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ICAO Representative Protocol Questions (PQs)

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Article Information
Category: USOAP USOAP
Content source: ICAO ICAO
Content control: EUROCONTROL EUROCONTROL

Description

This article contains a list of 114 out of 975 Audit Protocols Questions (PQs)in total. The PQs are developed by the ICAO Secretariat and used for the verification of State's compliance to ICAO Standards and Recommended Practices (SARPS). The PQs enable auditing against the critical elements of a safety oversight system and provide guidance to the auditors on what evidence should be requested and reviewed. They also can be used by States to conduct internal audits.

ICAO safety experts studied the potential for correlating USOAP results and safety performance using calculated accident rates. The in-depth analysis led to the identification of a representative sub-set of 114 protocol questions (RPQs), which maintained the high correlation factor between the LEI (Lack of Effective Implementation) percentage and the accident rate. This important finding could be used by States to better focus their resources and safety improvement efforts and realize the desired reduction of accident rates in a timely and more efficient manner.

For more information see: ICAO USOAP and Safety Performance

List of Representative Protocol Questions


List of Representative Protocol Questions
Rank PQ Number Description
1 4.221 Has the aircraft operations organization developed adequate procedures to ensure that all the necessary requirements are included in the air operator training manual and also reviewed by the authority before granting the AOC or any specific approval of the air operator training programme?
2 8.191 Does the State ensure that aerodrome operators comply with the frangibility and height restriction requirements for equipment or installations located near or on a runway, on the non-graded portion of a runway strip, on precision approach runways, which are obstacles of operational significance?
3 8.361 Does the State require the implementation of a SMS as part of the aerodrome certification process?
4 3.309 How does the State ensure that the original licence is in full compliance with Annex 1?
5 4.127 Has the aircraft operations organization developed adequate procedures for approval of the training manual and minimum equipment list (MEL)/configuration deviation list (CDL) as part of the operator operations manual?
6 2.051 Has the State established a mechanism to ensure that the CAA(s) have sufficient financial resources to meet its national and international obligations related to civil aviation safety oversight?
7 4.123 How does the aircraft operations organization ensure that an applicant for an AOC maintains the validity of its manuals at all times?
8 1.105 Has the State established official inspectorate staff credentials?
9 8.041 Has the State established the capability to retain experienced aerodrome regulatory staff?
10 4.409 Does the aircraft operations organization ensure that a security training programme has been established and approved by the authority before granting the AOC?
11 6.365 Has the State established procedures to entitle accredited representatives to participate, under the control of the IIC, in all aspects of the investigation?
12 4.189 Does the aircraft operations organization ensure that all requirements on the contents of the operations manual, as part of the flight safety documents system, are taken into account, reviewed and implemented by the air operator before granting the AOC or any specific approval?
13 6.367 Does the State, as the State conducting the investigation, allow advisers assisting accredited representatives to participate in an investigation to the extent necessary to make the representatives’ participation effective?
14 5.287 Does the AID review and approve or accept the maintenance control manual as part of the AOC issuance process?
15 5.371 Has the State established the requirements for obtaining a maintenance organization approval?
16 7.539 Has the State made arrangements for the use of SAR units and other available facilities to assist any aircraft or its occupants who are or appear to be in a state of emergency?
17 6.311 Does the State ensure that the up-to-date contact information of aircraft accident investigation authorities in other States is made available to the relevant personnel?
18 4.371 Has the State established appropriate penalties for violations relating to the transport of dangerous goods?
19 8.303 In determining the level of the RFF services, does the State’s requirement adhere to the provision of Annex 14, Vol. I, RP 9.2.4?
