Orientation and Refresher Workshop for AFI-CIS Inspectors

David Labrosse Regional Officer ATM/SAR

Addis Ababa, 22-26/02/2016

Outline • • • •

Introduction to the ICAO USOAP CMA ANS-related PQs Critical elements of a safety oversight system Challenges

2

Introduction to the ICAO USOAP CMA • Protocol questions (PQs) are the primary tool developed and used in the ICAO Universal Safety Oversight Audit Programme (USOAP) Continuous Monitoring Approach (CMA) for assessing the level of effective implementation of a State’s safety oversight system. • They are based on ICAO Standards and Recommended Practices (SARPs), Procedures for Air Navigation Services (PANS), ICAO documents and other guidance material. 3

Introduction to the ICAO USOAP CMA • PQs are organized by audit areas and each PQ is associated with a Critical Element (CE) of the State Safety Oversight System. • There are currently eight (8) Critical Elements. • States can also use PQs to conduct regular selfassessments and internal audits in order to identify and resolve safety deficiencies. 4

Introduction to the ICAO USOAP CMA • A State is deemed to have fully addressed a PQ when it complies with all the required elements of the PQ and provides ICAO with complete evidence of compliance. • This generates a “satisfactory” status of implementation for the PQ. • If the State provides insufficient or no evidence of compliance with the provisions outlined in the PQ, the PQ status becomes/remains “not satisfactory”. 5

Introduction to the ICAO USOAP CMA • The State shall develop and implement a corrective action plan (CAP) which addresses all elements of the “not satisfactory” PQ, including required supporting evidence. • When preparing for a USOAP CMA audit, States should use the information provided for each PQ (CE-1, Chicago Convention (CC), Annex (A) and Assembly Resolution (AR), etc.) to prepare supporting documentation and evidence for each item. 6

Introduction to the ICAO USOAP CMA • When preparing for a USOAP ICAO Coordinated Validation Mission (ICVM), States should provide supporting documentation for all elements of the PQs that were previously assessed as “not satisfactory”. • The new PQs on safety management will only be applicable to those States with Effective Implementation (EI) of over 60 per cent, starting from 1 January 2016. ANS: 7.066, 7.075, 7.077, 7.191, 7.192, 7.193, 7.194, 7.195, 7.196. AGA: 8.052, 8.417, 8.419, 8.501, 8.503, 8.505, 8.507, 8.509, 8.511, 8.513. 7

Introduction to the ICAO USOAP CMA  Delegation / Transfer of Functions and Duties • When a State has delegated or transferred any of its safety oversight functions and duties to another State or organization or non-governmental entity, the PQs on the delegation / transfer may have to be evaluated with the entity to which the functions and duties have been delegated/transferred.

8

Introduction to the ICAO USOAP CMA  Delegation / Transfer of Functions and Duties • In the case of delegated tasks, it is important to underline that the State remains responsible for ensuring that the delegated tasks are performed, at all times, by qualified individuals who ensure the implementation of applicable regulations and established procedures. • The State should ensure that there is a system in place for conducting surveillance of the delegated tasks, and a process for the resolution of identified safety deficiencies. 9

Introduction to the ICAO USOAP CMA  Delegation / Transfer of Functions and Duties • In the case of the transfer of functions and duties, the State is relieved of responsibility for those functions and duties.

10

Introduction to the ICAO USOAP CMA  ANS related Protocol Questions • The ANS PQs are based primarily on Annexes 2, 3, 4, 5, 10, 11, 12, 15 and 19 to the Chicago Convention, as well as associated ICAO guidance material, i.e. PANS-OPS, PANSATM, etc.

11

Introduction to the ICAO USOAP CMA  ANS related Protocol Questions •       

The USOAP CMA activities in the area of ANS address operational and oversight activities, in seven fields, namely: Air Traffic Management (ATM), Procedures for Air Navigation Services - Aircraft Operations (PANS-OPS), Aeronautical Information Services (AIS), Aeronautical Charts (Chart), Communications, Navigation and Surveillance (CNS), Aeronautical Meteorology (MET), and Search and Rescue (SAR). 12

Introduction to the ICAO USOAP CMA  ANS related Protocol Questions • The PQs on ANS-related legislative provisions address conformance with the Chicago Convention, including, but not limited to, the following articles:  Article 3 bis, (refrain from resorting to use of weapons against civil aircraft in flight)  Article 12 (Rules of the air),  Article 25 (Aircraft in distress),  Article 28 (Air navigation facilities and standard systems),  Article 37 (Adoption of international standards and procedures),  Article 38 (Departures from international standards and procedures). 13

Introduction to the ICAO USOAP CMA  ANS & AGA related Protocol Questions • The term “inspectorate,” as applied, refers to “an office, entity, or person designated by the regulatory body to carry out safety oversight of the service providers.

