ICAO Universal Safety Oversight Audit Programme

1. 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)

2. 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    

3. 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

4. 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)

5. 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

6. 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

7. 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

8. 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

9. CMA STRATEGIES Full CSA audits Specific CSA audits Safety audits Full ICVMs Specific ICVMs Other type of missions

10. 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

11. 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

12. 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

13. 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

14. 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.

15. 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

16. 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

17. 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)

18. ICAO Universal Safety Oversight Audit Programme Continuous Monitoring Approach (CMA) to USOAP & Regional Offices Roles and Responsibilities Henry Gourdji Chief Safety Oversight Audit Section