COSCAP SOUTH ASIA 18 th MEETING OF THE

COSCAP – SOUTH ASIA 18 th MEETING OF THE STEERING COMMITTEE MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH Agenda Item Programme Item Discussion Paper No: 04 18 DP-18 -SCM-09

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH � ICAO Universal Safety Oversight Audit Programme 2 (USOAP), launched in January 1999 � Reason being widespread concerns about the adequacy of aviation safety oversight around the world � Objective is to promote global aviation safety through the regular auditing of safety oversight systems in all ICAO Contracting States. � the USOAP audits focus on the State's capability for providing safety oversight by assessing whether the critical elements of a safety oversight system have been implemented effectively. � The audit determines the State's level of implementation of safety-relevant ICAO Standards and Recommended Practices (SARPs), associated 18 th Steering Committee - COSCAP - South procedures, guidance material and best practices. 3/5/2021 Asia

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH �Statistics highlight that effective implementation of 3 certain critical elements of a safety oversight system and other ICAO provisions is critical to aviation safety. �The mandatory programme entails some 40 safety oversight audits annually, with each ICAO member State required to host an audit at least once every six years. �The second cycle of USOAP audits commenced in January 2005 and will continue until December 2010. �Safety oversight audit reports and other safetyrelated information are available at the ICAO 18 th Steering Committee - COSCAP - South 3/5/2021 Asia. Flight Safety Information Exchange (FSIX)

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH 4 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH �In preparation for the audit the State shall 5 appoint a National Safety Oversight Coordinator (NSOC) �States shall complete the SAAQ and Compliance Checklists (CCs) for the 16 safety related ICAO Annexes. �The SAAQ and the CCs can be completed on line from the following website: www. icao. int/soa �There are three audit phases under comprehensive systems approach: Pre-audit 18 th Steering Committee - COSCAP - South 3/5/2021 Asia phase, On-site audit phase and Post audit

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH PRE AUDIT PHASE (12 months) 6 Letter to States advising of the audit schedule 12 months or more prior to Audit Date Audit notification letter sent to State 12 months prior to Audit Date Team leader assigned 9 months prior to Audit Date Signed MOU returned to ICAO minimum 6 months prior to Audit Date SOA review and analysis of documentation using SOA audit tools starting 12 months prior to Audit Date States update the SAAQ and CCs 3 months prior to Audit Date Specific audit protocols selected 3 months prior to Audit Date State advised on team composition and tentative work programme 2 months prior to Audit Date Audit Teams Briefing 1 day before Audit Date 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH AUDIT PHASE (5 - 10 Days) 7 Opening meeting with State authorities Audit Date Conduct on-site audit in line with agreed work programme Audit Period Daily team briefings and briefing with NSOC Audit Period Development and compilation of draft safety oversight audit report Audit Period Closing meeting with State authority Audit- end Date 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH POST AUDIT PHASE (up to 9 months) 8 State starts work on corrective action plan - SOA sends interim safety oversight audit report within 90 days from the Audit-end Date State submits corrective action plan and comments within 60 days of receiving interim safety oversight audit report SOA submits final safety oversight audit report to State within 60 days of receiving corrective action plan State comments on final safety oversight audit report (if any) within 30 days of receiving final safety oversight audit report Final safety oversight audit report published within 30 days of receiving State's comments 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH STATUS OF COSCAP MEMBER STATES -USOAP AUDIT (as per Information presented by ICAO at 45 th DGCA Member Audit Date Conference) SAAQ CC State Bangladesh 18 -27 May 2009 Submitted None Bhutan 24 -31 Oct 2006 Submitted less than half India 10 -20 Oct 2006 Submitted all Maldives April 2010 Submitted more than half Nepal 9 05 -14 May Not 18 th Steering Committee - COSCAP - South 2009 submitted Asia Pakistan Feb 2010 Submitted None 3/5/2021 Submitted all

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH 10 • COSCAP-SA has no direct access to ICAO Secured website on USOAP and therefore it is not in position to advise the States unless the States disclose their positions. • COSCAP-SA has no authority engage in Safety Oversight functions for or on behalf of States, unless such tasks are delegated to COSCAP-SA by the respective Member States. • COSCAP-SA presently provides only advisory services and assist the Member States to perform their safety oversight tasks, on request. NEVERTHELESS • COSCAP-SA considered the status of its majority member States, reported at the 45 th DGCA Conference was not satisfactory and decided to intervene. • With the consent of CAA, a team consisting all COSCAP-SA Technical Experts was mobilized to each Member States, to work with national staff and prepare for the ensuing Audits. 18 th Steering Committee - COSCAP - South • COSCAP-SA team would provide technical assistance to each 3/5/2021 Asia Member State for a period of 25 days each in two segments.

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH 11 STATES MAY TAKE NOTE OF • USOAP audit results are becoming popular and is used as a measure of State’s system of aviation safety. (FAA, EU etc, ) • The ICAO website now has more than 700 users, with monthly log-on rates averaging well over 3 000. • USOAP audit results are being used for Foreign Air Operator Certificate Validations and if USOAP audit reports contain Significant Safety Concerns (SSC), carriers of such States may be denied Foreign Air Operator Certificate Validations. • ICAO has the mandate now to publish all the Reports, unlike earlier • Development of remedial action plans will help 18 th Steering Committee - COSCAP - South 3/5/2021 Asia eliminating the deficiencies but will not alter the States’

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH STATES MAY TAKE NOTE OF • 7 Contracting States with Significant Safety Concerns (SSCs) are currently posted on the ICAO secure website. • 4 Contracting States implemented immediate corrective actions to address SSCs resolving safety concerns in the areas of registration of aircraft, issuance of air operator certificates and air navigation services. • 114 audits have been conducted by 31 st December 2008. • the global degree of implementation of the eight CEs was 59. 2 per cent. • The audit results are shared with all relevant ICAO Sections and Bureaux. • There are 70 approved auditors. 12 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH STATES MAY TAKE NOTE OF • ICAO has entered into agreement with EC for the exchange of information related to safety oversight, including access to the EC Safety Assessment of Foreign Aircraft (SAFA) database. 13 18 th Steering Committee - COSCAP - South Asia 3/5/2021

USOAP CSA AUDITS COMPLETED AS AT 31 DECEMBER 2008 14 18 th Steering Committee - COSCAP - South Asia 3/5/2021

DEGREE OF IMPLEMENTATION OF THE CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM (%) USOAP Global – 114 Audited States – CSA Audits 59. 2% 15 18 th Steering Committee - COSCAP - South Asia 3/5/2021

MEMBER STATE PREPARATIONS FOR IUSOAP AUDIT UNDER COMPREHENSIVE SYSTEM APPROACH RECOMMENDATIONS a. To make note of the actions taken by the Programme. b. To request the Member States to make optimum use of the technical assistance provided by the Programme to prepare for the ICAO Audit in order to face the Audits satisfactorily. c. To continue to assign the Programme’s highest priority to activities related to USOAP. d. To develop State’s audit remedial action plans, if needed, in close consultation with the Programme. e. To make use of the Programme’s technical experts to the extent possible, to augment the State’s capacity for safety oversight by entrusting such functions to the experts under appropriate delegation. f. To take appropriate and consistent measures to address deficiencies in technical staff by improving terms and conditions of employment 16 18 th Steering Committee - COSCAP - South Asia 3/5/2021