international aviation assignment

8/7/2019 International Aviation Assignment

http://slidepdf.com/reader/full/international-aviation-assignment 1/8

AIR NAVIGATION COMMISION

PROPOSAL FOR THE AMENDMENT OF RELEVANT SARPS IN ANNEXES USING

USOAP FINDINGS[Presented by the Deputy Director of the Air Navigation Bureau (DD/ANB)]

SUMMARY

This working paper presents a proposal to the ICAO for the amendment of relevantAnnexes by the development of SARPS relating to safety and more in line withmordern procedures and technological advancements, using the results establishedfrom the USOAP findings.

1. INTRODUCTION.

1.1 This paper presents proposals explaining how the International Civil Aviation Organization(ICAO) could make more use of the Technical Co-operation Bureau’s (TCB) facilities inassisting those States that have been found to have issues in the implementation of Standardand Recommended Practices (SARPS) relating to technological equipments or modern

procedures, as reflected from the Safety Oversight Audit results.

1.2 The TCB remains one of the main instruments of ICAO to assist states in remedying thedeficiencies identified through ICAO’s Safety Oversight Audit activities or Universal Safety

Oversight Audit Program (USOAP).

1.3 ICAO’s Technical Co-operation Program was established to provide advice and assistance toContracting states in the development and implementation of projects across the full spectrumof air transport aimed at improving security, efficiency, regularity and operational safety of national and international civil aviation with a view to achieving standardization, as specifiedin ICAO’s Standards and Recommended Practices (SARPS).

1.4 Under Article 37 of the Convention on International Civil Aviation (Chicago, 1944), ICAO ismandated to adopt international standards and recommended practices (SARPs) and

procedures on matters related to civil aviation. The uniform application of these SARPs and procedures by Contracting States in accordance with the Convention is necessary for the

safety and regularity of international air navigation

1.5 The ICAO Universal Safety Oversight Audit Program (USOAP) was established inaccordance with strategic objective A3 to ‘Conduct aviation safety oversight audit to identifydeficiencies and encourage resolution by States’. The scope of the Programme was initiallylimited to Annex 1 — Personnel Licensing , Annex 6 — Operation of Aircraft and Annex 8

— Airworthiness of Aircraft . The programme was expanded to provide cover of Annex 11 — Air Traffic Services , Annex 13 — Aircraft Accident and Incident Investigation and Annex14 — Aerodromes . Furthermore, during its 171st Session (March 2004), the Councilconsidered to facilitate the evolution of USOAP from an Annex-by-Annex approach to acomprehensive systems approach, which would cover all safety-related Annexes and focus onthe overall capability of States for safety oversight.



1.6 The following paper examines the Safety Oversight Audit results conducted by ICAO oncontracting states and proposes amendments and development of SARPS in certain Annexes,thereby bringing the Annexes more in line with modern practices and how TCB facilities beutilized to help the smaller states become effective in implementing the SARPS.

2. OBJECTIVES, BACKGROUND AND SCOPE OF USOAP.

2.1 The objective of USOAP is to promote global aviation safety through auditing ContractingStates, on a regular basis, to determine States' capability for safety oversight by assessing theeffective implementation of the critical elements of a safety oversight system and the status of States' implementation of safety-related ICAO Standards and Recommended Practices(SARPs), associated procedures, guidance material and safety-related practices.

2.2 The ICAO USOAP was launched in January 1999 in response to widespread concernsexpressed during the 29th ICAO Assembly in 1992. At that Session of Assembly a concernwas raised on the apparent inability of some Contracting States to carry out their safety

oversight functions.

2.3 The ICAO Assembly resolution A32-11 of 1999 directed the establishment of USOAPcomprising regular, mandatory, systematic and harmonised safety audits. It also encouragedits application by Contracting States, together with the greater transparency and increasedaccessibility of audit results.

2.4 The scope of the Programme was initially limited to Annex 1 — Personnel Licensing , Annex6 — Operation of Aircraft and Annex 8 — Airworthiness of Aircraft . The initial mandate of the Programme was to audit all Contracting States and report to the next regular session of theAssembly in 2001. The initial cycle of audits and audit follow ups was completed in 2004

2.5 The audit follow-up missions conducted during this time period allowed ICAO to validate theimplementation of the corrective action plans submitted by audited States, to identify any

problems encountered by States in such implementation, and to determine the need for external assistance in regard to specific safety issues.

