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New ICAO publication (Doc 9735)

Doc 9735, Universal Safety Oversight Audit Programme Continuous Monitoring Manual. Fifth edition, 2023.

This manual is the main reference document for the ICAO Universal Safety Oversight Audit Programme (USOAP) (hereafter also referred to as the Programme) and is prepared by the Monitoring, Analysis and Coordination (MAC) (formerly Monitoring and Oversight (MO)), the Air Navigation Bureau (ANB), with input from the other sections of ANB and the Regional Offices of ICAO, among others. It describes the concept, principles, policies, procedures and methodology of USOAP, applied from its initial launch in 1999 to its current form. The manual serves not only as guidance manual for Member States, but also as a training manual for all involved in the execution of the Programme.

All USOAP related activities are carried out by the Safety and Air Navigation Oversight Audit Section (OAS) and the Oversight Support Unit (OSU) under the supervision of MAC/ANB.

Since publication of the first edition in 2000 under the title of Safety Oversight Audit Manual (Doc 9735), the manual has undergone four updates in line with the evolution of USOAP. The second edition (2006) and third edition (2011) dealt with the transition to the comprehensive system approach and the continuous monitoring approach, respectively. Notably, the third edition was renamed Universal Safety Oversight Audit Programme Continuous Monitoring Manual. The fourth edition (2014) described the additional tools, processes and guidance implemented to provide further support to the Programme under the continuous monitoring approach.

The fifth edition of Doc 9735 introduces and explains new features added to the Programme since 2013. They include the addition of Annex 19 – Safety Management to USOAP coverage and introduction of State Safety Programme Implementation Assessment (SSPIA) as a new USOAP activity; implementation of the recommendations of the Group of Experts for a USOAP CMA Structured Review (GEUSR); implementation of certain recommendations of the Ad hoc USOAP CMA Advisory Group (USOAP-AG); introduction of new or modified USOAP activities in response to the disruption of the novel coronavirus (COVID-19) pandemic; general programmatic improvements based on State and stakeholder feedback, experience and lessons drawn as well as update stemming from the 41st Assembly of ICAO (27 September to 7-October-2022).

For the readers’ ease of reference, a separate chapter is devoted entirely to the SSPIA.

This edition is published under the authority of the Secretary General and supersedes all previous editions of this manual.


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