ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Continuous Monitoring Approach FINAL REPORT OF THE ICAO COORDINATED VALIDATION MISSION IN THE REPUBLIC OF FINLAND ( to September 07) International Civil Aviation Organization
TABLE OF CONTENTS. INTRODUCTION... Page. Background.... ICVM team composition.... Acknowledgements.... OBJECTIVES AND ACTIVITIES OF AN ICVM.... ICVM RESULTS.... Executive summary.... Analysis of ICVM results.... VISITS TO THE INDUSTRY/SERVICE PROVIDERS.... FOLLOW-UP ACTION... APPENDICES Executive Summary Analysis of Results by Sub-Areas of Critical Elements to Analysis of Results by Validated Areas ICVM Final Report Finland January 08
ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Continuous Monitoring Approach Final Report of the ICAO Coordinated Validation Mission in the Republic of Finland ( to September 07). INTRODUCTION. Background.. Following successful implementation of the ICAO Universal Safety Oversight Audit Programme (USOAP) Comprehensive Systems Approach (CSA), the 7th Session of the Assembly (8 September 8 October 00) adopted Resolution A7-, formalizing the evolution of the USOAP to a Continuous Monitoring Approach (CMA). The activities under the CMA framework include, among others, the ICAO Coordinated Validation Mission (ICVM)... A safety oversight audit of the civil aviation system of the Republic of Finland, hereafter referred to as Finland, was conducted from to 0 November 00 under the USOAP CSA. Accordingly, Finland provided a corrective action plan (CAP) to ICAO, addressing the USOAP Findings and Recommendations (F&Rs) and outlining specific actions and deadlines for the correction of the deficiencies identified... On 7 August 0, Finland signed a Memorandum of Understanding (MOU) with ICAO regarding the USOAP CMA. According to the MOU, Finland agreed to an ICVM, which was conducted from to September 07. The mission evaluated the progress made by the State in resolving its USOAP F&Rs... The mission was conducted in accordance with the guidelines and principles set forth in the ICAO Universal Safety Oversight Audit Programme Continuous Monitoring Manual (Doc 97) as well as in conformity with ISO 900 series of quality management standards.. ICVM team composition.. The ICVM team was composed of: a) Mr. Thormodur Thormodsson, team leader, primary aviation legislation and specific operating regulations (LEG)/civil aviation organization (ORG)/airworthiness of aircraft (AIR)/aircraft accident and incident investigation (AIG); b) Mr. Arkadii Merkulov, team member, personnel licensing and training (PEL)/aircraft operations (OPS); and c) Mr. Yong Wang, team member, aerodromes and ground aids (AGA)... The scope of the ICVM did not include the area of air navigation services (ANS). ICVM Final Report Finland January 08
- -. Acknowledgements.. ICAO expresses its sincere appreciation for the assistance provided to the ICVM team during the preparation and conduct of the mission. The professionalism and enthusiasm of all personnel who interacted with the ICVM team contributed greatly to the success of the mission.. OBJECTIVES AND ACTIVITIES OF AN ICVM. The objective of an ICVM is to assess and validate the status of the corrective actions or mitigating measures taken by a State to address previously identified F&Rs, including any Significant Safety Concerns (SSCs). ICVMs also provide the State with on-site guidance on how to resolve the remaining deficiencies.. The scope of each ICVM is based on the following considerations: a) the level of progress made by the State in resolving previously identified deficiencies; b) significant changes in any of the audit areas within the State s civil aviation system; c) the State safety risk profile; and d) whether or not an on-site activity is required or requested.. The ICVM process reviews and updates the status of Protocol Questions (PQs) previously assessed as not satisfactory based on progress made by the State in resolving identified F&Rs and in implementing its CAP. The information collected and documented through ICVMs is validated at ICAO Headquarters (HQ) and the status of the State s overall Effective Implementation (EI) duly updated.. Corrective actions taken by a State to resolve SSCs, if any, are also reviewed during the ICVM and submitted to ICAO HQ for further action.. ICVM RESULTS. Executive summary.. The USOAP audit of the civil aviation system of Finland conducted in 00 generated an overall EI of 7. per cent for the eight critical elements (CEs) of the State s safety oversight system... An off-site validation activity was performed in 0 during which the team reviewed the progress made by the State in the area of ANS. Following this review, the overall EI was updated to 7.9 per cent... An ICVM was conducted in Finland from to September 07. The ICVM team reviewed the progress in addressing 8 PQs in the areas of LEG, ORG, PEL, OPS, AIR, AIG and AGA. Following this review, the status of PQs was changed to satisfactory, resulting in an updated overall EI of 9.0 per cent. Note. EI values may vary due to the introduction of the most recent edition of the PQs.... The scope of the mission did not include the areas of ANS. ICVM Final Report Finland January 08