2.6 The programme was expanded to provide cover of Annex 11 — Air Traffic Services , Annex13 — Aircraft Accident and Incident Investigation and Annex 14 — Aerodromes .Furthermore, during its 171st Session (March 2004), the Council considered to facilitate theevolution of USOAP from an Annex-by-Annex approach to a comprehensive systemsapproach, which would cover all safety-related Annexes and focus on the overall capability of States for safety oversight.

2.7 The conduct of audits under the new and comprehensive systems approach which waslaunched on January 2005 consists of the following three phases:

1. Pre-audit phase . The information provided by the State in the State Aviation ActivityQuestionnaire (SAAQ) and Compliance Checklists (CCs) is reviewed by safety oversightaudit to analyze the type of organisation for safety oversight established by the State, theimplementation of Annexes provisions and the differences from SARPs identified by theStates. This allows ICAO to tailor the audit in accordance with the level and complexityof aviation activities in the State and determine the duration of the audit and the size andrequired composition of the audit team.

2. On-site phase . The State is visited by an ICAO audit team to validate the information provided by the State and conduct an on-site audit of the State’s system and overall



capability for safety oversight. This includes an audit of the organization, processes, procedures and programmes established and maintained by the State to help it fulfil itssafety oversight obligations.

3. Post-audit phase . Encompasses all the activities following the on-site audit, including

the preparation of the audit interim report, the development by the State of its correctiveaction plan and the completion of the audit final report. In accordance with AssemblyResolution A35-6, the audit final reports are made available to Contracting States in their entirety through a secure website, along with information derived from the AFDD.

2.8 Beyond 2010 (Future of USOAP). The comprehensive systems approach for theconduct of the audits, under a six-year cycle is scheduled to end in 2010. The ICAOAssembly Resolution A36-4 established a new approach to be applied in the USOAP beyond2010 which is based on the concept of continuous monitoring. Beyond 2010, the objective of USOAP is to promote global aviation safety, by enhancing Contracting States’ safetyoversight capabilities, through continuous monitoring of States’ safety performances in order to identify safety deficiencies, assess associated safety risks, implement strategies for their

mitigation and re-evaluate States’ safety oversight capabilities achieved.

3. AUDIT RESULTS.

3.1 The audit results are measured in terms of the degree of implementationby States of the eight critical elements of a safety oversight system:

a) Primary Aviation Legislation: The establishment of Civil AviationLegislation that supports the Contracting State’s Civil Aviation System andregulatory functions, in compliance with the Convention on InternationalCivil Aviation (Chicago Convention).

b) Specific Operating Regulations: The establishment of aeronauticalregulations (rules) addressing all aviation activities, and implementingapplicable ICAO provisions and SARPs

c) State Civil Aviation System and Safety Oversight Functions: Theestablishment of Civil Aviation Authority (CAA) or Authorities with safetyregulatory functions, objectives and safety policies, provided withsufficient financial resources and qualified staff.

d) Technical Personnel Qualification and Training: The establishment

of minimum requirements of knowledge and experience of the technicalpersonnel performing safety oversight functions and the provision of appropriate training to maintain and enhance their competency at thedesired level.

e) Technical Guidance, Tools and the Provision of Safety CriticalInformation: The provision of procedures and guidelines, adequatefacilities and equipment, and safety critical information to the technicalpersonnel to enable them to perform their safety oversight functions; thisincludes the provision of technical guidance to the aviation industry on theimplementation of regulations and instructions.

f) Licensing, Certification, Authorization and Approval Obligations: The implementation of systems to ensure that personnel and



organizations performing an aviation activity meet the establishedrequirements before they exercise the privileges of a licence, certificate,authorization and/ or approval.

g) Surveillance Obligations: The implementation of a continuous

surveillance program consisting of inspections and audits to ensure thatholders of a licence, certificate, authorization and/ or approval continue tomeet the established requirements and functions at the level of competency and safety as required by the state.

h) Resolution of Safety Concerns: The implementation of processesand procedures to resolve identified deficiencies impacting on aviationsafety, which may have been residing in the system and have beendetected by the aviation authority or other appropriate bodies.

Figure 1 8 Critical Elements measured through USOAP

3.2 The USOAP has helped States identifying and correcting deficiencies in the implementation

of SARPs, resulting in important gains in aviation safety and transparency has underpinnedthis progress.

3.3 Findings from Safety Oversight Audit suggest that the major contracting states such as Unitedstates, United Kingdom have higher than recommended level of SARP’s implementation andalso the State Practices in place differ from the SARPS specified by the ICAO, whereas thesmaller states have trouble implementing the existing SARP’s due to lack of technical,financial or human resources.

