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ICAO Universal Safety Oversight Audit Programme. TRAINRO/1-PPT/19 & 20. Continuous Monitoring Approach (CMA) to USOAP & Regional Offices Roles and Responsibilities. Henry Gourdji Chief Safety Oversight Audit Section. First Training Course of Regional Officers

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ICAO Universal Safety Oversight Audit Programme


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icao universal safety oversight audit programme

ICAO Universal Safety Oversight Audit Programme

TRAINRO/1-PPT/19 & 20

Continuous Monitoring Approach (CMA) to USOAP

&

Regional Offices Roles and Responsibilities

Henry Gourdji

Chief Safety Oversight Audit Section

First Training Course of Regional Officers

(FLS and ATM Regional Officers)

(Montreal, 16 – 27 November 2009)

background evolution of the usoap
Background – Evolution of the USOAP

Mandatory

Audit Programme

(USOAP)

A-32/11

1999 – 2004

181 Audits

162 Follow-ups

Annexes 1, 6, 8

Annex-by-Annex

Approach

35TH

A

S

S

E

M

B

L

Y

’04

Comprehensive

Systems

Approach

A-35/6

2005 +

Safety-related

Provisions in all

Safety-related

Annexes

(All except

9 and 17)

USOAP

beyond

2010

A-36/4

36TH

A

S

S

E

M

B

L

Y

’07

assembly resolution a36 4
To examine the feasibility, among the various options that could be considered, of a new approach based on the concept of continuous monitoring, to be implemented at the end of the current audit cycle in 2010 while continuing to maintain as core elements the key safety provisions contained in Annexes 1, 6, 8, 11, 13 and 14.

To make appropriate changes to USOAP to incorporate the analysis of safety risk factors, including the corresponding guidance material, and apply them on a universal basis, following the completion of the current audit cycle in 2010, to assess, on an ongoing basis, States’ compliance with their oversight obligations and adapt the audit planning and scope accordingly.

Assembly Resolution A36-4
slide4

Objective and Mission Of USOAP Beyond 2010

The future objective of the USOAP

  • Promote global aviation safety through continuously monitoring States’ safety oversight capabilities and measuring State safety performance levels at the appropriate time.
  • Enhance States’ safety oversight and safety management capabilities, by:
    • Identifying safety deficiencies;
    • Assessing associated safety risks;
    • Developing strategies for mitigation; and
    • Re-evaluating States’ safety performance levels achieved (at the appropriate time)
cma benefits
Transition from a one-time assessment activity to a continuous monitoring process

Provides for collective sharing of safety data.

Establishes monitoring of States safety oversight capability .

Provides for identification of safety risks.

Introduces recognition for States Safety Programmes – SSPs.

CMA Benefits
cma benefits6
Real time, interactive and effective operational system

( Web Supported).

Long term, cost effective, more flexible and sustainable approach.

Extendable to USAP (Annexes 9 and 17).

Application of CMA to the safety oversight process is consistent with the policy of the Organization to pursue a proactive approach to safety under the safety management concept.

CMA Benefits
cma cycle chart data input
CMA Cycle Chart – Data Input

External Stakeholders

IATA - IOSA

EC/EASA/

EUROCONTROL

FAA

SRVSOP

FSF, RASOS, PASOS,

and others

Internal Stakeholders

SSA - SOA/ASA

ANB – ISM/SSP

ARRB - ISD

ATB- Analysis support

TCB- COSCAPs/Field missions

Regional Offices

ADB- ICT, and others

State CMP

√ State – SAAQ

√ Compliance Checklists

√ Electronic filing of differences EFOD

√ CMP Protocols

√ SSP specific safety data

√ Safety Assurance Processes

DATA INPUT

DATA INPUT

Step 1.

Collect and Validate Safety Data

cma cycle chart data flow
CMA Cycle Chart – Data Flow

Continuous

Monitoring

Approach

Data Input

Step 1.

Collect and Validate Safety Data

Feedback

  • Step 2.
  • Analyse and Measure
  • State Safety Oversight Capability
  • Mandatory Information Request

Step 5.

