USOAP USOAP

Comprehensive Systems ApproachComprehensive Systems Approach

Module 3

By COSCAP-NA

Module 3 Introduction to USOAP 2

From an Annex-based to systems-

based audits

The Comprehensive Systems Approach

Tools used in the implementation of the

comprehensive systems approach

Contents

Module 3 Introduction to USOAP 4

An Annex by Annex-based approach was practiced from 1996 – start of the voluntary assessment to 2004 – end of first cycle of mandatory audits

Experience shows that it was successfully implemented and served the intended purpose: Raised State awareness of their safety oversight

responsibilities; Provided reliable information on the status of

implementation of ICAO SARPs; Enabled the identification of deficiencies in the

global safety of aviation activities in the three areas

An Annex by Annex-based approach

Module 3 Introduction to USOAP 5

Graphic presentation of the results of the first audit cycle

0

10

20

30

40

Primary AviationPrimary AviationLegislationLegislation

Specific OperatingSpecific OperatingRegulationsRegulations

Civil Aviation SystemCivil Aviation SystemAnd safety OversightAnd safety Oversight

FunctionsFunctions

Procedures andProcedures andTechnical GuidanceTechnical Guidance

Qualification and Qualification and Training of Training of

Technical StaffTechnical Staff

Licensing andLicensing andCertificationCertificationObligationsObligations

SurveillanceSurveillanceObligationsObligations

Resolution Resolution of of

Safety Safety IssuesIssues

Initial Audit - 181 Contracting States (32.62%) Audit Follow-up – 181 Contracting States (17.46%)

Module 3 Introduction to USOAP 6

The challenge represented: Aviation activities are interrelated. A

problem in one area affects the “overall” safety of the whole system;

Safe aircraft operation is not limited to licensing, operations and airworthiness;

State oversight capabilities with respect to other aviation activities have an equal impact on safety;

An Annex by Annex-based approach

Module 3 Introduction to USOAP 7

The challenge represented: Continuing on an Annex-by-Annex

approach would have been very lengthy and expensive;

It would also represent an administrative problem, replacing experts on a three-year or six year cycle;

Overall picture of the health of the aviation system would have been impossible to assess.

An Annex by Annex-based approach

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A systems approach: 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.

Comprehensive systems approach

Module 3 Introduction to USOAP 14

Comprehensive systems approach

Endorsed by Assembly Resolution A35-6 (2004) USOAP to be further expanded to

include the safety-related provisions in all safety-related Annexes;

USOAP to adopt a comprehensive systems approach in conducting safety oversight audits;

PEL, OPS, AIR, ATS, AGA and AIG to constitute the core elements (subjects) of the audit Programme.

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Comprehensive systems approach

Endorsed by Assembly Resolution A35-6 (2004) Audit reports to reflect the critical

elements of a safety oversight system;

Final audit reports to be made available to all Contracting States;

USOAP to continuously ensure the maintenance of the quality assurance system.

Module 3 Introduction to USOAP 21

Audit tools: Audit tools are used throughout the three

phases of the audit process starting with the initial planning stage to the publishing of the final audit report;

Audit tools developed include: SOA Quality Manual;

State Aviation Activities Questionnaire (SAAQ);

Compliance Checklist (CC); and

Audit Protocols

Comprehensive systems approach

Module 3 Introduction to USOAP 22

State Aviation Activities Questionnaire (SAAQ) Designed to enable ICAO to

collect useful information on the organization and system established by a State to meet its safety-related obligations as a signatory to the Convention on International Civil Aviation.

Comprehensive systems approach

Module 3 Introduction to USOAP 23

State Aviation Activities Questionnaire (SAAQ) Completed SAAQs to be submitted to

ICAO by 31 May 2005 (extended for some States on request);

States to update information contained in their respective SAAQ whenever there is a change in their civil aviation system;

An updated SAAQ to be submitted at least 90 days prior to the conduct of the on-site phase of the audit;

SAAQ questionnaire available at: http://www.icao.int/icaonet/

Comprehensive systems approach

Module 3 Introduction to USOAP 26

Compliance Checklist: A tool which will provide ICAO with

information on a State’s level of implementation of international Standards and Recommended Practices (SARPs);

A tool which will enable States to identify any difference which may exist between their own practices and those established by international standards (Article 38 of the Chicago Convention)

Comprehensive systems approach

Module 3 Introduction to USOAP 27

Compliance Checklist: States submitting a completed

compliance checklist will enable ICAO to maintain a database on a States level of compliance to the ICAO SARPs;

States are required to maintain the compliance checklist up-to-date and/or update the compliance checklist at least 90 days prior to the scheduled audit.

Comprehensive systems approach

Module 3 Introduction to USOAP 31

Audit Protocols (PQ): Developed by SOA with the assistance of

relevant ANB Sections; Used for the conduct of the on-site audit; Enables auditing against the critical

elements of a safety oversight system; Provides guidelines to the auditor on what

evidence should be reviewed; Could also be used by States to conduct

an internal audit (Doc 9735).

Comprehensive systems approach

Module 3 Introduction to USOAP 32

Audit Protocols (PQ): Use of standardized protocols as the

primary tool for the conduct of the on-site audit ensures transparency, consistency and standardization;

It enhances confidence and reliability in the conduct of audits;

Designed to reflect the core areas of the audit Programme.

Comprehensive systems approach

Module 3 Introduction to USOAP 33

Areas covered by the Audit Protocols: Primary Aviation legislation and civil aviation

regulations State aviation system and safety oversight

functions Personnel licensing system Operation of aircraft Airworthiness of aircraft Aircraft accident and incident investigations Air navigation services Aerodromes

Comprehensive systems approach

INTRODUCTION TO UINTRODUCTION TO USOASOAPP

Questions ?Questions ?

Module 3

By COSCAP-NA