1. ALLPIRG/4 MEETING PARTICIPANTS (Montreal, 8 February 2001) hbelai@icao.int Briefing to The ICAO Universal Safety Oversight Audit Programme

2. ICAO Universal Safety Oversight Programme – February 2001 2 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme The ICAO Safety Oversight Audit Programme is about State commitment to the Convention on International Civil Aviation

3. ICAO Universal Safety Oversight Programme – February 2001 3 Montreal, 8 February 2001ALLPIRG/4 Meeting State Commitment for Aviation Safety Fundamental Principles: Every State has complete and exclusive sovereignty over the airspace above and within its territory (Article 1 of the Convention) Every State has complete and exclusive sovereignty over the airspace above and within its territory (Article 1 of the Convention) States responsibility for safety oversight is one of the tenets of the Convention and individual States should reaffirm their safety oversight responsibilities and obligations (Assembly Resolution A29-13) States responsibility for safety oversight is one of the tenets of the Convention and individual States should reaffirm their safety oversight responsibilities and obligations (Assembly Resolution A29-13)

4. ICAO Universal Safety Oversight Programme – February 2001 4 Montreal, 8 February 2001ALLPIRG/4 Meeting State Commitment for Aviation Safety Nature of State responsibilities: -Responsibilities as a State of Registry and a State of the Operator, generally obligates States to provide for the safe and efficient operation of aircraft -Licensing of operational personnel, the certification of aircraft, air operators, maintenance organizations, and the control and supervision of licensed personnel, certified products and approved organizations

5. ICAO Universal Safety Oversight Programme – February 2001 5 Montreal, 8 February 2001ALLPIRG/4 Meeting State Commitment for Aviation Safety Nature of State responsibilities: -The implementation and proper management of the critical elements of a safety oversight system enable ICAO Contracting States to fulfill their Convention obligations

6. ICAO Universal Safety Oversight Programme – February 2001 6 Montreal, 8 February 2001ALLPIRG/4 Meeting State Commitment for Aviation Safety Critical elements of a States safety oversight system Primary aviation legislation Primary aviation legislation Specific operating regulations Specific operating regulations Civil aviation structure Civil aviation structure Qualified technical personnel Qualified technical personnel Documentation and guidance material Documentation and guidance material Licensing and certification activities Licensing and certification activities Continuing surveillance activities Continuing surveillance activities Resolution of safety concerns Resolution of safety concerns

7. ICAO Universal Safety Oversight Programme – February 2001 7 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme The ICAO Safety Oversight Programme has been established to assist States to address the critical elements, fulfill their safety oversight responsibilities and obligations, and uphold the principles and spirit of the Convention on International Civil Aviation

8. ICAO Universal Safety Oversight Programme – February 2001 8 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Evolution of the ICAO safety oversight programme Evolution of the ICAO safety oversight programme Global safety concerns Global safety concerns Increased concern over safety world-wide.Increased concern over safety world-wide. Various reports on lack of implementationVarious reports on lack of implementation Decisions of the 29 th Assembly (1992) Decisions of the 29 th Assembly (1992) Assembly Resolution A29-13 (1992) Improvement of Safety OversightAssembly Resolution A29-13 (1992) Improvement of Safety Oversight Establishment of an ICAO Safety Oversight Assessment ProgrammeEstablishment of an ICAO Safety Oversight Assessment Programme

9. ICAO Universal Safety Oversight Programme – February 2001 9 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Safety Oversight - Definition 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

10. ICAO Universal Safety Oversight Programme – February 2001 10 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Activities of the safety oversight assessment programme Activities of the safety oversight assessment programme March 1996 to December 1998 March 1996 to December 1998 85 requests received85 requests received 67 States assessed67 States assessed 8 Seminar/workshops conducted8 Seminar/workshops conducted 4 Training sessions held4 Training sessions held

11. ICAO Universal Safety Oversight Programme – February 2001 11 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Activities of the safety oversight assessment programme Activities of the safety oversight assessment programme Findings and concerns Findings and concerns Problems existed but were not limited to any one area or region;Problems existed but were not limited to any one area or region; Areas of major concerns included:Areas of major concerns included: Lack of regulatory framework Lack of regulatory framework Lack of an adequate organization Lack of an adequate organization Lack of appropriate certification and licensing systems Lack of appropriate certification and licensing systems Lack of control and supervision capabilities Lack of control and supervision capabilities

12. ICAO Universal Safety Oversight Programme – February 2001 12 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Activities of the safety oversight assessment programme Activities of the safety oversight assessment programme Findings and concerns Findings and concerns In general a need for a more active role by the international aviation community was identified and a Conference of the Directors General of Civil Aviation was called in November 1997 to develop a global strategy on safety oversight

13. ICAO Universal Safety Oversight Programme – February 2001 13 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Assembly Resolution A32-11 (1998) Assembly Resolution A32-11 (1998) Established the ICAO Universal Safety Oversight Audit programme (USOAP) Established the ICAO Universal Safety Oversight Audit programme (USOAP) Directed the ICAO Council to bring it into effect as of 1 January 1999 Directed the ICAO Council to bring it into effect as of 1 January 1999 Urged all Contracting States to accept an audit by ICAO by signing the MOU Urged all Contracting States to accept an audit by ICAO by signing the MOU Requested the Council to report to the next Assembly on the progress of the programme Requested the Council to report to the next Assembly on the progress of the programme

14. ICAO Universal Safety Oversight Programme – February 2001 14 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Objectives of the audit programme: Objectives of the audit programme: To promote global aviation safety through auditing Contracting States, on a regular basis, to determine the status of States implementation of safety oversight and relevant ICAO Standards and Recommended Practices, associated procedures, guidance material and safety related practices. To promote global aviation safety through auditing Contracting States, on a regular basis, to determine the status of States implementation of safety oversight and relevant ICAO Standards and Recommended Practices, associated procedures, guidance material and safety related practices.

