1、i. I L.J Doc 9734 ANI959 Safety Oversight Manual Part A The Establishment and Management of a States Safety Oversight System Approved by the Secretary General and published under his authority Second Edition - 2006 International Civil Aviation Organization Copyright International Civil Aviation Orga
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18、-mail: ; World Wide Web: http:/ 11/05 Catalogue of ICAO Publications and Audio-visual Training Aids Issued annually, the Catalogue lists all publications and audio-visual training aids currently available. Supplements to the Catalogue announce new publications and audio-visual training aids, amendme
19、nts, supplements, reprints, etc. Available free from the Document Sales Unit, ICAO. Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Doc 9734 AN1959 Safety Oversight Part A Th
20、e Establishment and Management of a States Safety Oversight System Approved by the Secretary General and published under his authority Second Edition - 2006 I n t e r n a t i o n a I C vi I Av i at i on Or g a n iza t i o n Copyright International Civil Aviation Organization Provided by IHS under li
21、cense with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-AMENDMENTS CORRIGENDA No. Date Entered by 4 The issue of amendments is announced regularly in the ICA0 Journal and in the monthly Supplement to the Catalogue of ICA0 Publications and Audio-visual Traini
22、ng Aids, which holders of this publication should consult. The space below is provided to keep a record of such amendments. L RECORD OF AMENDMENTS AND CORRIGENDA AM END M E N T S Entered by Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo re
23、production or networking permitted without license from IHS-,-,-FOREWORD This manual outlines the duties and responsibilities of ICAO Contracting States with respect to aviation safety oversight. It is directed at high-level Government decision makers, as it highlights States obligations as signator
24、ies to the Convention on International Civil Aviation (Chicago Convention) signed at Chicago on 7 December 1944, and provides information and guidance on the establishment of a States safety oversight system which may be required to fulfil those obligations. The manual confines itself to the paramet
25、ers of a Contracting States overall safety oversight responsibilities, emphasizing the States commitment to safety in respect of the States aviation activity, Several critical elements have been identified as essential parts of a safety oversight system and must be considered for the effective imple
26、mentation of a safety-related policy and associated procedures. The critical elements of a safety oversight system presented in this manual include: - primary aviation legislation; - specific operating regulations; - State civil aviation system and safety oversight functions; - technical personnel q
27、ualification and training; - technical guidance, tools and the provision of safety-critical information; - licensing, certification, authorization and approval obligations; - surveillance obligations; and - the resolution of safety concerns. In accordance with the Convention, a State has complete an
28、d exclusive sovereignty over the airspace above its territory. Nevertheless, on adhering to the Convention, States agree to certain principles and arrangements in order that international civil aviation may be developed in a safe and orderly manner. The safe and orderly development of international
29、civil aviation requires that all civil aviation operations be conducted under internationally accepted minimum operating standards, procedures and practices. That States must collaborate to the highest degree to achieve standardization and harmonization in regulations, rules, standards, procedures a
30、nd practices is thus a requirement of the Convention (Articles 12 and 37 refer). It also follows that a Contracting State should establish and implement a system that enables it to satisfactorily discharge its international obligations and responsibilities to develop and conduct civil aviation in a
31、safe and orderly manner. Implementation of international Standards and Recommended Practices by an ICAO Contracting State must normally be effected under the rule of law promulgated in that State. Thus, as a first step towards discharging its obligations and responsibilities, a State will require an
32、 enactment of a legislative framework referred to as the primary aviation legislation. This legislative framework entails the development and promulgation of civil aviation regulations consistent with the States acceptance of the provisions of the Annexes to the Chicago Convention and the establishm