Implement Strategies

  • Step 4.
  • Develop Strategies
    • ICVMs
    • Specific CSA Audits
    • Full CSA Audits
    • Safety Audits

* Other Level of Interventions

  • Step 3.
  • Identify and Prioritize Deficiencies
  • Findings and Recommendations
  • Significant Safety Concerns

* Technical, Operational or others

cma strategies
CMA STRATEGIES

Full CSA audits

Specific CSA audits

Safety audits

Full ICVMs

Specific ICVMs

Other type of missions

slide10

Roles and Responsibilities

Safety and Security Audits Branch - SSA

  • Responsible for the development, implementation and maintenance of the CMA
  • Conducts analysis and measurement of States’ safety oversight capability and identified safety risks
  • Manages the CMA plan of activities
  • Develops safety strategies and monitors their accomplishment
  • Provides periodic reports on States’ safety oversight capabilities
  • Facilitates enhanced coordination of support-related activities under relevant ICAO mechanisms ( SOA, ASA, ACR, ISD, ARRB
slide11

Roles and Responsibilities

Regional Offices

  • Perform safety data collection and validation activities and exchange of information with SSA. (online framework)
  • Participate in implementation of safety strategies
  • Ensure that corrective and mitigation actions are taken by States in their regions in a timely manner
  • Assess the impact of safety strategies on States’ safety oversight capability and at regional level
  • Participate in safety promotion activities
slide12

Roles and Responsibilities

Contracting States

  • Submit and regularly update CMA reporting documentation SAAQ, CCs, CMP Protocols, and other relevant safety information
  • Implement corrective and mitigation actions in a timely manner to address safety deficiencies
  • Participate actively in CMA process
slide13

Roles and Responsibilities

CMA Steering Committee (CMA-SC) (formally the Champion Group)

  • High level committee
  • Includes Directors of ICAO Bureaux and Regional Offices, C/SSA
  • Ensures that appropriate resources are allocated to achieve the established implementation of the CMA
  • Gives strategic direction to the SSA and the CMA-WG
slide14

Roles and Responsibilities

CMA Working Group (CMA-WG) provides for:

    • Initial development of CMA policy, procedures and CMA transition programme.

CMA Advisory Group (CMA-AG) provides for:

  • regular feedback to the WG in better understanding the needs and expectations of both internal and external partners regarding the output of the CMA. The membership of the CMA-AG includes but not limited to:
  • Internal members: representatives from ANC, ANB, ATB, PCI, and Regional Offices; and
  • External members: representatives from IATA, EASA, EC, FAA and from other Agencies and States, as required.
usoap beyond 2010 key milestones
USOAP Beyond 2010 – Key Milestones

Study Group established - July 2008

Governance and Objectives document - July 2008

Champion Group established - August 2008

Advisory Group established - September 2008

CMA Communication Portal established - September 2008

Final Draft study document circulated - Dec 2008

WP to ANC (181th) and Council (187th) – June 2009

key milestones
Council Decision to support the CMA as the best option forward for USOAP beyond 2010 (C-WP/13356 – C-DEC 187/8 refers) – June 2009

SSA continues to develop the methodology for CMA in coordination with ICAO Secretariat (ANB, Regional Offices), international organizations and Contracting States,

ICVM methodology drafted and first field test of ICVM completed

Draft Assembly Working Paper 189th Council Session,

Detailed information on the selected option would be provided to the High-Level Safety Conference scheduled in March 2010,

Promotion/awareness of option selected at various conferences/seminars and regional meetings.

Key Milestones
key milestones17
Key Milestones

Development of ICAO Coordinated Validation Missions (ICVMs) including the guidance and tools and CBT training

Development of a Web-based monitoring software including safety data collection and sharing capability with associated procedures and guidance material (March 09 to Dec 10)

icao universal safety oversight audit programme18

ICAO Universal Safety Oversight Audit Programme

Continuous Monitoring Approach (CMA) to USOAP

&

Regional Offices Roles and Responsibilities

Henry Gourdji

Chief Safety Oversight Audit Section