Doc 9735. Edition 5
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Universal Safety Oversight Audit Programme Continuous Monitoring Manual
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Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 Robert-Bourassa Boulevard, Montral, Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at www.icao.int First edition, 2000 Fourth edition, 2014 Fifth edition, 2023 Doc 9735, Universal Safety Oversight Audit Programme Continuous Monitoring Manual Order Number 9735 ISBN 978-92-9275-121-0 ICAO 2023 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization.
iii AMENDMENTS Amendments are announced in the supplements to the Products and Services Catalogue the Catalogue and its supplements are available on the ICAO website at www.icao.int. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS CORRIGENDA No. Date Entered by No. Date Language Entered by
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Doc 9735. Edition 4. Universal Safety Oversight Audit Programme Continuous Monitoring ManualDoc 9735. Edition 3. Universal Safety Oversight Audit Programme Continuous Monitoring Manual.Annex 1. Edition 14. Personnel LicensingAnnex 6. Part 1. Edition 12. Operation of Aircraft. Part I. International Commercial Air Transport. AeroplanesAnnex 8. Edition 13. Airworthiness of AircraftAnnex 11. Edition 15. Air Traffic ServicesAnnex 13. Edition 13. Aircraft Accident and Incident InvestigationAnnex 14. Vol 1. Edition 9. Aerodromes. Volume I. Aerodrome Design and OperationsAnnex 19. Edition 2. Safety ManagementDoc 7300. Edition 9. Convention on International Civil AviationDoc 7350. THE ICAO SERVICE CODEDoc 9734. Part 1. Edition 3. Safety Oversight Manual. Part A. The Establishment and Management of a State Safety Oversight SystemDoc 9859. Edition 4. Safety Management ManualDoc 10115. Edition 1. Thirteenth Air Navigation Conference. Montréal, 9 – 19 October 2018. ReportDoc 8335. Edition 5. Manual of Procedures for Operations Inspection, Certification and Continued SurveillanceDoc 8335. Edition 6. Manual of Procedures for Operations Inspection, Certification and Continued SurveillanceDoc 9379. Edition 2. Manual of Procedures for Establishment and Management of a State’s Personnel Licensing SystemDoc 9379. Edition 2. Manual of Procedures for Establishment and Management of a State’s Personnel Licensing SystemDoc 9734. Part 2. Edition 2. Safety Oversight Manual The Establishment and Management of a Regional Safety Oversight OrganizationDoc 9770. Annual Report of the CouncilDoc 9806. Edition 1. Human Factors Guidelines for Safety Audits ManualDoc 9842. Programme Budget of the Organization 2005-2006-2007Doc 9854. Edition 1. Global Air Traffic Management Operational ConceptDoc 9862. Annual Report of the Council - 2005 umentation for the Session of the Assembly in 2007Doc 9935. Report of the High-Level Safety Conference 2010, Montréal, 29 March - 1 April 2010Doc 9996. Edition 1. Assembly 37th Session. Montréal, 28 September - 8 October 2010. Legal Commission. ReportDoc 10004. Edition 2019. 