FAA International Aviation Safety Assessment (IASA)

ProgramPresentation

Miami-July 23, 2003

“How to Become a Foreign Air Carrier,”

http://ostpxweb.dot.gov/aviation/certific/pkt2kb.pdf.

United States Department of Transportation (DOT)

3

FAA IASA Program

The FAA’s IASA History

• Was initially developed during 1991-1995 in response to the FAA’s concerns about the safety of foreign air carrier operations in the U.S.

• Emphasizes the Civil Aviation Authorities’ [CAA] State of the Operator oversight

responsibilities.

• Is FAA Policy regarding the U.S. operations of foreign air carriers

• The concepts have been adopted by safety authorities worldwide

Prior to 1990

• Minimal FAA concern with foreign airlines

• Mid 1990 - FAA establishes the International Field Offices (IFOs) - Miami, New York, San Francisco, Dallas

IN THE BEGINNING

• Mid to Late 1991 – Formal visits to countries with unknown airlines operating to the US.

• Early 1992 - Formal visits to countries with new applicant carriers.

• Mid 1992 - First applications of ICAO standards and guidance to visits.

IN THE BEGINNING

• Late 1992 - ICAO Assembly Resolution A-29-13 and State letter “inviting” States attention to their responsibility for the oversight of their operators, States urged to

review their national legislation

IN THE MIDDLE

• Mid 1993 – FAA freezing of Operations Specifications

• Early 1994 - Program extended to all countries with air carriers authorized to operate to the USA.

• August 1994 - Public release of categories assigned to the CAAs.

LATEST HAPPENINGS

• Early 1995 - Program formalized as IASA.• March 1995 - ICAO Council establishes

Safety Audit Programme• Mid 1998 - Changes in categories and

groups.• Late 1998 - ICAO Council Resolution A32-

11 establishes the Universal Safety Audit programme

• Mid 2000 - IASA Phase 2

FINDINGS: In the Beginning • Aviation law unchanged since the 1950s• Aviation regulations non-existent or 1960s• Airline personnel also the CAA• No qualified inspectors• No guidance for inspectors• No evidence of initial certification• No evidence of a program of surveillance• No correction of safety issues

ICAO CONTRACTING STATES

Agree to meet their obligations as specified in

the ICAO Convention and in the Standards and

Recommended Practices of the Annexes.

Article 33 (ICAO Convention)

Recognition of certificates and licenses

Certificates of airworthiness and certificates of competency and licenses issued or rendered valid by the contracting State in which the aircraft is registered, shall be recognized as valid by the other contracting States, provided that the requirements under which such certificates or licenses were issued or rendered valid are equal to or above the minimum standards which may be established from time to time pursuant to this convention.

Article 37 (ICAO Convention)

Adoption of international standards and procedures

Each contracting State undertakes to collaborate in securing the highest practicable degree of uniformity in regulations, standards, procedures, and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in which such uniformity will facilitate and improve air navigation.

SAFETY SUPERVISION: AN ICAO STANDARD

CERTIFICATION REQUIRED

The issue of an AOC shall be dependent upon the operator demonstrating an adequate organization, method of control and supervision of flight operations, training program and maintenance arrangements to the satisfaction of the State of the Operator.

Annex 6, Part I, Standard 4.2.1.3

SURVEILLANCE REQUIRED

The continued validity of an AOC shall depend upon the operator

maintaining the [certification] requirements under the supervision

of the State of the Operator.

Annex 6, Part I, 4.2.1.4

SYSTEM NECESSARY

The State shall establish a system for both the certification and continued

surveillance of the operation to ensure that the required standards of

operation are maintained.

Annex 6, Part I, 4.2.1.6

Summary of the IASA Process

Formal notification of intent

On-site visit with CAA

Use of Checklist

On-site visit with Operators

Verbal Debriefings

Summary Report to Flight International Policy and Program

If the Assessment Results in Significant Findings

Consultations with the State

Other actions at the State’s request may include:

Action Plan DevelopmentTechnical Review Technical Assistance

TECHNICAL ASSISTANCE

• Requires High Level Political Commitment

• Memorandum of Agreement Between the FAA and Host Country

• Action Plan

IASA - Phase 2The Next Step

IASA Program Will Continue, However...

