Icao Usoap

Rajan Pokhrel
Director
ICAO, Int’l Affairs and Legal Department
Civil Aviation Authority of Nepal
Objective
After the completion of this class
participants will be able to get some
knowledge on Universal Safety
Oversight Audit Programme (USOAP)
of ICAO along with a brief overview of
safety oversight system of Nepal.
rpokhrel@caanepal.org.np 2
Safety oversight
A function by which States ensure effective
implementation of the safety-related Standards
and Recommended Practices (SARPs) and
associated procedures contained in the Annexes to
the Convention on International Civil Aviation and
related ICAO Documents.
Lack of appropriate safety oversight in one
Contracting State therefore threatens the health of
international civil aircraft operations.
Background
 Various reports in the early 1990s on the lack of
implementation by States of ICAO SARPs.
 Accidents indicating insufficient safety oversight
by States.
 Increased concern over the level of aviation safety
worldwide.
 Need to reduce accident rates to offset the rapid
increase in traffic.
Contd…
 Resolution A29-13 (Improvement of Safety
Oversight) adopted in 1992 by the 29th
Session of the ICAO Assembly.
 This resolution noted the concern that
some of ICAO's Contracting States might
experience difficulties in carrying out their
safety oversight obligations, reaffirmed
that individual State’s obligation for safety
oversight is one of the tenets of the
Chicago Convention.
Contd…
 The first stage of the Programme was
launched in 1996 on a voluntary basis.
Under which 67 Assessments were made.
 From 10 to 12 November 1997, the Directors
General of Civil Aviation (DGCAs) met in
Montreal, Canada for the first-ever world
Conference on a Global Strategy for Safety
Oversight. This conference reaffirmed the
need for safety oversight.
Background
 The 32st Session of the ICAO Assembly (Resolution A32-11)
held in 1998 endorsed an enhanced program with
necessary funding for establishing the Universal Safety
Oversight Audit Programme (USOAP).
 USOAP comprises regular, mandatory, systematic and
harmonized safety audits by ICAO that includes a
systematic reporting and monitoring mechanism on the
implementation of safety-related Standards and
Recommended Practices, associated procedures, guidance
material and practices.
Evolution of USOAP
35th Comprehensive
Mandatory 36th
System
Audit A
A Approach (CSA) CMA
Programme S
S
(USOAP) S
S 2005-2010
1999-2004 E
E USOAP
M
M 180 Audits beyond
181 Audits B
B Safety-related 2010
Annexes 1,6,8 L
L Provisions in all
Annex-by- Y
Y Safety-related A36-4
Annex
Annexes
Approach ‘07
‘04
Continuous Monitoring Approach
(CMA)
The ICAO Assembly Resolution A36-4 (September
2007) established a new approach to be applied in the
USOAP beyond 2010 which is based on the concept of
a continuous monitoring approach.
USOAP CMA is designed to monitor, on a continuous
basis, the:
 safety oversight capabilities, and
 safety performance of States.
USOAP CMA is
designed to monitor,
on a continuous basis,
the:
 safety oversight
capabilities, and
 safety performance
of States.
Audit Phases
1. Pre-audit phase. The information provided by the
State in the State Aviation Activity Questionnaire
(SAAQ) and Compliance Checklists (CCs) is reviewed
by safety oversight audit to analyze the type of
organisation for safety oversight established by the
State, the implementation of Annexes provisions and
the differences from SARPs identified by the States.
This allows ICAO to tailor the audit in accordance with
the level and complexity of aviation activities in the
State and determine the duration of the audit and the
size and required composition of the audit team.
Contd…
2. On-site phase. The State is visited by an ICAO audit
team to validate the information provided by the State
and conduct an on-site audit of the State’s system and
overall capability for safety oversight. This includes an
audit of the organization, processes, procedures and
programmes established and maintained by the State
to help it fulfil its safety oversight obligations.
Contd…
3. Post-audit phase. Encompasses all the activities
following the on-site audit, including the preparation
of the audit interim report, the development by the
State of its corrective action plan and the completion
of the audit final report. In accordance with Assembly
Resolution A35-6, the audit final reports are made
available to Contracting States in their entirety
through a secure website, along with information
derived from the AFDD.
Critical Elements of
an effective safety oversight system
1
2 Legislation
3
Operating Organization,
Regulations SO Functions
5
4 ESTABLISH Guidance,
Technical Procedures
Experts & Info.
Trg. IMPLEMENT 7
6
Licensing & Surveillance
Certification 8 & Inspection
Obligations Resolution Obligations
of Safety
Concerns DOC 9734 Part A
CEs of Safety Oversight System
ICAO carries out audits to determine Member States’
safety oversight capabilities. These audits include:
 Assessing the effective implementation of the eight CEs
of a safety oversight system; and
 Verifying the status of the Member States’
implementation of:
− all safety-related ICAO SARPs;
− associated procedures;
− guidance materials; and
− best practices.
CEs of the safety oversight system
CE-1: Primary aviation legislation
 The State shall promulgate a comprehensive and effective
aviation law, consistent with the size and complexity of the
State’s aviation activity and with the requirements
contained in the Convention on International Civil
Aviation, that enables the State to regulate civil aviation
and enforce regulations through the relevant authorities or
agencies established for that purpose.
 The aviation law shall provide personnel performing safety
oversight functions access to the aircraft, operations,
facilities, personnel and associated records, as applicable,
of service providers.
CE-2: Specific operating regulations
The State shall promulgate regulations to address, at a
minimum, national requirements emanating from the
primary aviation legislation, for standardized
operational procedures, products, services, equipment
and infrastructures in conformity with the Annexes to
the Convention on International Civil Aviation.
Note.— The term “regulations” is used in a generic sense
and includes but is not limited to instructions, rules, edicts,
directives, sets of laws, requirements, policies, and orders.
CE-3: State system and functions
The State shall establish relevant authorities or
agencies, as appropriate, supported by sufficient and
qualified personnel and provided with adequate
financial resources. Each State authority or agency
shall have stated safety functions and objectives to
fulfill its safety management responsibilities.
The State shall ensure that inspectors are provided
with guidance that addresses ethics, personal conduct
and the avoidance of actual or perceived conflicts of
interest in the performance of official duties.
State Civil Aviation System
Government
Civil Aviation Accident Investigation

