overview of the icao universal safety oversight audit programme

Overview of the ICAOOverview of the ICAO

Universal Safety OversightUniversal Safety Oversight

Audit ProgrammeAudit Programme




North Asia Regional Aviation Safety TeamNorth Asia Regional Aviation Safety TeamNorth Asia Regional Aviation Safety TeamNorth Asia Regional Aviation Safety Team

International Civil Aviation OrganizationInternational Civil Aviation OrganizationInternational Civil Aviation OrganizationInternational Civil Aviation Organization

Beijing, 25 September 2003Beijing, 25 September 2003

COSCAP-NACOSCAP-NA ICAO Universal Safety Oversight Audit Programme 2

OutlineOutlineOutlineOutline

BackgroundBackground

Audit programmeAudit programme

State Safety Oversight SystemState Safety Oversight System

Status of implementationStatus of implementation

Analysis of the findings – AFDDAnalysis of the findings – AFDD

Implications of the findingsImplications of the findings

Future of the ProgrammeFuture of the Programme


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?What is safety oversight?What is safety oversight?What is safety oversight?


Most importantly,Most importantly,Most importantly,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))


Universal safety oversight audit programmeUniversal safety oversight audit programmeUniversal safety oversight audit programmeUniversal 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 Uphold the principles and the spirit of the Convention on International Civil the Convention on International Civil Aviation.Aviation.


Various reports in the early 1990s Various reports in the early 1990s on the lack of implementation by on the lack of implementation by States of ICAO SARPsStates of ICAO SARPs

Increased concern over the level Increased concern over the level of aviation safety world-wideof aviation safety world-wide

Need to reduce accident rates to Need to reduce accident rates to off-set the rapid increase in trafficoff-set the rapid increase in traffic

Why an ICAO ProgrammeWhy an ICAO Programme??


Assembly Resolution A29-13 (1992)Assembly Resolution A29-13 (1992) Approval of the ICAO safety oversight voluntary assessment Approval of the ICAO safety oversight voluntary assessment

programme by the Council (June 1995)programme by the Council (June 1995) Voluntary assessments commence (March 1996) Voluntary assessments commence (March 1996) DGCA Conference (November 1997)DGCA Conference (November 1997) Approval of the ICAO Universal Safety Oversight Audit Approval of the ICAO Universal Safety Oversight Audit

Programme by the Council (May 1998)Programme by the Council (May 1998) Assembly Resolution A32-11 (1998)Assembly Resolution A32-11 (1998) Mandatory audit programme established on 1 January 1999.Mandatory audit programme established on 1 January 1999. Assembly Resolutions A33-8 and A33-9 (2001)Assembly Resolutions A33-8 and A33-9 (2001)

The making of a programmeThe making of a programme


Evolution of the Programme Evolution of the Programme Evolution of the Programme Evolution of the Programme

VOLUNTARY

CONFIDENTIAL

MANDATORY

TRANSPARENT

FUNDED BY ICAOFUNDED BY STATE CONTRIBUTIONS

ASSESSMENT PROGRAMME

(Mar 96 - Dec 98)

ASSESSMENT PROGRAMME

(Mar 96 - Dec 98)

AUDIT PROGRAMME

(Jan 99 )

AUDIT PROGRAMME

(Jan 99 )


Scope of the auditsScope of the auditsScope of the auditsScope of the auditsCompliance with:Compliance with: Chicago ConventionChicago Convention State RegulationsState Regulations Conformance with:Conformance with: ICAO StandardsICAO Standards

Adherence to:Adherence to: Recommended practicesRecommended practices Related proceduresRelated procedures Guidance materialGuidance material Relevant industry practicesRelevant industry practices

The overall implementation of the Critical Elements of a Safety Oversight System

The overall implementation of the Critical Elements of a Safety Oversight System

ANNEXES:1 – PEL6 – OPS8 – AIR


State safety oversight systemsState safety oversight systemsState safety oversight systemsState safety oversight systems The establishment of a safety oversight

system is essentialessential to fulfill State obligations under the Chicago Convention.