20 6.105 Has the State established a process for funding the accident investigation authority to investigate accidents which fall into its area of responsibility?
21 5.441 Has the AID developed a formal inspection policy/procedure to be used by airworthiness inspectors for conducting inspections of AOC holders and AMOs?
22 6.323 Is the format and content of the notification clear and concise, prepared in one of the ICAO working languages, taking into account the language of the recipient(s), and does it contain all available information?
23 8.225 Does the State ensure that aerodrome operators mark permanent and temporary movement area closures and meet location and characteristic specifications?
24 7.485 Does the SAR services system include a legal framework, a responsible authority, organized available resources, communication facilities and a workforce skilled in coordination and operational functions?
25 4.023 Has the State established and documented procedures for coordination on certification, licensing and approval activities with other relevant areas such as airworthiness of aircraft and/or personnel licensing?
26 7.247 Does the State ensure that flight inspections of instrument flight procedures, including obstacle checks, are carried out?
27 4.453 Does the aircraft operations organization maintain individual records for each air operator to enable the possibility of tracing past deficiencies or lack of regulations compliance?
28 5.445 What actions are taken if deficiencies identified during the inspection of an air operator or AMO are not rectified in a reasonable time?
29 4.201 Does the aircraft operations organization ensure that the operator has nominated a post holder responsible for the development and establishment of the accident prevention and flight safety programme and his/her functions and responsibilities are clearly defined and documented in the flight safety documents system?
30 6.007 Does the legislation or regulations require accidents and incidents within the State to be notified to the accident investigation authority?
31 4.441 Has the aircraft operations organization developed a formal inspection policy/procedures to be used by operations inspectors for conducting inspections of AOC holders?
32 6.371 Does the State, as a State conducting an investigation, permit the participation of experts of States which have special interest in an accident by virtue of fatalities or serious injuries to its citizens as per paragraph 5.27 of Annex 13?
33 7.403 Does the State ensure that the entity providing the aeronautical telecommunication service has developed a training programme for its technical staff?
34 7.031 Does the State ensure that an organizational structure of ANS with clearly defined lines of accountability and responsibility with respect to the provision of services is established?
35 4.449 If deficiencies are identified during the conduct of inspections, what actions are taken by the aircraft operations organization or the authority?
36 6.203 Does the investigation authority provide adequate communication means and transportation means to enable the conduct of investigations?
37 6.107 Has the State established a process for supplementary funding of accident investigations when required (major accidents)?
38 7.131 Does the State ensure that policies and procedures are established and implemented for coordination between ATS and other entities?
39 6.209 Is the investigation office adequately supplied with the required documents to effectively accomplish its functions and responsibilities?
40 7.515 Has the State designated as SAR units, elements of public or private services suitably located and equipped for SAR operations?
41 8.273 How does the State ensure that aerodrome operators implement the requirements of objects on runway strips?
42 8.319 How does the State ensure that there are sufficient trained personnel to operate all the necessary RFF equipment at maximum capacity, meet the minimum response times and maintain continuous agent application at the appropriate rate?
43 3.119 Does the CAA have a system for the maintenance of training records for its technical staff?
44 6.341 Has the State adopted the definitions listed in Chapter 1 of Annex 13?
45 7.363 Has the State made available to users all charts which are applicable in the State?
46 8.105 Has the State established a procedure for the amendment of an aerodrome certificate?
47 7.523

Has the State arranged for all aircraft, vessels and local services and facilities which do not form part of the SAR organization to cooperate fully with the latter in SAR and to extend any possible assistance to the survivors of aircraft accidents?

