ESARR Implementation Monitoring and Support (ESIMS) Programme

The ESIMS Programme was established in 2002 to monitor the rate of ESARR adoption by States. In 2005 a formal audit approach in line with the ICAO Universal Safety Oversight Audit Programme (IUSOAP) was developed.

ESIMS 6-year Cycle (2005-2011)

Since 2005, the ESIMS Programme focused on auditing States’ ATM safety oversight capabilities. The audits covered the relevant legislative and institutional arrangements as well as the ATM safety regulations in place, the safety regulatory arrangements and their capacity (policy and principles, rulemaking procedures, safety oversight and personnel licensing, and resources and staff competency). On-site audits were followed by the development of a State Corrective Action Plan which was incorporated into the Final Audit Report.

The States participating in this 6 year cycle were EUROCONTROL Member States and those ECAC Member States who are not members of EUROCONTROL but who agreed to participate in the Programme.

Effect of ESARR 1 Implementation

Based on the final reports of the audits released before 01 November 2007, there is a measurable gap between the situation evaluated before the entry into force of ESARR 1 and the obligations States have to fulfil as from November 2007.

The difference identified by the analysis shows the importance of safety oversight improvement by National Supervisory Authorities (NSAs), and supports the need for continued and enhanced EUROCONTROL action in this area. Support to States is already a well-established part of the SRC's role and forms an important component of its Work Programme. This has been re-focussed to better meet States' needs in the context of the Single European Sky through the establishment of an NSA support function, oriented and customised to the needs of NSAs and kept under constant review in all Critical Element areas.

Audit Results

In November 2006, the EUROCONTROL Permanent Commission decided to align its approach on the public dissemination of ESIMS audit information with that of the ICAO Universal Safety Oversight Audit Programme (IUSOAP) (CN Decision No. 108).

This allowed for the continued and better alignment of the USOAP and ESIMS Programme methodologies in a manner consistent with the principles of the ESIMS Programme agreed by the EUROCONTROL Provisional Council.

The ICAO-based approach, using a chart to depict the status of the implementation of each of the eight critical elements, was adapted by DSS/OVS in the form of an ‘Audit Results Summary Sheet’ for each audited Member State. The Summary Sheet depicts the level of compliance with the mandatory provisions related to the implementation of each ICAO critical element at the time of the audit.

As agreed by the SRC in October 2008, DSS/OVS ensured a 12 month period between the on-site audit and the publication of audit results. In addition, to make the information more up-to-date and to show the progress made by States since the audit, DSS/OVS used the updated Corrective Action Plans submitted by States to prepare a graph depicting the level of implementation at the time of the audit against the level of implementation as reported by the State. This method allowed a fair and transparent presentation of the audit results and progress made.

To view the Audit Results Summary Sheets, click on each State’s name below.

Links with ICAO

Co-ordination with IUSOAP

A Memorandum of Co-operation signed in 2005 between ICAO and EUROCONTROL regarding safety oversight auditing successfully ensured that ESIMS and the ICAO Universal Safety Oversight Audit Programme (IUSOAP) audit schedules were co-ordinated to avoid overlaps and take advantage of the synergies between the programmes, whilst ensuring that:

  • Co-ordination took place regularly and systematically between ICAO/SOA and DSS/OVS at working and programme management level;
  • ESIMS and IUSOAP audit schedules were coordinated to avoid overlaps and take advantage of the synergies between the programmes;
  • ICAO SOA was given full access to the ESIMS audit reports, while ESIMS has full access to IUSOAP audit reports;
  • Five DSS/OVS auditors qualified as IUSOAP auditors after passing the relevant training including OJT.

ICAO Model – Critical Elements of a State’s Safety Oversight System

There is close correspondence between the areas reviewed in an ESIMS audit and the Eight Critical Elements (CEs) of a State’s Safety Oversight System as defined in ICAO Doc 9734 - Part A ‘The Establishment and Management of a State’s Safety Oversight System’. The eight critical elements provide ICAO with the model used by USOAP to audit the safety oversight capabilities of a State.