IMO SAR SYSTEM ADMINISTRATION, ORGANIZATIONS AND IMPLEMENTATION METHODS

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1 INTERNATIONAL MARITIME ORGANIZATION E IMO ICAO/IMO JWG ON HARMONIZATION OF AERONAUTICAL AND MARITIME SAR 12th session Agenda item 5.3 ICAO/IMO JWG 12/5/3 18 July 2005 ENGLISH ONLY SAR SYSTEM ADMINISTRATION, ORGANIZATIONS AND IMPLEMENTATION METHODS Quality/Improvement, Needs Assessment, Risk Management (sub-regional) and Resource Allocation Submitted by the ICAO Secretariat Executive summary: Action to be taken: SUMMARY This paper gives an overview of the implementation of a comprehensive systems approach for the ICAO Universal Safety Oversight and Audit Programme (USOAP) as an evolution from the Annex-by-Annex approach which has been followed since the inception of the Programme None for information only Related documents: ICAO Annex 12 1 INTRODUCTION 1.1 Assembly Resolution A32-11 directed the International Civil Aviation Organization (ICAO) to conduct regular, mandatory, systematic and harmonized safety audits of all Contracting States, with the objective of enhancing safety by promoting the implementation by States of International Standards and Recommended Practices (SARPs). The mandate for regular audits foresaw the continuation of the programme and the term safety audits suggested that all safety-related areas should be audited. The expansion of the programme at the appropriate time, as recommended by the 1997 Directors General of Civil Aviation Conference, has thus been accepted as an integral part of the future development of the Programme. 1.2 In reaffirming aviation safety as the primary objective of the Organization, the Assembly has recognized the ICAO Universal Safety Oversight Audit Programme (USOAP) as having raised the level of safety oversight around the world. The USOAP consists of regular, mandatory, systematic and harmonized safety audits carried out by ICAO in all 188 Contracting States to assess the level of implementation of ICAO standards. Since its creation on 1 January 1999, it has proven effective in identifying safety deficiencies and prompting States to take corrective action. To date, 181 Contracting States and five territories have been audited, For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.

2 ICAO/IMO JWG 12/5/3-2 - with 152 receiving follow-up audits. The Programme was assessed in 2002 to be ISO 9001 compliant. The Assembly has also endorsed a shift in focus towards performance-based standards and away from detailed technical specifications. 2 DISCUSSION 2.1 Assembly Resolution A33-8 directed ICAO to continue the ICAO Universal Safety Oversight Audit Programme (USOAP) and to expand it to include audits of Annex 11 Air Traffic Services, and Annex 14 Aerodromes, as of The Resolution further instructed the Secretary General to undertake a study regarding the expansion of USOAP to other safety-related fields, and in particular, on the conduct of audits of the core elements of Annex 13 Aircraft Accident and Incident Investigation, as soon as possible, without significantly increasing the cost of the expansion. This expansion was to include Annex 12 - Search and Rescue. 2.2 Each Contracting State has a vested interest in the safety oversight capabilities of other Contracting States and especially of those States whose aircraft and personnel operate into its territory and/or its airspace. It is this broad safety concern of States which resulted in the establishment of a universal, regular, mandatory and, importantly in this respect, transparent safety oversight audit programme. Moreover, most ICAO Contracting States have ratified Article 83 bis Transfer of Certain Functions and Duties*, and many of them are currently transferring responsibilities for licensing and for the continuing airworthiness of aircraft and need to have the assurance that States who are signatory to the Convention on International Civil Aviation (Doc 7300) meet the Annex requirements, and are able to discharge the responsibilities transferred to them. 2.3 In accordance with Assembly Resolution A33-8, the Secretariat conducted preparatory work towards the expansion of USOAP to Annexes 11, 12, 13 and 14, slated to start in This work confirmed that the implementation of the provisions contained in Annexes 11, 12 and 14 is inter-related with the implementation of numerous provisions in various Annexes, and especially with those contained in Annex 1, Annex 2 Rules of the Air, Annex 4 Aeronautical Charts, Annex 10 Aeronautical Telecommunications, and Annex 15 Aeronautical Information Services. The conduct of audits relating to Annexes 11, 12 and 14 cannot be done effectively in isolation, and auditing Annex 13 by itself would not be cost-effective. Development of guidance material related to safety oversight 2.4 The development and provision of technical guidance material is one more of the support tools made available to Contracting States by ICAO. Guidance material will enable States to implement SARPs in a harmonized manner ensuring a standardized implementation of the Annex provisions they are designed to support. Guidance material under development in the Safety Oversight Audit Section (SOA) will also address the establishment and management of Regional Safety Oversight Systems. Analysis of audit results 2.5 An Audit Findings and Differences Database (AFDD) has been developed to archive findings and differences arising from safety oversight audits and audit follow-ups carried out under USOAP. Information generated through the AFDD, such as the level of aviation activity in a State and the actual findings and differences identified during audits, allows SOA to conduct a detailed analysis with the aim of determining possible courses of action for the resolution of