48 7.519 Does the State permit, subject to such conditions as may be prescribed by its own authorities, entry into its territory of SAR units of other States for the purpose of searching for the site of aircraft accidents and rescuing survivors of such accidents?
49 7.087 Does the State ensure that the service provider responsible for ATS has developed a training programme, including refresher training, for its ATS staff?
50 4.447 Is there a coordination associated with the surveillance policy and programme involving different departments or directorates of the authority (transportation, finances, legal, operations, personnel licensing, inspections reports, airworthiness, etc.)?
51 8.325 With regard to requirements for runway overlay specifications, does the State require that procedures for the return of a runway to operational status be addressed?
52 8.203 Does the State ensure that an aerodrome operator’s plan for lighting, signs and markings meets national requirements for individual elements?
53 6.433 Are preliminary reports submitted in one of the working languages of ICAO?
54 7.159 Does the State ensure that ATC contingency procedures are established for: 1. Radio communication contingencies 2. Emergency separation 3. Short-term conflict alert (STCA) 4. Minimum safe altitude warning (MSAW)?
55 4.137 Does the aircraft operations organization ensure that an operator has established procedures for the retention of flight recorder records and flight recorders in safe custody pending their disposition as determined in accordance with Annex 13?
56 5.217 Does the State ensure that information on faults, malfunctions and defects for aircraft registered, being operated or receiving maintenance under an approval issued by the State is transmitted to the organization responsible for the type design?
57 8.311 How does the State ensure the implementation of requirements for minimum response times by the RFF services?
58 8.151 Does the State ensure that aerodrome operators provide contact information for the removal of disabled aircraft?
59 7.525 Has the State designated a SAR point of contact for the receipt of Cospas-Sarsat distress data?
60 7.393 Does the State ensure that requirements for flight inspection are established and periodical flight inspections are provided for navigational aids?
61 7.303 Does the State ensure that AIS service providers develop a training programme for AIS technical staff?
62 8.113 As part of the certification process, does the State use the aerodrome manual as a key safety assurance document to assess both initial and continuing organizational competence?
63 4.335 Has the State designated and specified to ICAO the appropriate authority responsible for the transport of dangerous goods by air?
64 8.185 Does the State ensure that aerodrome operators comply with regulatory requirements for the lighting of security fences and barriers?
65 5.377 Has the AID issued AMO certificates in accordance with the established requirements and procedures?
66 8.291 Does the State require aerodrome operators to establish emergency plans, including appropriate cooperation and coordination with other entities involved in the provision of emergency services and the development of the plans?
67 7.221 Has the State established a flight procedures design office or entity to oversee the process of development and maintenance of visual and instrument flight procedures?
68 6.349 Has the State established procedures for the immediate initiation of an investigation through the designation of an IIC and the appointment of an investigation team, as necessary?
69 5.103 Is there a technical library available for airworthiness inspectors or another method to ensure receipt, control and distribution of the necessary technical documentation?
70 8.141 Has the State established guidance for calculating the declared distances, to the specified accuracy, for runways intended for use by international commercial air transport?
71 8.409 How does the State enable the exchange of safety information across the aerodrome industry?
72 5.183 Has the State developed procedures and checklists for the issuance/renewal of a certificate of airworthiness?
73 7.085 Does the State ensure that the service provider responsible for ATS has developed policies and procedures to enable recruitment and retention of adequately qualified and experienced ATS staff?
74 1.055 Has the State established a policy and procedures for enforcement?
75 5.107 Are airworthiness inspectors provided with adequate guidance material and procedures to effectively carry out their duties and responsibilities?
76 7.255 Does the State ensure that PANS-OPS service providers retain all procedure design documentation so as to allow any data anomalies or errors found during the production, maintenance or operational use of the procedure to be corrected?
77 7.467 Does the State ensure that the MET authority, in coordination with the ATS authority, has established the criteria for special observations?
78 7.201 Has the State established criteria as a basis for procedure design in accordance with ICAO PANS-OPS provisions?
79 8.321 Does the State require and ensure that the aerodrome has adequate plans for the removal of disabled aircraft, including arrangements for coordinators to be designated, the rapid availability and deployment of salvage and removal equipment between aerodromes, and the protection of evidence, custody and the removal of aircraft in accordance with Annex 13?
