Presentation is loading. Please wait.

Presentation is loading. Please wait.

Preparation for the ICAO Safety Oversight Audit Management Perspective

Similar presentations


Presentation on theme: "Preparation for the ICAO Safety Oversight Audit Management Perspective"— Presentation transcript:

1 Preparation for the ICAO Safety Oversight Audit Management Perspective
COSCAP-South Asia Preparation for the ICAO Safety Oversight Audit Management Perspective Briefing to Member States Sri Lanka Module 1 Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

2 Briefing to CAA - Sri Lanka
Module objective At the end of this module the participants will be be familiar with the background, objective, principles, activities, main audit tools and status of implementation of the ICAO Universal Safety Oversight Audit Programme (USOAP). 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

3 Briefing to CAA - Sri Lanka
Outline Evolution and objective of USOAP USOAP principles and auditing principles Main audit tools Results of the DGCA 06 Conference 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

4 What is safety oversight ?
Safety oversight is a function by which Contracting States ensure the effective implementation of: ICAO Standards and Recommended Practices (SARPs) the Critical Elements of a safety oversight system relevant Industry Best Practices and procedures Safety oversight is a State’s responsibility 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

5 National System for Safety Oversight
An individual State’s responsibility for safety oversight is the foundation upon which safe global aircraft operations are built. Lack of appropriate safety oversight in one Contracting State, therefore, threatens the health of international civil aircraft operations. 27 March 2017 Briefing to CAA - Sri Lanka

6 Briefing to CAA - Sri Lanka
Definitions Standard : A Standard is defined as any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which is recognized as necessary for the safety or regularity of international air navigation and to which Contracting States shall conform in accordance with the Convention; in the event of impossibility of compliance, notification to the Council is compulsory under Article 38 of the Convention. 27 March 2017 Briefing to CAA - Sri Lanka

7 Briefing to CAA - Sri Lanka
Definitions Recommended Practice (RP) : A Recommended Practice is any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which is recognized as desirable in the interest of safety, regularity or efficiency of international air navigation, and to which Contracting States will endeavour to conform in accordance with the Convention. States are invited to inform the Council of non-compliance RP is a standard awaiting, based on States’ responses for voluntary compliance. 27 March 2017 Briefing to CAA - Sri Lanka

8 Briefing to CAA - Sri Lanka
Definitions Industry Best Practices : The phrase “best industry practices” in the ICAO context is synonymous with relevant safety-related practices in general use in the aviation industry as referred to in guidance material included in green page attachments to the Annexes and in ICAO manuals. 27 March 2017 Briefing to CAA - Sri Lanka

9 Eight Critical Elements in Safety Oversight
Legislation (CE-1) Operating Regulations (CE-2) Organization (CE-3) Personnel + Training (CE-4) Guidance Material (CE-5) Certification (CE-6) Surveillance (CE-7) Enforcement (CE-8) Industry Dealings State’s Legal Framework State’s Operational Framework State’s Administrative Framework PEL OPS AWS ANS AIG AGA 27 March 2017 Briefing to CAA - Sri Lanka

10 Briefing to CAA - Sri Lanka
Why an ICAO Programme? Various reports in the early 1990s on the lack of implementation by States of ICAO SARPs. Accidents indicating insufficient safety oversight by States. Increased concern over the level of aviation safety world-wide. Need to reduce accident rates to off-set the rapid increase in traffic. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit 7

11 Evolution of ICAO Audit Programme
Voluntary Assessment Programme ( ) -(29 /13 Assembly Resolution) Annex-by-Annex Approach (1,6 & 8) – with Results being Confidential 88 States, Requested – 67 were Assessed Mandatory Audit Programme ( ) –(32/11 Assembly Resolution) Annex-by-Annex Approach (1,6 & 8) with Results being Confidential 181 Audits & 162 Follow ups Comprehensive System Approach ( ) – (35/06 Assembly Resolution) All Annexes except Annex 9 & 17 with Results being Confidential DGCA Conference 1997 35th Assembly 2004 27 March 2017 Briefing to CAA - Sri Lanka