- -.. The CEs with the lowest EIs after the ICVM are: a) CE-, Qualified technical personnel, at 80 per cent; b) CE-7, Surveillance obligations, at 88. per cent; and c) CE-8, Resolution of safety issues, at 89. per cent... Information on the civil aviation system and activities in the areas of LEG, ORG, PEL, OPS, AIR, AIG, ANS and AGA of Finland may be found in the State Aviation Activity Questionnaire (SAAQ), which is updated regularly by the the Finnish Transport Safety Agency (Trafi) through the USOAP CMA online framework... Analyses of the EI by the eight CEs of the safety oversight system in Finland (Figure ) as well as by areas (Figure ) are found in Appendix of this report. Also highlighted are recommendations for the State s high and other priorities to resolve the identified deficiencies.. Analysis of ICVM results.. A breakdown of the ICVM results by sub-areas of CEs to is provided in Appendix of this report... A breakdown of the ICVM results by sub-area groupings for PEL, OPS, AIR, AIG and AGA is provided in Appendix of this report... The status of the PQs in the areas of LEG, ORG, PEL, OPS, AIR, AIG and AGA resulting from the ICVM conducted in Finland may be accessed by registered users on the USOAP CMA online framework: https://www.icao.int/usoap.. VISITS TO THE INDUSTRY/SERVICE PROVIDERS. Accompanied by staff members of the State s civil aviation system, the ICVM teams visit aviation service providers, operations and maintenance departments of operators and maintenance organizations, aeronautical product/equipment manufacturers, aviation training institutes, etc. The objective of the visits is to validate the capability of the State to supervise the activities of these service providers, airlines and organizations.. In the case of Finland, the ICVM team visited the following organizations: a) Air Navigation Services Finland (PEL); b) JETFLITE OY (OPS); c) Finnair Technical Operation (AIR); d) Helsinki Vantaa International Airport (AGA).. FOLLOW-UP ACTION. In accordance with the MOU agreed to between Finland and ICAO, Finland submitted its comments on the draft report on December 07. The comments were reviewed by the Safety and Air Navigation Oversight Audit Section (OAS). ICVM Final Report Finland January 08
- -. According to the MOU, the State undertakes to submit its updated CAPs directly on the USOAP CMA online framework (https://www.icao.int/usoap) within days after receipt of this final report.. The CAPs should provide specific actions and estimated implementation dates, as well as a responsible office for taking action to correct the deficiencies identified in the findings. Further guidance on how to develop effective CAPs is outlined in the Guidance for States on Developing Corrective Action Plans (CAPs), which can be found in the CMA Library of the online framework.. ICAO will provide Finland with feedback on the acceptability of the proposed updated CAPs. If any proposed corrective actions do not fully address the associated findings, the State will be notified accordingly.. If no CAP is submitted, ICAO will contact Finland to determine the reasons for not providing a CAP and report its findings to Council. ICVM Final Report Finland January 08
Finland Appendix Executive Summary EI before ICVM: 7.9% EI after ICVM: 9.0% Figure. Effective Implementation by Critical Element of a Safety Oversight System EI before ICVM EI after ICVM 00% 87.0% 00.00% 9.% 9.89% 8.9% 7.% 80.00% 9.% 9.% 8.8% 7.00% 7.% 88.% 89.% 70.% 7.% 0% 0% CE- Primary aviation legislation CE- Specific operating regulations CE- State system and functions CE- Qualified technical personnel CE- Technical guidance, tools and provision of safety-critical information CE- Licensing, certification, authorization and approval obligations CE-7 Surveillance obligations CE-8 Resolution of safety issues Figure. Effective Implementation by Area EI before ICVM EI after ICVM 00% 00.00% 00.00% 9.9% 9.8% 98.% 9.0% 89.% 89.% 9.% 7.00% 7.% 7.% 7.0% 7.09% 7.%.7% 0% NOT VALIDATED 0% LEG Primary Aviation Legislation and Specific Operating Regulations ORG Civil aviation organization PEL Personnel licensing and training OPS Aircraft operations AIR Airworthiness of aircraft AIG Aircraft accident and incident investigation ANS Air navigation services AGA Aerodromes and ground aids ICVM Final Report Finland January 08
