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and systematic basis in accordance with the organization’s safety audit programme. Guidance on the
conduct of safety audits is included in Chapter 14.
10.4 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME (USOAP)
10.4.1 ICAO recognizes the need for States to exercise effective safety oversight of their aviation
industries. Thus, ICAO has established the Universal Safety Oversight Audit Programme (USOAP).1 The
primary objectives of USOAP are:
a) to determine the degree of conformance by States in implementing ICAO Standards;
b) to observe and assess the States’ adherence to ICAO Recommended Practices, associated
procedures, guidance material and safety-related practices;
c) to determine the effectiveness of States’ implementation of safety oversight systems through the
establishment of appropriate legislation, regulations, safety authorities and inspections, and auditing
capabilities; and
d) to provide Contracting States with advice in order to improve their safety oversight capabilities.
10.4.2 A first USOAP audit cycle of most ICAO Contracting States addressing Annex 1 — Personnel
Licensing, Annex 6 — Operation of Aircraft and Annex 8 — Airworthiness of Aircraft has been completed.
Summary reports of the audits containing an abstract of the findings, recommendations and the proposed
1. Guidance material is available from ICAO to assist States in preparing for USOAP audits. See the Safety Oversight Audit Manual
(Doc 9735) and the Human Factors Guidelines for Safety Audits Manual (Doc 9806).
10-8 Safety Management Manual (SMM)
State corrective actions are published and distributed by ICAO to enable other Contracting States to form an
opinion on the status of aviation safety in the audited State. Future USOAP audit cycles will use a systemic
approach, focusing on safety-critical SARPs of all safety-related Annexes. The audit findings to date have
revealed many shortcomings in the compliance of individual States with ICAO SARPs.
10.5 REGULATORY SAFETY AUDITS
For some States, the ICAO USOAP audits are the only assessment made of their aviation safety oversight
performance. However, many States do carry out a programme of safety audits to ensure the integrity of
their national aviation system. Audits conducted by a safety regulatory authority should take a broad view of
the safety management procedures of an organization as a whole. The key issues in such audits are listed
below:
a) Surveillance and compliance. The regulatory authority needs to ensure that the required
international, national or local standards are complied with prior to issuing any licence or approval
and that the situation will be maintained for the duration of the licence or approval. The regulator
determines an acceptable means for demonstrating compliance. The organization being audited is
then required to provide documentary evidence that the regulatory requirements can and will be
met.
b) Areas and degree of risk. A regulatory safety audit should ensure that the organization’s SMS is
based on sound principles and procedures. Organizational systems need to be in place to
periodically review procedures to ensure that all safety standards are being continuously met.
Assessments should be made of how risks are identified and how any necessary changes are
made. The audit should confirm that the individual parts of the organization are performing as an
integrated system. Therefore, regulatory safety audits must be of sufficient depth and scope to
ensure that the organization has considered the various interrelationships in its management of
safety.
c) Competence. The organization should have adequate staff that are trained to ensure that the SMS
functions as intended. In addition to confirming the competency of all staff, the regulatory authority
needs to assess the capabilities of personnel in key positions. The possession of a licence granting
specific privileges does not necessarily measure the competence of the holder to perform
managerial tasks. For example, competence as an ATCO may not equate to managerial acumen.
Where there are short-term skills gaps, the organization will need to satisfy the regulator that it has a
viable plan to mitigate the situation as soon as practicable. In addition, the regulator should
determine the senior manager accountable for safety.
d) Safety management. An SMS needs to be in place to ensure that safety issues are managed
effectively and that the organization is generally meeting its safety performance targets.
10.6 SELF-AUDIT
10.6.1 Critical self-assessment (or self-audit) is a tool that management can employ to measure safety
margins. A comprehensive questionnaire to assist management in conducting a self-audit of those factors
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Safety Management Manual (SMM) 安全管理手册(69)
