5.16 POST-AUDIT ACTIVITIES
Post-audit action commences following the closing meeting with State authorities and the provision of draft findings and recommendations. This phase of the audit process starts with the preparation and submission of the interim safety oversight audit report and culminates with the publication of the final safety oversight audit report on the ICAO website.
5.16.1 ICAO’s responsibilities during this phase are the timely preparation and submission of the relevant audit reports and comments on the State corrective action plan.
5.16.2 Audited State’s responsibilities include the development of a corrective action plan and implementation of the action plan as scheduled and the provision of comments on the relevant ICAO safety oversight audit reports leading to the publication of the final safety oversight audit report.
5.16.3 SOA will maintain a status-of-implementation record of accepted corrective actions. States are required to provide update information as corrective actions are completed, so that the status report can be kept current and a State’s progress on resolving its deficiencies can be monitored by SOA.
5.16.4 If deemed necessary, technical officers from ICAO Regional Offices may conduct an assessment of the progress made in the implementation of the State action plan, as part of a Regional Office mission to the State. Such an assessment can only be conducted after a reasonable period has passed for the implementation of specific State corrective action plans.
5.17 CRITERIA FOR SCHEDULING STATES FOR AN ICAO AUDIT
States will be scheduled for an audit based on the criteria approved by the Council, on the proximity of other States scheduled for an audit, and on the language to be used.
5.17.1 The ICAO annual audit plan will be established in accordance with criteria approved by the ICAO Council. Adjustments to the order will be considered by SOA in order to improve efficiency by taking into consideration issues such as proximity of States to be audited, languages to be used, etc., which could significantly reduce the cost of conducting an audit.
5.17.2 The following priority criteria have been approved by the ICAO Council: a) the expressed urgency to audit a particular State; b) requests of Contracting States to be audited; c) level of reported compliance with Annex SARPs as contained in the Compliance
Checklists applicable to all safety-related Annexes; d) whether an organizational structure to provide oversight has been established in the
State; e) whether a safety management system has been established in the State; f) level of aviation activity; g) aircraft accident and incident rate; and h) regional balance.
5.18 AUDIT TEAM LEADER’S MISSION REPORT
ICAO audit team leaders will prepare a separate report for each State mission, describing the conduct of the audit, difficulties encountered and proposals to improve the planning and conduct of audits.
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(34)
