ICAO Doc 9735 Safety Oversight Audit Manual(10)

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2.1.1 On 7 June 1995, the ICAO Council approved the ICAO voluntary Safety Oversight Assessment Programme (SOAP) as well as the related mechanism for financial and technical contributions. The Programme was subsequently endorsed by the 31st Session of the Assembly and became operational in March of 1996. The Programme was a voluntary assessment of a State’s implementation of the ICAO Standards and Recommended Practices (SARPs), and audit-related reports were provided only to the assessed States. Other Contracting States were provided with a summary report on differences identified by the audit team.
2.1.2 During the first two years of operation, the ICAO Safety Oversight Assessment Programme detected numerous deficiencies in the establishment of effective safety oversight programmes in Contracting States, raising concern in the Council which recognized the critical need for increased attention to global aviation safety.

2.2 DGCA CONFERENCE
2.2.1 The critical need for increased attention to global aviation safety led to the convening of a conference of Directors General of Civil Aviation (DGCA) in November 1997. These civil aviation leaders from around the world gathered to address the problem identified through the ICAO Safety Oversight Assessment Programme and to develop a strategy for enhancing the global capacity for safety oversight.
2.2.2 The DGCA Conference resulted in unanimous agreement to significantly change the mandate of the safety oversight programme. The Conference made a total of 38 recommendations, the most
significant being: 
a)  that regular, mandatory, systematic and harmonized safety audits be introduced, to 
include all Contracting States and to be carried out by ICAO; 
b)  that greater transparency and increased disclosure be implemented; 
c)  that the programme be expanded to include other technical fields at the appropriate time; 
and 

d) that the ICAO Council ensure the allocation of adequate resources for the implementation of the audit programme.
2-1

2.3 COUNCIL DECISION
2.3.1 Following the 1997 DGCA Conference, the ICAO Council completed a preliminary review of the conclusions and recommendations and instructed the Secretary General to develop and submit to Council an action plan addressing the 38 recommendations of the DGCA Conference. An action plan was subsequently considered by the Council, and the Secretary General was requested to prepare a plan of action containing resource estimates and schedule.
2.3.2 On 6 May 1998, the Council reviewed the action plan submitted by the Secretary General and decided to recommend to the 32nd Session of the Assembly the establishment of an ICAO Universal Safety Oversight Audit Programme.

2.4 ASSEMBLY ENDORSEMENT
2.4.1 The 32nd Session of the ICAO Assembly (September – October 1998) reviewed the recommendations of the Council and adopted Assembly Resolution A32-11 — “Establishment of an ICAO Universal Safety Oversight Audit Programme (USOAP)”.
　
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