ICAO Doc 9735 Safety Oversight Audit Manual(25)

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5.1.2 The establishment of standard auditing procedures does not eliminate the need for skilled and experienced judgment by ICAO safety oversight auditors. State-specific situations and the structure of the State civil aviation system will necessarily shape the scope of the safety oversight audits and the manner in which the audit is conducted. This serves as an example of the need for standardization in a qualitative sense, as professional judgment based on proper training and experience must supplement the established auditing standards, without impacting on the desired quality.
5.1.3 The timeline (cycle of the safety oversight audit process) for ICAO and audited State activities following an audit is illustrated in Figure 5-1.

5.2 ANNUAL AUDIT SCHEDULE
ICAO will prepare a 12-month audit schedule identifying the Contracting States to be audited. The schedule will be published bi-annually. A State scheduled for an audit will be notified through the audit plan, at least 12 months prior to the on-site audit. An updated audit schedule will be available to all Contracting States on ICAO-Net website.
The ICAO safety oversight annual audit schedule consists of a fixed programme of audits for a period of 12 months. In line with Assembly Resolution A35-6, States are urged to accept their respective audit schedule contained in the plan and refrain from deferring a scheduled audit as such an action can be detrimental to the effectiveness of USOAP.
5-1
PRE-AUDIT ACTIVITIES
.  
Letter to States advising audit schedule

.  
Audit notification letter to State

.  
Team leader assigned

.  
Signed MOU returned to ICAO

.  
SOA review and analysis of documentation using SOA audit tools

.  
Specific audit protocols selected

.  
State advised on team composition and tentative work programme

.  
Aud it team members’ briefing

(12 months)
–  
12 months or more prior to audit

–  
12 months prior to audit

–  
9 months prior to audit

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minimum 6 months prior to audit

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starting 12 months prior to audit

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3 months prior to audit

–  
2 months prior to audit

–  
1 day prior to audit

 

ON-SITE ACTIVITIES (Days)
.  
Opening meeting with State authorities

.  
Conduct on-site audit in line with agreed work programme

.  
Daily team briefings and briefing with National Coordinator

.  
Development and compilation of draft safety oversight audit report

.  
Closing meeting with State authorities

 

POST-AUDIT ACTIVITIES
.  
State starts work on corrective action plan
　
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