ICAO Regional USAP-CMA Seminar

USAP-CMA Tools

Cairo, 15 to 17 October 2018

Module 5
Module Objective
At the end of this module, the participants will
be familiar with the types and contents of the
tools used in the preparation and conduct of
aviation security audits under the USAP-CMA
Module Outline
• State Aviation Security Activity Questionnaire
• State Quality Control Activity Summary Form
• Compliance Checklists
• USAP-CMA Protocol Questions
• USAP-CMA Protocol Question Worksheets
USAP-CMA Tools
The following tools are used during the preparation
and conduct of USAP-CMA audits:

SASAQ SQCASF CCs

USAP-CMA PQ
USAP-CMA PQs
Worksheets

https://portallogin.icao.int/
State Aviation Security Activity
Questionnaire (SASAQ)
• Designed to provide ICAO with preliminary
information concerning the State’s aviation
security and oversight systems
• Used primarily in the planning and customization
of a USAP-CMA audit
State Aviation Security Activity
Questionnaire
• Provides Team Members with useful information
about aviation security organization in the State.
• States requested to submit the SASAQ 60 days
prior to the start of an USAP-CMA audit
• Should be regularly updated to reflect changes in
their aviation security and oversight systems
Structure of the SASAQ
Part 1. LEG Part 2. TRG Part 3. QCF

Part 4. OPS Part 5. IFS Part 6. PAX

Part 7. CGO Part 8. AUI Part 9. FAL

Documents to be submitted with the
SASAQ
• Primary Aviation Security Legislation
• Civil Aviation Security Regulations
• NCASP, NCASTP, NQCP, NATFP, ASP
• SQCASF
• Schedule of national quality control activities for
the previous and for the current year
State Quality Control Activity Summary Form
(SQCASF)
Organizational Structure, •
Responsibilities •
Entities responsible for national quality control activities;
Number of national aviation security inspectors;
and Resources • Qualification criteria and training of national aviation security inspectors.

• Priorities and frequency of national quality control activities;

Operational Monitoring
• Number of various quality control activities;
Activities
• Entities and security measures subjected to national quality control activities.

Deficiency Correction • Number of follow-up activities;

Activities • Number and types of enforcement measures.

Recording, Analysis and • System for recording and managing quality control activity results;
Reporting Activities • System for the analysis of quality control activity results.
Compliance Checklists (CCs)
• States are required to complete and maintain
up-to-date Compliance Checklists
• Provide ICAO with information on compliance
with Annex 17 Standards and security-related
Standards of Annex 9
Compliance Checklists
• Enable States to identify and notify ICAO of
differences between their own requirements and
those established by ICAO Standards (Article 38
of the Chicago Convention)
• Provide useful references to national-level
policies and requirements (index)
Compliance Checklist Contents
• Foreword
 Instructions on completing the document
 Definitions of categories of differences
• Standards and Recommended Practices of
Annex 17 and security-related Standards of
Annex 9
 Compliance Checklists
Annex Annex 17 Amendment 15 Legislation Difference Not Description of Remarks
Reference Compliance applicable the including the
& Quote relevant No Yes difference reason for the
SARP Security State Level of implementation of SARPs difference
Identifier Act/Regulation
Standard or Recommended or Document More Different in Less protective
Practice Reference exacting or character or or partially
exceeds the other means implemented
ICAO SARP of compliance /not
implemented

Chapter 2 Each Contracting State shall have

Std. 2.1.1 as its primary objective the safety
of passengers, crew, ground
personnel and the general public in
all matters related to safeguarding
against acts of unlawful
interference with civil aviation.

Chapter 2 Each Contracting State shall

Std. 2.1.2 establish an organization and
develop and implement
regulations, practices and
procedures to safeguard civil
aviation against acts of unlawful
interference taking into account the
safety, regularity and efficiency of
flights.
Compliance Checklists
A Contracting State’s requirement is more exacting or
exceeds a SARP (Category A)
• National regulation and practices are:
 more demanding than the corresponding SARP, or
 impose an obligation within the scope of the Annex which is not
covered by the SARP
• Particularly important where a State requires a higher
standard which affects the operation of aircraft of other
States in and above its territory
Compliance Checklists
A Contracting State’s requirement is different in character or
the Contracting State has established other means of
compliance (Category B)
• National regulation and practices are:
 different in character from the corresponding SARP, or
 differ in principle, type or system without necessarily imposing an
additional obligation
Compliance Checklists
A Contracting State’s requirement is less protective, partially
implemented or not implemented (Category C)
• National regulation and practices are:
 less protective than the corresponding SARP; or
 no national regulation has been promulgated to address the
corresponding SARP, in whole or in part; or
 when the State has not brought its practices into full accord with
the corresponding SARP
Compliance Checklists
Not Applicable

