 TCB Briefing on USOAP 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)

14. 14 January 2004 TCB Briefing on USOAP Critical Elements of a Safety Oversight System - Lack of Effective Implementation Comparison of Audit and Audit Follow-up Results Resolution of Safety Issues Primary Aviation Legislation Specific Operating Regulations CAA Structure and Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing and Certification Obligations Continued Surveillance Obligations 0 5 10 15 20 25 30 35 40 85 States - Initial Audit = 22.7% Global - Initial Audit = 30.3% 85 States - Follow-up = 7.7% Global - Revised = 21.4%

15. 15 January 2004 TCB Briefing on USOAP

16. 16 January 2004 TCB Briefing on USOAP  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 Future of the Programme

17. 17 January 2004 TCB Briefing on USOAP Expansion to Annexes 11, 13 and 14 Q Expansion due to start in 2004 Q Provisions in Annexes 11 and 14 are highly interrelated with those in other Annexes (1,2, 4, 10, 12 and 15) Q Annexes 11 and 14 cannot be audited in isolation. Related provisions in other Annexes must be considered Q Expansion also entails the provision of: Q Seminar/workshops Q Guidance material

18. 18 January 2004 TCB Briefing on USOAP 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

19. 19 January 2004 TCB Briefing on USOAP 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

20. 20 January 2004 TCB Briefing on USOAP 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

21. 21 January 2004 TCB Briefing on USOAP 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

22. 22 January 2004 TCB Briefing on USOAP 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

23. 23 January 2004 TCB Briefing on USOAP ConclusionsConclusions  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

24. 24 January 2004 TCB Briefing on USOAP ConclusionsConclusions  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

25. THANK YOU ICAO Universal Safety Oversight Audit Programme ICAO Universal Safety Oversight Audit Programme