3 - 3 - ICAO/IMO JWG 12/5/3 safety concerns. The AFDD has provided SOA with the ability to identify safety concerns based on the safety oversight critical elements. The information derived can also be used to assess possible impact on the safety of aircraft operations at various levels, thus enabling ICAO, international organizations, groups of States and individual States, to prioritize actions directed at resolving identified and quantified safety concerns. Reports derived from the AFDD have been used by the Air Navigation Bureau sections, panels and study groups. 3 IMPLEMENTATION OF A COMPREHENSIVE SYSTEMS APPROACH FOR THE UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME 3.1 Concept Safety oversight audits performed so far have been planned and conducted on an Annex-by-Annex basis, starting with Annexes 1, 6 and 8 and with a view to progressively introducing other Annexes. While this approach served its purpose and proved effective for the establishment of the Programme and the initial audits, it has become clear that continuing along the same line to assess the capabilities of Contracting States for safety oversight and the implementation of safety-related provisions would be both lengthy and expensive The challenge faced by the Organization is to firmly establish and maintain an effective and efficient safety oversight audit programme while keeping the overall operating expenses at an acceptable level. On the basis of the experience gained so far, the Council is now of the opinion that it is time for USOAP to evolve from an Annex-by-Annex process to a comprehensive systems approach, which will focus on the States overall safety oversight capabilities. It is proposed that the comprehensive systems approach will cover all safety-related Annexes and provide an improved and cost-effective approach to auditing The envisioned comprehensive systems approach to the conduct of safety oversight audits will consist of two phases. In the first phase, the degree of implementation of Annex provisions and the identification of differences would be determined through the review of duly completed State Aviation Activity Questionnaire and Compliance Checklists for all relevant Annexes, and through the review of documents developed by a State to assist it in the implementation of SARPs, as well as in maintaining an effective safety oversight system. In the second phase, the State being audited would be visited by an ICAO audit team, which would validate the information provided by the State and also conduct an on-site audit of the State s overall capability for safety oversight. This would include an audit of the organization, processes, procedures and programmes established and maintained by the State to help it fulfil its safety oversight obligations Audits under a comprehensive systems approach will be tailored to the level and complexity of aviation activities in the State to be audited, taking into account the mechanisms put in place by the State to carry out its safety oversight responsibilities. The duration and periodicity of the visits, as well as the size of the audit teams, will be determined through a review of the information contained in documents provided by the State, including the completed State Aviation Activity Questionnaire and the Compliance Checklist. As a basis, all Contracting States will be visited at least once in any six-year period, with follow-up visits conducted on a, as-required basis Under the comprehensive systems approach, ICAO regional offices will play a major role in their respective regions. The main role of the regional offices will be to conduct follow-up missions to ascertain the status of implementation of States corrective action plans, in addition