3.4 The deficiencies identified by the Safety Oversight Audit, especially those concerning thesmaller Contracting States are listed below:

• There seems to be no appropriate legislative framework in position;



• There seems to be no appropriate Safety Management Systems (SMS) adopted;

• Lack of availability of qualified and experienced technical personnel;

• Inadequate certification and licencing System in place;

• Lack of basic surveillance systems; and

• Subsequent arising of problems due to lack of commitment and co-operation fromGovernments towards their Civil Aviation Authorities.

4. USE OF SAFETY OVERSIGHT AUDIT RESULTS IN THE AMENDMENT OFSAFETY RELATED SARPS CONTAINED IN ANNEXES.

4.1 Although it is not considered wise at this point in time to amend any of the existing SARPS,as the existing SARPS have not been implemented by majority of small Contracting States, inan overview of increasing safety in civil aviation it is a move that has to be reviewed.

4.2 As a review of the degree of implementation of the eight critical elements, measured by theaudit clearly shows that the major Contracting States had several differences between State

practices and SARPS. In their defence, the major states pointed out that the existing standardsare not in line with ‘best practices’.

4.3 These practices which the major states adopted, which are deemed by them to be above thespecified standards set by ICAO in the Annexes can be reviewed by the organization (ICAO),to assess if the safety implications achieved is higher than those being achieved by following

prescribed standards.

4.4 The annexes that need amendments is listed below:

• Annexe 1 – Personnel Licensing

• Annexe 6 – Operations of Aircraft

• Annexe 8 – Airworthiness of Aircraft

• Annexe 13 – Aircraft Accident/ Incident Investigations

•

Annexe 14 – Aerodromes

4.5 The above Annexes have been selected for amendment due to the problems effectively faced by contracting states especially smaller states who have limited resources, funds and personnel. The following suggests why the annexes listed above need changes.

4.6 Annex 14 — Aerodromes , Volume I — Aerodrome Design and Operations, containsStandards and Recommended Practices (SARPs) that prescribe the physical characteristicsand obstacle limitation surfaces to be provided for at aerodromes, and certain facilities andtechnical services normally provided at an aerodrome. Although the Annex provides somegeneral requirements on aerodrome operations such as aerodrome emergency planning,rescue and fire fighting, it is mainly used as a design document and does not sufficiently

address aerodrome operational management, which is equally important for aerodrome safetyand efficiency. There is increasingly a need to develop an ICAO document that addresses



procedures for aerodrome operational management, as many challenges that are facingaerodromes today is of operational nature.

4.7 Findings were identified in the audits of many States are more related to aerodromeoperational management. Annex 14, Volume I includes SARPs in these areas providing

general requirements; however, there is a lack of operational procedures specified on a global basis that would assist Sates in achieving compliance with the high-level SARP requirements.

4.8 Annexe 13 – Aircraft Accident/ Incident Investigations. Develop Annex provisions andguidance material for voluntary incident reporting systems;

4.9 Annexe 6 – Operations of Aircraft. Develop Standards and Recommended Practices(SARPs) in order to prevent loss of control in flight;

4.10 Annexe 8 – Airworthiness of Aircraft. Develop SARPs aimed at improving the technicalreliability of aircraft and at limiting the consequences of technical failures;

4.11 Annexe 1 – Personnel Licensing. Upgrade the provisions relating to licensing of maintenance personnel, especially as regards training and identification of privileges;

5. TECHNICAL CO-OPERATION BUREAU’S ROLE IN ASSISTING STATESHAVING ISSUES IN RECTIFYING OR IMPLEMENTING SARPS.

5.1 The objective of the Aviation Security Follow-up Programme of the Technical Co operationBureau is to provide efficient and economical assistance to Contracting States, upon request,in rectifying deficiencies identified in the audit reports and in enhancing their aviationsecurity capabilities, through the mobilization of human, technical and financial resources, asnecessary. The ultimate goal is to enable States to achieve full implementation andenforcement of their aviation security obligations under aviation security multilateralconventions and security-related ICAO Standards and Recommended Practices (SARPs), aswell as guidance provided in the ICAO Security Manual and other guidance materialdeveloped and updated by ICAO.

