COSCAP-South Asia

SUGGESTIONS TO CAA – SRI LANKA

Preparation for the ICAO Safety Oversight AuditManagement Perspective

Module 3

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This module is to provide the participants with some suggestions from an auditor’s 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

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

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Suggestion to CAA – Sri LankaRecommended Action Remarks

1 Establish a High Level Audit Steering Committee (ASC) of all involved

Include Senior Representative fromLine MinistryAttorney GeneralMet DepartmentFor Rescue OperationsAirport OperatorsAirline OperatorsProfessional Associations

2 Conduct regular Progress Review meetings of ASC

At least meet fortnightly Set goals and targets at each meetingMaintain minutes and review progress objectively

3 Assign Highest Priority to USOAP audit matters

Revise AWP and adjust priorityAllocate more resources for audit related mattersDefer less important mattersAllocate at least four hours per day for USOAP work

4 Appoint Audit Teams Appoint a team for each Audit area (8)Appoint a team for each Critical Area (8)

404/10/23 Technical Assistance to CAA - Sri Lanka

Suggestion to CAA – Sri Lanka

Recommended Action Remarks

4 Appoint Audit Teams ...... Appoint Team Leaders for Audit AreasAppoint Alternate Team Leaders Identify alternate NSOCMeet each Team separately and explain their taskCE Teams shall integrate the CAA’s work

5 Provide the Audit Teams with necessary documents

Constitution of Sri LankaAir Navigation Act Regulations / ASNsChicago ConventionUSOAP ManualsRelevant Annexes and other ManualsCAA Guidance Material / Policies / ProceduresPrevious Audit Reports (1997,2000, 2004)Audit Reports of Member States (India, Bangladesh, Nepal etc)Provide internet access

504/10/23 Technical Assistance to CAA - Sri Lanka

Suggestion to CAA – Sri Lanka

Recommended Action

Remarks

6 Get Teams on Work

CE Teams/Audit Area Team to meet the NSOC/ASOC every weekReview the present status notified to ICAO Review Compliance Checklists through 8 CEsReview Audit Protocols and identify State’s positionReview CE Summary TemplatesReview & compare Audit Reports of Neighbouring States Report deficiencies or non-compliance with corrective action plansCollect evidence and file them with ease of referenceAgree with the management for the answersTrain the Spokesman and alternate spokesmanNSOC/ANSOC to have a mock up audit in each area

7 Arrange evidence Give Priority to time consuming matters (surveillance tasks)Certification /Approval recordsPlanned Inspection ScheduleImplemented Inspection ScheduleEnforcement Actions

604/10/23 Technical Assistance to CAA - Sri Lanka

Suggestion to CAA – Sri Lanka

Recommended Action Remarks

8 Access to Documents /Publications

Improve the CAA official websiteUpload the official versions of all legislative, regulatory and organizational material, as necessaryUpdate the Library documentsUpdate the personal copy of all technical documents Establish a centralised system of informing the staff of current documents

9 Introduce an attractive Staff Rewarding /Incentive scheme

For each Member involved in the Audit, based onAbsence of audit findings in the respective areaTime spent Commitment / Contribution / involvement /cooperation

10 Plan for the Actual Audit Agree with ICAO for datesPrepare necessary document for the opening meetingArrange logisticsOrganise field visits (Inform operators well in advance)

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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

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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

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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

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China Opening Meeting

Technical Assistance to CAA - Sri Lanka

Additional Information

Presentation by George Washington University

Thank you!

COSCAP-South East Asia