Recommendations

Safety Oversight

Safety oversight was considered as one of the most important issues. Inadequate government oversight of airline operators was a safety risk, confirmed by evidence of lower accident rates amongst operators whose governments have effective safety regulatory and oversight capabilities.

Deficiencies in safety oversight are a safety risk to the public. The airlines of economies that do not have effective safety oversight programs face denial of access to international markets which in turn will adversely affect the prosperity of these economies and their ability to earn foreign exchange. Recent intensification of inspection of foreign aircraft by a number of States was a direct result of concern about safety oversight.

Worldwide concern about the safety deficiencies caused the ICAO Assembly to pass a resolution A29-13 that "reaffirms that individual State's responsibility for safety oversight is one of the tenets of the Convention" and that calls on member States able to do so, to provide requesting States with technical resources to enable those States to carry out their responsibilities for safety oversight of air carrier operations.

Under its technical cooperation program, authorized by States through ICAO Assembly Resolutions, the ICAO Council has instituted a large number of useful programs over several decades to improve civil aviation safety in many developing States. In addition, developed States have significant bilateral assistance programs for social and economic development in developing States, including for civil aviation. These two parallel streams of technical assistance have been in effect for many years and together they have provided large scale funding for civil aviation projects in developing States that impact on safety. They complement each other. Bilateral technical assistance is normally based on criteria that are different from those that apply to multilateral assistance / contributions of intergovernmental agencies such as ICAO, UNDP and the World Bank. It is important that the two parallel streams of technical assistance continue because abandoning one of them will result in less total resources available to developing economies.

It is essential that donor States of bilateral programs ensure that there is no duplication between their programs and those of ICAO. It is emphasized that funds for the functioning of ICAO are provided by ICAO Contracting States and that any duplication of work will in the end be an unnecessary additional cost for governments to pay.

Despite these efforts, as well as initiatives from the developing States themselves, civil aviation safety deficiencies persist as reported in findings by ICAO in its safety oversight assessment program. The assistance programs by ICAO and others do not infer any derogation of a State's full responsibility for safety in its airspace, airworthiness of aircraft on its Register and other safety responsibilities outside its airspace. In that regard, with respect to APEC member economies, it is appropriate for ICAO on the one hand and donor economies on the other hand to continue to render assistance to the economies in need of additional resources to correct the deficiencies in order to assure civil aviation safety throughout the APEC member economies.

Although safety oversight is the responsibility of governments, it was necessary for an ICAO Assembly Resolution to be adopted through which ICAO developed a voluntary Safety Oversight Assessment Program. Also, a number of governments of the European community and APEC member economies have instituted programs of inspection of both foreign air carriers and regulatory authorities. The ICAO projects being developed under the Cooperative Development of Operational Safety and Continuing Airworthiness Project (COSCAP) were considered and recommended for APEC Ministers' support.

The most important activities related to safety oversight that need Ministerial attention are: the Civil Aviation Authority, Cooperative initiatives within the Region and Civil Aviation Academy. The recommendations follow.

Civil Aviation Safety Authority

Effectiveness of the Civil Aviation Authority was considered crucial for safety oversight activities. The fact that some economies were large with large scale authorities, and some were small, must not dilute their effectiveness in the performance of safety oversight activities. There was concern that for small economies it would not be practicable for the safety authority to be independent of the airline operator. In those instances, delegation of safety oversight activities under clear division of functions and rules that ensure independence from the actual air carrier operations would be practical. In large economies, effective safety oversight will be better assured by autonomous civil aviation safety authorities independent of the operations and service providers. The recommendation is:

Civil Aviation Safety Authority - Recommendation 1

Ministers support the development, in each economy, of a Civil Aviation Safety Authority operating under clear principles for independence from the airline operator and where feasible from other operations.

Cooperative Initiatives within the Region

According to the Convention on International Civil Aviation, the responsibility for safety oversight rests with States. Notwithstanding, because of serious deficiencies in safety oversight, the ICAO Assembly and Council were seized with the problem and a decision taken for ICAO to carry out safety oversight assessments of States that volunteered for such assessments. In that regard, the ICAO Council has developed projects for the Asia Pacific on Cooperative Development of Operational Safety and Continuing Airworthiness Project (COSCAP). These projects must proceed and their implementation be supported by ICAO Contracting States. It is the responsibility of the governments of APEC economies to ensure that the ICAO projects are not duplicated by APEC projects. Any such duplication will result in a waste of the financial and other resources of governments because ICAO, a United Nations Agency, is funded by governments.

