Strategic Objective — Safety — Safety Monitoring

Safety Monitoring

Universal Safety Oversight Audit Programme (USOAP) Continuous Monitoring Approach (CMA)

Pursuant to Assembly Resolution A37-5, activities within the Universal Safety Oversight Audit Programme (USOAP) Continuous Monitoring Approach (CMA) continued in 2014.

The CMA online framework (OLF) continued to be the main platform for the conduct of CMA activities in an interactive and “real time” format. The online framework allows ICAO to continuously monitor and report States’ safety-related information and documentation. Various tools within the OLF were enhanced and improved.

Computer-based training (CBT) was conducted as a prerequisite for State experts to be nominated as auditors and subject matter experts to perform CMA activities, including USOAP CMA audits and ICAO Coordinated Validation Missions (ICVMs). During 2014, 44 participants took CBT for this purpose, bringing the total to 264 participants from 49 States and five international organizations since the initial launch of CBT in 2011. CBT was also used as a means of familiarizing States’ safety oversight employees with the methodology and processes of USOAP CMA. During 2014, 60 participants took CBT as familiarization training, for a total of 330 participants from 73 States and eight international organizations since 2011. A new CBT module was developed, tested and fully launched for personnel licensing and training (PEL). In addition, two more modules were developed in the following audit areas: primary aviation legislation and civil aviation regulations (LEG) and civil aviation organization (ORG).

ICAO conducted 12 seminar/workshops in all ICAO regions to assist Member States in their participation in USOAP CMA and, particularly, preparation for an upcoming USOAP CMA activity. A total of 282 participants from 41 States and seven international organizations attended the seminar/workshops.

In 2014, ICVMs were conducted in 15 Member States to determine whether previously identified safety deficiencies had been satisfactorily resolved. In addition, five USOAP CMA audits were conducted to determine States’ capability for safety oversight and the status of the States’ implementation of all safety-related ICAO SARPs, associated procedures, guidance material and best safety practices. During 2014, a new type of activity, i.e. off-site validation, was formally launched after a test period in 2013. The objective of an off-site validation activity is to assess and validate corrective action plans (CAPs) implemented by a State to address certain eligible findings without conducting an on-site activity, i.e. an audit or an ICVM. As of the end of 2014, 16 such off-site validation activities had been conducted.

The USOAP CMA protocol questions (PQs) were amended to reflect the latest changes in ICAO provisions and Annexes to the Convention and to improve PQ content and references. The 2014 amendments include several new PQs related to the provisions of Annex 19 and safety management. The amended set of PQs will be published on the OLF and will be applicable as of 1 January 2015. The new PQs on Annex 19 and safety management will become applicable as of 1 January 2016 to States with an effective implementation (EI) rate above 60 per cent.

Subsequent to the 38th Session of the Assembly, regarding the Council’s decision on the sharing of unresolved Significant Safety Concerns (SSCs) with the public, SSCs identified through USOAP CMA activities were published on the ICAO public website commencing in January. ICAO Regional Offices were involved in developing State-specific Plans of Action for assisting States in resolving identified SSCs in a timely manner.

ICAO Regional Offices also actively continued to support and contribute to USOAP CMA by conducting and participating in ICVMs.

The fourth edition of the Universal Safety Oversight Audit Programme Continuous Monitoring Manual (Doc 9735), was published. It includes new material on the evolution of USOAP CMA and related activities, as well as updated material on the concept and methodology of USOAP CMA.

The quality management system (QMS) of monitoring oversight was audited in September and re-certified to the ISO 9001:2008 standard for quality management systems. As part of the QMS, guidance material and documentation supporting CMA processes and activities were developed and/or updated.

Monitoring and Assistance Review Board (MARB)

In December 2011, the Secretary General established the Monitoring and Assistance Review Board (MARB) to provide senior management oversight and direction to ICAO monitoring and assistance activities conducted in referred States for safety and/or security reasons. The MARB is chaired by the Secretary General and includes the Directors of the Air Navigation, Air Transport and Technical Cooperation Bureaus, as well as the participation of ICAO Regional Directors. The MARB develops and promotes the implementation of high-level strategies designed to coordinate monitoring and assistance activities in States with significant safety or security concerns, in States not participating in ICAO’s audit and monitoring processes, and in States not fulfilling their commitments regarding the implementation of their corrective action plans. For the purposes of the MARB, monitoring refers to both auditing and continuous monitoring activities, while assistance refers to both technical assistance and technical cooperation activities. The MARB held three meetings in 2014 and, at the time of reporting to the 203rd Session of the Council, a total of 17 States had been referred to the Board, six of which were referred for security reasons.