usoap comprehensive systems approach
DESCRIPTION
By COSCAP-NA. USOAP Comprehensive Systems Approach. Module 3. Contents. From an Annex-based to systems-based audits The Comprehensive Systems Approach Tools used in the implementation of the comprehensive systems approach. An Annex by Annex-based approach. - PowerPoint PPT PresentationTRANSCRIPT
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
Module 3 Introduction to USOAP 10
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.
Module 3 Introduction to USOAP 15
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