2017-2019 Global Aviation Safety PlanDoc 10004. Edition 20202022. 2020-2022 Global Aviation Safety PlanDoc 10015. Financial Statements and Reports of the External Auditor for the Financial Period Ending 31 December 2012Doc 10073. Edition 1. Summary Minutes with Subject Index. Council - 207th Session (15 February - 11 March 2016) (English-only publication)Doc 10161. Edition 1. Global Aviation Safety RoadmapDoc 10162. Edition 1. Manual on Monitoring Implementation of Regional and National Aviation Safety PlansВСЕ ДОКУМЕНТЫDoc 9735 en
Table Of Contents
COVER PAGE
AMENDMENTS
FOREWORD
CONTENTS
DEFINITIONS AND TERMINOLOGY
ACRONYMS AND ABBREVIATIONS
Chapter 1. INTRODUCTION
1.1 PURPOSE
1.2 REFERENCES
Chapter 2. GENERAL INFORMATION
2.1 HISTORY OF THE PROGRAMME
2.2 USOAP CMA OBJECTIVE AND PRINCIPLES
2.3 USOAP CMA IMPLEMENTATION
2.4 USOAP CMA ACTIVITIES
2.5 ELEMENTS OF USOAP CMA
2.6 USOAP CMA OUTCOMES
2.7 STATES’ RESPONSIBILITIES UNDER USOAP CMA
Chapter 3. CONTINUOUS MONITORING APPROACH
3.1 OBJECTIVE
3.2 CONCEPT
3.3 COLLECTION OF SAFETY DATA AND SAFETY INFORMATION
3.4 DETERMINATION OF THE STATE SAFETY PROFILE UNDER USOAP
3.5 PRIORITIZATION AND CONDUCT OF USOAP CMA ACTIVITIES
3.6 OUTCOMES OF USOAP CMA ACTIVITIES
Chapter 4. AUDITS AND VALIDATIONS
4.1 AUDITS
4.2 VALIDATIONS
4.3 SCOPE OF ACTIVITY
Chapter 5. STATE SAFETY PROGRAMME IMPLEMENTATION ASSESSMENT
5.1 OBJECTIVE
5.2 STATE SAFETY PROGRAMME PROTOCOL QUESTIONS
5.3 ASSESSMENT AREAS
5.4 STATE SAFETY PROGRAMME COMPONENTS
5.5 MATURITY LEVELS
Chapter 6. ONLINE FRAMEWORK
6.1 OVERVIEW
6.2 MODULES FOR STATES TO SUBMIT INFORMATION
6.3 MODULES FOR STATES TO OBTAIN INFORMATION
6.4 ADMINISTRATION AND SUPPORT MODULES
Chapter 7. PROGRAMME MANAGEMENT
7.1 GENERAL
7.2 ROLES AND RESPONSIBILITIES OF THE ICAO SECRETARIAT
7.3 ROLES AND RESPONSIBILITIES OF MEMBER STATES
7.4 ROLES AND RESPONSIBILITIES OF RECOGNIZED ORGANIZATIONS
7.5 ROLES AND RESPONSIBILITIES OF REGIONAL SAFETY OVERSIGHT ORGANIZATIONS
7.6 MEMORANDUM OF UNDERSTANDING
7.7 PROGRAMME RECORDS
7.8 PROGRAMME QUALITY MANAGEMENT
7.9 CONFIDENTIALITY
7.10 LANGUAGE
7.11 RESOLUTION OF DISPUTES
Chapter 8. USOAP CMA ACTIVITY TEAMS
8.1 TEAM COMPOSITION
8.2 TRAINING OF AUDITORS, SUBJECT MATTER EXPERTS AND ASSESSORS
8.3 TEAM MEMBERS
8.4 TEAM LEADER AND FOCAL PERSON
8.5 COMPETENCIES
8.6 PERSONAL ATTRIBUTES
8.7 CONFLICT OF INTEREST
Chapter 9. USOAP CMA ACTIVITY PHASES AND PROCEDURES
9.1 PHASES OF USOAP CMA ACTIVITIES
9.2 PREPARATION PHASE
9.3 CONDUCT PHASE
9.4 THE REPORT PRODUCTION PHASE
Appendix A. USOAP CMA ACTIVITY TIMELINES
Appendix B. MEMORANDUM OF UNDERSTANDING (MOU) BETWEEN STATE [LONG NAME] AND THE INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) REGARDING THE UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME CONTINUOUS MONITORING APPROACH (Generic Version)
Appendix D. GUIDANCE FOR STATES ON DEVELOPING CORRECTIVE ACTION PLANS
Appendix F. GUIDELINES FOR NATIONAL CONTINUOUS MONITORING COORDINATORS