14

ATM Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 3 Total number of CE-2 PQs: 10 Total number of CE-3 PQs: 9 Total number of CE-4 PQs: 8 Total number of CE-5 PQs: 11 Total number of CE-6 PQs: 25 Total number of CE-7 PQs: 10 Total number of CE-8 PQs: 2 Total number of PQs under ATM: 78 15

PANS-OPS Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 2 Total number of CE-3 PQs: 6 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 0 Total number of CE-6 PQs: 5 Total number of CE-7 PQs: 6 Total number of CE-8 PQs: 1 Total number of PQs under PANS-OPS: 27 16

AIS Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 1 Total number of CE-3 PQs: 5 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 3 Total number of CE-6 PQs: 4 Total number of CE-7 PQs: 2 Total number of CE-8 PQs: 1 Total number of PQs under AIS: 23 17

Chart Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 0 Total number of CE-3 PQs: 4 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 3 Total number of CE-6 PQs: 3 Total number of CE-7 PQs: 2 Total number of CE-8 PQs: 1 Total number of PQs under Chart: 20 18

CNS Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 0 Total number of CE-3 PQs: 4 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 0 Total number of CE-6 PQs: 2 Total number of CE-7 PQs: 3 Total number of CE-8 PQs: 1 Total number of PQs under CNS: 17 19

MET Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 1 Total number of CE-3 PQs: 5 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 0 Total number of CE-6 PQs: 10 Total number of CE-7 PQs: 3 Total number of CE-8 PQs: 1 Total number of PQs under MET: 27 20

SAR Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 0 Total number of CE-2 PQs: 1 Total number of CE-3 PQs: 15 Total number of CE-4 PQs: 7 Total number of CE-5 PQs: 0 Total number of CE-6 PQs: 3 Total number of CE-7 PQs: 6 Total number of CE-8 PQs: 1 Total number of PQs under SAR: 33 21

AGA Related PQs  Legislative, regulatory provisions, including operational and oversight activities • • • • • • • • •

Total number of CE-1 PQs: 1 Total number of CE-2 PQs: 34 Total number of CE-3 PQs: 7 Total number of CE-4 PQs: 9 Total number of CE-5 PQs: 24 Total number of CE-6 PQs: 67 Total number of CE-7 PQs: 32 Total number of CE-8 PQs: 11 Total number of PQs under AGA: 185 22

ANS Related PQs  Legislative, regulatory provisions, including operational and oversight activities  A total of 225 PQs

23

Critical Elements of a Safety Oversight System  CE1: Primary aviation legislation.  CE2: Specific operating regulations.  CE3: State civil aviation system and safety oversight functions.  CE4: Technical personnel qualification and training.  CE5: Technical guidance, tools and the provision of safety-critical information. 24

Critical Elements of a Safety Oversight System  CE6: Licensing, certification, authorization and approval obligations.  CE7: Surveillance obligations.  CE8: Resolution of safety concerns.

25

Critical Elements of a Safety Oversight System • Implementation of international Standards and Recommended Practices by an ICAO Contracting State must normally be effected under the rule of law promulgated in that State. • Hence, as a first step towards discharging its obligations and responsibilities, a State is required to enact a legislative framework referred to as the primary aviation legislation. 26

Critical Elements of a Safety Oversight System • This legislative framework entails the development and promulgation of civil aviation regulations consistent with the State’s acceptance of the provisions of the Annexes to the Chicago Convention and the establishment of a State entity, namely a Civil Aviation Authority. • This legislative framework should also address the necessary powers to ensure compliance with these provisions. 27

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • The tasks and activities involved in aviation safety oversight include a wide range of complex evaluations, inspections, analyses and interventions. • Effective implementation of these tasks requires the intervention of highly qualified personnel during the various stages of the process. 28

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • The satisfactory execution of the various functions of the CAA Inspectorate depends to a large extent on the qualifications, experience, competence and dedication of individual inspectors. • In addition, it is critical that inspectors possess a high degree of integrity, be impartial in carrying out their tasks, be tactful, have a good understanding of human nature and possess good communication skills. 29

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • Ideally, technical personnel should be at least as qualified as the personnel to be inspected or supervised. • The State authorities must determine the minimum professional qualifications for their technical personnel performing safety oversight functions and also provide for the technical and administrative training necessary for them to effectively accomplish their duties and responsibilities. 30

