ICAO Audit of CAA

Final Report on the Safety Oversight Audit of the Civil Aviation System of New Zealand - 14 to 24 Mar 06 (PDF)

ICAO Universal Safety Oversight Audit Programme

Safety Oversight Audit of the Civil Aviation System of New Zealand

The ICAO Universal Safety Oversight Audit Programme (USOAP) was launched on 1 January 1999. It is managed and run by the Safety Oversight Audit (SOA) Section of the ICAO Air Navigation Bureau. SOA is certified under ISO standard Quality Management Systems - Requirements: ISO 9001:2000 since 16 October 2002.

The objective of USOAP is to promote global aviation safety through auditing Contracting States, on a regular basis, to determine States capability for safety oversight. This is achieved by assessing the effective implementation of the critical elements of a safety oversight system and the status of States implementation of safety-relevant ICAO Standards and Recommended Practices (SARPs), associated procedures, guidance material and safety related practices.

An audit consists of three phases:

  • Pre-audit phase. During this phase, the information provided by the State in the State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs) is reviewed by SOA to analyze the type of organization 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.  
  • On-site phase. During this 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 States 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.  
  • Post-audit phase. This 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.

A Directors General of Civil Aviation Conference on a Global Strategy for Aviation Safety was held in March 2006 at ICAO Headquarters in Montreal. The  conference recommended that ICAO develop an ongoing process to allow for the release of relevant information to the public on safety oversight audits, so that the travelling public can make an informed decision when using air transportation.

To this end, Contracting States were encouraged to provide ICAO with their consent to publish safety oversight audit information consisting at a minimum of States' compliance levels relative to the eight critical elements of a safety oversight system.

New Zealand has consented to the publication of the full Final Report on the Safety Oversight Audit of the Civil Aviation System of New Zealand (PDF).