When a SARP is not applicable to the existing aviation

activities of the State, notification of a difference is not
required

E.g., a State that does not have in-flight security officers, would not be
required to notify differences regarding the relevant Standard.
USAP-CMA Protocol Questions
• Comprehensive questionnaire developed by
the Aviation Security Audit Section
• Covers all elements of a State’s aviation
security and oversight systems which are
subject to audit and monitoring
• Used as a tool for the conduct of audits
USAP-CMA Protocol Questions
• Provide auditors with a guide to verify the
status of implementation of relevant Standards
• Provide guidelines on what evidence should
be reviewed or observed
• Assist in planning an audit and facilitate
effective allocation of tasks to auditors
USAP-CMA Protocol Questions
• Ensure transparency, consistency and
standardization
• Enhance confidence and reliability in the
conduct of audits
• Can be used by States to conduct self-
assessments and to prepare for an audit
 USAP-CMA Protocol Questions
ICAO GUIDANCE FOR REVIEW/OBSERVATION OF STATUS OF
PROTOCOL QUESTION CE
REF. EVIDENCE IMPLEMENTATION
OPS 4.115 Has the State established a Identify the documentation in which this requirement is  Satisfactory
requirement to ensure that the access to established.  Not satisfactory
4.2.1 airside areas at airports serving civil  Not applicable 2
aviation is controlled in order to prevent
unauthorized entry?
OPS 4.120 Has the State designated an Identify the documentation in which this designation is  Satisfactory
entity(ies) as responsible for the control of established.  Not satisfactory
4.2.1 access to airside areas at airports serving Identify the entity(ies) to which this responsibility has been  Not applicable 3
civil aviation? allocated.
OPS 4.125 Has the State ensured that the Review the ASP, SOPs and other relevant airport-level  Satisfactory
relevant entity at the airport level has procedures.  Not satisfactory
developed procedures to ensure that access Verify whether these procedures provide sufficient details  Not applicable
control measures in regard to each access in regard to measures to be taken for access control to the
4.2.1 point to the airside are effectively airside from non-terminal locations, such as: 6
implemented? a) cargo areas; b) maintenance facilities;
c) general aviation facilities; d) catering facilities;
e) fuel farms; and f) pedestrian and vehicle gates, etc.
Types of evidences to review/observe
• National-level policies and requirements
• Designated entities, authorities and
responsibilities
• Inspector handbooks and manuals
• Guidance material available to industry
• Specifications of security screening equipment
• Airport-level programmes and approvals
Types of evidences to review/observe
• Airport-level procedures
• Observation of security measures
• Training programmes and records, including OJT
• Quality control activity records
• Equipment test pieces and test records
Audit Areas
LEG Regulatory Framework and the National Civil Aviation Security System
TRG Training of Aviation Security Personnel
QCF Quality Control Functions
OPS Airport Operations
IFS Aircraft and In-flight Security
PAX Passenger and Baggage Security
CGO Cargo, Catering and Mail Security
AUI Response to Acts of Unlawful Interference
FAL Security Aspects of Facilitation
 Number of PQs by Audit Area
90
81 82 USAP Cycle II Protocol Questions: 299
80 77
USAP-CMA Protocol Questions (Amendment 15): 480
69 USAP-CMA Protocol Questions (Amendment 16): 497
70
64 64 65

60
54 54
50 50
48 49 47 47 48 48
50 46
44
38
40
31
30 25
21 22 22
18
20
12
10

0
LEG TRG QCF OPS IFS PAX CGO AUI FAL
 Number of PQs by Critical Element
120
107 USAP Cycle II Protocol Questions: 299
104
USAP-CMA Protocol Questions (Amendment 15): 480
100 94 96
92 USAP-CMA Protocol Questions (Amendment 16): 497

79
80 74
66
63
59 60 58 59
60 55 55

40
28
24 25 24
20 13
10 10 12
9

0
CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 CE-7 CE-8
USAP-CMA PQ Worksheets
• Cover all nine audit areas
• Used for gathering and recording information
during an USAP-CMA audit through:
 document review
 observation of security measures
 interview of personnel
 USAP-CMA PQ Worksheets
ICAO
PQ No. Protocol Question Status
Ref.
Has the State developed detailed instructions, guidance material or For TL reference only
CGO 4.6.4 performance criteria for the application of enhanced security measures to ☐ Satisfactory
7.125 CE-5 ☐ Not satisfactory
high-risk cargo and mail?
☐ Not applicable

Review national-level instructions, guidance material or performance criteria regarding enhanced security measures for high-risk cargo
and mail.
Note 1. — High-risk cargo and mail should be subjected to appropriate screening to effectively detect an IED or mitigate the specific
threat associated with it. This should include other detection methods or robust security measures which are not part of the baseline
security measures. Such additional screening methods and measures should be determined by the appropriate authority.
Note 2. — For cargo deemed high risk, two or more threat detection techniques should be applied, ideally including explosives trace
detection, algorithm-based cargo X-ray scanners or explosives detection dogs.
Evidence:
Module Review
• State Aviation Security Activity Questionnaire
• State Quality Control Activity Summary Form
• Compliance Checklists
• USAP-CMA Protocol Questions
• USAP-CMA Protocol Question Worksheets
Questions?
End of Module 5