Doc 9735 AN/960
Safety OversightAudit Manual
Approved by the Secretary Generaland published under his authority
Second Edition — 2006
International Civil Aviation Organization
AMENDMENTS
The issue of amendments is announced regularly in the ICAO Journal and in the supplements to the Catalogue of ICAO Publications and Audio-visual Training Aids, which holders of this publication should consult. The space below is provided to keep a record of such amendments.
RECORD OF AMENDMENTS AND CORRIGENDA
AMENDMENTS
No. Date Entered by
CORRIGENDA
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FOREWORD
This manual is one of a series of documents prepared in connection with the ICAO Universal Safety Oversight Audit Programme (USOAP). It provides guidance on standard procedures for the conduct of audits of Contracting States’ safety oversight systems using a comprehensive systems approach. These standard auditing procedures are not Standards forming part of an ICAO Annex in the sense of Articles 37 and 38 of the Convention on International Civil Aviation (Chicago Convention), but have been developed by the ICAO Safety Oversight Audit Section (SOA) for the implementation of USOAP as part of proven industrial management auditing concepts. Standard auditing procedures will ensure that audits are completed consistently and in accordance with a systematic, consistent, objective and internationally accepted process.
The primary objective of this manual is to assist Contracting States and the ICAO audit team members by explaining the standard auditing procedures and audit follow-up actions. Thus, while providing audit team members with standard auditing guidance, it will also benefit States by providing valuable information on the conduct of an ICAO audit and by ensuring transparency.
This manual was initially developed for application in ICAO safety oversight audits commencing in January 1999, in accordance with Assembly Resolution A32-11 of the 32nd Session of the ICAO Assembly (22 September to 2 October 1998) and the decision of the ICAO Council to implement the mandatory ICAO USOAP. Revision of the manual became necessary following a decision taken during the 35th Session of the ICAO Assembly (28 September to 8 October 2004). Assembly Resolution A35-6 called for the transition of the Programme to a comprehensive systems approach for the conduct of safety oversight audits applicable to safety-related provisions in all safety-related Annexes. This Second Edition of the Safety Oversight Audit Manual has been revised to reflect the implementation of the comprehensive systems approach and is published under the authority of the Secretary General.
Comments on this manual would be appreciated from all Contracting States and interested parties. These comments should be addressed to:
The Secretary General International Civil Aviation Organization 999 University Street Montréal, Quebec H3C 5H7 Canada
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