1. COSCAP-South Asia SUGGESTIONS TO CAA – SRI LANKA Preparation for the ICAO Safety Oversight Audit Management Perspective Module 3

2. 2/11/20142 This module is to provide the participants with some suggestions from an auditors perspective as to how to prepare for the safety oversight audit under the comprehensive system approach, and how to prepare for the auditors visit to the regional offices and the industry. Module objective Technical Assistance to CAA - Sri Lanka

3. Where CAA-SL Stands Preparatory Process initiated In September 2005 with the subject being included in the agenda item of DPIG meeting Directors / Deputy Directors were requested to complete the CCs and report back Some Sections complied with instructions by Dec 2006 CAA-SL assigned the highest priority for Mihin Lanka certification in 2006 Dec Subsequent actions ??? ICAO Records on Sri Lanka ICAO Records 2/11/2014Technical Assistance to CAA - Sri Lanka3

4. Suggestion to CAA – Sri Lanka Recommended ActionRemarks 1Establish a High Level Audit Steering Committee (ASC) of all involved Include Senior Representative from Line Ministry Attorney General Met Department For Rescue Operations Airport Operators Airline Operators Professional Associations 2Conduct regular Progress Review meetings of ASC At least meet fortnightly Set goals and targets at each meeting Maintain minutes and review progress objectively 3Assign Highest Priority to USOAP audit matters Revise AWP and adjust priority Allocate more resources for audit related matters Defer less important matters Allocate at least four hours per day for USOAP work 4Appoint Audit TeamsAppoint a team for each Audit area (8)Audit area Appoint a team for each Critical Area (8)Critical Area 42/11/2014Technical Assistance to CAA - Sri Lanka

5. Suggestion to CAA – Sri Lanka Recommended ActionRemarks 4Appoint Audit Teams......Appoint Team Leaders for Audit Areas Appoint Alternate Team Leaders Identify alternate NSOC Meet each Team separately and explain their task CE Teams shall integrate the CAAs work 5Provide the Audit Teams with necessary documents Constitution of Sri Lanka Air Navigation Act Regulations / ASNs Chicago Convention USOAP Manuals Relevant Annexes and other Manuals CAA Guidance Material / Policies / Procedures Previous Audit Reports (1997,2000, 2004) Audit Reports of Member States (India, Bangladesh, Nepal etc) Provide internet access 52/11/2014Technical Assistance to CAA - Sri Lanka

6. Suggestion to CAA – Sri Lanka Recommended Action Remarks 6Get Teams on Work CE Teams/Audit Area Team to meet the NSOC/ASOC every week Review the present status notified to ICAOpresent status Review Compliance Checklists through 8 CEsthrough 8 CEs Review Audit Protocols and identify States position Review CE Summary TemplatesCE Summary Templates Review & compare Audit Reports of Neighbouring States Report deficiencies or non-compliance with corrective action plans Collect evidence and file them with ease of reference Agree with the management for the answers Train the Spokesman and alternate spokesman NSOC/ANSOC to have a mock up audit in each area 7Arrange evidenceGive Priority to time consuming matters (surveillance tasks)surveillance tasks Certification /Approval records Planned Inspection Schedule Implemented Inspection Schedule Enforcement Actions 62/11/2014Technical Assistance to CAA - Sri Lanka

7. Suggestion to CAA – Sri Lanka Recommended ActionRemarks 8Access to Documents /Publications Improve the CAA official website Upload the official versions of all legislative, regulatory and organizational material, as necessary Update the Library documents Update the personal copy of all technical documents Establish a centralised system of informing the staff of current documents 9Introduce an attractive Staff Rewarding /Incentive scheme For each Member involved in the Audit, based on Absence of audit findings in the respective area Time spent Commitment / Contribution / involvement /cooperation 10Plan for the Actual AuditAgree with ICAO for dates Prepare necessary document for the opening meeting Arrange logistics Organise field visits (Inform operators well in advance) 72/11/2014Technical Assistance to CAA - Sri Lanka

8. 2/11/20148 Sufficient Preparation Show me; show me; show me Audit must verify implementation so there must be evidence Suggestions for Audit Preparation Technical Assistance to CAA - Sri Lanka

9. 2/11/20149 Sufficient Preparation (cont.) Address apparent regulatory or organizational protocol issues as much as practical with the time remaining before the actual audit; Establish communication plan between the State Coordinator and the ICAO audit team and different specialty areas of the Authorities to be audited. Suggestions to Audit Preparations Technical Assistance to CAA - Sri Lanka

10. 2/11/201410 Opening Meeting Provide detailed presentation on State organization and legislation; In addition to CAA leaders and staff ensure that all organizations are represented (SAR, MET, AIB, etc.) Establish communication plan between the State Coordinator and the ICAO audit team and different specialty areas of the Authorities to be audited. Suggestions to Audit Preparations Technical Assistance to CAA - Sri Lanka

11. 2/11/201411 China Opening Meeting Technical Assistance to CAA - Sri Lanka

12. Additional Information Presentation by George Washington UniversityGeorge Washington University

13. Thank you! COSCAP-South East Asia

14. SURVEILLANCE TASKS Order of Importance of Surveillance Tasks INSPECTIONS Performed against predefined requirements On line activity Promotes safety of live operations Most effective for ensuring compliance Lead to enforcement actions, if necessary SURVEYS Performed to identify what is going on and not against predefined requirements Enforcement actions are not envisaged Help indentify the problem definition AUDITS Post-mortem Help prevent deviation from established requirements/ procedures Lead to enforcement actions but little contribution to promote safety of live operations 2/11/2014Technical Assistance to CAA - Sri Lanka14