5.10.1 Evidence will be collected through interviews, reviewing relevant materials, and observing activities and conditions in the State’s aviation system. Findings will be recorded with a clear indication of how and why they were made. Absence of evidence will normally be reflected as a finding. Each audit finding should have a corresponding recommendation requiring the State to propose an action for the resolution of the safety concern addressed by the finding.
5.10.2 After the on-site audit activities are completed, the audit team will review all audit findings and recommendations to ensure that they reflect objectivity and address at least one of the eight critical elements. The audit team will ensure that the findings and recommendations are documented in a clear, concise manner and are supported by evidence. Audit findings may also be discussed during the daily team briefing session.
5.10.3 To assist the State in finding early solutions to shortcomings identified, ICAO safety oversight auditors may provide information on findings and recommendations to their State counterparts on a daily basis.
5.10.4 Visits to selected air transport operators, airports, accident investigation establishments, manufacturing companies, maintenance organizations, training schools and institutes, air traffic service providers, etc. may be undertaken to verify the State’s capability to oversee and supervise safety-related aviation activities.
5.10.5 By checking records, not only those of the State aviation authorities but also those of the industry, and by looking into how the industry conducts its business in aspects related to safety, the audit team will be able to assess whether the State aviation authorities are capable of undertaking their safety oversight responsibilities effectively. At no time, however, is it expected to audit the industry nor to take or propose action which could interfere with the conduct of business in the industry.
5.10.6 The mandate to audit the capabilities of the civil aviation system only allows that visits to the industry be conducted in the company of the State authorities and on the basis of the specific State audit work programme already agreed upon. These visits do not constitute an audit of the aviation industry, but are part of the on-site audit of the State and are required to assist the audit team in determining the State’s safety oversight capability.
5.10.7 Safety concerns which may be identified during a visit to industry can only be identified as a finding on the State civil aviation system and not on the industry visited.
5.10.8 Audits may result in raising the awareness and interest of several aviation bodies, some of which may request interviews with the audit team. Interviews with organizations other than the relevant State authorities and related organizations, such as the media, unions or other bodies, shall not be accepted.
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(30)