80 4.141 Has the aircraft operations organization developed adequate procedures to ensure that an operations manual is organized with an adequate structure, as provided for in Appendix 2 of Annex 6, Part I?
81 4.121 Does the aircraft operations organization ensure that an applicant for an AOC has established and maintains a flight safety documents system?
82 8.133 Has the State established effective coordination between aerodromes/heliports and AIS?
83 3.155 Are personnel licensing staff provided with adequate guidance material and procedures to effectively carry out their functions?
84 7.227 Has the State established general criteria and developed adequate procedures for the establishment of aerodrome operating minima?
85 7.017 Has the State established a procedure for the formulation and distribution of guidance material on civil air navigation regulations to ANS providers and operators?
86 8.229 Do the regulatory requirements for apron markings take account of the clearances specified in Annex 14, Vol. I specifications?
87 7.455 Does the State ensure that the entity providing the MET service has established a training programme for its technical staff?
88 6.315 Has the State established a process to deal with notifications of accidents and incidents during office hours as well as out of office hours?
89 7.003 Has the State developed and promulgated legislation/regulations to ensure that air navigation services (ANS) called for under Article 28 of the Chicago Convention are provided adequately and safely?
90 8.405 Does the renewal or continuance of aerodrome certificates depend on the satisfactory outcome of such regulatory inspections?
91 5.055 Does the AID have a system for the maintenance of training records for its technical staff?
92 8.155 Does the AID have a system for the maintenance of training records for its technical staff?
93 4.059 Does the aircraft operations organization have a system for the maintenance of training records for its technical staff?
94 6.111 Does the State have its own appropriately qualified personnel identified and charged with aircraft accident investigation duties?
95 5.421 Has the State developed guidelines for qualification procedures for specialized maintenance activities such as welding of aeronautical products and non-destructive testing (NDT)?
96 8.091 Do aerodrome certification staff track compliance with the certification requirements using appropriate checklists?
97 4.125 Has the aircraft operations organization developed adequate procedures to review, accept or approve, as applicable, the contents of the applicant’s operations manual?
98 5.163 Has the State, as a State of Registry, developed procedures for the granting or validation of noise certification?
99 5.333 Is the AID involved in the review and approval process of specific operating provisions issued in conjunction with an AOC such as MEL, ETOPS and RVSM approvals?
100 4.131 Does the State require that its operators maintain up-to-date and sufficient documentation concerning flight data recorder (FDR) parameter allocation, conversion equations, periodic calibration and other serviceability/maintenance information and ensure their availability to accident investigation authorities?
101 4.165 Does the aircraft operations organization ensure that the aircraft operating information contains an approved MEL/CDL for the aeroplane types operated and specific operations authorized?
102 7.265 Has the State established a distinct separation between the regulatory body and the entity providing the aeronautical information service?
103 8.101 Does the aerodrome certificate issued by the State contain appropriate information, including the type of use of the aerodrome?
104 7.091 Does the State ensure that the service provider responsible for ATS has developed procedures to ensure the continued competency of air traffic controllers on new equipment, procedures and updated communications?
105 4.001 Has the State developed and promulgated operating regulations to enable the State to implement the provisions of ICAO Annex 6?
106 6.501 Has the State established a mandatory incident reporting system to facilitate the collection of information on actual or potential safety deficiencies?
107 6.013 If there are in the State any judicial or administrative proceedings which apportion blame or liability, are they separate from any investigation conducted under the provisions of Annex 13?
108 8.335 How would the State mitigate against an increase or potential increase in the bird strike hazard due to land-use development likely to attract birds around an aerodrome?
109 5.447 Has the CAA developed procedures and checklists for the conduct of ramp inspections?
110 8.251 Does the State require the establishment of maintenance programmes at all aerodromes in the interests of safety, efficiency and regularity of aircraft operations?
111 7.057 Have job descriptions been developed for technical staff and key management personnel of the ATS inspectorate?
112 7.187 Has the State established and implemented a system for reporting ATC incidents?
113 6.035 Does the State have a means to re-open an investigation if new and significant evidence becomes available?
114 4.337 Does the authority have one department or one or more officials nominated to administer the dangerous goods programme and to respond to queries from air operators and shippers?

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