12 Evolution of ICAO Audit Programme
DGCA CONFERENCE 2006 Comprehensive System Approach All Annexes except Annex 9 & 17 with Greater Transparency Public Information Procedures for Significant Safety Concerns USOAP Beyond 2010 – (36/4 Assembly Resolution) Continuous Monitoring System 36th Assembly 2007 27 March 2017 Briefing to CAA - Sri Lanka

13 Objective of the Programme
The objective of USOAP is to promote global aviation safety through auditing Contracting States, on a regular basis, to determine States’ capability for safety oversight by assessing the effective implementation of the critical elements of a safety oversight system and the status of States’ implementation of safety-relevant ICAO Standards and Recommended Practices (SARPs), associated procedures, guidance material and safety-related practices. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

14 Briefing to CAA - Sri Lanka
USOAP principles Sovereignty Universality Transparency and disclosure Timeliness All-inclusiveness Systematic, consistent and objective As the rule or standard of conduct, USOAP has established eight principles for carrying out the programme. They are -- Fairness Quality 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

15 Briefing to CAA - Sri Lanka
USOAP principles Sovereignty Every State has complete and exclusive sovereignty over the airspace of its territory. Accordingly, ICAO fully respects a sovereign State’s responsibility and authority for safety oversight, including its decision-making powers with respect to implementing corrective actions related to audit findings. Then, what these principles mean? 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

16 Briefing to CAA - Sri Lanka
USOAP principles Universality All Contracting States shall be subject to a safety oversight audit by ICAO, in accordance with the principles, processes and procedures established for conducting such audits, and on the basis of the Memorandum of Understanding signed by ICAO and each Contracting State. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

17 USOAP principles Transparency and disclosure
USOAP audits shall be conducted under an auditing process which is fully transparent and open for examination by all concerned parties. There shall be full disclosure of audit final reports and the reports shall provide sufficient information for Contracting States to make informed determinations as to the safety oversight capability of other States. TRANSPARENCY DOES NOT NECESSARILY MEAN NON-CONFIDENTIALITY 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

18 Briefing to CAA - Sri Lanka
USOAP principles Timeliness Results of the audits will be produced and submitted on a timely basis, in accordance with a predetermined schedule for the preparation and submission of audit reports. Contracting States are equally required to submit their comments, action plan and all documentation required for the audit process within the prescribed time. In order words, everything needs to be done within the scheduled timeframe. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

19 Briefing to CAA - Sri Lanka
USOAP principles All-inclusiveness The scope of the ICAO Universal Safety Oversight Audit Programme under the Comprehensive Systems Approach includes the safety-related provisions contained in all safety–related Annexes, Procedures for Air Navigation Services (PANS), guidance material and related procedures and practices. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

20 Briefing to CAA - Sri Lanka
USOAP principles Systematic, consistent and objective  ICAO safety oversight audits will be conducted in a consistent and objective manner. Standardization and uniformity in the scope, depth and quality of audits will be assured through initial and refresher training of all auditors, the provision of guidance material, and the implementation of an audit quality control system within USOAP. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

21 Briefing to CAA - Sri Lanka
USOAP principles Fairness Audits are to be conducted in a manner such that Contracting States are given every opportunity to monitor, comment on, and respond to, the audit process, but to do so within the established time frame. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

22 Briefing to CAA - Sri Lanka
USOAP principles Quality  Safety oversight audits will be conducted by appropriately trained and qualified auditors and in accordance with widely recognized auditing principles and practices. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

23 Briefing to CAA - Sri Lanka
USOAP principles Sovereignty Universality Transparency and disclosure Timeliness All-inclusiveness Systematic, consistent and objective Fairness Quality 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

24 ISO certification of SOA
USOAP is managed and run, since 1999, by the ICAO Safety Oversight Audit (SOA) Section in the Air Navigation Bureau. SOA is certified under ISO standard ISO 9001:2000. It was initially certified in October 2002 and re-certified in September 2005. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

25 Briefing to CAA - Sri Lanka
Auditing principles Four of the most important ISO (ISO 19011) auditing principles have been selected for USOAP purposes. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

