3.4.2 Universality
All Contracting States shall be subject to a safety oversight audit by ICAO, in accordance with the principles, processes and procedures established for conducting such audits, and on a basis of the Memorandum of Understanding signed by ICAO and each Contracting State.
3.4.3 Transparency and disclosure
USOAP audits shall be conducted under an auditing process which is fully transparent and open for examination by all concerned parties.
There shall be full disclosure of final audit reports and the reports shall provide sufficient information for Contracting States to make informed determination as to the safety oversight capability of other States.
3.4.4 Timeliness
Results of the audits will be produced and submitted on a timely basis, in accordance with a predetermined schedule for the preparation and submission of audit reports. Contracting States are equally required to submit their comments, action plan and all documentation required for the audit process within the prescribed time.
3.4.5 All-inclusiveness
The scope of the ICAO Universal Safety Oversight Audit Programme under the comprehensive systems approach includes the safety-related provisions contained in all safety-related Annexes, Procedures for Air Navigation Services (PANS), guidance material and related procedures and practices.
3.4.6 In a systematic manner, with consistency and objectivity
ICAO safety oversight audits will be conducted in a systematic, consistent and objective manner. Standardization and uniformity in the scope, depth and quality of audits will be assured through an initial and refresher training of all auditors, the provision of guidance material, and the implementation of an audit quality control system within USOAP.
3.4.7 Fairness
Audits are to be conducted in a manner such that Contracting States are given every opportunity to monitor, comment on, and respond to the audit process, and to do so within the established time frame.
3.4.8 Quality
Safety oversight audits will be conducted by appropriately trained and qualified auditors and in accordance with widely recognized auditing principles and practices.
3.5 AUDITING PRINCIPLES
ISO 19011, from the International Organization for Standardization, provides guidance on the management of audit programmes, the conduct of internal or external audits of quality and/or environmental management systems, as well as on the competence and evaluation of auditors. Four of the most important principles have been selected for USOAP purposes.
3.5.1 In the process of implementing the mandate of ICAO under USOAP, ethics is seen as the philosophical study of moral values and rules, together with the motivation based on the ideas of wrong and right. Ethics with respect to the conduct of USOAP audits is manifested in four ways which are generally considered as the “Foundations of Professionalism.” They are:
a) trust,
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(16)