33、ent of a State entity, namely a Civil Aviation Authority. This legislative Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-(i4 Safety Oversight Manual framework also addresse
34、s the necessary powers to ensure compliance with these provisions, In the development of its primary aviation legislation, the State has the option of adopting provisions that will govern its role in the implementation of the operational regulations. The first edition of this manual, prepared with t
35、he assistance of the Safety Oversight Audit Study Group, addressed safety oversight systems as related to Annex 1 - Personnel Licensing, Annex 6 - Operation of Aircraft and Annex 8 -.Airworthiness of Aircraft. This second edition was developed to address the transition to the comprehensive systems a
36、pproach covering all safety-related provisions in all safety-related Annexes to the Convention. In order to keep this manual relevant and accurate, suggestions for improving it in terms of format, content or presentation are welcome. Any such recommendation or suggestion will be examined and, if fou
37、nd suitable, will be included in the next edition of the manual. Regular revision will ensure that the manual remains both pertinent and accurate. Comments concerning this manual should be addressed to: The Secretary General International Civil Aviation Organization 999 University Street Montral, Qu
38、ebec H3C 5H7 Canada Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-TABLE OF CONTENTS Page Chapter 1 . Introduction 1-1 1 .I Objectives of the manual 1-1 1.2 About the manual
39、 . 1-1 1.3 ICAO reference documents 1-2 1.5 Abbreviations/acronyrns 1-2 1.4 Definitions . 1-2 Chapter 2 . Safety Oversight: An Obligation 2-1 2.1 Safety oversight concept and definition . 2-1 2.2 Overview of ICAO Contracting States responsibilities 2-2 2.3 Overview of States safety oversight obligat
40、ions 2-3 2.4 Balanced approach to control and supervision 2-8 2.5 State commitment to aviation safety 2-10 Chapter 3 . Critical Elements of a Safety Oversight System . 3-1 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 General considerations Primary aviation legislation (CE-1) . Specific operating regulations
41、(CE-2) . State civil aviation system and safety oversight functions (CE-3) Technical personnel qualification and training (CE-4) Technical guidance, tools and the provision of safety-critical information (CE-5) Licensing, certification, authorization and approval obligations (CE-6) Surveillance obli
42、gations (CE-7) . Resolution of safety concerns (CE-$) 3-1 3-2 3-4 3-7 3-11 3-12 3-13 3-16 3-18 Appendix A . References A-1 Appendix B . Definitions . B-1 Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted w
43、ithout license from IHS-,-,-Chapter 1 INTRODUCTION 1.1 OBJECTIVES OF THE MANUAL 1.1.1 This part of the Safety Oversight Manual has been designed to emphasize the obligations and responsibilities for safety oversight of an ICAO Contracting State and to provide information and guidance for government
44、decision makers on the establishment and management of a safety oversight system. Taking into account difficulties encountered by many Contracting States in fulfilling their Convention obligations, the manual highlights the critical elements involved in the establishment of an effective safety overs
45、ight system and provides guidance on resolving difficulties experienced in implementing international Standards and Recommended Practices (SARPs). 1.1.2 In this manual, the term “State” refers to the basic authority that is signatory to the Convention and normally establishes a Civil Aviation Author
46、ity (CAA) and other aviation-related authorities and that also appoints the Chief Executive Officers (CEOs) with powers to exercise authority over civil aviation activities in the State, as established. 1.2 ABOUT THE MANUAL 1.2.1 The legislative obligations, responsibilities and related guidance des
47、cribed in this manual have been derived from various sources, including the Chicago Convention and its Annexes, Procedures for Air Navigation Services (PANS) and guidance material published by ICAO to assist Contracting States in the implementation of the SARPs. ICAO has long been aware of the diffi
48、culties experienced by many Contracting States in this respect and has tried to assist them through its Technical Co-operation Programme and direct Regional Offices and Headquarters involvement. The extent of the difficulties encountered by States in safety oversight has been highlighted as a result of the audits conducted under the ICAO Universal Safety Oversight Audit Programme (USOAP). 1.2.2 A common deficiency identified in the majority of assessed and audited States is a lack of an adequate safety oversight organiz
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