26 ISO 19011 auditing principles adopted by USOAP
Fair presentation The obligation to report truthfully and accurately Due professional care The application of diligence and judgement in auditing Independence The basis to audit with impartiality and objectivity Evidence-based approach Systematic audit process to reach reliable conclusions 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

27 Briefing to CAA - Sri Lanka
Auditing principles Fair presentation: the obligation to report truthfully and accurately Audit findings, audit conclusions and audit reports reflect truthfully and accurately the audit activities. Significant obstacles encountered during the audit and unresolved diverging opinions between the audit team and the auditee are reported. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

28 Briefing to CAA - Sri Lanka
Auditing principles Due professional care: the application of diligence and judgement in auditing Auditors exercise care in accordance with the importance of the task they perform and the confidence placed in them by audit clients and other interested parties. Having the necessary competence is an important factor. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

29 Briefing to CAA - Sri Lanka
Auditing principles Independence: the basis for the impartiality of the audit and objectivity Auditors are independent of the activity being audited and are free from bias and conflict of interest. Auditors maintain an objective state of mind throughout the audit process to ensure that the audit findings and conclusions will be based only on the audit evidence. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

30 Briefing to CAA - Sri Lanka
Auditing principles Evidence-based approach: the rational method for reaching reliable and reproducible audit conclusions in a systematic audit process   Audit evidence is verifiable. It is based on samples of the information available, since an audit is conducted during a finite period of time and with finite resources. The appropriate use of sampling is closely related to the confidence that can be placed in the audit conclusions. During the actual on-site audit, what you will hear frequently from the auditors is “Show me”, -- Show me the evidence. Not just talking or explaining. No evidence presented generates a finding. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

31 Comprehensive System Audit
Looks at States’ safety oversight systems from a process perspective. Provides a timely picture of the overall health of a State’s safety oversight system and its effectiveness. Focuses attention on critical safety areas. Allows for flexibility depending on the size and complexity of the aviation system established in a State. 27 March 2017 Briefing to CAA - Sri Lanka

32 AUDIT AREAS 27 March 2017 Briefing to CAA - Sri Lanka
Legislation & Regulations (LEG) (Chicago Convention) Organization & Safety Oversight Functions (ORG) (SAAQ) Personnel Licensing (PEL) (Annex -1) (Annex 6, 18 & PANS-OPS) Aircraft Operations (OPS) Airworthiness of aircraft (AWS) (Annex 7,8 & 16) (Annex 2,3,4,5,10,11,12,15 & PANS-ATM) Air Navigation System (ANS) Aerodromes (AGA) (Annex 14) Accident & Incident Investigation (AIG) (Annex 13) 27 March 2017 Briefing to CAA - Sri Lanka

33 Briefing to CAA - Sri Lanka
Main audit tools MoU Signed between ICAO & State State Aviation Activity Questionnaire (SAAQ); Compliance Checklists (CCs); Audit Protocols (use latest revised versions ); ICAO documentation and guidance material; and SPO / Team Leader checklists. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

34 CSA audits completed and scheduled
136 States have been audited under CSA by the end of 2008. The remaining Contracting States would be audited by the end of and 2010. South Asia Bangladesh – Audited in May 2009 Bhutan – Audited in April 2006 India – Audited in April 2006 Maldives – Audit Scheduled for April 2010 Nepal – Audited in May 2009 Pakistan – Audit Scheduled for February 2010 Sri Lanka – Scheduled for Dec. 2008, Oct 2009 and ? 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

35 Results of the DGCA Conference 2006
Greater transparency – audit information to be made public. Procedure to deal in a timely manner with Significant Safety Concerns identified during audits. Classification of audit findings under the critical elements. Consequential amendments to the MOU on safety oversight audits. The critical importance of safety oversight was highlighted at the Directors General of Civil Aviation Conference on a Global Strategy for Aviation Safety held at ICAO Headquarters in March 2006, when participants unanimously agreed to the posting of the audit results on the public website of ICAO. Such openness can encourage States to correct outstanding deficiencies more quickly and make it easier for donors to provide those in need with the required financial or human resources. Specifically, the 2006 DGCA Conference concluded to: 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

