1. Background ICAO PLAN OF ACTION FOR KAZAKHSTAN 1.1. The ICAO USOAP audit of Kazakhstan was conducted in April 2009, with two Significant Safety Concerns (SSCs) identified in the area of aircraft operations (OPS) and aircraft airworthiness (AIR), pertaining respectively to the processes of issuance of air operator certificates (AOCs) and certificates of airworthiness (CofAs). The audit revealed that the overall lack of effective implementation (LEI) of the eight critical elements for the State s safety oversight system was 51%. High LEIs occurred in the areas of air navigation services (ANS) at 69%, aircraft airworthiness (AIR) at 57% and aircraft accident and incident investigation (AIG) at 51%. 1.2 The current status of the implementation by Kazakhstan of the State s corrective action plan (CAP) indicates that progress has been made in the implementation of the CAP in some areas. However, the SSCs remain unresolved, and the State continues to face challenges in the implementation of the State s safety oversight system. 2. Overview of ICAO Plan of Action 2.1 This ICAO Plan of Action specifies the activities to be undertaken by Kazakhstan in cooperation with ICAO, with a view to resolving the identified safety deficiencies, with priority given to the SSCs. The implementation of this Plan of Action will ensure a sustained safety oversight capability and will in particular ensure that AOCs and CofAs are issued in compliance with the applicable ICAO provisions. 2.2 The Plan of Action is comprised of three phases: immediate, near and long term. The breakdown of each phase is given in the Appendix. 2.3 In the immediate term, the acceptance by the State of the Plan of Action signifies Kazakhstan s strong commitment to resolving the SSCs. 2.4 In the near term, Kazakhstan will focus on the implementation of the State s CAP in the areas of OPS and AIR, with particular emphasis on establishing an appropriate organizational structure, hiring and training qualified and experienced inspectorate staff (with a focus on the provision of the necessary on-the-job training to all inspectorate staff, which will have to be provided by qualified and experienced inspectors and over a sufficient period), and establishing and implementing comprehensive and detailed certification, surveillance and enforcement procedures. 2.5 In the long term, the Plan of Action will focus on regional cooperation; the enhancement of safety oversight; and increased safety data/information exchange with the relevant regional organizations and ICAO. 3. Mechanisms for implementing the Plan 3.1 With regard to the tools for the implementation of this Plan of Action, they include a TCB project, the support of the EUR/NAT Regional Office of ICAO and the assistance of third parties (including States and international/regional organizations). Rev3, 25 February 2013
2 3.2 Kazakhstan is a member of the Interstate Aviation Committee (IAC) and COSCAP-CIS and therefore should, where possible, make use of the IAC and COSCAP-CIS in efforts to resolve the safety oversight deficiencies. 3.3 The effective implementation of this Plan of Action requires Kazakhstan s direct participation and involvement in all phases, including active monitoring of expected deliverables, taking into account the established target dates. 3.4 ICAO will monitor the implementation of all activities in the Plan of Action to ensure that the expected outcomes are achieved. Kazakhstan is obliged to inform ICAO of any changes that need to be made to this plan as a result of unexpected interventions, such as new assistance providers, changes in Government policy decision, etc.
