4.4 APPROVAL AND CERTIFICATION OF AUDITORS
After successfully completing the safety oversight auditor training course and on-the-job training, auditors must satisfy C/SOA that they have met the requirements as specified in the Safety Oversight Audit Quality Management Systems Procedures — Training (QMSP-016), for conducting ICAO safety oversight audits.
SOA will maintain a current list of the certified and approved safety oversight auditors, which will also contain records of initial and recurrent training and of audits performed by each auditor. Such records will facilitate the assignment of auditors and help determine recurrent training requirements.
4.5 AUDIT TEAMS
An audit team normally consists of a minimum of four team members but this number may be augmented (or reduced) depending on the size and complexity of the State to be audited.
4.5.1 Audit teams will consist of an audit team leader and specialist auditors for the disciplines included in the scope of the audit. An audit team leader may also serve as one of the specialist auditors. The number of auditors in a team depends on the scope, size and complexity of the audit. Whenever required, SOA may appoint additional team members as auditors, observers, advisors or interpreters.
4.5.2 Audit teams will be assigned for each audit and audit follow-up, and although the same auditors may be involved in multi-State audit missions, the team structure may change for each audit.
4.5.3 Prior to the commencement of an audit, the State to be audited will be advised of the audit team’s composition.
4.6 AUDIT TEAM LEADER
C/SOA will, in consultation with TC/SOA, appoint an audit team leader for each audit of a State. The audit team leader assumes responsibility for the conduct and reporting of the audit in accordance with guidance and instructions provided by ICAO, including those found in this manual.
4.6.1 C/SOA will take into consideration qualifications, experience and leadership quality when appointing an audit team leader.
4.6.2 In addition to specific tasks assigned by C/SOA and/or TC/SOA, an audit team leader’s responsibilities may include:
a) preparing the State-specific safety oversight audit plan;
b) coordinating with the Technical Coordinator, the Training and Administrative Coordinator and the Standards and Procedures Officer in matters related to the conduct of the audit;
c) holding an audit preparation briefing for team members prior to the conduct of an audit;
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(23)