36 Release of audit information to the public
Information released to the public in the Flight Safety Information Exchange (FSIX) website. For audits conducted during the first audit cycle: States were requested to sign a release consent form authorizing ICAO to release either a summary of the audit report and a graph, or the entire report. 24 months for all States to provide consent to ICAO For audits under the comprehensive systems approach: Graph depicting implementation of the critical elements MOU amended to allow for the release to the public Consent form for States already audited. 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

37 Briefing to CAA - Sri Lanka
Level of Implementation of the Critical Elements of a Safety Oversight System CRITICAL ELEMENT 1 = Not implemented 10 = Fully implemented  = State’s level of implementation  = Global average 1 2 3 4 5 6 7 8 9 10 Primary aviation legislation Specific Operating Regulations State Civil Aviation System and Safety Oversight Functions Technical Personnel Qualification and Training A format was proposed to display information to the public in a very simple manner. This proposed format provides an easy to understand representation of the status of safety oversight in an audited State. The public would be able to access this information from the Flight Safety Information Exchange (FSIX) website. The website provides a simple and clear definition of each critical element. The chart displays all critical elements and a State’s level of implementation from 1 to 10: 1 being not implemented 10 being fully implemented. The public would also be able to see in a different colour the global average for each critical element. This average would fluctuate and be adjusted frequently to reflect the audits conducted under the new audit cycle. States will also be able to provide comments or updates on the progress achieved subsequent to an audit. Technical Guidance, Tools and the Provision of Safety-critical Information Licensing, Certification, Authorization and Approval Obligations Surveillance Obligations 27 March 2017 Resolution of Safety Concerns Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

38 Significant safety concerns
A Significant Safety Concern (SSC) occurs when the audited State allows the holder of an authorization or approval to exercise the privileges attached to it, although the minimum requirements established by the State or by the provisions set forth in the ICAO Annexes are not met, resulting in an immediate safety risk to international civil aviation. The DGCA Conference of 2006 asked for procedures to be developed to deal with SSCs identified during audits. Then, what is a SSC? 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

39 Procedure to deal with significant safety concerns
Preliminary Significant Safety Concerns (SSCs) are Described to the State during the audit closing meeting SSCs are confirmed and validated by SOA (48 to 72 hours. Maximum 15 days) Official notification of SSCs to the State, including timeframe for corrective action If State fails to respond, the SSC will be posted on the secure website and Council will be advised 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

40 Classification of audit findings under the critical elements
Audits are conducted using protocol questions Each protocol question is associated with one critical element A not-satisfactory answer to a protocol question generates an audit finding As you may appreciate, unlike the initial audit cycle, the current format of the audit report and its content created a challenge for ICAO to determine the information to be provided to the public in a simple yet accurate manner, so that the public can also make an informed decision about the safety of air transport. Then, how to resolve the problem? The solution was found by establishing a mechanism to classify audit findings using the current relationship between protocol questions, audit findings and critical elements. The audit finding identifies the protocol question(s) and the associated critical element(s) 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

41 CE in Protocols LEG 21 10 1 32 ORG 11 2 3 16 PEL 12 22 17 6 94 OPS 9
(Data given here needs to be updated with latest revision) Leg Reg Org Per + Tra Pro Cert Sur Enf CE 1 CE 2 CE 3 CE 4 CE 5 CE 6 CE 7 CE 8 Total LEG 21 10 1 32 ORG 11 2 3 16 PEL 12 22 17 6 94 OPS 9 20 70 5 140 AIR 50 14 48 8 13 200 AIG 15 45 100 ANS 55 42 38 27 213 AGA 41 23 29 176 175 122 84 170 229 87 971 Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

42 Briefing to CAA - Sri Lanka
Review Evolution and objective of USOAP USOAP principles and auditing principles Main audit tools Results of the DGCA 06 Conference 27 March 2017 Briefing to CAA - Sri Lanka Regional Seminar on the Preparation for an ICAO Safety Oversight Audit

43 Thank you and any Question ?
Regional Seminar on the Preparation for an ICAO Safety Oversight Audit


Download ppt "Preparation for the ICAO Safety Oversight Audit Management Perspective"

Similar presentations


Ads by Google