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International Civil Aviation Organization
Compliance Checklist/Electronic Filing of Differences (EFOD) System
Module 9
Seminar/Workshop on
USOAP Continuous Monitoring Approach (CMA) and
Safety Aviation and Safety Tools (SAST)
2 Seminar/Workshop on USOAP CMA and SAST (Module 9)
1. Filing of Differences Vs. Completion of
Compliance Checklist (CC)
2. Online Compliance Checklist and Electronic
Filing of Differences (EFOD) System
3. Transition (2011~2013)
4. Filing of Differences Task Force (FDTF)
Outline
4
Source of mandate
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Filing of Differences Article 38 of Chicago Convention for
filing of differences from Standards
Assembly Resolution 37-15 for
filing of differences from
Recommended Practices as well
5
Source of mandate
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Submission/update of Compliance Checklist Memorandum of Understanding (MoU) signed
between ICAO and a Member State regarding
USOAP CMA
Provide information on the
implementation of the specific
provisions of the relevant
Annexes
6
Forms in use for collecting information
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Notification of Differences Form Completion of CC
7
Scope of collected information
Filing of Differences
STANDARDS
RECOMMENDED PRACTICES
DEFINITIONS
Compliance Checklists
Provisions Provisions
Appendices
Attachments Attachments
Appendices
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Means of sharing information
8 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Differences through Supplements to Annexes
Compliance Checklist through USOAP Restricted Website
In Summary
9
Filing of Differences Completion of CC
Mandate Article 38 of the Convention
Assembly Resolution 37-15
MOUs signed between a Member State and
ICAO under USOAP
Indication of
level of
implementation
Standards (mandatory)
Recommended Practices (urged)
Standards (mandatory)
Recommended Practices (mandatory)
Information
Required
Difference category
Description of the difference
Reasons for difference and intentions
including any planned date for
implementation
Difference category
Description of the difference
Reasons for difference and intentions
including any planned date for
implementation
Reference to corresponding national
regulation
Information on Not Applicable SARPs
Sharing
Information
With the aviation community in the form of
Supplements to Annex (except
differences to provisions of Annex 17)
With all Member States through the
restricted website within the framework of
the USOAP audit programme
Seminar/Workshop on USOAP CMA and SAST (Module 9)
10 Seminar/Workshop on USOAP CMA and SAST (Module 9)
2. Online Compliance Checklist/Electronic Filing of Differences(EFOD) System
Duplicate tasks for States
11 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Send Notification Form to ICAO Update Compliance Checklist
Need for a single system/database
12 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Keep up-to-date compliance
checklist pursuant to MOU for
USOAP CMA
File differences pursuant to
Article 38 of Chicago
Convention
March 2011, Council agreed to use EFOD as an alternative means of filing of differences
Jan 2011, CC data from 153 States were migrated into the EFOD system
What the system should do…
13 Seminar/Workshop on USOAP CMA and SAST (Module 9)
NOT shared with other States
Conduct a
preliminary
data entry
Online/Offline
Submit/Update Compliance
Checklist Per Annex
Save
as a draft
Online
To be shared with other States
State to submit/update Compliance Checklist State to file differences
Choose Standards only
or All SARPs Per Annex
Submit official notification to
ICAO
To be used for Generation of Supplement
ICAO to monitor and share information on implementation of SARPs
Electronic Supplement
14 Seminar/Workshop on USOAP CMA and SAST (Module 9)
A dynamic and on-demand research tool on
differences from SARPs submitted through EFOD
that provides: - A list of States who have verified differences
- Completeness of data reporting for a selected State
- Differences per Annex for a selected State
- Differences of all States per a selected provision
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Procedures on the Use of EFOD
Considered and approved by
Council at its 195th Session To be Published by Secretary
General in 3rd Quarter 2012 Table of Contents
1. Introduction/Scope 2. Access to the System 3. Languages 4. Annex Information 5. Compliance/Differences
Information 6. System performance 7. References
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Seminar/Workshop on USOAP CMA and SAST (Module 9) 16
Principles used for procedures
Limited to the use of system
Subject to existing rules and procedures
Approved and maintained by Secretary General
Accommodate all required future functionalities of EFOD
Supplemented by Technical Implementation Plan
Seminar/Workshop on USOAP CMA and SAST (Module 9) 17
Strategies involved in allocation of resources for development and implementation of required functionalities of the EFOD system :
A list of required functionalities (Where we want to be)
Gap analysis between current and required functionalities
Timelines for releasing new functionalities
Matrix for measuring system performance
EFOD Technical Implementation Plan
19
Verification of data by States
In April 2011, States were requested to: (SL AN 1/1-11/28) Recognize EFOD as an alternative means of filing of
differences
Verify and confirm the data in EFOD which had previously been submitted through CC under USOAP.
