COSCAP-South Asia Preparation for the ICAO Safety Oversight Audit Management Perspective Module 1...
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Transcript of 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
Briefing to CAA - Sri Lanka
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
April 10, 2023 10
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?
Briefing to CAA - Sri Lanka
Evolution of ICAO Audit Programme
April 10, 2023 Briefing to CAA - Sri Lanka 11
DGCA Conference 1997DGCA Conference 1997
35th Assembly 200435th Assembly 2004
Evolution of ICAO Audit Programme
April 10, 2023 Briefing to CAA - Sri Lanka 12
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.
Briefing to CAA - Sri Lanka
April 10, 2023 14
USOAP principles
Sovereignty
Universality
Transparency and disclosure
Timeliness
Fairness
All-inclusiveness
Quality
Systematic, consistent and objective
Briefing to CAA - Sri Lanka
April 10, 2023 15
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
April 10, 2023 20
USOAP principles
Systematic, consistent and objective
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
April 10, 2023 23
USOAP principles
Sovereignty
Universality
Transparency and disclosure
Timeliness
Fairness
All-inclusiveness
Quality
Systematic, consistent and objective
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
April 10, 2023 25
Auditing principles
Four of the most important ISO (ISO 19011) auditing principles have been selected for USOAP purposes.
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
Comprehensive System Audit
April 10, 2023 Briefing to CAA - Sri Lanka 31
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 Briefing to CAA - Sri Lanka 32
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.
Briefing to CAA - Sri Lanka
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 ?
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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.
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
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
Briefing to CAA - Sri Lanka
April 10, 2023 42
Review
Evolution and objective of USOAP
USOAP principles and auditing principles
Main audit tools
Results of the DGCA 06 Conference
Briefing to CAA - Sri Lanka
Thank you
and
any Question ?