SC5/DP3

COSCAP-NA 5th Steering Committee meeting

UPDATE ON ICAO USOAP PROGRAMME

Discussion Paper

1. Introduction

1.1 This discussion paper addresses the current and forthcoming activities of the Universal Safety Oversight Audit Programme (USOAP) and presents the concept for the Comprehensive Systems Approach for USOAP.

2. Background

2.1 The 35thSession of the ICAO Assembly considered the proposal of the Council for the continuation and expansion of the ICAO Universal Safety Oversight Audit Programme as of 2005, and resolved (Assembly ResolutionA35-06 refers) that the Programme be expanded to cover all safety-related Annexes and also to transition to a comprehensive systems approach for the conduct of safety oversight audits.

2.2 This paper addresses the latest activities of USOAP, including the conduct of audits using the Comprehensive Systems Approach. The comprehensive systems approach for conducting of safety oversight audits consists of two phases.

2.3 In the first phase, the implementation of Annex provisions and the identification of differences will be determined through the review of a duly completed State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs) for all safety-related Annexes, and through the review of documents developed by a State to assist it in its implementation of the Standards and Recommended Practices (SARPs), as well as in maintaining an effective safety oversight system.

2.4 In the second phase, the State being audited will be visited by an ICAO audit team, who will validate the information provided by the State and also conduct an on-site audit of the State's overall capability for safety oversight. This includes an audit of the organization, processes, procedures and programmes established and maintained by the State to help fulfill its safety oversight obligations. The duration and periodicity of the visits, as well as the size of the audit teams, is determined through a review of the information contained in documents provided by the State, including the completed State Aviation Activity Questionnaire and the Compliance Checklist.

2.5 The audit will be concluded with the release of the Final Safety Oversight Audit Report that includes the audit findings, recommendations, State's action plan and comments, as well as the comments of the Safety Oversight Audit Section on the State's action plan.

3. Discussion

3.1 The new cycle of audits using the Comprehensive Systems Approach, where the emphasis will be on the eight critical elements of the safety oversight system: Primary Legislation, Operating Regulations, Aviation System for Oversight, Qualified Personnel and Training, Technical Guidance, Licensing Certification Approval, Surveillance Obligations and Resolution of Safety Concerns, will be started in 2005, with the first audit conducted on Canada in April 2005. COSCAP-NA Member States have not been scheduled to be audited in 2005/2006, but two may be selected to be audited in 2007.

3.2 Great emphasis is placed on the accurate and thorough completion of the State Aviation Activity Questionnaire (SAAQ) and the Compliance Check List (CC) for each Annex being audited. All States have been requested to complete these documents and forward them to the ICAO Safety Oversight Audit Section before 31 May 2005. Based on the review of the submitted SAAQ and CC forms, a detailed plan for the audits can be formed.

3.3 The challenge faced by ICAO is to firmly establish and maintain an effective and efficient safety oversight audit programme, while keeping the overall operating expenses at an acceptable level. In order to reach these goals with this new approach, it is important to have the pre-audit documents completed accurately with sufficient supporting evidence, so that much of the document review can be conducted at ICAO Headquarters well in advance of the on-site visit to the State.

3.4 All Contracting States are to be visited at least once in any six-year period, with follow-up visits conducted on a need basis only. Average duration of each audit is expected to be eight working days. Minimum audit team composition is: Operations Expert (1), Airworthiness Expert (1), Aerodrome Expert (1) and Air Navigation Services Expert (1). Typically it is expected that ANS will require two experts for each audit.

3.5 The ICAO Safety Oversight Audit Section conducted a USOAP auditor training course in June 2005 at the ICAO APAC Regional Office. Mr. Nie Junjian, COSCAP Airworthiness Inspector, completed the programme and will be utilized to conduct audits on behalf of the USOAP. He will be available to assist Member States in preparations for USOAP Audits.

3.6  Based on the initial audits of Member States, the USOAP Protocols will be amended slightly, but the changes will not be substantive.

3.7  CTA and AWE have commenced work in two Member States to date to assist preparations for the USOAP audits.

3.8  COSCAP-NA has organized a Search and Rescue Workshop in Bangkok, Thailand during the period of 6-8 December 2005, directly related to USOAP preparations.

4. Recommendations

4.1 COSCAP-NA programme to continue to provide regular updates to Member States on developments concerning the ICAO USOAP programme.

4.2 COSCAP-NA, in consultation with Member States, to organize workshops on specific safety oversight functional areas related to USOAP expansion.

4.3 ICAO is requested to provide support for the workshops outlined in 4.2 to the greatest extent possible.

4.4 COSCAP-NA to continue to provide support to Member States preparations for USOAP audits by conducting pre-audits as requested by Member States.

4.5 If required and subject to availability of resources, COSCAP-NA to engage short term experts in the areas of USOAP expansion.

1 November 2005 3