Seminar/Workshop on USOAP Continuous Monitoring … Meetings Seminars and Workshop… · Seminar/Workshop on USOAP Continuous Monitoring Approach ... According to USOAP report,

International Civil Aviation Organization

Compliance Checklist/Electronic Filing of Differences (EFOD) System

Module 9

Seminar/Workshop on

USOAP Continuous Monitoring Approach (CMA) and

Safety Aviation and Safety Tools (SAST)

2 Seminar/Workshop on USOAP CMA and SAST (Module 9)

1. Filing of Differences Vs. Completion of

Compliance Checklist (CC)

2. Online Compliance Checklist and Electronic

Filing of Differences (EFOD) System

3. Transition (2011~2013)

4. Filing of Differences Task Force (FDTF)

Outline


1. Filing of Differences

Vs.

Completion of CCs

4

Source of mandate

Seminar/Workshop on USOAP CMA and SAST (Module 9)

Filing of Differences Article 38 of Chicago Convention for

filing of differences from Standards

Assembly Resolution 37-15 for

filing of differences from

Recommended Practices as well

5

Source of mandate


Submission/update of Compliance Checklist Memorandum of Understanding (MoU) signed

between ICAO and a Member State regarding

USOAP CMA

Provide information on the

implementation of the specific

provisions of the relevant

Annexes

6

Forms in use for collecting information


Notification of Differences Form Completion of CC

7

Scope of collected information

Filing of Differences

STANDARDS

RECOMMENDED PRACTICES

DEFINITIONS

Compliance Checklists

Provisions Provisions

Appendices

Attachments Attachments

Appendices


Means of sharing information


Differences through Supplements to Annexes

Compliance Checklist through USOAP Restricted Website

In Summary

9

Filing of Differences Completion of CC

Mandate Article 38 of the Convention

Assembly Resolution 37-15

MOUs signed between a Member State and

ICAO under USOAP

Indication of

level of

implementation

Standards (mandatory)

Recommended Practices (urged)

Standards (mandatory)

Recommended Practices (mandatory)

Information

Required

Difference category

Description of the difference

Reasons for difference and intentions

including any planned date for

implementation

Difference category

Description of the difference

Reasons for difference and intentions

including any planned date for

implementation

Reference to corresponding national

regulation

Information on Not Applicable SARPs

Sharing

Information

With the aviation community in the form of

Supplements to Annex (except

differences to provisions of Annex 17)

With all Member States through the

restricted website within the framework of

the USOAP audit programme



2. Online Compliance Checklist/Electronic Filing of Differences(EFOD) System

Duplicate tasks for States


Send Notification Form to ICAO Update Compliance Checklist

Need for a single system/database


Keep up-to-date compliance

checklist pursuant to MOU for

USOAP CMA

File differences pursuant to

Article 38 of Chicago

Convention

March 2011, Council agreed to use EFOD as an alternative means of filing of differences

Jan 2011, CC data from 153 States were migrated into the EFOD system

What the system should do…


NOT shared with other States

Conduct a

preliminary

data entry

Online/Offline

Submit/Update Compliance

Checklist Per Annex

Save

as a draft

Online

To be shared with other States

State to submit/update Compliance Checklist State to file differences

Choose Standards only

or All SARPs Per Annex

Submit official notification to

ICAO

To be used for Generation of Supplement

ICAO to monitor and share information on implementation of SARPs

Electronic Supplement


A dynamic and on-demand research tool on

differences from SARPs submitted through EFOD

that provides: - A list of States who have verified differences

- Completeness of data reporting for a selected State

- Differences per Annex for a selected State

- Differences of all States per a selected provision

15

Procedures on the Use of EFOD

Considered and approved by

Council at its 195th Session To be Published by Secretary

General in 3rd Quarter 2012 Table of Contents

1. Introduction/Scope 2. Access to the System 3. Languages 4. Annex Information 5. Compliance/Differences

Information 6. System performance 7. References


Seminar/Workshop on USOAP CMA and SAST (Module 9) 16

Principles used for procedures

Limited to the use of system

Subject to existing rules and procedures

Approved and maintained by Secretary General

Accommodate all required future functionalities of EFOD

Supplemented by Technical Implementation Plan


Strategies involved in allocation of resources for development and implementation of required functionalities of the EFOD system :