Authority Authority
Flight Standards Air Navigation Services Aerodromes
PEL AWD FLT OPS ATS MET AIS CNS SAR
Industry and Service

Providers Ref: DOC 9734 A
CE-4: Qualified technical personnel
The State shall establish minimum qualification
requirements for the technical personnel performing
safety oversight functions and provide for appropriate
initial and recurrent training to maintain and enhance
their competence at the desired level.
The State shall implement a system for the
maintenance of training records.
CE-5: Technical guidance, tools and provision of
safety-critical information
 The State shall provide appropriate facilities,
comprehensive and up-to-date technical guidance material
and procedures, safety critical information, tools and
equipment, and transportation means, as applicable, to the
technical personnel to enable them to perform their safety
oversight functions effectively and in accordance with
established procedures in a standardized manner.
 The State shall provide technical guidance to the aviation
industry on the implementation of relevant regulations.
CE-6: Licensing, certification, authorization and/or
approval obligations
The State shall implement documented processes and
procedures to ensure that personnel and organizations
performing an aviation activity meet the established
requirements before they are allowed to exercise the
privileges of a license, certificate, authorization and/or
approval to conduct the relevant aviation activity.
CE-7: Surveillance obligations
The State shall implement documented surveillance
processes, by defining and planning inspections,
audits, and monitoring activities on a continuous
basis, to proactively assure that aviation license,
certificate, authorization and/or approval holders
continue to meet the established requirements. This
includes the surveillance of personnel designated by
the Authority to perform safety oversight functions on
its behalf.
CE-8: Resolution of safety issues
The State shall use a documented process to take

appropriate corrective actions, up to and including
enforcement measures, to resolve identified safety
issues.
The State shall ensure that identified safety issues are
resolved in a timely manner through a system which
monitors and records progress, including actions
taken by service providers in resolving such issues.
Protocol Questions (PQs)
Area: 1. Legislation (31)
Area: 2. Organization (19)
Area: 3. Personnel Licensing (95)
Area: 4. Operations (141)
Area: 5. Airworthiness (200)
Area: 6. Accident Investigation (100)
Area: 7. Air Navigation Services (213)
Area: 8. Aerodromes and Ground-Aids (176)
ICAO Safety Oversight Audit-Nepal
 Nepal was assessed under the voluntary ICAO Safety
Oversight Assessment Programme in 1997.
 Nepal was audited in 1999 pursuant to Assembly
Resolution A32-11 in accordance with the MoU agreed
between Nepal and ICAO.
 Safety oversight follow-up audit was carried out in
March 2002.
Audit performance of Nepal
(LEI % in 2002)
30 28.45
25
20 17.53
15
10
5.68
5
0
Global Audit Follow-up
Source: CAAN Report 2002-03
Comparison of USOAP
Performance (2013)
80
70
60
50
40
30
20
10
0
LEG ORG PLR OPS AWD AIG ANS AGA
Global Nepal
Source: ICAO
USOAP status in COSCAP-SA
(2014)
Srilanka 87.3
Pakistan 84.6
India 79.1
World Average 61
Nepal 55
Maldives 54.7
Bangladesh 50.5
Bhutan 38.3
0 10 20 30 40 50 60 70 80 90 100
Effective Implementation (EI) %
Significant Safety Concern (SSC)
SSC occurs when the audited State allows the
holder of an authorization or approval to exercise
the privileges attached to it, although the
minimum requirements established by the State
and by the Standards set forth in the Annexes to
the Chicago Convention are not met, resulting in
an immediate safety risk to international civil
aviation.
SSC
SSCs may be identified by:
A USOAP CMA activity team during the conduct