There is an unprecedented increase in air traffic in the Asia Pacific which is expected to be sustained because of the huge population of some two billion in the developing economies that are enjoying extraordinary economic growth rates. For historical reasons coupled with very large populations, the developing economies, though plentiful in people and labour, were seriously short of modern transportation systems and an adequate number of highly trained skills for advancing technology. Despite attempts by international organizations, the shortage continues compounded by the requirements of modern technology. The recommendation is:

Cooperative Initiatives within the Region - Recommendation 2

Ministers may wish to consider the following:

1. Reaffirm their commitment to ICAO Assembly Resolution A29-13, Improvement of Safety Oversight, and to implementation of the operations and airworthiness standards contained in Annexes 6 and 8 to the Convention on International Civil Aviation.
2. Endorse the ICAO initiatives for aviation safety oversight which are currently underway or under development in the Asia-Pacific region such as the ICAO safety assessment mechanism and the Co-operative Development of Operational Safety and Continuing Airworthiness Project (COSCAP).
3. Encourage the more vigorous implementation of these initiatives within ICAO to ensure that these activities are successfully implemented, and encourage economies and other donor organizations to contribute resources to ensure the viability of these initiatives.
4. The need to further assess the possibility of providing additional multilateral, bilateral and private sector resources to economies, and a mechanism for advice to Civil Aviation Authorities on Ministers' decisions and for administering these resources which would complement ICAO initiatives in the region; recognizing also that it is in the interest of aviation safety within APEC member economies to extend these resources to non-APEC member economies in the Asia-Pacific region.

Civil Aviation Academy

It has been observed that the specialist skills of aircraft pilots, engineers, mechanics, air traffic controllers and others engaged in Safety Oversight, while competent in their specialist skills, were deficient in risk and systems analyses and associated areas. In addition to their specialist skills, concentrated training for safety oversight responsibilities from a systems approach was necessary for safety inspectors. Broad training programs are needed to convert the specialists in their respective aviation disciplines to aviation safety inspectors who have a clear understanding of the safety role of an inspector which will include an understanding of the economies' regulatory safety philosophy, domestic and international rules, risk assessment techniques and system safety knowledge. Such training will improve safety oversight inspection and management. The recommendation is:

Civil Aviation Academy - Recommendation 3

Ministers endorse the need to establish a Civil Aviation Safety Academy approach to the enhancement of safety inspector training to be provided through existing or new facilities and to a curriculum that is developed to facilitate common application of safety standards.

Harmonization of Civil Aviation Safety Rules

APEC Transport Ministers, at their first meeting in June 1995, called for the pursuit, as far as possible, of "harmonization or mutual recognition" of regulatory practices and procedures as well as the facilitation of the harmonization, coordination and transparency of transport policies, regulations, procedures and standards.

Globalization in international civil aviation operation has been gaining momentum worldwide. Some elements of the international civil aviation system are setting the pace of globalization such as: mergers, alliances and transnational ownership of airlines; global satellite-based communications and navigation systems; and multinational manufacturing and maintenance of aircraft and other aeronautical products.

Steps remaining to be taken include harmonization of national rules. Such harmonization can result in improvements to efficiency, significant reduction in costs, enhancement of safety, and facilitation of the implementation of international commitments, including:

• the ICAO Assembly Resolution  
  on Global Rule Harmonization that urges States (bilateral) and Groups of States (multilateral) to promote the international harmonization of national civil aviation safety rules; and
• the amendment to the Convention on International Civil Aviation related to the lease, 
  charter and interchange of aircraft.

International civil aviation is an interdependent system. Operating limitations or deficiencies at airports and air navigation systems in one economy affect efficiency and safety of aircraft of other economies. On the other hand, partnership and cooperation among economies to facilitate harmonization, including interoperability of system elements and compatible regulations and procedures, offer opportunity to enhance safety, efficiency and effectiveness in civil aviation operation among participating economies.

