1. ICAO Programme Elements on Aviation Safety
ICAO Safety Management Seminar/Workshop
Almaty, 5 to 9 September 2005

2. Narrative The Universal Safety Oversight Audit Programme – USOAP
The Unified Strategy to Rectify Safety Related Differences
The roles and responsibilities of
the States
ICAO
Almaty, 5 – 9 September 2005

3. USOAP History 1992: Assembly Resolution A29-13
June 1995: Council Decision on the ICAO Safety Oversight Voluntary Assessment Programme
November 1997: DGCA Conference
May 1998: Council Decision on the USOAP
1998: Assembly Resolution A32-11: Establishment of USOAP
2001: Assembly Resolutions A33-8 and A33-9: Expansion of USOAP
2004: Assembly Resolution A35-6: Comprehensive Systems Approach
Almaty, 5 – 9 September 2005

4. Comprehensive Systems
USOAP History
Voluntary Assessment Programme
Mandatory Audit Programme (USOAP)
USOAP with transparent audit reports
Annexes 1, 6 and 8
All safety related provisions except Annexes 9 and 17
88 requests
67 assessments
181 audits
162 follow-ups
Target: all States
Annex by Annex
approach
Annex by Annex
approach
Comprehensive Systems
Approach
Almaty, 5 – 9 September 2005

5. Programme Principles SOVEREIGNTY OF STATES UNIVERSALITY
TRANSPARENCY / DISCLOSURE
TIMELINESS
FAIRNESS
OBJECTIVITY
QUALITY
ALL INCLUSIVENESS
Almaty, 5 – 9 September 2005

6. The Critical Elements Primary aviation legislation
Specific operating regulations
State aviation system and safety oversight functions
Technical personnel qualifications and training
Technical guidance, tools and provision of safety critical information
Licensing, certification, authorisation and approval obligations
Surveillance obligations
Resolution of safety concerns
Almaty, 5 – 9 September 2005

7. The Process Phase 1 Phase 2 Phase 3 Pre-on-site audit activities
Post-on-site audit activities
Almaty, 5 – 9 September 2005

8. Pre-on-site audit activities
Audit scheduling
Memorandum of Understanding
State Aviation Activity Questionnaire and Compliance Check-list
Team composition
OPS – AIR – AGA – ANS
Almaty, 5 – 9 September 2005

9. On-site audit activities
Conduct the audit
Provide the CAA with
full briefing on draft findings and recommendations
Information on follow-up action
Almaty, 5 – 9 September 2005

10. Post-on-site Audit Activities
90 days
Audit interim report
State comments on interim report and corrective action plan
Final audit report to State
State comments on final report
Final report available on ICAO secure website
Audit Findings & Differences Data Base
60 days
240
30 days
30 days
30 days
Almaty, 5 – 9 September 2005

11. Panama – Trinidad and Tobago Bulgaria – Egypt – Kuwait
The Schedule
Second Quarter 2005
April
Canada
May
Germany
June
Thailand – Malaysia
Third Quarter 2005
July -
August
September
Gambia
Fourth Quarter 2005
October
Panama – Trinidad and Tobago
November
Bulgaria – Egypt – Kuwait
December
Czech Republic
Almaty, 5 – 9 September 2005

12. The Schedule - 2006 First Quarter 2006 Second Quarter 2006
January
Costa Rica – Fiji - Vanuatu
February
Colombia – Belgium – Luxembourg
March
New Zealand – Niger – Peru – Senegal – Solomon Islands
Second Quarter 2006
April
Namibia
May
Greece – Norway – Botswana – Cameroon – Cyprus - Italy
June
Armenia – Dem. Rep. of the Congo – El Salvador – Israel - Mexico
Third Quarter 2006
July -
August
September
Benin – Russian Federation - Togo
Fourth Quarter 2006
October
Bhutan – India - Lebanon
November
Ghana – Jordan – Nigeria - Sudan
December
Ethiopia
Almaty, 5 – 9 September 2005

13. Elements of the Strategy
Transparency
Data Collection and Analysis
Partnership for Remedies
Monitoring Progress
Almaty, 5 – 9 September 2005

14. Increase the amount of safety information available to States
Transparency
Increase the amount of safety information available to States
because States must ensure adequate safety oversight of own operators and service providers and of foreign operators
Sharing of safety information
in order to focus assistance
Almaty, 5 – 9 September 2005

15. Transparency Article 54 The Council shall: …
Report to contracting States any infraction of this Convention, as well as any failure to carry out recommendations or determinations of the Council;
Almaty, 5 – 9 September 2005

16. Actions ?
Almaty, 5 – 9 September 2005

17. Data Collection and Analysis
Full USOAP audit reports will be available
Information from AFDD available to
ICAO secretariat, incl. Regional Offices
Contracting States
Other safety data from
IATA – IOSA – PIRGs – SAFA – Regional Offices – etc.
Almaty, 5 – 9 September 2005

18. Data Collection and Analysis
The hunt for indicators – criteria:
States not audited
States not having submitted action plan
States having completed less than 50% of action plan at time of follow-up
States having more than 20% lack of effective implementation of critical elements
Almaty, 5 – 9 September 2005

19. Data Collection and Analysis
Almaty, 5 – 9 September 2005

20. Responsibilities of ICAO
Conduct audits in accordance with the Comprehensive Systems Approach
Make available ALL safety related information to States – Article 54 j)
Analyse safety related information in order to identify priorities
Assist in the rectification of safety related deficiencies
Almaty, 5 – 9 September 2005

21. The role of the EUR/NAT Office
Almaty, 5 – 9 September 2005

22. Responsibilities of States
Effective safety oversight mechanism in place
towards own operators and service providers
towards foreign operators
Implement corrective measures as appropriate
operationally
procedurally
legally
Almaty, 5 – 9 September 2005

23. Summary The Comprehensive Systems Approach to Safety Oversight Audits
the critical elements
The Unified Strategy to Rectify Safety Related Deficiencies
transparency – data collection and analysis – prioritising assistance
Different roles of ICAO and States
Almaty, 5 – 9 September 2005

24. ICAO Programme Elements on Aviation Safety
Thank you for your attention Questions ?