THE UNIVERSAL SECURITY AUDIT PROGRAMME …

1 THE UNIVERSAL SECURITY AUDIT PROGRAMMETHE UNIVERSAL SECURITY THE UNIVERSAL SECURITY AUDIT PROGRAMMEAUDIT PROGRAMME1(USAP)(USAP)2 ObjectivesObjectivesUSAP objectiveThe objective of the USAP is to promote global aviation SECURITY through auditing Contracting States, on a regular basis, to determine the status of implementation of ICAO SECURITY objectiveUSAP objectiveThe objective of the USAP is to The objective of the USAP is to promote global aviation SECURITY promote global aviation SECURITY through auditing Contracting through auditing Contracting States, on a regular basis, to States.

2 On a regular basis, to determine the status of determine the status of implementation of ICAO SECURITY implementation of ICAO SECURITY primary objectives of an ICAO SECURITY AUDIT are to:a)determine the degree of compliance of the State in implementing Annex 17 Standards and SECURITY -related provisions of Annex 9;b)observe and assess the State s adherence to associated SECURITY procedures, guidance material and SECURITY -related practices; c)determine the sustainability and effectiveness of the State s implementation of a SECURITY system, through the establishment of legislation, programmes, regulations and a SECURITY authority with control and enforcement capabilities; d)determine the State s capability for SECURITY oversight by assessing the effective implementation of the critical elements of a SECURITY oversight system.

3 Ande)provide recommendations to Contracting States to improve their SECURITY systems and oversight primary objectives of an ICAO SECURITY AUDIT are to:The primary objectives of an ICAO SECURITY AUDIT are to:a)a)determine the degree of compliance of the State in implementing determine the degree of compliance of the State in implementing Annex Annex 17 Standards and security17 Standards and SECURITY --related provisions of Annex 9;related provisions of Annex 9;b)b)observe and assess the Stateobserve and assess the State s adherence to associated SECURITY s adherence to associated SECURITY procedures, guidance material and securityprocedures, guidance material and SECURITY --related practices; related practices.

4 C)c)determine the sustainability and effectiveness of the Statedetermine the sustainability and effectiveness of the State s s implementation of a SECURITY system, through the establishment oimplementation of a SECURITY system, through the establishment of f legislation, programmes, regulations and a SECURITY authority wilegislation, programmes, regulations and a SECURITY authority with th control and enforcement capabilities; control and enforcement capabilities; d)d)determine the Statedetermine the State s capability for SECURITY oversight by assessing the s capability for SECURITY oversight by assessing the effective implementation of the critical elements of a SECURITY effective implementation of the critical elements of a SECURITY oversight oversight system; andsystem.

5 Ande)e)provide recommendations to Contracting States to improve their provide recommendations to Contracting States to improve their SECURITY systems and oversight systems and oversight MethodologyUSAP MethodologySecurity AUDIT Reference SECURITY AUDIT Reference Manual: Doc 9807 Manual: Doc 9807To provide standard auditing To provide standard auditing procedures for the conduct of audits of procedures for the conduct of audits of Contracting StatesContracting States aviation SECURITY aviation SECURITY assist both ICAO Contracting States To assist both ICAO Contracting States and AUDIT team members by explaining and AUDIT team members by explaining the standard auditing procedures and the standard auditing procedures and prepre--and postand post-- AUDIT CharacteristicsUSAP CharacteristicsUSAP Characteristics9 Regular, mandatory.

6 Systematic and harmonized audits9 Evaluation of aviation SECURITY in place in all 190 ICAO Contracting States9 AUDIT State s aviation SECURITY oversight capability9 AUDIT SECURITY measures at selected airports9 Funded by voluntary contributions99 Regular, mandatory, systematic and harmonized auditsRegular, mandatory, systematic and harmonized audits99 Evaluation of aviation SECURITY in place in all 190 ICAO Evaluation of aviation SECURITY in place in all 190 ICAO Contracting StatesContracting States99 AUDIT StateAudit State s aviation SECURITY oversight capabilitys aviation SECURITY oversight capability99 AUDIT SECURITY measures at selected airportsAudit SECURITY measures at selected airports99 Funded by voluntary contributionsFunded by voluntary contributionsUSAP PrinciplesSovereignty of StatesSovereignty of

