5.5 ASSIGNMENT OF AN AUDIT TEAM
An audit team leader and qualified team members will be assigned by SOA prior to the commencement of an audit.
5.5.1 C/SOA appoints the audit team leader while the Technical Coordinator of SOA (TC/SOA) is responsible for selecting the audit team members. Auditors will be selected from among the appropriately qualified and approved safety oversight auditors certified by SOA. At least one member of the audit team will have command of the ICAO language used by the Contracting State in its communication with ICAO.
5.5.2 Audit team members will be assigned at least six months prior to the commencement of the audit. Although the team may work together for a mission consisting of more than one audit, each audit must have a specific team named to it.
5.5.3 Whether they are regular ICAO staff or auditors temporarily assigned to ICAO, SOA auditors are, for all practical purposes, acting as SOA staff members and are considered international civil servants during their assignment.
5.5.4 States to be audited will be advised of the name of the team leader at least six months prior to the audit and the names of the other audit team members about two months prior to the commencement of the audit.
5.6 REVIEW OF DOCUMENTS AND RECORDS
Prior to the commencement of an audit, the Standards and Procedures Officer (SPO) and the audit team leader will review the contents of the documentation submitted by the State, such as the completed State Aviation Activity Questionnaire (SAAQ), Compliance Checklists and other required documents. Previous audit or assessment results and differences filed by the State and recorded in Annex Supplements will also be reviewed at this time.
5.6.1 The State to be audited shall complete and submit, either in hard copy or on the SOA website, updated versions of the SAAQ and Compliance Checklists applicable to the safety-related Annexes at least 90 calendar days prior to the commencement of the on-site audit. In addition to the completed SAAQ and Compliance Checklists, the State is required to submit documentation (such as its primary aviation legislation and operating regulations) covering personnel licensing, aircraft operations, airworthiness of aircraft, air traffic management, airport certification, accident investigation and prevention, etc. These documents, however, should be submitted at least six months prior to the commencement of the on-site audit.
5.6.2 If possible, the State’s aviation legislation and operating regulations should be submitted in one of the ICAO languages and preferably in English, to facilitate timely analysis.
5.6.3 The assigned SPO shall review received documents for completeness before handing over the audit responsibility to the appointed team leader.
5.6.4 The audit team leader will review the Compliance Checklist and analyse its contents for differences in implementation. This information will be confirmed or updated during the course of the on-site audit.
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(27)