15/09/12 APPENDIX Objective: Immediate Term: up to 01 July 2013 Political: Translate the current political commitment for the improvement of aviation safety oversight into formal agreements between the State and ICAO in order to implement the State s CAP, with a priority given to resolving the SSCs. Technical: Coordinate all existing technical assistance projects and collaborate with assistance providers active in the State to ensure that immediate actions for resolving the SSCs are given the highest priority. Kazakhstan: Ministry of Transport and Communication (MTC); Civil Aviation Committee (CAC) ICAO: EUR/NAT Regional Office of ICAO (EUR/NAT RO); ICAO Headquarters (HQ) Air Navigation Bureau (ANB) and Technical Cooperation Bureau (TCB) Other: IAC, COSCAP-CIS; European Union (EU); French DGAC; IATA; other assistance providers active in Kazakhstan in regards to civil aviation safety Mechanisms: Commitment by the MTC on behalf of Kazakhstan to the ICAO Plan of Action for Kazakhstan. Technical assistance project to assist Kazakhstan in resolving the SSCs. Continuous coordination between ICAO HQ, the EUR/NAT RO, assistance providers and Kazakhstan. Coordination, where possible, between COSCAP-CIS, the RO and Kazakhstan in respect to COSCAP activities of interest to Kazakhstan. Regular review and monitoring of progress in the implementation of assistance activities by all involved parties. Immediate term deliverable: Signed Management Service Agreement (MSA), as necessary, between ICAO (TCB) and Kazakhstan. Technical assistance projects coordinated to assist Kazakhstan in resolving the SSCs. Where possible, improved coordination with COSCAP-CIS in respect to COSCAP activities of interest to Kazakhstan. Resolution of the SSCs. Kazakhstan to have signed the MSA with ICAO: completed. 1
A 2 Technical assistance project to be launched to assist the State in resolving the SSCs: TCB team being deployed. On 16-18 April 2013, a meeting will be held at the CAC between the CAC, the ICAO EUR/NAT RO and the TCB team By 1 July 2013, all AOCs and associated operations specifications and all CofAs to have been reviewed by qualified and experienced staff with appropriate certification if full compliance with the applicable ICAO provisions is confirmed. Near Term: 01 July 2013 31 December 2013 Political: Enhance the civil aviation safety oversight capacity in Kazakhstan. Support the State s efforts in maximizing the financial and social contributions that civil aviation provides to the economy and well-being of Kazakhstan. Technical: Continue active implementation of the State s CAP in all safety-related areas. Support Kazakhstan s participation in regional cooperation in safety oversight activities. Kazakhstan: MTC; CAC ICAO: EUR/NAT RO; ICAO HQ (ANB and TCB) Other: IAC, COSCAP-CIS; EU; French DGAC; IATA; other assistance providers active in Kazakhstan in regards to civil aviation safety Mechanism: ICAO coordination and follow up with CAC on the progress of implementation of the CAP. Coordination among all assistance providers in Kazakhstan. Regular review and monitoring of progress of implementation of this Plan of Action by all involved parties. In the near-term, it is expected that: CAC will continue the implementation of the CAP, in particular by: - Establishing, and amending as needed, the necessary regulations and procedures to support the State s safety oversight system, keeping pace with the amendment of ICAO provisions; and - Conducting certification, surveillance and enforcement activities in compliance with the applicable ICAO provisions and the regulations and procedures in place. Kazakhstan will implement the necessary measures to enhance the ability of its civil aviation authority to recruit and retain qualified and experienced inspectorate staff. Kazakhstan will explore possibilities to strengthen cooperation at the regional level when possible. TCB technical assistance project continues The EUR/NAT RO and Kazakhstan will continue to coordinate assistance in capacity building, in
A 3 particular through the recruitment of qualified technical staff. The EUR/NAT RO will convene a meeting with Kazakhstan and potential technical assistance donors to coordinate activities Objective: Long-Term: 2014 onwards Political: Maintain high level contacts between ICAO and Kazakhstan, and promote aviation safety on an ongoing basis. Technical: Sustain Kazakhstan s ability to comply with the applicable ICAO provisions and implement an effective and efficient safety oversight system. Kazakhstan: MTC; CAC ICAO: EUR/NAT RO; ICAO HQ (ANB and TCB) Other: IAC, COSCAP-CIS; EU; French DGAC; IATA; other assistance providers active in Kazakhstan in regards to civil aviation safety Mechanism: Coordination between RO and Kazakhstan. Use of regional cooperation mechanisms, as applicable. Coordination amongst all assistance providers active in Kazakhstan. In the long-term, it is expected that: Kazakhstan will enhance and sustain its safety oversight capabilities. Kazakhstan will optimize cooperation at the regional level when possible. Kazakhstan will optimize the use of any technical assistance provided to the State. ICAO will monitor Kazakhstan s civil aviation activities through the Continuous Monitoring Approach of the Universal Safety Oversight Audit Programme on an on-going basis, and assist in the development of assistance projects, as necessary, in coordination with TCB and other assistance providers, upon agreement with Kazakhstan. Other activities to be determined at the completion of the near-term period, as necessary. END