State safety oversight systems are comprised of a number of organizational organizational processes and proceduresprocesses 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.

Safetydefences

Workplaceconditions

Latentconditions

Activefailures

USOAP AuditsOrganizational Processes and Procedures

Safetydefences

Workplaceconditions

Latentconditions

Activefailures

Organizational Processes and ProceduresOrganizational Processes and Procedures


The audits, as a tool to enhance aviation safety, enable ICAO to:

EvaluateEvaluate the effectiveness of organizational procedures and processes in Civil Aviation Administrations

ReinforceReinforce safety defences DetectDetect latent conditions which may be embedded

in the system IdentifyIdentify workplace conditions which could

adversily impact safety AvertAvert active failures and, thus, prevent accidents

and incidents

Audits = a tool for aviation safetyAudits = a tool for aviation safety


Safetydefences

Workplaceconditions

USOAP AuditsUSOAP AuditsOrganizational Processes and ProceduresOrganizational Processes and Procedures

Auditing philosophy and approachAuditing philosophy and approach

Safetydefences

PrimaryPrimarylegislation

legislation Operating

Operating

regulationsregulations

Stru

ctur

e/or

gani

zatio

n

Qualified

Technical

PersonnelTechnical guidance

Licensing/

certification

Resolution

of safety

concerns

Cont

inui

ngsu

rvei

llanc

e


CriticalElements

of aSafety

OversightSystem

Workplaceconditions


- 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

Safetydefences

Latentconditions

No effective laws, policy, No effective laws, policy, procedures and guidance procedures and guidance

No clearly established safety No clearly established safety requirementsrequirements

Non implementation ofNon implementation of SARPS SARPS No programmes to certify, inspect No programmes to certify, inspect

and surveille the industryand surveille the industry No training policy and programmes No training policy and programmes Self-regulating organizationsSelf-regulating organizations No identification of safety No identification of safety

concernsconcerns No resolution of safety issuesNo resolution of safety issues


Breaches in safety defences harbour latent conditionsBreaches in safety defences harbour latent conditions

Inappropriate issuance, validation Inappropriate issuance, validation or renewal of licenses/certificatesor renewal of licenses/certificates

Improper approval of procedures Improper approval of procedures and documentsand documents

““Cutting corners”Cutting corners” Errors and violationsErrors and violations Inability to identify safety concerns Inability to identify safety concerns

and take remedial actions and take remedial actions Lack of enforcementLack of enforcement Inability to provide guidance to Inability to provide guidance to

industry counterpartsindustry counterparts

Workplaceconditions

Activefailures

Adverse workplace conditions result in active failuresAdverse workplace conditions result in active failures


Safetydefences

Workplaceconditions

Latentconditions

Activefailures

USOAP AuditsOrganizational Processes and Procedures

Safetydefences

Workplaceconditions

Latentconditions

Activefailures


REINFORCE ENHANCE

IDENTIFIFY AVERT

AUDIT

Status of implementationStatus of implementationStatus of implementationStatus of implementation

Auditscompleted

181 *181 *

Interimreports

181181

Actionplans

173173

Summaryreports

180180

Auditfollow-ups

102102

*In addition, five territories have been audited under the auspices of Contracting StatesTotal – 187 Contracting States


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 findingsAnalysis of the findingsAnalysis of the findingsAnalysis of the findings

Audit Findings and Differences Database (AFDD)Audit Findings and Differences Database (AFDD)


Customization of remedial action: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 prioritiesIt will support and allow: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 AFDDBenefits of the AFDDBenefits of the AFDDBenefits of the AFDD

