usoap continuous monitoring approach (cma) workshop...offline documents for ccs and pqs access...
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USOAP Continuous Monitoring Approach (CMA) Workshop
Module 3CMA Online Framework (OLF) and
Electronic Filing of Differences (EFOD) System
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Contents
Overview of CMA Online Framework (OLF)
Functionalities of OLF Modules
Updating EFOD
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Overview of CMA Online Framework (OLF)
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CMA Online Framework is…
A suite of web-integrated applications and centralized database systems which enables:
1) Collection of safety-related information and documentation from different sources; and
2) Monitoring and reporting of safety oversight activities by ICAO and Member States.
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ICAO USOAP Restricted Website (www.icao.int/usoap)
Access through…
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OLF Modules
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1) Manage OLF user accounts. 2) Keep SAAQ and CC/EFOD up to date. 3) Provide CAP updates and/or progress per
corresponding PQ findings.4) Conduct PQ self-assessment.5) Respond to MIRs.
OLF Functions for States
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Collection of Safety-Related
Information
Update on EI & SSCs
Prioritize on-site
activities
Signing of USOAP CMA
MOU
Between State & ICAO
From States
From external
stakeholdersFrom ICAO HQ & RO
MOU State Profile / SAAQ CC/EFOD PQs
By ICAO HQ
MIR
PQ Findings
SSC
CAPs
On-Site Audit Manager
Planning & Scheduling
Conduct of on-site CMA
activities
By ICAO HQ & RO
USOAP Library & Final Reports
USOAP Live Reports
State Safety Risk Profile
By ICAO HQ
Offline documents for CCs and PQs
Access Control SystemNCMC Dashboard
Overview of OLF Functionality
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Functionalities of OLF Modules
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States can view:
State Dashboard
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States (NCMCs) can view:
State Dashboard
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NCMCs: have full control of user accounts for the State, such as:• Issue additional user accounts;• Deactivate invalid user accounts; and• Set individual user rights/permissions.
Note.—For Annex 9 issues, please coordinate with Facilitation Section (FAL)/Air Transport Bureau (ATB). Individual users
• Manage user profile information; and• Personalize password.
Note.— If you are not an NCMC and want to have access to the OLF, please contact the NCMC(s) of your State.
Access Control
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User account composed of “ID” and password. Duplicate IDs or email addresses are not acceptable.
Access rights 3 types: Limited, read-only and read/write. CC/EFOD: Access rights may be granted per Annex. Access rights may be granted for selected audit areas
in each of the 4 OLF modules: Self-Assessment, CAP, PQ Findings and MIR.
Access Control
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StatesComplete and update State Profile and SAAQ.
State Aviation Activity Questionnaire (SAAQ)
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States Indicate compliance with and/or difference to SARPs
(with details). This complies with both Article 38 of the Chicago Convention
and CMA MOU.
ICAOReviews/monitors the level of
global compliance/difference.Generates e-Supplement.
Compliance Checklist / Electronic Filing of Differences (CC/EFOD)
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Conduct a preliminary data entry
Online/Offline
Submit/Update CCs
Per Annex
To be shared with other States
Submit/Update CCs EFOD
Choose Standards only
or All SARPsPer Annex
Submit official notification to
ICAO
To be used for generation of Supplement
ICAO to monitor and share information on implementation of SARPs
CC/EFOD
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This feature is available only to NCMCs.• Once the WORD document is downloaded, data in the
EFOD system is locked.• To enable users to edit data online, NCMC should upload the
WORD document or unlock the data.
Pre-formatted Word Document
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States Search and view PQs selected.Conduct self-assessment on safety oversight system:
• Update implementation status of PQs (S/NS/NA), with evidence.• Provide implementation status of new PQs. • Attach evidence documents.
ICAOKeeps PQs up to date.Updates status of implementation of State’s PQs based on
latest CMA activities.Generates State’s Effective Implementation (EI).
Self-Assessment
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In April 2011, per SL AN 1/1-11/28, States were invited to: Use EFOD as an alternative means for filing differences
to all Annexes (except Annex 17). Verify and confirm the data in EFOD which were
previously entered through the CCs under USOAP. States now use the Validation button to file notification
of difference.
To date, 107 States have notified their differences via EFOD.
Verification by States
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Status of Implementation by ICAO – View-only
Self-Assessment by States
Search a PQ
Select a PQ
Self-Assessment
Upload/attach evidence
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Mandatory Information Request (MIR)
ICAORequests States to submit specific information
and documentation.Includes the following information when issuing MIRs:
• Pertinent PQ(s);• Reason(s) and relevant reference(s); and• Deadline for submission of requested information.Records the result from review of submitted
information.Updates status of MIR (closed/open/escalated to
Findings/SSC).
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StatesRespond with evidence requested.Provide requested information and/or documentation.Request extension of MIR deadline.
MIR
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States Search and view PQ Finding(s) issued to a State.View CAPs submitted during CSA audit cycle.Submit/update a CAP to address a PQ Finding:
• A list of proposed actions;• Action office(s) to the proposed actions;• Estimated implementation date (dd/mm/yyyy); and• Revised implementation date, when required.
Provide regular progress reports on a CAP:• Completion (%) of each proposed action;• Date of completion; and• Supporting evidence (reference).
Corrective Action Plan (CAP)
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Finding by ICAO – View-only
CAP provided by the State
Select a PQ
CAP
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ICAORecords status of CAP
review (e.g. In progress or Completed).Records result of review of
a proposed CAP and add comments. Monitors progress of CAP
implementation.
CAP
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Final reports (static)Final reports of activities
conducted since the first cycle of USOAP.Published according to
predetermined timeline after an activity.
USOAP Reports
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Dynamic graphic illustrations of USOAP data.Based on most recent online and/or on-site
activity for each audit area/CE.
Note.— When you click the icon, you will be asked to log into the ICAO Portal website (separate user account), where the report resides in iSTARS.
USOAP Live Charts
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A centralized library for documents related to USOAP CMA, including:a) Assembly and Council Working Papers;b) Doc 9734 — Safety Oversight Manual and
Doc 9735 — USOAP CMA Manual;c) Generic MOU approved by the Council; d) Master copies of PQs and SAAQ;e) State Letters and Electronic Bulletins;
and f) USOAP CMA activity schedule.
CMA Library
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States Report issues and send queries about OLF.
ICAO Keeps track and manages resolution of all
reported issues.
Feedback
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Feedback
• Accessible from Home page or Menu Bar
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Feedback
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Review
Overview of CMA OLF
Functionalities of OLF Modules
Updating EFOD
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