Avsec doc 503 comparison of terminology used for compliance monitoring / quality control



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AVSEC Doc 503


COMPARISON OF TERMINOLOGY USED FOR

COMPLIANCE MONITORING / QUALITY CONTROL
TO BE CONDUCTED BY STATES

ICAO

ECAC

EC


BASIS

Annex 17 – Article 3.4.5
Each Contracting State shall arrange for surveys to identify security needs, arrange for inspections of the implementation of security controls and arrange tests of security controls to assess their effectiveness.

Doc 30 – Article 1.2.4

Each Member State should ensure that at least the following measures are undertaken on a regular basis, as defined in the annual schedules of quality control measures, by the Appropriate Authority and/or by other national government agencies as appropriate: a) Security inspection, b) Security survey, c) Security test, d) Security exercise, e) Security investigation.



Reg. 2320/2002 – Article 7 (1)

The specifications for the national civil aviation security quality control programme to be implemented by the Member States shall be adopted in accordance with the procedure referred to in Article 9(2). Such programme shall be based on best practices and allow for the swift detection and correction of failures. Each programme shall provide that all airports situated in the Member State concerned shall be regularly audited under the responsibility of the appropriate authority referred to in Article 5(2). These audits shall use a common methodology and shall be carried out by auditors that are qualified according to common criteria.



AUDIT

4.11.6 – Guidance material on ICAO SARPs

An in-depth examination of all aspects of an airport or airline’s existing security programme to determine if they are being implemented on a continual basis and to a constant standard. This will normally be conducted over an extended period of time, for example, numerous days, weeks or a month






QC Reg. …/2003 – Article 2 (2)

Any procedure or process used for compliance monitoring undertaken at national level. It covers security audits, inspections, surveys, tests and investigations.



SECURITY AUDIT







QC Reg. …/2003 – Article 2 (8)

An in-depth examination of all aspects of security measures and procedures in order to determine if they are being implemented on a continual basis and to a constant standard.




INSPECTION

4.11.5 – Guidance material on ICAO SARPs

An examination of the implementation of one or more aspects of an airport or aircraft operator’s existing security measures and procedures to determine how effective they are being carried out. This will normally be conducted over a short period of time, for example, a number of hours or a day.



Doc 30 – 0.1 Definitions

A check and assessment of security measures contained in the National Civil Aviation Security Programme to determine whether they are being implemented effectively and to assess the adequacy of the Programme.



Guidance material: Annex O

3.1 Inspections should examine the implementation of all aspects of the NCASP, including the policies on which they are based, although not necessarily on every occasion.

QC Reg. …/2003 – Article 2 (5)

An examination of the implementation of one or more aspects of security measures and procedures in order to determine how effectively they are being carried out.




SURVEY

4.11.8 – Guidance material on ICAO SARPs

An evaluation of airport and aircraft operator’s operations to determine security needs. This will include if there is a vulnerability which could be exploited to carry out an act of unlawful interference, despite the implementation of the security measures and procedures required by the national civil aviation security programme, and to recommend compensatory protective measures commensurate with the threat to address any identified risk.



Doc 30 – 0.1 Definitions

A comprehensive study, which should be notified in advance, of airports and air carrier operations, or operations by entities associated with the security of civil aviation: to identify their vulnerability to acts of unlawful interference and security measures necessary to fulfil current policy.



Guidance material: Annex P

QC Reg. …/2003 – Article 2 (10)

An evaluation of operations in order to determine security needs. This includes the identification of vulnerabilities which could be exploited to carry out an act of unlawful interference, despite the implementation of security measures and procedures, and the recommendation of compensatory protective measures commensurate with the threat to address any identified risk.




TEST

4.11.9 – Guidance material on ICAO SARPs

A simulated act of unlawful interference against existing security measures, carried out covertly by a person with an inert explosive device or weapon concealed in their baggage or on their person.



Doc 30 – 0.1 Definitions

A simulated act of unlawful interference to determine the effectiveness of security measures contained in the National Civil Aviation Security Programme.



Guidance material: Annex Q

QC Reg. …/2003 – Article 2 (11)

A trial of aviation security measures, where the appropriate authority introduces or simulates intent to commit an unlawful act for the purpose of examining the efficiency and implementation of existing security measures.




INVESTIGATION

X

Doc 30 – 0.1 Definitions

An inquiry into (i) acts of unlawful interference against civil aviation; and (ii) breaches of internationally accepted civil aviation security measures, standards and recommended practices.



Guidance material: Annex R

2.1 Objectives

a) to establish:…. b) to recommend ….

QC Reg. …/2003 – Article 2 (6)

An examination of a security incident and an explanation of its cause in order to avoid recurrence and to consider legal action.





TO BE CONDUCTED BY ICAO / ECAC / EC


ICAO

ECAC

EC


BASIS

- Assembly Resolution A33-1

- Conclusions and recommendations of the High-level, Ministerial Conference on Aviation Security, 19-20 February 2002

- Third meeting of the Council’s 166th Session
“an ICAO Aviation Security Plan of Action, which includes regular, mandatory, systematic and harmonized audits to enable the evaluation of aviation security in all ICAO Contracting States…”


105th DGCA meeting (adopted the ECAC AVSEC Audit Programme)


Reg. 2320/2002 – Article 7 (2)

Beginning 6 months after the entry into force of the provisions of this Regulation in accordance with Article 12, the Commission shall conduct, in cooperation with the appropriate authority referred to in Article 5(2), inspections, including inspections of a suitable sample of airports, to monitor the application by Member States of this Regulation. Such inspections shall take into account the information obtained from national civil aviation security quality control programmes, in particular audit reports. The procedures for conducting such inspections shall be adopted in accordance with the procedure referred to in Article 9(2).




AUDIT

(ICAO / ECAC)




Security Audit Reference Manual – Provisional edition; Doc 9807; par. 1.5

A systematic and objective review of a State’s aviation framework to verify compliance with Annex 17 Standards


- National level

- Airport level


ECAC AVSEC Audit Programme – Audit methodology

Objectives:

- to assess the implementation of Doc 30 recommendations at airports;

- to identify areas of needed improvement and provide Appropriate Authorities with advice and technical expertise; etc.


- Airport level

Draft CI Reg. …/2003 – Article 2(4)

An examination by inspectors mandated by the Commission of existing quality control controls and aviation security measures, procedures and structures to determine the compliance with Regulation (EC) No 2320/2002. A test may be part of this examination.

- National level

- Airport level



INSPECTION

(EC)





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