APP - Analysis Considering the overall results outlined in Figures and, the information below has been developed to assist the State in prioritizing its remedial actions. High Priorities: LEG: None. ORG: None. PEL: None. OPS: Fully implement the surveillance programme for regular and random inspections of entities involved in the transport of dangerous goods by air to include all applicable entities in the State. AIR: None. AIG: AGA: ) Amend investigator credentials to include reference to empowering legislation providing right for investigators to enter the scene of the accident and carry out investigations. ) Develop a comprehensive procedure and guidance for investigators, responding to an accident to a Finnish aircraft in another State, for providing the State conducting the investigation with information on dangerous goods on board the aircraft with a minimum of delay. ) Ensure that all the regulatory requirements are met in the conversion of its certified aerodromes into European Union (EU)-compliant ones. ) Establish and implement a policy and procedures for accepting a non-compliance and granting exemptions in the area of aerodromes, covering both aerodrome infrastructure and operations. Other Priorities: LEG: None. ORG: None. ICVM Final Report Finland January 08
APP - Other Priorities: (cont.) PEL: OPS: AIR: ) Ensure consistent implementation of procedures for validation of foreign licences to include verification of full compliance with Annex to the Chicago Convention. ) Develop detailed guidance material and ensure consistent implementation of a system for the surveillance of designated persons in the approved training organizations performing theoretical and practical examinations for the purpose of issuing air traffic controller (ATCO) licence. ) Develop detailed guidance material and ensure consistent implementation of a system for the surveillance of air operators staff involved in the delivery of training and examinations for critical operational personnel (flight and cabin crew members, flight dispatchers) as well as for the enforcement systems graduated response procedures, where required. ) Provide additional guidance material and consistent application of procedures to ensure that air operators develop safety performance indicators (SPIs), alert levels and target levels and ensure relevant approval by the Finnish Transport Safety Agency (Trafi) and correlation with the State Safety Programme (SSP). ) Provide additional guidance material and ensure consistent application of procedures for approval of methods for determining aerodrome operating minima for aeroplane operators. ) Complete the process to ensure establishment and implementation of initial and recurrent dangerous goods training programmes by all entities, which are involved in the transport of dangerous goods by air. Amend procedures for the approval of maintenance organizations to include procedures for the review and acceptance of the maintenance organizations safety management systems (SMS). AIG: AGA: ) Ensure that ADREP preliminary and data reports are systematically sent to States involved and ICAO. ) Develop procedures to ensure, when needed, that expeditious medical examinations of the flight crew, passengers or involved aviation personnel are conducted. Ensure that aerodrome operators provide all the information needed for the removal of disabled aircraft on or adjacent to the movement area, such as a list of equipment and personnel, including a designated coordinator. ICVM Final Report Finland January 08
Appendix Analysis of Results by Sub-Areas of Critical Elements to EI before ICVM: 87.% CE- Primary aviation legislation EI after ICVM: 00% The promulgation of a comprehensive and effective aviation law commensurate with the size and complexity of the State's aviation activity and consistent with the requirements contained in the Convention on International Civil Aviation, to enable the oversight and management of civil aviation safety and the enforcement of regulations through the relevant authorities or agencies established for that purpose. Figure. Effective Implementation (%) in CE- sub-areas 00% EI before ICVM EI after ICVM 00.00% 00.00% 00.00% 00.00% 00.00% 00.00% 00.00% 00.00% 8.% 0% 0.00% 0% Conformance to the Chicago Convention Establishment of a CAA/investigation authority Delegation of authority Enforcement provisions Empowerment of CAA inspectors/investigators ICVM Final Report Finland January 08
APP - EI before ICVM: 7.% CE- Specific operating regulations EI after ICVM: 9.% The promulgation of regulations to address, at a minimum, national requirements emanating from the primary aviation legislation, for standardized operational procedures, products, services, equipment and infrastructures, in conformity with the Annexes to the Convention on International Civil Aviation. Figure. Effective Implementation (%) in CE- sub-areas 00% EI before ICVM EI after ICVM 00.00% 00.00% 00.00% 00.00% 00.00% 00.00% 90.8% 8.7% 87.88% 87.0% 87.0% 90.8% 80.00%.7% 0% 7.% 7.0% NOT VALIDATED 0% Regulation amendment procedures Identification and notification of differences PEL regulations OPS regulations AIR regulations AIG regulations ANS regulations AGA regulations 0.00% 0.00% ICVM Final Report Finland January 08
