3.3 AUTHORITY FOR THE AUDIT PROGRAMME
3.3.1 The 32nd Session of the ICAO Assembly endorsed the ICAO Universal Safety Oversight Audit Programme, thus giving authority to the Council to establish the Programme. During the 35th Session of the ICAO Assembly, the Assembly considered the Council recommendation for the continuation and expansion of the ICAO Universal Safety Oversight Audit Programme as of 2005, and resolved (Assembly Resolution A35-6 refers) that the Programme be expanded to cover safety provisions contained in all safety-related Annexes. The Assembly also endorsed the implementation of a comprehensive systems approach for the conduct of safety oversight audits. Assembly Resolution A35-6 further directed the Secretary General to ensure that the comprehensive systems approach maintain as core elements the safety provisions contained in Annex 1 — Personnel Licensing, Annex 6 — Operation of Aircraft, Annex 8 — Airworthiness of Aircraft, Annex 11 — Air Traffic Services, Annex 13 — Aircraft Accident and Incident Investigation, and Annex 14 — Aerodromes; to make all aspects of the auditing process visible to Contracting States; to make the final safety oversight audit reports available; and to provide access to all relevant information derived from the AFDD to all Contracting States. Assembly Resolution A35-6 superseded Assembly Resolution A33-8.
3.3.2 The Chief of the Safety Oversight Audit Section (C/SOA) is responsible for the management of the safety oversight programme and for the conduct of safety oversight audits in accordance with the Safety Oversight Audit Section (SOA) Quality Manual — SOA/QM 9001:2002A.
3.3.3 C/SOA is therefore the convening authority for audits approved by the Secretary General in accordance with the annual audit and follow-up audit plan. C/SOA is authorized to plan and implement the complete process for the conduct of audits, including communicating with State authorities on issues directly related to the audit process, selecting audit team members and assigning the audit team leader to specific audits in accordance with the qualification standards established in the Safety Oversight Audit Manual (Doc 9735). C/SOA is also authorized to sign all audit reports on behalf of the Director of the Air Navigation Bureau (D/ANB).
3.4 PRINCIPLES
(USOAP AND INTERNATIONALLY ACCEPTED AUDITING PRINCIPLES)
The following Programme principles have been developed to guide USOAP activities and have been endorsed by the ICAO Council (C/DEC 170/13 refers):
1) sovereignty
2) universality
3) transparency and disclosure
4) timeliness
5) all-inclusiveness
6) in a systematic manner, with consistency and objectivity
7) fairness
8) quality
Note.— The order of the above list does not imply any priority.
3.4.1 Sovereignty
Every State has complete and exclusive sovereignty over the airspace of its territory. Accordingly, ICAO fully respects a sovereign State’s responsibility and authority for safety oversight, including its decision-making powers with respect to implementing corrective actions related to audit findings.
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本文链接地址：ICAO Doc 9735 Safety Oversight Audit Manual(15)