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • The State authorities must be prepared to finance their technical personnel’s initial and recurrent training. • The State’s Inspectors represent the authority and, as such, require the continuing development of their knowledge and skills related to their respective responsibilities. 31

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • This should be accomplished through periodic training and refresher courses in all the disciplines for which the technical officers are responsible, including seminars and workshops organized by ICAO and international / regional aviation-related organizations to enable the technical personnel widen their horizons and share experience with experts from other Contracting States. 32

Critical Elements of a Safety Oversight System  CE4-Technical personnel qualification and training • Training of the technical personnel shall not be limited to strictly professional elements. It is essential that CAA inspectors also be provided with training on subjects such as applicable CAA regulations, inspectors’ skills, knowledge, duties and responsibilities, including CAA procedures for the implementation and enforcement of such requirements. 33

Effective Implementation in AFI Region - average

34

Effective Implementation in AFI Region - average

35

Critical Element 4 under the ICAO USOAP CMA  CE-4 related PQs • 7.059 Has the State established minimum qualifications and experience requirements for air traffic service (ATS) inspectorate personnel? • 7.060 Does the State ensure that the established minimum qualification and experience requirements are met by all air traffic service (ATS) inspectorate personnel? 36

Critical Element 4 under the ICAO USOAP CMA  CE-4 related PQs • 7.067 Has the State developed a periodic training plan detailing and prioritizing the type of training to be provided to air traffic service (ATS) inspectorate staff during a specified period? • 7.069 Is the training programme appropriately implemented for the air traffic service (ATS) inspectorate staff? 37

Critical Element 4 under the ICAO USOAP CMA  CE-4 related PQs • 7.071 Are air traffic service (ATS) inspectorate staff required to satisfactorily complete their on-the-jobtraining (OJT) before being assigned their tasks and responsibilities? • 7.073 Does the ATS inspectorate have a system for the maintenance of training records for its technical staff? 38

Challenges  Legal framework • Primary law in many States requires amendment to reflect/incorporate specific elements of the USOAP CMA requirements (usually a lengthy process). • As a matter of convenience, many legislative requirements which should be reflected under CE-1 are found in national regulations (difficulty to amend the primary law). 39

Challenges  Organization • Although inspectors are empowered to take enforcement measures, they have to follow lengthy processes (removal of an authorization / license, etc.) in cases of repeated offenders. • Lack support from peers and supervisors (for specific operators or service providers). • Lack of credentials, not able to access buildings (Met), documents, etc. 40

Challenges  Training • Difficulty to identify, train and retain qualified inspectors to adequately cover all ANS areas (including other areas) • No specific training budget for technical staff; training budget centralized for all staff. • CAAs rely primarily on donor States/organizations (e.g. Singapore) for certain short courses for inspectors due to lack of a training budget. 41

Challenges  Training • Inspectors are appointed in post and doing audits without having fully completed initial, recurrent & OJT training as specified by the State. • No timelines stipulated for training programme. • Top management misconception that one inspector can cover more than 2 areas. 42

Challenges  Surveillance • Inspector has difficulty to access certain ANS facilities (privatized). • Surveillance programme developed not effectively implemented (no regular & follow-up audits). • Prior approval required from operators/service providers before inspections can be done. 43

Challenges  Surveillance • Checklists developed for inspectors do not adequately cover all aspects of the surveillance requirements. • Lack of proper documentation and follow-up on findings within the inspectorate.

44

Challenges  Resolution of Safety Concerns • Lack of commitment by operator/service provider to adequately address and resolve safety concerns identified. • Lack of resources internally within the operator/service provider. • Lack of expertise (operator/service provider) on how to properly address the findings (technical knowledge). • Findings by inspectors are ignored or remedial action delayed as no effective enforcement measures in place. 45

Challenges  Resolution of Safety Concerns • Regulator reluctant to take appropriate action with operator/service provider for fear of reprisal (can affect career progression or even result in loss of employment).

 Questions  What do you think is missing in your environment?  Is there something that you can do to improve your service delivery obligations?

46

Insist on having appropriate training and the right tools

47

When developing CAPs, be guided by the ‘Guidance for review of evidence’ and ICAO’s comments for NS PQs

48

Future AFI-CIS Technical Assistance  Should focus primarily on the following:  Assist States with the identification of deficiencies and GAP analysis – do not only identify deficiencies,  Develop corrective action plans with implementation timelines (immediate, short and long term),  Ensure follow-up on progress with the State, to the extent practicable, to ensure CAPs are updated (to satisfy customer needs). 49

50