APP - EI before ICVM: 8.9% CE- State system and functions EI after ICVM: 9.89% The establishment of relevant authorities or agencies, as appropriate, supported by sufficient and qualified personnel and provided with adequate financial resources for the management of safety. State authorities or agencies shall have stated safety functions and objectives to fulfil their safety management responsibility. Figure. Effective Implementation (%) in CE- sub-areas EI before ICVM EI after ICVM 00% 9.7% 9.8% 9.% 90.8% 00.00% 00.00% 00.00% 00.00% 00.00% 80.00% 7.00% 0% 0% Organizational structure Functions and responsibilities 0.00% Credentials Recruitment and staffing Financial resources Delegation of tasks outside CAA ICVM Final Report Finland January 08
CE- Qualified technical personnel APP - EI before ICVM: 7.% EI after ICVM: 80% The establishment of minimum qualification requirements for the technical personnel performing safetyrelated functions and the provision of appropriate initial and recurrent training to maintain and enhance their competence at the desired level. States shall implement a system for the maintenance of training records for technical personnel. Figure. Effective Implementation (%) in CE- sub-areas Overall Training Areas Specific Training Areas 00% EI before ICVM 00.00% 9.% EI after ICVM EI before ICVM EI after ICVM 00.00% 00.00% 00.00% 00.00% 00.00% 8.7% 78.% 70.8% 7.% 0%.88% 0.00% 7.%.%.%.% NOT VALIDATED 0% Technical personnel qualifications and experience Training policy and programme Training plan and records PEL competency OPS competency AIR competency AIG competency ANS competency 0.00% AGA competency ICVM Final Report Finland January 08
Appendix Analysis of Results by Validated Areas Figure 7. Personnel Licensing and Training (PEL) Protocol Questions by sub-area groupings Undetermined PQs Satisfactory PQs before ICVM Satisfactory PQs after ICVM Unsatisfactory PQs SSCs Legislation and regulations - PEL 9 Organization, staffing and training - PEL Facilities, equipment and documentation Issuance of licences and ratings Conversion and validation of foreign licences Examinations Medical assessment 9 Language proficiency Record keeping Approval and surveillance of training organizations 0 Number of Protocol Questions Figure 8. Aircraft Operations (OPS) Protocol Questions by sub-area groupings Undetermined PQs Satisfactory PQs before ICVM Satisfactory PQs after ICVM Unsatisfactory PQs SSCs Legislation and regulations - OPS 9 Organization, staffing and training - OPS 9 Facilities, equipment and documentation Delegation and transfer of responsibilities AOC application 7 Air operator document review Air operator training Crew scheduling and operational control FRMS Security measures Ground handling Air operator SMS 7 Dangerous goods Aircraft operations surveillance Resolution of safety concerns - OPS Number of Protocol Questions ICVM Final Report Finland January 08
APP - Figure 9. Airworthiness of Aircraft (AIR) Inspection Protocol Questions by sub-area groupings Undetermined PQs Satisfactory PQs before ICVM Satisfactory PQs after ICVM Unsatisfactory PQs SSCs Legislation and regulations - AID 7 7 Organization, staffing and training of the airworthiness inspection division (AID) 9 Facilities, equipment and documentation of the airworthiness inspection division (AID) 8 Delegation and transfer of responsibilities (AID) Aircraft registration Certificate of Airworthiness and other authorizations State of Registry/Operator continuing airworthiness responsibilities Airworthiness certification of air operators 0 AMOs 9 Airworthiness surveillance (AID) Resolution of safety concerns - AIR (AID) Number of Protocol Questions Figure 0. Aircraft Accident and Incident Investigation (AIG) Protocol Questions by sub-area groupings Undetermined PQs Satisfactory PQs before ICVM Satisfactory PQs after ICVM Unsatisfactory PQs SSCs Legislation and regulations - AIG Organization, staffing and training - AIG 9 Facilities, equipment and documentation Notification of accidents and serious incidents Participation in investigations conducted by other States Participation of other States in an accident/incident investigation Conduct of accident and serious incident investigations Safety recommendations Completion and release of the final report 8 Forwarding of ADREP reports Reporting, storage and analysis of accident/incident data Number of Protocol Questions ICVM Final Report Finland January 08
APP - Figure. Aerodromes and Ground Aids (AGA) Protocol Questions by sub-area groupings Undetermined PQs Satisfactory PQs before ICVM Satisfactory PQs after ICVM Unsatisfactory PQs SSCs Legislation and regulations - AGA Organization, staffing and training - AGA Facilities, equipment and documentation Aerodrome certification - General 8 Aerodrome manual Provision of aerodrome data and coordination Physical characteristics, facilities and equipment 0 Aerodrome visual aids Aerodrome maintenance Safety procedures for aerodrome operations SMS/aeronautical studies/risk assessments Heliport characteristics Aerodrome surveillance 7 Number of Protocol Questions END ICVM Final Report Finland January 08