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Doc 9807. Edition 3
Last modified:1/1/2021
Universal Security Audit Programme Continuous Monitoring Manual
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Approved by and published under the authority of the Secretary GeneralINTERNATIONAL CIVIL AVIATION ORGANIZATIONDoc 9807Universal Security Audit ProgrammeContinuous Monitoring ManualThird Edition, 2021
Approved by and published under the authority of the Secretary GeneralINTERNATIONAL CIVIL AVIATION ORGANIZATIONDoc 9807Universal Security Audit ProgrammeContinuous Monitoring ManualThird Edition, 2021
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, 2004 Second edition, 2016 Third edition, 2021 Doc 9807, Universal Security Audit Programme Continuous Monitoring Manual Order Number 9807-3 ISBN 978-92-9265-229-6 ICAO 2021 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 Entered by
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Table Of Contents
COVER PAGE
AMENDMENTS
FOREWORD
TABLE OF CONTENTS
GLOSSARY
CHAPTER 1. INTRODUCTION
1.1. PURPOSE
1.2. REFERENCES
CHAPTER 2. THE ICAO UNIVERSAL SECURITY AUDIT PROGRAMME (USAP)
2.1. BACKGROUND
2.2. TRANSITION TO A CONTINUOUS MONITORING APPROACH (CMA)
2.3. USAP-CMA PRINCIPLES
2.4. CRITICAL ELEMENTS (CES)
2.5. AUDIT AREAS
2.6. STATE’S AVIATION SECURITY PERFORMANCE
CHAPTER 3. THE CONTINUOUS MONITORING APPROACH (CMA)
3.1. USAP-CMA OBJECTIVE
3.2. USAP-CMA PROCESS
3.3. PRIORITIZATION OF STATES
3.4. DETERMINATION OF A STATE-SPECIFIC USAP-CMA AUDIT
3.5. MEASURING STATES’ AVIATION SECURITY PERFORMANCE AND PROVIDING RECOMMENDATIONS
3.6. EVALUATING IMPLEMENTATION OF STATES’ CORRECTIVE ACTION PLANS
3.7. MONITORING STATES’ AVIATION SECURITY PERFORMANCE
CHAPTER 4. USAP-CMA TOOLS
4.1. USAP-CMA PROTOCOL QUESTIONS (PQS)
4.2. STATE AVIATION SECURITY ACTIVITY QUESTIONNAIRE (SASAQ)
4.3. COMPLIANCE CHECKLISTS (CCS)
CHAPTER 5. PROGRAMME MANAGEMENT
5.1. GENERAL
5.2. MEMORANDUM OF UNDERSTANDING (MOU)
5.3. ROLES AND RESPONSIBILITIES OF ICAO
5.4. ROLES AND RESPONSIBILITIES OF MEMBER STATES
5.5. ROLES AND RESPONSIBILITIES OF REGIONAL AVIATION SECURITY OVERSIGHT ORGANIZATIONS
5.6. PLANNING AND SCHEDULING
5.7. PROGRAMME RECORDS
5.8. PROGRAMME QUALITY MANAGEMENT
5.9. CONFIDENTIALITY
5.10. LANGUAGE
5.11. RESOLUTION OF DISPUTES
CHAPTER 6. USAP-CMA AUDIT TEAMS
6.1. USAP-CMA AUDIT TEAM COMPOSITION
6.2. TRAINING AND CERTIFICATION OF AUDITORS
6.3. TEAM LEADERS
6.4. TEAM MEMBERS
6.5. COMPETENCIES
6.6. AUDITING PRINCIPLES
6.7. CODE OF CONDUCT
CHAPTER 7. USAP-CMA AUDIT PHASES AND PROCEDURES
7.1. PREPARATION PHASE
7.2. CONDUCT PHASE
7.3. SIGNIFICANT SECURITY CONCERN (SSEC)
7.4. REPORTING PHASE
APPENDIX A. GENERIC MEMORANDUM OF UNDERSTANDING (MOU)
APPENDIX B. CRITERIA FOR CERTIFICATION AS AN ICAO USAP-CMA AUDITOR
APPENDIX C. ICAO CODE OF CONDUCT AND DECLARATION OF INDEPENCE FOR USAP-CMA AUDITORS
APPENDIX D. ROLES AND RESPONSIBILITIES OF THE NC AND THE TL
APPENDIX E. AUDIT BRIEFINGS OUTLINE
APPENDIX F. STATE-SPECIFIC USAP-CMA AUDIT PLAN
APPENDIX G. GUIDANCE FOR STATES ON DEVELOPING CAPs