7 StatesUniversalityUniversalityTransparen cyTransparencyObjectivityObjectivityAll- inclusivenessAll-inclusivenessFairnessFa irnessQualityQualityConfidentialityConfi dentialityTimelinessTimeliness677 PROGRAMME activitiesAuditsAuditsAuditsAuditsPlanni ngPlanningPlanningPlanningTraining & Training & CertificationCertificationTraining & Training & CertificationCertificationAudit ToolsAudit ToolsAudit ToolsAudit ToolsAudit ReportsAudit ReportsAudit ReportsAudit ReportsWorkingWorkingPapersPapersWorking WorkingPapersPapersAnalysisAnalysisAnaly sisAnalysis8 PROGRAMME Management and PROGRAMME Management and AdministrationAdministrationASA ASA SECTIONSECTION9 ASA s Customers ASAASA s s CustomersCustomers ASAASAICAOICAOA ssemblyAssemblyICAOICAOC ouncilCouncilCommittee onCommittee onUnlawful InterferenceUnlawful InterferenceAviation SecurityAviation SecurityPanelPanelContracting Contracting StatesStatesRegionalRegionalOrganization sOrganizationsInternationalInternational OrganizationsOrganizationsINTERNALINTERN ALEXTERNALEXTERNALICAOICAOS ecretariatSecretariat10 AUDIT +1 to 2 yearsFollow-up visitAudit +10 working daysTeam Leader provides draft report to ICAOA udit +60 daysICAO sends AUDIT report to StateAudit CycleAudit CycleAudit CycleAudit -4 to 6 monthsState notified of

8 Pending auditAudit -3 monthsState accepts/rejects AUDIT datesAudit -2 monthsState returns PAQ & Compliance ChecklistsAudit -2 monthsAudit dates firm. Develop State-specific AUDIT PlanAudit -1 dayTeam briefingAudit Day 1 National briefingAudit +90 daysComments to AUDIT report due from StateDaily during auditTeam meetings / Brief national coordinatorAudit last dayPost- AUDIT debriefing / List of preliminary recommendationsAudit +1 dayTeam members complete AUDIT documentationAudit +120 daysCorrective action plan dueAudit +180 daysAll States notified of any State(s) that are more than 60 days late in submitting an action plan114 Chicago Convention4 Annex 17: Standards4 Annex 9.

9 SECURITY related Provisions44 SECURITY Manual SECURITY Manual Doc 8973 Doc 897344 SECURITY AUDIT SECURITY AUDIT Reference Manual Reference Manual Doc 9807 Doc 980744 Oversight Manual Oversight Manual Doc 9734 Part CDoc 9734 Part CAudit Related DocumentsAudit Related Documents12 SecuritySecurity--relatedrelatedProvisio nsProvisionsLatest amendmentsLatest amendmentsAmendment 11: 1 July 2006 Amendment 11: 1 July 2006 Amendment 20: 15 July 2007 Amendment 20: 15 July 2007 Facilitation(Twelfth Edition, 2005 )FacilitationFacilitation(Twelfth Edition, 2005 )(Twelfth Edition, 2005 )Safeguarding International Civil Aviation Against Acts of Unlawful Interference(Eighth Edition, 2006 )Safeguarding International Civil Aviation Safeguarding International Civil Aviation Against Acts of Unlawful InterferenceAgainst Acts of Unlawful Interference(Eighth Edition, 2006 )(Eighth Edition, 2006 )

10 13 SECURITY Manual for Safeguarding Civil Aviation Against Acts of Unlawful InterferenceDoc 8973 SECURITY Manual for Safeguarding Civil Aviation SECURITY Manual for Safeguarding Civil Aviation Against Acts of Unlawful InterferenceAgainst Acts of Unlawful InterferenceDoc 8973 Doc 8973To assure the protection of passengers, crew, ground personnel, the general public and facilities of an airport serving international civil aviation against acts of unlawful provide guidance on the implementation of Annex 17 Standards and Recommended Practices.