• Projected reductions in on-site assessments

• Periodic determinations of need for assessments

• Determinations based on “risk analysis model”

• Changes in IASA categorization

IASA Phase 2

Change in Categories

• To eliminate the misimpression regarding the previous Categories II and III, that Category II reflected a higher degree of compliance with ICAO than Category III

•Category III deleted

IASA Phase 2

• Category 1 - In compliance with

minimum international standards for aviation

safety

• Category 2 - Not in compliance with

minimum international standards for aviation

safety

IASA Phase 2

Category 2

• With existing U.S. operations at the time of the assessment - Operations at current level

• Do not have existing U.S. operations at the time of the assessment - Cannot commence U.S. service while in Category 2 * will be added

Risk Analysis Factors:• Analysis of ICAO Audit Reports

• FAA Inspections of Foreign Air Carriers in the USA

• Interface with CAA for resolution of technical safety issues

• Accident and Incident Reports

• Interface with Airline Personnel

• Action Plan Progress

Scope of ExperienceScope of Experience

Number of States

Years

ICAO Universal Safety Oversight Audit Program……. 185 1999-01

FAA International Aviation Safety Assessment Program…. 98 1992-03

SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734)Lack of Effective Implementation (%)

ESAF/21 – 39.4%ESAF/21 – 39.4%APAC/33 – 25.2%APAC/33 – 25.2%

MID/17 – 28.8%MID/17 – 28.8% WACAF/21 – 49.8%WACAF/21 – 49.8%

GLOBAL/177 – 28.3%GLOBAL/177 – 28.3% EUR/NAT/51 – 19.6%EUR/NAT/51 – 19.6%

NACC/21 – 23.5%NACC/21 – 23.5% SAM/13 – 24%SAM/13 – 24%

1010

2020

3030

4040

5050

6060

7070

PrimaryAviation

Legislation

SpecificOperating

Regulations

CAA Structure &Safety Oversight

Functions

TechnicalGuidanceMaterial

QualifiedTechnicalPersonnel

Licensing &CertificationObligations

ContinuedSurveillanceObligations

Resolutionof Safety

Issues

Association Between Findings and Accident Rates

0

10

20

30

60

40

50

70

80

Asia and PacificRegion

Southern AmericanRegion

Eastern and Southern African

Region

European and N. Atlantic

Region

Middle EastRegion

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, (177 audit reports)

Accident rates per 1 000 000 departures - scheduled (International and Domestic, 2000)

CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM

Resolution of Safety Issues

Continued Surveillance

Licensing and Certification

Qualified Technical Personnel

Technical Guidance

CAA Structure

Specific Operating Regulations

Primary Aviation Legislation

FAA TECHNICAL PROJECTS

• Regional Organizations Support– Third Border Initiative– ACSA

• Safe Skies Initiative• Model Law/Regulations

• FAA/ICAO TRAINAIR Foreign CAA Inspector Training

Conducted at FAA Academy

Course Uses Model Law/Regulations

U.S. Department of Transportation

  SAFE SKIES FOR AFRICA

INITIATIVE 

SAFE SKIES FOR AFRICA INITIATIVE

A Component in the U.S. DOT’s Africa Transportation Program

• Safe Skies for Africa• Nigeria Technical Assistance• Open Skies

Safe Skies and Nigeria Program Goals

• Increasing the number of sub-Saharan African countries that meet International Civil Aviation Organization (ICAO) safety standards (based on IASA);

• Improving airport security in the region;

• Improving regional air navigation services

SAFE SKIES FOR AFRICA9 Participant Countries

Angola, Cape Verde, Cameroon, Cote d’Ivoire,

Kenya, Mali, Namibia, Tanzania, and Zimbabwe

SAFE SKIES FOR AFRICA2002-2003 Accomplishments

•Initial surveys of status of safety, security and air navigation systems conducted in 8 of the 9 Safe Skies for Africa countries, and Nigeria and Senegal

•Training and facility needs assessments were performed in Angola, Cameroon, Kenya, Niger, Nigeria, Mali,

Namibia, Tanzania, and Uganda…to support the eventual development of regional training centers

•Focused technical assistance programs…to meet ICAO Standards•U.S. contributed to enhancements in aviation security

 

SAFE SKIES FOR AFRICA INITIATIVE

For more information contact:

Connie HunterProgram Manager, Safe Skies for Africa Initiative

Office of the Secretary of Transportation

Telephone: 202-366-9521Fax: 202-366-7417

Thank YouThank You