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Nicolas Rallo Chief, Safety and Air Navigation Oversight Audit
Section
USOAP CMA: Objectives and Activities in Evolution
Some acronyms
• USOAP : Universal Safety Oversight Audit Programme of ICAO (launched in 1999).
• CMA : Continuous Monitoring Approach (launched in 2013).
• CE: Critical Element of a State’s Safety Oversight System.
• EI: Effective Implementation.
• SSC: Significant Safety Concern (finding with immediate risk for safety).
• OLF: Online Framework.
We carry out audits, validation activities and other continuous
monitoring activities to determine the safety oversight capabilities
of States, by:
• Assessing State’s effective implementation of the 8 critical
elements (CEs) in 8 audit areas: LEG, ORG, PEL, OPS, AIR,
AIG, ANS and AGA, using a set of “Protocol Questions” (PQs) for
each audit area; and
• Verifying the status of States’ implementation of SARPs and
associated material.
What does ICAO do under the USOAP CMA?
• To validate States’ progress through various on-site
and off-site activities; and
• To continue assessing the effectiveness and
sustainability of States’ safety oversight systems
through audits.
What for?
The 8 Critical Elements
The USOAP CMA Components
3 main USOAP CMA Activities
• CMA audit : On-site, to conduct a systematic and objective assessment of a State’s safety oversight system. Can be a full scope or limited scope audit.
• ICVM : On-site, to collect and assess evidence of a State’s effective correction of previously identified findings. Collected evidence is reviewed and validated at ICAO HQ.
• Off-site validation activity: to assess a State’s effective corrective actions addressing previously identified findings related to PQs not requiring an on-site activity.
USOAP CMA Activities
Jan 2013 - Dec 2015
Activities: Jan 2013 - Dec 2015
USOAP CMA Activity 2013 2014 2015
USOAP CMA Audits 8 5 10
ICAO Coordinated Validation Missions (ICVMs) 20 15 18
Off-site Validation Activities 1 15 21
Seminar/Workshops 7 12 10
Total 36 47 59
10
11
12
USOAP CMA Activities
2016 to date
USOAP CMA Activity 2014 2015 2016*
USOAP CMA Audits 5 10 6
ICAO Coordinated Validation Missions (ICVMs) 15 18 11
Off-site Validation Activities 15 21 16
Seminar/workshops 12 10 7
Total 47 59 40
2016 activities to date
Some of the new
developments…
• MIRs can be sent by ICAO to a State at any moment, especially when there
are indication of concerns regarding the State’s safety oversight capabilities.
• Require timely reply by the State to 1 or more of PQs, and the submission
of the necessary evidence.
• Can lead to a finding, or even an SSC.
• Enable concerns to be documented and addressed, without waiting for a
CMA audit.
Mandatory Information Requests
• “Best Practice”: document, tool or mechanism developed by a State to support safety
oversight functions, which ICAO identifies of sufficient quality or/and practicality to
potentially benefit other States.
• ICAO teams performing USOAP CMA on-site or off-site activities may now identify
“Best Practices” related to any CE in any audit area.
• With the State’s agreement, Best Practices – once identified – are shared with other
States through the SPACE-Exchange Discussion Forum Solution Center on iSTARs
SPACE 3.0.
Identification of Best Practices
• “New PQs on safety management” issued in 2014. Used for voluntary, confidential
assessments of SSP implementation at States’ request.
• In July 2017, amended SSP-related PQs will be published, to reflect Amendment 1 to
Annex 19, 4th edition of the Safety Management Manual (SMM) and lessons learned.
• Selected States will be approached for performing audits including the amended
SSP-related PQs in 2018 and 2019 on a voluntary but non-confidential basis.
• As of 2020, ICAO will perform audits using the amended SSP-related PQs on the
States meeting the criteria to be established by ICAO, in line with the Global Aviation
Safety Plan (GASP).
Audit of SSP implementation
Questions?
I su ary…
• USOAP CMA is becoming more and more dynamic.
• 2 main objectives: validating progress & checking sustainability.
• An increasing number of activities, of many new types, conducted following a risk based prioritization
• States need to provide updated information on the Online Framework (OLF).
ICAO and States
we are partners
Nicolas Rallo Chief, Safety and Air Navigation Oversight Audit
Section
USOAP CMA:
Objectives and Activities in Evolution
THANK YOU
