coscap-south asia preparation for the icao safety oversight audit management perspective module 1...

COSCAP-South Asia

Preparation for the ICAO Safety Oversight AuditManagement Perspective

Module 1

Briefing to Member States Sri Lanka

2

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).

April 10, 2023 Briefing to CAA - Sri Lanka

April 10, 2023 3

Outline

Evolution and objective of USOAP

USOAP principles and auditing principles

Main audit tools

Results of the DGCA 06 Conference

Briefing to CAA - Sri Lanka

April 10, 2023 4

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

systemrelevant Industry Best Practices and

procedures

What is safety oversight ?

Safety oversight is a State’s responsibilitySafety oversight is a State’s responsibility


April 10, 2023 Briefing to CAA - Sri Lanka 5

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.

National System for Safety Oversight

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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.

Why an ICAO Programme?


Evolution of ICAO Audit Programme


DGCA Conference 1997DGCA Conference 1997

35th Assembly 200435th Assembly 2004

Evolution of ICAO Audit Programme


36th Assembly 200736th Assembly 2007

DGCA CONFERENCE 2006DGCA CONFERENCE 2006

April 10, 2023 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.


April 10, 2023 14

USOAP principles

Sovereignty

Universality

Transparency and disclosure

Timeliness

Fairness

All-inclusiveness

Quality

Systematic, consistent and objective


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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.


April 10, 2023 16

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.


April 10, 2023 17

USOAP principles

Transparency and disclosureUSOAP 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 MEANTRANSPARENCY DOES NOT NECESSARILY MEANNON-CONFIDENTIALITYNON-CONFIDENTIALITY


April 10, 2023 18

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.


April 10, 2023 19

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.


April 10, 2023 20

USOAP principles


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.


April 10, 2023 21

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.


April 10, 2023 22

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.


April 10, 2023 23

USOAP principles

Sovereignty

Universality

Transparency and disclosure

Timeliness

Fairness

All-inclusiveness

Quality



April 10, 2023 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.


April 10, 2023 25

Auditing principles

Four of the most important ISO (ISO 19011) auditing principles have been selected for USOAP purposes.


April 10, 2023 26

ISO 19011 auditing principles adopted by USOAP

Evidence-based approachSystematic audit process to reach reliable conclusions

Evidence-based approachSystematic audit process to reach reliable conclusions

Due professional careThe application of diligence and judgement in auditing

Due professional careThe application of diligence and judgement in auditing

IndependenceThe basis to audit with impartiality and objectivity

IndependenceThe basis to audit with impartiality and objectivity

Fair presentationThe obligation to report truthfully and accurately

Fair presentationThe obligation to report truthfully and accurately


April 10, 2023 27

Fair presentation:Fair presentation:

the obligation to report truthfully and accuratelythe 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.

Auditing principles


April 10, 2023 28

Due professional care:Due professional care:

the application of diligence and judgement in auditingthe 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.

Auditing principles


April 10, 2023 29

IndependenceIndependence::

the basis for the impartiality of the audit and the basis for the impartiality of the audit and objectivityobjectivity

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.

Auditing principles


April 10, 2023 30

Evidence-based approach:Evidence-based approach:

the rational method for reaching reliable and reproducible the rational method for reaching reliable and reproducible audit conclusions in a systematic audit processaudit 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.

Auditing principles


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.

AUDIT AREAS


April 10, 2023 33

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.


April 10, 2023 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 2009 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 ?


April 10, 2023 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.


April 10, 2023 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.


Resolution of Safety Concerns

Surveillance Obligations

Licensing, Certification, Authorization and Approval Obligations

Technical Guidance, Tools and the Provision of Safety-critical Information

Technical Personnel Qualification and Training

State Civil Aviation System and Safety Oversight Functions

Specific Operating Regulations

Primary aviation legislation

10987654321

= Global average

= State’s level of implementation

10 = Fully implemented

1 = Not implemented

CRITICAL ELEMENT

Level of Implementation of the Critical Elements of a Safety Oversight System

April 10, 2023 37Briefing to CAA - Sri Lanka

April 10, 2023 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.


April 10, 2023 39

Procedure to deal with significant safety concerns

Preliminary Significant Safety Concerns (SSCs) areDescribed to the State during the audit closing meeting

Preliminary Significant Safety Concerns (SSCs) areDescribed to the State during the audit closing meeting

SSCs are confirmed and validated by SOA(48 to 72 hours. Maximum 15 days)

SSCs are confirmed and validated by SOA(48 to 72 hours. Maximum 15 days)

If State fails to respond, the SSC will be posted onthe secure website and Council will be advised

If State fails to respond, the SSC will be posted onthe secure website and Council will be advised

Official notification of SSCs to the State,including timeframe for corrective action

Official notification of SSCs to the State,including timeframe for corrective action


April 10, 2023 40

Classification of audit findings under the critical elements

Audits are conducted using protocol questionsAudits are conducted using protocol questions

Each protocol question is associated withone critical element

Each protocol question is associated withone critical element

The audit finding identifies the protocol question(s)and the associated critical element(s)

The audit finding identifies the protocol question(s)and the associated critical element(s)

A not-satisfactory answer to a protocol questiongenerates an audit finding

A not-satisfactory answer to a protocol questiongenerates an audit finding


April 10, 2023 42

Review

Evolution and objective of USOAP

USOAP principles and auditing principles

Main audit tools

Results of the DGCA 06 Conference


Thank you

and

any Question ?

coscap-south asia preparation for the icao safety oversight audit management perspective module 1...

Documents

safety oversight slide

insufficient safety

caa sri lanka slide

safety related practices

caa sri lanka7 slide

caa sri lanka6 slide

caa sri lanka8 slide

states responsibility