5.11 AUDIT PROTOCOL
ICAO on-site safety oversight audits will be conducted on the basis of the audit protocols in Appendix F of this manual (CD-ROM only). Auditing using a standardized protocol ensures transparency, quality and reliability in the conduct of audits as well as fairness in their implementation.
5.11.1 The audit protocol is a comprehensive checklist, covering all elements of the State’s safety oversight programme subject to audit. In some States, the audit protocol may be limited as a result of the size and complexity of their respective aviation activities. If tailored protocols are deemed to be necessary, the State will be notified and the protocols identified for auditing the State will be indicated in the State-specific audit plan. Nevertheless, depending on on-site situations, the team leader may increase or decrease the protocols to be used. In such events, the State authorities shall be informed of the change and the reason for the change.
5.11.2 The audit protocol is divided into modules specific to the audit areas covered. The audit protocol questions deal with the most relevant critical element of the aspect to be audited, e.g., primary legislation, continued surveillance obligations, etc. Using the validation process described in the audit protocol as guidance, the auditors will be able to determine the State capability for safety oversight.
5.11.3 In exceptional circumstances, an observation may be made that may not have been addressed by the audit protocol; in these circumstances the auditor making the observation will inform the audit team leader and advise the State of the reasons for it. Observations derived under such conditions shall be recorded on the audit finding and recommendation form developed for this purpose.
5.12 AUDIT FINDINGS AND RECOMMENDATIONS
All audit findings and recommendations will be related to one or more of the critical elements for safety oversight and may also indicate whether they reflect compliance with the Chicago Convention and National Regulations, conformance to relevant Annex Standards and/or adherence to Recommended Practices, Procedures for Air Navigation Services (PANS), guidance material and/or recognized good safety practices.
5.12.1 ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need to consider the critical elements for safety oversight (CE). The audit protocols contained in
Appendix F of this manual identify the ICAO SARPs, the related guidance material and the good aviation safety practices that are subject to an ICAO safety oversight audit. The protocols provide the document reference and indicate if it is an Article of the Chicago Convention (CC), an ICAO Standard (STD), a Recommended Practice (RP) or guidance material (GM). Other protocols for consideration are Annex (A), Assembly Resolution (AR), Critical Element (CE), and Circular (CIR).
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(31)
