6-1. 항공안전평가프로그램 항공안전본부 항공기술과 항공사무관 이광희...

6-1.6-1.항공안전평가프로그램항공안전평가프로그램

항공안전본부 항공기술과항공안전본부 항공기술과항공사무관 이광희항공사무관 이광희

[email protected]@moct.go.kr

6-1.6-1.항공안전평가프로그램항공안전평가프로그램

항공안전본부 항공기술과항공안전본부 항공기술과항공사무관 이광희항공사무관 이광희

[email protected]@moct.go.kr

TCB Briefing on USOAP 2January 2004

OutlineOutline

Background

Establishment of USOAP

Universal programme - principles and mandate

Programme activities and personnel

Audit Findings and implications

Future of the program


Safety Oversight - a definitionSafety Oversight - a definition

Safety oversight is a function by which

States ensure the effective implementation:

Standards and Recommended Practices

(SARPs)

The critical elements of a safety

oversight system

Relevant safety practices and

procedures


Why an ICAO programme?Why an ICAO programme?Why an ICAO programme?Why an ICAO programme?

Increased concern over the level of safety world-wide

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

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


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 Directors General of Civil Aviation ConferenceConference


Making of a ProgramMaking of a Program

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

voluntary assessment program by the Council (June 1995)

Voluntary assessments commence (March 1996)

DGCA Conference (November 1997) Approval of the ICAO Universal Safety

Oversight Audit Program by the Council (May 1998)

Assembly Resolution A32-11 (1998) Mandatory audit program established on 1

January 1999 Assembly Resolutions A33-8 and A33-9

(2001)


What is audited?What is audited?

Compliance with:Chicago ConventionState Regulations

Conformance with: ICAO Standards

Adherence to:Recommended practicesRelated proceduresGuidance materialRelevant industry

practices in general use


The eight critical elementsThe eight critical elements

1. Primary aviation legislation 2. Operating regulations 3. Structure/Organizations 4. Qualified Technical Personnel

5. Technical Guidance

6. Licensing / Certifications

7. Continuing Surveillance

8. Resolution of safety concerns


Audits and Audit Follow-ups CompletedAudits and Audit Follow-ups Completed(as of 31 October 2003)(as of 31 October 2003)

23

53

1921

13

24

34

21

53

1721

13

2223

5

37

6

14

97

35

0

10

20

30

40

50

APAC ESAF EUR/NAT MID NACC SAM WACAF

Contracting States 188

Audits Completed 181Follow-ups Completed 114


Based on factual and recent data Enables an accurate identification of

deficiencies impacting on safety Consistent with regional accident/ incident rates Reliable safety tool, both for ICAO and

its Contracting States 181 audit interim reports analyzed Updated as audit follow-up validation

missions are completed

Analysis of the findingsAnalysis of the findings

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


USOAP – findings and analysisUSOAP – findings and analysisUSOAP – findings and analysisUSOAP – findings and analysisLack of effective implementation of the critical elements (%)

PrimaryAviation

Legislation

SpecificOperating

Regulations

CAA Structure &Safety Oversight

Functions

TechnicalGuidanceMaterial

QualifiedTechnicalPersonnel

Licensing &CertificationObligations

ContinuedSurveillanceObligations

Resolutionof Safety

Issues

0

10

20

30

40

50

60

70

GLOBAL/181 – 28.8% APAC/33 – 24.9% ESAF/21 – 40.2% EUR/NAT/51 – 19.65%

MID/17 – 30.52% NACC/21 – 24.04% SAM/13 – 23.24% WACAF/21 – 49.37%


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?


Parallel between findings and regional accident rates

Parallel 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)


Critical Elements of a Safety Oversight System - Lack of Effective ImplementationComparison of Audit and Audit Follow-up Results

Resolutionof SafetyIssues

PrimaryAviation

Legislation

SpecificOperating

Regulations

CAA Structureand Oversight

Functions

TechnicalGuidanceMaterial

QualifiedTechnicalPersonnel

Licensing andCertificationObligations


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%


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

0

10

20

30

40

50

60

70

Primary AviationLegislation

Specific OperatingRegulations

CAA Structure andSafety Oversight

Functions

Technical GuidanceMaterial

Qualif ied TechnicalPersonnel

Licensing andCertif icationObligations


Resolution ofSafety Issues

GLOBAL: 178 (28.44%) APAC States: 33 (24.94%) COSCAP-SA: 7 (18.34%)


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 ProgrammeFuture of the Programme


Expansion to Annexes 11, 13 and 14Expansion to Annexes 11, 13 and 14

Expansion due to start in 2004 Provisions in Annexes 11 and 14 are highly

interrelated with those in other Annexes (1,2, 4, 10, 12 and 15)

Annexes 11 and 14 cannot be audited in isolation. Related provisions in other Annexes must be considered

Expansion also entails the provision of: Seminar/workshops Guidance material


ICAO Auditing practices to-dateICAO 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


Systems approachSystems 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


Systems approach to conducting auditsSystems 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



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



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


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


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

The Preparatory work for launching the Systems Approach can be finalized in 2004

If the systems approach is endorsed there will be no need to start audits relating to Annexes 11, 13 and 14, in 2004

THANK YOUTHANK YOUTHANK YOUTHANK YOU

ICAO Universal Safety Oversight Audit Programme

ICAO Universal Safety Oversight Audit Programme

6-1. 항공안전평가프로그램 항공안전본부 항공기술과 항공사무관 이광희...

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