• 86 States have been updating data in EFOD
• 38 States sent replies (29 States completed verification, 9 States
submitted plan for completion)
• App. 17,000 differences validated by States.
Seminar/Workshop on USOAP CMA and SAST (Module 9)
20
Improvement of the system
For Own State
(read/write)
~ 2011
Standard
Recommendation SARPs
Database
Differences to definitions
Differences to Standard
Difference to Recommendation
State compliance information
For Other
States’ (view/research)
2012~2013
For public (view/research)
2013
Figures & Tables
Appendices
Differences/Compliance
Database
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Upcoming features in 2012
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Preformatted word document - Downloadable and can be worked on offline and put
back into online system Validation feature - Support workflow of State’s internal coordination and
approval process for completion of compliance checklist and filing of differences
Electronic Supplements - Feature that users can search difference information
by Annex provision and/or by States
Seminar/Workshop on USOAP CMA and SAST (Module 9)
23 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Background
Convention Article 38 and Assembly Resolution
Annex 15
Not proper functioning of the two requirements regarding differences from ICAO provisions
According to USOAP report, more than 70% audited States were found
to be not satisfactory in fulfilling requirements of filing and publication of differences.
• Notification to
ICAO of ALL
differences from Annex
provisions
• Publication in the AIP of
SIGNIFICANT
differences from Annex,
PANS and SUPPs
provisions
24 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Membership • Established by the Secretary General
• Chaired by Mr. Luc Lapene from France
• Members from 14 States and 1 Int’l Organization from all Regions
• 2 ANC Members and Secretariat members from ANB, ATB, LEB Note): 1st meeting in 12~14 Oct. 2011 and 2nd meeting in May 2012
Deliverables • Draft policy on the use of EFOD – Completed
• Comprehensive Study on issues regarding filing of differences in general with a view to improving relevant rules and procedures and providing additional guidance to States – In Progress
Establishment of TF
25
Comprehensive Study on Issues regarding Filing of Differences
Seminar/Workshop on USOAP CMA and SAST (Module 9)
Being finalized by FDTF To be considered by Council at its
198th Session in 2013 Table of Contents
1. Executive summary 2. Introduction 3. ICAO’s past efforts 4. Current situation 5. Analysis of differences 6. Known issues 7. Importance and benefits of filing
and publication of differences 8. Future strategies and
recommendations
26
Known issues
Seminar/Workshop on USOAP CMA and SAST (Module 9)
States ICAO
Not at all or not properly file differences
Not publish significant
differences in AIPs
Misleading, inconsistent, insufficient guidance
Limited value of
Supplements
Frequent Annex Am’t
and unrealistic
applicability dates
Difficulty in comprehen
ding and interpreting
Annex provisions
Lack of knowledge
and expertise
Lack of effective national
process and procedures
Lack of States’
commitment
27 Seminar/Workshop on USOAP CMA and SAST (Module 9)
Recommendation
Improve and develop ICAO documents Improve SARPs development and amendment process Increase transparency of differences information
Enhance assistance programme in cooperation with
various entities
Introduce a quality control process wherein ICAO reviews differences and provides timely feedback
Improve the EFOD system to ease the work of States
28 Seminar/Workshop on USOAP CMA and SAST (Module 9)
1. Filing of Differences Vs. Completion of
Compliance Checklist (CC)
2. Online Compliance Checklist and Electronic
Filing of Differences (EFOD) System
3. Transition (2011~2013)
4. Filing of Differences Task Force (FDTF)
Review