4 ICAO/IMO JWG 12/5/3-4 - to maintaining close contact with audited States as part of their regular mission. Technical staff from the regional offices will be trained as safety oversight auditors to assist in the conduct of audits and to conduct follow-up missions In view of the benefits to be gained from conducting safety oversight audits under the comprehensive systems approach, and taking into consideration the time required to develop the requisite questionnaire, compliance checklists and protocols, including training material for auditors, the Council proposed that the expansion of the Programme to Annexes 11, 12, 13 and 14, initially planned to start in 2004, be postponed to 2005 in order to further expand the audit programme to encompass the safety-related provisions in the Annexes to the Convention. In this regard, it should be noted that the continuation of audit activities related to Annexes 1, 6 and 8, as well as the preparatory work conducted for the expansion of USOAP to Annexes 11, 13 and 14 will be integrated into the comprehensive systems approach as it is adopted in Auditing Staff The effective implementation of a comprehensive systems approach in the conduct of safety oversight audits would require the availability of a sufficient number of qualified and experienced auditors in the various areas that would be subject to audit. ICAO cannot afford the resources to employ all the auditors which would be needed to do the job. To overcome this problem, and in order to minimize costs while fully attending to the requirement of the comprehensive systems approach to the conduct of safety oversight audits, States able to do so are encouraged to provide the Organization with long-term seconded officers for a period of three years to complement the auditing staff recruited by ICAO. 4 CONCLUSIONS 4.1 While the Annex-by-Annex approach used so far for the conduct of audits served its purpose and proved effective for the initial establishment of the Programme, continuing along the same lines would be lengthy and expensive. 4.2 Audits in the expansion areas of Annexes and 14 cannot be done effectively in isolation, as the provisions contained therein are closely interrelated with provisions contained in several other Annexes, as presented in paragraph above, which should be addressed at the same time. 4.3 A comprehensive systems approach to conducting safety oversight audits will address the safety-related provisions contained in all safety-related Annexes by focusing on the State s overall safety oversight capability and specific safety critical areas, while assessing the implementation of all provisions through the review of the Compliance Checklists applicable to each Annex. It also offers the potential for cost savings, in the long-term, when compared to an Annex-by-Annex approach. 4.4 Audit methodology has continued to evolve as experience has been acquired and optimum means of effectiveness and efficiency have become apparent. Presently, the second phase of the audit process, the on-site mission, involves interviews with key personnel in the agencies mandated with the regulation of the specialist providing agencies rather than with the agencies themselves. The aspects of the regulators services on which most attention is focused are Legislation, Regulations, Organization, Procedures, Programmes, Staffing and Training. 4.5 The SAR protocols currently in use are attached at Appendix A.

5 - 5 - ICAO/IMO JWG 12/5/3 *Article 83 bis* Transfer of certain functions and duties a) Notwithstanding the provisions of Articles 12, 30, 31 and 32 a), when an aircraft registered in a contracting State is operated pursuant to an agreement for the lease, charter or interchange of the aircraft or any similar arrangement by an operator who has his principal place of business or, if he has no such place of business, his permanent residence in another contracting State, the State of registry may, by agreement with such other State, transfer to it all or part of its functions and duties as State of registry in respect of that aircraft under Articles 12, 30, 31 and 32 a). The State of registry shall be relieved of responsibility in respect of the functions and duties transferred. b) The transfer shall not have effect in respect of other contracting States before either the agreement between States in which it is embodied has been registered with the Council.