A list of required functionalities (Where we want to be)

Gap analysis between current and required functionalities

Timelines for releasing new functionalities

Matrix for measuring system performance

EFOD Technical Implementation Plan


Transition (2011~2013)

19

Verification of data by States

In April 2011, States were requested to: (SL AN 1/1-11/28) Recognize EFOD as an alternative means of filing of

differences

Verify and confirm the data in EFOD which had previously been submitted through CC under USOAP.

• 86 States have been updating data in EFOD

• 38 States sent replies (29 States completed verification, 9 States

submitted plan for completion)

• App. 17,000 differences validated by States.


20

Improvement of the system

For Own State

(read/write)

~ 2011

Standard

Recommendation SARPs

Database

Differences to definitions

Differences to Standard

Difference to Recommendation

State compliance information

For Other

States’ (view/research)

2012~2013

For public (view/research)

2013

Figures & Tables

Appendices

Differences/Compliance

Database


Upcoming features in 2012

21

Preformatted word document - Downloadable and can be worked on offline and put

back into online system Validation feature - Support workflow of State’s internal coordination and

approval process for completion of compliance checklist and filing of differences

Electronic Supplements - Feature that users can search difference information

by Annex provision and/or by States



Filing of Differences Task Force

(FDTF)


Background

Convention Article 38 and Assembly Resolution

Annex 15

Not proper functioning of the two requirements regarding differences from ICAO provisions

According to USOAP report, more than 70% audited States were found

to be not satisfactory in fulfilling requirements of filing and publication of differences.

• Notification to

ICAO of ALL

differences from Annex

provisions

• Publication in the AIP of

SIGNIFICANT

differences from Annex,

PANS and SUPPs

provisions


Membership • Established by the Secretary General

• Chaired by Mr. Luc Lapene from France

• Members from 14 States and 1 Int’l Organization from all Regions

• 2 ANC Members and Secretariat members from ANB, ATB, LEB Note): 1st meeting in 12~14 Oct. 2011 and 2nd meeting in May 2012

Deliverables • Draft policy on the use of EFOD – Completed

• Comprehensive Study on issues regarding filing of differences in general with a view to improving relevant rules and procedures and providing additional guidance to States – In Progress

Establishment of TF

25

Comprehensive Study on Issues regarding Filing of Differences


Being finalized by FDTF To be considered by Council at its

198th Session in 2013 Table of Contents

1. Executive summary 2. Introduction 3. ICAO’s past efforts 4. Current situation 5. Analysis of differences 6. Known issues 7. Importance and benefits of filing

and publication of differences 8. Future strategies and

recommendations

26

Known issues


States ICAO

Not at all or not properly file differences

Not publish significant

differences in AIPs

Misleading, inconsistent, insufficient guidance

Limited value of

Supplements

Frequent Annex Am’t

and unrealistic

applicability dates

Difficulty in comprehen

ding and interpreting

Annex provisions

Lack of knowledge

and expertise

Lack of effective national

process and procedures

Lack of States’

commitment


Recommendation

Improve and develop ICAO documents Improve SARPs development and amendment process Increase transparency of differences information

Enhance assistance programme in cooperation with

various entities

Introduce a quality control process wherein ICAO reviews differences and provides timely feedback

Improve the EFOD system to ease the work of States


1. Filing of Differences Vs. Completion of

Compliance Checklist (CC)

2. Online Compliance Checklist and Electronic

Filing of Differences (EFOD) System

3. Transition (2011~2013)

4. Filing of Differences Task Force (FDTF)

Review


Documents

Seminar/Workshop on USOAP Continuous Monitoring … Meetings Seminars and Workshop… · Seminar/Workshop on USOAP Continuous Monitoring Approach ... According to USOAP report,