1. An Update Of the ICAO Universal Safety Oversight Audit Programme An Update Of the ICAO Universal Safety Oversight Audit Programme

2. 2 June 2004 COSCAP-NA 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 June 2004 COSCAP-NA 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 June 2004 COSCAP-NA 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 June 2004 COSCAP-NA 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 June 2004 COSCAP-NA 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

7. 7 June 2004 COSCAP-NA Briefing on USOAP Audits and Audit Follow-ups Completed (as of 31 October 2003)

8. 8 June 2004 COSCAP-NA 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?

9. 9 June 2004 COSCAP-NA 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)

10. 10 June 2004 COSCAP-NA 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%

11. 11 June 2004 COSCAP-NA Briefing on USOAP COSCAP-NACOSCAP-NA

12. 12 June 2004 COSCAP-NA Briefing on USOAP COSCAP-NACOSCAP-NA

13. 13 June 2004 COSCAP-NA 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

14. 14 June 2004 COSCAP-NA 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

15. 15 June 2004 COSCAP-NA 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

16. 16 June 2004 COSCAP-NA 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

17. 17 June 2004 COSCAP-NA 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

18. 18 June 2004 COSCAP-NA 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

19. 19 June 2004 COSCAP-NA 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

20. 20 June 2004 COSCAP-NA 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

21. 21 June 2004 COSCAP-NA 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  If the systems approach is endorsed there will be no need to start audits relating to Annexes 11, 13 and 14, in 2004  ICAO will host a USOAP Workshop on 26,27 September just prior to the Assembly Meeting

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