of an on-site USOAP CMA activity.
ICAO at any stage during the continuous

monitoring process.
Corrective Action Plan (CAP)
States have the responsibility to develop a
CAP in response to any identified F&R. The
proposed CAP must:
Address all elements identified in the F&R.
Indicate the responsible action office.
Indicate the estimated implementation date
for each action.
Civil Aviation Authority of Nepal
Responsible for the regulation of
Aircraft operators
Approved Maintenance organizations
Approved Training Organizations
Aerodromes
Air Navigation Services
Regulatory functions of CAAN
Preparation of regulations
 Section 34 of Civil Aviation Authority of Nepal
Act, 2053 empowers CAAN to formulate necessary
regulations for the implementation of the
objective of the Act.
 Section 35 of the Act empowers CAAN to
formulate necessary Directives to implement the
regulations and standards prescribed by
international organizations provided that they are
not contrary to the provision of this Act or
Regulation framed under this Act.
 Rule 80 of CAAN, Civil Aviation Regulation, 2058
empowers CAAN to issue necessary order or
instructions Subject to the provisions of the Civil
Aviation Act, Civil Aviation Authority of Nepal
Act and other prevailing Act and this Regulation,
to the concerned body, organization and persons
to comply with the Annex and Manual.
 Rule 81 of Regulation empowers CAAN to enforce the
Annex or any part of it, Manual and Documents or any
part of such Manual and Document issued by the
International Civil Aviation Organization on the basis of
necessity and propriety with a view to make the flight safe,
regular and systematic.
 Rule 82 of the Regulation empowers CAAN to frame
necessary Requirements, Directives on the matter
specified in Schedule 3 and in other matters for the
implementation of the rule, annex, manual and standards
prescribed by the International Organizations in relation
to civil aviation operations.
Issuance of Licences, Certificates,
Authorizations and Approvals
 Section 5 of the Civil Aviation Authority of Nepal Act,
2053 empowers CAAN to issue Licence, Certificate,
Permit and Approval/Authorization to Airline operators,
flying school, aircraft maintenance organizations and
personnel engaged in aviation operations.
 Chapter 2, 3, 4, 5, 6 and 7 of CAAN, Civil Aviation
Regulation, 2058 has made provision relating to the Air
Operators’ Certification, Aircraft Registration,
Airworthiness, Aircraft Maintenance and Personnel
Licensing/Rating/Certification
 Aerodrome Certification Regulation, has made
provision of aerodrome certification
Monitoring/oversight/Inspection
 Rule 84 (1) of the Regulation empowers the Director
General to monitor, investigate and take action or cause
to monitor, investigate and take action with regards to
the matter whether the safety provisions have been
maintained as per the provisions of the Act, this
Regulation, Annex and Manual while performing the
works mentioned in the Licence, Rating and Certificate
by the person or institution receiving the Licence,
Rating and Certificate issued or recognized pursuant to
this Regulation, and the orders and directions given
pursuant to Rule 80.
 Rule 84 (2) empowers the Director General to
designate an expert in the relevant field as an
Inspector by delegating the necessary power for
the inspection and investigation pursuant to Sub-
rule (1).
 Rule 84 (3) empowers the inspector to enter into
the aircraft, airport or the structure or area
relating to the aviation services or facility for
inspection, enquiry to the concerned person and
entity, written or oral statement, scrutiny or
seizure of documents, collection of evidences, etc.
Enforcement
 Section 5 of the CAAN Act empowers CAAN to
suspend or cancel the licence, certificate, permit or
approval/authorization issued under the Act.
 Section 25 of the CAAN Act empowers CAAN to
punish those who violates the provisions made on
this Act or Regulations made under this Act.
 Enforcement Manual of CAAN has made detail
provisions relating to the enforcement procedure
and actions.
 Rule 84 (4) empowers Inspector that during the
inspection pursuant to Sub-rule (3) if it is
deemed that the operation of aircraft,
equipment, service, or facility is unsafe in view of
flight safety, he may stop such operation of
aircraft, equipment, service, or facility or
immediately forbid or prevent the person or
operator involved in such operation from
exercising the privilege obtained by means of
licence, certificate, or any other document issued
under this Regulation.
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Rajan Pokhrel

Civil Aviation Accident Investigation

Flight Standards Air Navigation Services Aerodromes

PEL AWD FLT OPS ATS MET AIS CNS SAR

Industry and Service

The State shall use a documented process to take

A USOAP CMA activity team during the conduct

ICAO at any stage during the continuous

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