1. FAA International Aviation Safety Assessment (IASA) Program Presentation Miami-July 23, 2003

2. “How to Become a Foreign Air Carrier,” http://ostpxweb.dot.gov/aviation/certific/pkt2kb.pdf. United States Department of Transportation (DOT)

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4. 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

5. Prior to 1990 Minimal FAA concern with foreign airlines Mid 1990 - FAA establishes the International Field Offices (IFOs) - Miami, New York, San Francisco, Dallas

6. 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.

7. 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

8. 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.

9. 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

10. 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

11. ICAO CONTRACTING STATES Agree to meet their obligations as specified in the ICAO Convention and in the Standards and Recommended Practices of the Annexes.

12. 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.

13. 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.

14. SAFETY SUPERVISION : AN ICAO STANDARD

15. 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

16. 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

17. 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

18. 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

19. If the Assessment Results in Significant Findings Consultations with the State Other actions at the State’s request may include:  Action Plan Development  Technical Review  Technical Assistance

20. TECHNICAL ASSISTANCE Requires High Level Political Commitment Memorandum of Agreement Between the FAA and Host Country Action Plan

21. IASA - Phase 2 The Next Step

22. 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

23. 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

24. 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

25. 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

26. 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

27. Scope of Experience Number of States Years ICAO Universal Safety Oversight Audit Program……. 185 1999-01 FAA International Aviation Safety Assessment Program…. 98 1992-03

28. SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734) Lack of Effective Implementation (%) ESAF/21 – 39.4% APAC/33 – 25.2% MID/17 – 28.8% WACAF/21 – 49.8% GLOBAL/177 – 28.3% EUR/NAT/51 – 19.6% NACC/21 – 23.5% SAM/13 – 24% 10 20 30 40 50 60 70 Primary Aviation Legislation Specific Operating Regulations CAA Structure & Safety Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing & Certification Obligations Continued Surveillance Obligations Resolution of Safety Issues

29. Association Between Findings and 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, (177 audit reports) Accident rates per 1 000 000 departures - scheduled (International and Domestic, 2000)

30. 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

31. 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

32. U.S. Department of Transportation SAFE SKIES FOR AFRICA INITIATIVE

33. 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

34. 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

35. SAFE SKIES FOR AFRICA 9 Participant Countries Angola, Cape Verde, Cameroon, Cote d’Ivoire, Kenya, Mali, Namibia, Tanzania, and Zimbabwe

36. SAFE SKIES FOR AFRICA 2002-2003 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

37. SAFE SKIES FOR AFRICA INITIATIVE For more information contact: Connie Hunter Program Manager, Safe Skies for Africa Initiative Office of the Secretary of Transportation Telephone: 202-366-9521 Fax: 202-366-7417

38. Thank You