6 ICAO/IMO JWG 12/5/3-6 - APPENDIX ICAO USOAP SEARCH AND RESCUE PROTOCOLS ANS Search and rescue Establishment CC Art ANS Has the State established an entity which provides on a 24-hour basis, search and rescue (SAR) services within its territories to ensure that assistance is rendered to persons in distress? documented evidence of the establishment of the service which includes a legal framework organizational chart t satisfactory t applicable ANS If no, has the State arranged with another State or group of States to provide SAR services?! Verify how the responsibility or authority has been delegated to another State t satisfactory t applicable CC Art ANS Does the SAR services system include a legal framework, a responsible authority, organized available resources, communication facilities and a workforce skilled in coordination and operational functions? State legislative documents, CAA structure, letters of agreement between service providers and training activities t satisfactory t applicable ANS Does the State ensure the closest practicable coordination between the centres where separate aeronautical and maritime rescue coordination centres (RCCs) serve the same area? documented procedures which ensure the closest practicable coordination t satisfactory t applicable RP ANS Has the State established a joint RCC to coordinate aeronautical and maritime SAR operations? the legislation which establishes a joint RCC t satisfactory t applicable ANS Has the State established a RCC in each search and rescue region (SRR)? the documentation to ensure that each SAR region has a RCC t satisfactory t applicable

7 - 7 - ICAO/IMO JWG 12/5/ ANS Is each RCC and, as appropriate, rescue subcentre (RSC) staffed 24 hours a day by trained and qualified personnel proficient in the use of the language used for radiotelephony communications? the training policy which confirms language proficiency t satisfactory t applicable ANS Has the State ensured that each RCC and RSC employ sufficient workforce skilled in coordination and operational functions? documented evidence t satisfactory t applicable ANS Have written terms of reference been developed for all staff? terms of reference of workforce personnel involved in coordination and operational functions t satisfactory t applicable GM Doc & 3.6 ANS Has the State ensured that each RCC and, if appropriate, RSC established a training policy and programme for its staff? content of the training programme and when applicable, verify if it includes initial, recurrent or specialized training t satisfactory t applicable GM Doc ANS Are training records or files maintained for the RCC staff? training records t satisfactory t applicable RP ANS Are RCC personnel involved in the conduct of radiotelephony communications proficient in the use of the English language? the policy that the English language proficiency is required in radiotelephony communications t satisfactory t applicable

8 ICAO/IMO JWG 12/5/ ANS Has the State made arrangements for the use of SAR units and other available facilities to assist any aircraft or its occupants who are or appear to be in a state of emergency? letters of agreement and terms and conditions of SAR unit involvement t satisfactory t applicable & ANS Has the State designated as SAR units elements of public or private services suitably located and equipped for SAR operations? letters of agreement and terms and conditions of SAR unit involvement t satisfactory t applicable ANS Does the State coordinate its SAR organization with those of neighbouring States? Yes international letters of agreement and national SAR plans t satisfactory t applicable ANS Does the State permit, subject to such conditions as may be prescribed by its own authorities, entry into its territory of SAR units of other States for the purpose of searching for the site of aircraft accidents and rescuing survivors of such accidents? international letters of agreement t satisfactory t applicable ANS Does the State authorize its RCCs to provide, when requested, assistance to other RCCs, including assistance in the form of aircraft, vessels, aircraft or equipment? standing orders to RCCs t satisfactory t applicable ANS Has the State arranged for all aircraft, vessels and local services and facilities which do not form part of the SAR organization to cooperate fully with the latter in SAR and to extend any possible assistance to the survivors of aircraft accidents? national SAR plan to confirm cooperation t satisfactory t applicable

9 - 9 - ICAO/IMO JWG 12/5/3 RP ANS Has the State ensured the closest practicable coordination between the relevant aeronautical and maritime authorities to provide for the most effective and efficient SAR services? national SAR plan which indicates the closest practicable coordination t satisfactory t applicable ANS Has the State designated a SAR point of contact for the receipt of Cospas-Sarsat distress data? applicable AIP section t satisfactory t applicable ANS Has each RCC in the State prepared detailed plans of operation for the conduct of SAR operations within its SRR? RCC plans of operation t satisfactory t applicable 4.4 ANS Does the State provide for regular training of its SAR personnel and arrange appropriate SAR exercises? training schedule, SAR training syllabus, lesson plans and results of training t satisfactory t applicable