The unprecedented prosperity in some APEC member economies is already generating such high air traffic densities that the prospect for full cost recovery is realistic in the short-term, after initial investment of capital in aeronautical activities related to safety from own sources, donor economies and international funding agencies. That situation offers opportunity to re-allocate resources to provide adequate funding not only to correct safety deficiencies but also to enhance safety. In that regard, announcements by a number of economies that safety is a high priority in public policy offer realistic expectation that such re-allocation can be achieved where appropriate.

Thus, prospects are good for a prosperous economy to harmonize its civil aviation safety standards to the higher level of another economy. It is emphasized that the public will not accept a reduction of a safety standard. Therefore, in order for harmonization to occur the economy with a lower level of safety will have to enhance its safety standards to meet those of the economy that has achieved the higher standards. Harmonization of civil aviation safety rules among APEC member economies offers opportunity not only to enhance safety, but also to promote systems compatibility, to improve efficiency and effectiveness, and to reduce the economic burden on air carriers.

It is emphasized that Civil Aviation Authorities have the heavy responsibility of assuring the safety of families wherever and whenever they travel, and that aviation safety in one APEC economy must not be inferior to the safety in another economy.

Similarly, aircraft should be no less safe in one APEC economy than in another. Harmonization of aviation safety rules for all elements of the civil aviation systems of all APEC economies can contribute to that safety assurance for families and flights. The harmonization activities in the ICAO COSCAP projects underway in the Asia Pacific region are recommended for support by Ministers.

In the search for an instrument to demonstrate APEC Transport Ministers' commitment to the harmonization of civil aviation safety rules, two options were considered, namely: (1) an agreement signed by Ministers and (2) a declaration on harmonization. It was concluded that a Ministerial declaration would be appropriate to give momentum for the implementation of the harmonization of civil aviation safety rules. The proposed declaration contained two parts which were (a) the main principles and (b) the application of those principles.

The consensus was that only the main principles should be included in a Ministerial declaration leaving the Civil Aviation Authorities flexibility with regard to the detailed application of the principles, such as: transparency of safety policy, exchange of information on safety standards and their enforcement, exchange of personnel, procedure for the approval of aircraft certification and personnel licensing, sharing of resources and reciprocal validation of civil aviation safety regulatory practices and procedures.

The recommendation is:

Harmonization of Civil Aviation Safety Rules - Recommendation 4

Ministers issue a declaration requesting that their respective Civil Aviation Authorities pursue the harmonization of civil aviation safety regulations, standards, procedures and associated processes employed in the manufacture, maintenance and operation of the civil aviation system having regard to the ICAO COSCAP initiative.

The Declaration is illustrated in Annex A.

Air Traffic Conflict

The prevention of mid-air and near mid-air collisions is vital to aviation safety. With the growth in air traffic, and indeed irrespective thereof, there is recognition of the increased level of the threat associated with the loss of safe separation between aircraft.

The primary responsibility for the safe separation of aircraft, such as the prevention of collisions, resides with Air Traffic Control when aircraft are operated under instrument rules in controlled airspace. ICAO has issued technical systems standards for an Airborne Collision Avoidance System (ACAS), the purpose of which is to provide means, independent of ground-based air traffic services, of last resort for the flight crew to avoid a mid-air collision.

The Traffic Alert and Collision Avoidance System (TCAS) developed in and made mandatory by the United States for air carrier operations in U.S. airspace has been effective, in its and other States' airspace in preventing mid-air collisions. The effectiveness of ACAS is, however, dependent on the aircraft on collision course being equipped with an operating and serviceable altitude reporting transponder.

The recommendation is:

Air Traffic Conflict - Recommendation 5

Ministers encourage the development of a Regional Air Navigation Agreement recognizing the requirement for an orderly implementation of Airborne Collision Avoidance Systems (ACAS) and accompanying Altitude Reporting Transponder systems in accordance with the provisions of Annex 6 of the Convention on International Civil Aviation.

Recommendation 6

Ministers encourage accelerated implementation of mandatory ACAS installation where feasible.