15. ICAO Universal Safety Oversight Programme – February 2001 15 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Mandate: Mandate: To audit all Contracting States by 2001 To audit all Contracting States by 2001 Accelerate the report generating process Accelerate the report generating process Increase transparency by expanding the summary reports Increase transparency by expanding the summary reports Report to the next Ordinary Assembly Report to the next Ordinary Assembly

16. ICAO Universal Safety Oversight Programme – February 2001 16 Montreal, 8 February 2001ALLPIRG/4 Meeting State Commitment for Aviation Safety Programme principles Sovereignty of State Sovereignty of State Universality Universality Transparency / Disclosure Transparency / Disclosure Timeliness Timeliness Objectivity Objectivity All inclusiveness All inclusiveness Fairness Fairness Quality Quality

17. ICAO Universal Safety Oversight Programme – February 2001 17 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme The Audit process The Audit process Conducting the audit Conducting the audit Scope of the auditScope of the audit Primary aviation legislation and regulations Primary aviation legislation and regulations Civil aviation organization Civil aviation organization Personnel licensing and training Personnel licensing and training Aircraft operations certification and supervision Aircraft operations certification and supervision Airworthiness of aircraft Airworthiness of aircraft

18. ICAO Universal Safety Oversight Programme – February 2001 18 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme The Audit process The Audit process Audit Findings Audit Findings ClassificationClassification Non-compliance with Chicago Convention and/or National Regulations Non-compliance with Chicago Convention and/or National Regulations Non-conformance with Standards Non-conformance with Standards Non-adherence with Recommended Practices, guidance material and accepted safe practices Non-adherence with Recommended Practices, guidance material and accepted safe practices

19. ICAO Universal Safety Oversight Programme – February 2001 19 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme The Audit process The Audit process Audit Reports and Action Plan Audit Reports and Action Plan Audit interim reportAudit interim report Corrective action planCorrective action plan Audit final reportAudit final report Summary reportSummary report Audit Follow-up Audit Follow-up

20. ICAO Universal Safety Oversight Programme – February 2001 20 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Activities as of 31 December 2000 0 20 40 60 80 100 120 140 Audits completed Interim Reports Action plan Submitted AnalysisCompleted SummaryReport 131 121 109 90 79 APPROXIMATELY FIVE to SIX MONTHS

21. ICAO Universal Safety Oversight Programme – February 2001 21 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Analysis of Findings and Differences The product of the audit which would enable prioritization and resolution of identified safety concerns The product of the audit which would enable prioritization and resolution of identified safety concerns Eventually, corrective action taken by States should be factored into the analysis to enable the maintenance of factual and updated information Eventually, corrective action taken by States should be factored into the analysis to enable the maintenance of factual and updated information

22. ICAO Universal Safety Oversight Programme – February 2001 22 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Continuation and Expansion of the Programme Assembly Resolution A32-11 Assembly Resolution A32-11 The Assembly resolves that a universal safety oversight audit programme be established, comprising regular, mandatory, systematic and harmonized safety audits, to be carried out by ICAO; that such universal safety oversight audit programme shall apply to all Contracting States; …The Assembly resolves that a universal safety oversight audit programme be established, comprising regular, mandatory, systematic and harmonized safety audits, to be carried out by ICAO; that such universal safety oversight audit programme shall apply to all Contracting States; …

23. ICAO Universal Safety Oversight Programme – February 2001 23 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Expansion of the Programme Areas of Expansion Areas of Expansion Air Traffic Services (Annex 11)Air Traffic Services (Annex 11) Aerodrome Ground Aids (Annex 14)Aerodrome Ground Aids (Annex 14) Accident Investigation (Annex 13)Accident Investigation (Annex 13)

24. ICAO Universal Safety Oversight Programme – February 2001 24 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Strategy for the future Consolidating all audit activities Consolidating all audit activities Aeronautical Information ServicesAeronautical Information Services Maps and ChartsMaps and Charts Meteorological servicesMeteorological services FacilitationFacilitation Environmental protectionEnvironmental protection Transport of dangerous goods by airTransport of dangerous goods by air

25. ICAO Universal Safety Oversight Programme – February 2001 25 Montreal, 8 February 2001ALLPIRG/4 Meeting ICAOs Safety Oversight Programme Remedial Action Resolution of identified deficiencies Resolution of identified deficiencies State based solutions (action plans and implementation)State based solutions (action plans and implementation) Remedial support by ANB and Regional OfficesRemedial support by ANB and Regional Offices Remedial action based on TCB projectsRemedial action based on TCB projects

26. thank you hbelai@icao.int