5.2 Assistance in capacity building may be provided by TCB at different stages of a project cycle:a. Development of corrective action plans, as a follow-up to the ICAO Aviation SecurityAudit Programme, on request of audited States, to address each audit finding indicative of non-conformance to an ICAO standard and to specify the appropriate remedial action.b. Preparation of capacity building programmes/ project documents with guarantee of relevance to ICAO SARPs and governments established priorities for capacity building.

c. Mobilization of financial resources, including assistance in the identification of suitabledonors or negotiation with financing institutions on behalf of Contracting States for adequateloans.d. Project implementation on a country-specific or regional basis, including:

I) Recruitment of aviation security experts;

II) Selection, recruitment and administration of suitably qualified aviation security fieldstaff;

III) Award of fellowships for training of aviation security national instructors and personnel as well as the selection of training establishments;

IV) Establishment or upgrading of aviation security training centres/programmes; and



V) Procurement, installation and commissioning of aviation security equipment,including the development of specifications and selection of equipmentmanufacturers.

5.3 Aviation security experts are recruited as short-term consultants, intermediate and long-term

advisers or instructors for the purpose of cooperating with the government in a clearly definedtask, or providing formal or on-the-job training for a comprehensive transfer of knowledge tonational counterpart personnel, so as to ensure the sustainability of project results.

5.4 Experts may be involved in a variety of assignments, inter alia:

(a) to assist in the drafting and implementation of the national aviation security programme;(b) to assess the adequacy of the existing aviation security organization and airport facilitiesand assist in their upgrading;

(c) to review national civil aviation laws, aviation security regulations and procedures toensure compliance with Annex 17;

(d) to establish an aviation security unit;

(e) to conduct training of national aviation security instructors and national personnel; and

(f) to assist in procurement-related activities, including development of specifications, tender calls, evaluations, purchase and site acceptance of aviation security equipment.

5.5 In ICAO's capacity building projects, training is a fundamental and integralrequirement for the proper development of a country's aviation security capabilities and for their adaptation to new technologies and security procedures, while ensuring full compliancewith Annex 17. Virtually all capacity building projects and major aviation security equipmentsupply contracts contain a training component, be it classroom, simulation, factory, practicalor on-the-job training. Such training may be arranged in-country or abroad, through the awardof fellowships, or at the manufacturer's site through the procurement component, and mayinclude the training of instructors and national personnel on a national or regional basis.

6. RECOMMENDATIONS FOR ACTION.

6.1 The Following recommendations are proposed:

• To properly implement ICAO SARPs, small contracting states require a a soundlegislative base, adequate and sufficient funds are essential prerequisites. T he ICAO’s

Technical Co-operation Bureau (TCB); the Implementation Support and DevelopmentBranch; the International Financial Facility for Aviation Safety (IFFAS); and a partnershipsystem is available to contracting states to analyse causes and to develop and implementsolutions.

• The proposal for changes in Annexes 1 – Personnel Licensing , Annexe 6 – Operations of Aircraft , Annexe 8 – Airworthiness of Aircraft, Annexe 13 – Aircraft Accident/ Incident Investigation and Annexe 14 - Aerodromes will ensure the realized objective of harmonization among contracting states thereby enhancing safety.

• Although the implementation scenario won’t change much for major states who already havestate practices which are higher than the standards, the review on safety level achieved andthereby in the subsequent adoption of practices relating to modern procedures and equipmentwill help ICAO in remodelling future standards more compliant with technologicaladvancements.



7. CONCLUSION.

5.5 To conclude this working paper i would like to summarize that this amendment proposal of safety related annexes [by using the results obtained from the Universal Safety OversightAudit Program (USOAP)], is in the utmost interest of improving the safety of international

and national civil aviation, but will certainly have an adverse impact on the smaller stateswho have already having considerable differences and issues concerning the implementationof SARPS.

5.6 To answer whether this process would contribute towards meeting the 3 objectives of theGlobal Aviation Safety Plan (GASP)? The answer is yes it would certainly contribute towardsGASP. The main objectives of GASP are identified as

a) reduce the number of accidents and fatalities worldwide irrespective of the volumes of air traffic; and

b) achieve a significant decrease in accident rates, particularly in regions where these remain

high.

By reviewing the Annexes pertaining to Annexe 6, 8 and 13 and to an extent 14, andimplementation of these annexes and ICAO’s in particular TCB’s role in helping small stateswhere the accident rates are high due to lack of financial, technical and human resourcesimplement projects which consequently helps these states to adhere to SARPS will helpcontribute towards meeting of the objectives set out in GASP.

5.7 The most feasible solution that ICAO can adopt to minimize the impact of adopting such a process is that ICAO can ensure the joint co-operation between major states in helping smallstates to implement standards by enriching human resources, finance projects which theyseem to lack.

international aviation assignment

Documents