Lease, Charter and Interchange of Aircraft (Article 83 bis)

Globalization of air transportation services is causing significant increases in the lease, charter and interchange of aircraft. There is concern that such increases may cause potential safety problems. An amendment to the Convention on International Civil Aviation, Article 83 bis, to provide for safe operation of lease, charter and interchange of aircraft, requires 98 ratifications for it to enter into force. Of the 98 ratifications required, only three are outstanding.

The recommendation is:

Lease, Charter and Interchange of Aircraft (Article 83 bis) - Recommendation 7

Ministers strongly encourage all APEC member economies, which have not already done so, to ratify Article 83 bis of the Convention on International Civil Aviation relating to the transfer of States' functions and duties in the case of international Lease, Charter and Interchange of aircraft.

Lack of Good Incident Reporting Data Base

Aircraft Accident Investigation, itself a means for analysis to prevent accidents, often uncovers incidents of a similar nature. The non-reporting of these incidents does not give opportunity for analysis, consequently, it is not possible to take adequate accident prevention measures. Some economies have introduced voluntary incident reporting systems, but for such reporting to be valuable it would be necessary to protect the confidentiality of the data and of the persons reporting the incidents from punishment for unintentional mistakes (criminal acts or deliberate violations of safety rules will continue to be subject to corrective action).

Some of these systems are available for public use. The system currently under development within the United States, the Global Analysis and Information Network (GAIN), will meet the confidentiality requirements and will be accessible through the Internet. The U.S. FAA continues to work on the development of this system with industry and other civil aviation authorities with the goal of providing timely, safety information to the aviation industry and the public.

Accident rates have diminished significantly, nevertheless, safety standards must be  constantly improved as air traffic  densities increase because the public will not accept a significant increase in the number of accidents no matter how low the accident rate might be. In fact, the public wants the number of accidents reduced / eliminated. All accidents and serious incidents must be reported and investigated thoroughly from a systems perspective in order to identify deficiencies which if not remedied on time will place the public at risk.

The recommendation is:

Lack of Good Incident Reporting Data Base - Recommendation 8

Mandatory Incident Reporting: Ministers encourage the International Civil Aviation Organization to develop standards with respect to the incidents to be reported and the format for reporting, such that international data base comparisons are facilitated; and

Recommendation 9

Confidential Incident Reporting: Ministers endorse the need for each economy to establish a confidential incident reporting system administered independently from the regulatory authority or to make use of an existing system.

Availability of Appropriate Skills in Industry

The unprecedented sustained growth of civil aviation activities in the Asia Pacific is compounding the problem of making available an adequate quantity and quality of appropriate skills to assure safety in the civil aviation system of a number of APEC economies.

The Asia Pacific economies are enjoying unprecedented prosperity. This causes a rise in the density of traffic which in turn demands an increase in the number and frequency of flights and the use of more and larger modern aircraft, sophisticated Communications, Navigation, Surveillance / Air Traffic Management (CNS/ATM) systems and associated infrastructure. These activities require a tremendous increase in the number and variety of skills particularly in the developing economies of the Asia Pacific that even now have significant shortage of skills and the resources to train them.

A large number of university graduates without technical education to suit the demand for skills in aeronautics find it very difficult to obtain employment in a technology-based environment. It would be beneficial for basic education to include more technical based curriculum to prepare students for higher education and technician training to meet the prospective immense demand for such skills in the increasing technological environment in APEC economies.

For the extraordinarily large quantities of higher level skills that will be required to satisfy the huge increases in prospect for all elements of the civil aviation systems in the APEC economies, traditional sources are unlikely to provide the large capacity for training that will be required. An adequate quantity of properly trained highly skilled personnel will be absolutely necessary to meet the immense demand in the Asia Pacific now and in the future. No matter how sophisticated aircraft, air navigation systems and associated infrastructure may be, unless they are properly built, maintained and operated, the system will still be unsafe. The observation to be drawn to the attention of Ministers is:

Availability of Appropriate Skills in Industry - Observation 1

It will be necessary for industry to expand its program of training nationals of APEC developing economies to provide adequate skills for the manufacture, maintenance and operation of all elements of their civil aviation systems, and for basic education to include technical-based curriculum to prepare students for higher education and technician training for the increasing technological environment in the APEC economies.

Satellite Based CNS Systems

Communications (C)              Navigation (N)                Surveillance (S)