Transcript Document

FAA International Aviation Safety
Assessment (IASA) Program
Presentation
Miami-July 23, 2003
United States Department of Transportation (DOT)
“How to Become a Foreign Air Carrier,”
http://ostpxweb.dot.gov/aviation/certific/pkt2kb.pdf.
F A A IA S A Program
3
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
Prior to 1990
• Minimal FAA concern with foreign
airlines
• Mid 1990 - FAA establishes the
International Field Offices (IFOs) - Miami,
New York, San Francisco, Dallas
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.
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
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.
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 A3211 establishes the Universal Safety Audit
programme
• Mid 2000 - IASA Phase 2
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
ICAO CONTRACTING STATES
Agree to meet their
obligations as specified in
the ICAO Convention and in
the Standards and
Recommended Practices of
the Annexes.
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.
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.
SAFETY SUPERVISION:
AN ICAO STANDARD
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
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
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
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
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
TECHNICAL ASSISTANCE
• Requires High Level Political Commitment
• Memorandum of Agreement Between the FAA
and Host Country
• Action Plan
IASA - Phase 2
The Next Step
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
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
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
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
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
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
SAFETY OVERSIGHT SYSTEM CRITICAL ELEMENTS (Doc 9734)
Lack of Effective Implementation (%)
GLOBAL/177 – 28.3%
APAC/33 – 25.2%
MID/17 – 28.8%
NACC/21 – 23.5%
ESAF/21 – 39.4%
SAM/13 – 24%
EUR/NAT/51 – 19.6%
WACAF/21 – 49.8%
70
60
50
40
30
20
10
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
Association Between Findings and Accident Rates
80
70
Audit Findings – Lack of Effective Implementation of SARPs, (177 audit reports)
Accident rates per 1 000 000 departures - scheduled (International and Domestic, 1996)
Accident rates per 1 000 000 departures - scheduled (International and Domestic, 2000)
60
50
40
30
20
10
0
Asia and Pacific
Region
Eastern and
Southern African
Region
European and
N. Atlantic
Region
Middle East
Region
N. / C. American
and Caribbean
Region
Southern American
Region
Western and
Central African
Region
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
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
U.S. Department of
Transportation
SAFE SKIES FOR AFRICA
INITIATIVE
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
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
SAFE SKIES FOR AFRICA
9 Participant Countries
Angola, Cape Verde,
Cameroon, Cote d’Ivoire,
Kenya, Mali, Namibia,
Tanzania, and Zimbabwe
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
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
Thank You