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


ESAF/21 – 40.03%ESAF/21 – 40.03%APAC/33 – 25.3%APAC/33 – 25.3%

MID/17 – 30.65%MID/17 – 30.65% WACAF/21 – 50.17%WACAF/21 – 50.17%

GLOBAL/180 – 28.63%GLOBAL/180 – 28.63% EUR/NAT/53 – 20.42%EUR/NAT/53 – 20.42%

NACC/21 – 23.16%NACC/21 – 23.16% SAM/13 – 23.47%SAM/13 – 23.47%

1010

2020

3030

4040

5050

6060

7070

PrimaryAviation

Legislation

SpecificOperating

Regulations

CAA Structure &Safety Oversight

Functions

TechnicalGuidanceMaterial

QualifiedTechnicalPersonnel

Licensing &CertificationObligations

ContinuedSurveillanceObligations

Resolutionof Safety

Issues




CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEMLACK OF EFFECTIVE IMPLEMENTATION (%) Audit

0

5

10

15

20

25

30

35

40

45

50

Primary AviationLegislation

Specif ic OperatingRegulations

CAA Structure andSafety Oversight

Functions

Technical GuidanceMaterial

Qualif ied TechnicalPersonnel

Licensing andCertif icationObligations

Continued SurveillanceObligations

Resolution of SafetyIssues

GLOBAL: 181 (30.23%) COSCAP NA Audit (19.84%)

Parallel between findings and regional accident ratesParallel between findings and regional 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, (178 audit reports)

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


What does this all mean?What does this all mean?What does this all mean?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?


Increased commitmentcommitment on the part of Governments to fulfill their responsibilities

Greater supportsupport to Civil Aviation Administrations: Legislation and regulations Delegation and empowerment Proper staffing, resourcing and financing

Working togetherWorking together – joining efforts ICAO, Contracting States, international organizations

and industry Regional, sub-regional or group of States

What can and should be doneWhat can and should be done??What can and should be doneWhat can and should be done??


CONTRACTINGSTATES

AVIATIONINDUSTRY

PARTNERS INPARTNERS INTHE PROMOTIONTHE PROMOTION

OF AVIATION OF AVIATION SAFETYSAFETY

PARTNERS INPARTNERS INTHE PROMOTIONTHE PROMOTION

OF AVIATION OF AVIATION SAFETYSAFETY

ICAOREGIONAL ANDINTERNATIONALORGANIZATIONS

Working togetherWorking together


Taking corrective actionTaking corrective actionTaking corrective actionTaking corrective action

CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEMLACK OF EFFECTIVE IMPLEMENTATION (%)

0

5

10

15

20

25

30

35

40


Specific OperatingRegulations


Functions


Qualified TechnicalPersonnel

Licensing andCertificationObligations

ContinuedSurveillanceObligations

Resolution ofSafety Issues

GLOBAL: 181 (29.58%) Initial Audit: 85 (26.30%)GLOBAL Follow-Up: 181 (22.56%) Audit Follow-Up: 85 (9.51%)


Taking corrective actionTaking corrective actionTaking corrective actionTaking corrective actionCRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM

LACK OF EFFECTIVE IMPLEMENTATION (%)

0

5

10

15

20

25

30

35

40

45

50


Specif ic OperatingRegulations


Functions


Qualif ied TechnicalPersonnel

Licensing andCertif ication Obligations

Continued SurveillanceObligations

Resolution of SafetyIssues

GLOBAL Follow-Up: (22.16%) COSCAP NA Follow-Up: (7.42%)


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 ProgrammeFuture of the ProgrammeFuture of the ProgrammeFuture of the Programme


ReviewReviewReviewReview

BackgroundBackground

Audit programmeAudit programme

State Safety Oversight SystemState Safety Oversight System

Status of implementationStatus of implementation

Analysis of the findings – AFDDAnalysis of the findings – AFDD

Implications of the findingsImplications of the findings

Future of the ProgrammeFuture of the Programme







THANK YOU!THANK YOU!THANK YOU!THANK YOU!

International Civil Aviation OrganizationInternational Civil Aviation OrganizationInternational Civil Aviation OrganizationInternational Civil Aviation Organization

[email protected]@icao.int

overview of the icao universal safety oversight audit programme

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