1、Doc 9899, A36-TE ASSEMBLY 36th SESSION Montreal, 18-28 September 2007 TECHNICAL COMMISSION Report Approved by the Technical Commission of the Assembly and published by authority of the Secretary General INTERNATIONAL CIVIL AVIATION ORGANIZATION Copyright International Civil Aviation Organization Pro
2、vided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Doc 9899, A36-TE ASSEMBLY 36th SESSION Montreal, 18-28 September 2007 TECHNICAL COMMISSION Report Approved by the Technical Commission of the Assembly and published by authority of
3、the Secretary General INTERNATIONAL CIVIL AVIATION ORGANIZATION Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Published in separate English, Arabic, Chinese, French, Russia
4、n and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 University Street, Montreal, 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 lCAO Doc 9899, Report of the Technical Co
5、mmission Order Number: 9899 ISBN 978-92-9231 -278-7 O ICAO 2009 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any fom or by any means, without prior permission in writing from the International Civil Aviation Organization. Copyrigh
6、t International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-ASSEMBLY - 36TH SESSION MONT shift to a proactive and predictive risk-based safety regime; effective incident and accident investigati
7、on; and coordination of effective strategies and actions with all stakeholders. 8:4 The Secretary stated that the proposed budget would continue to support the ICAO Universal Safety Oversight Audit Programme and that the Organizations emphasis should be placed on resolving safety-related deficiencie
8、s discovered during the audits. To address the need to shift to a more proactive and predictive risk-based regime, the budget would need to continue to build upon the successful safety management programme by way of expansion of the requirements, updated guidance material and continued cooperation w
9、ith States. 8:5 It was pointed out that the continued traffic growth and the public and political demand to safely increase the capacity of the global air navigation system had placed significant pressure on ICAO to assist the regional planning and implementation groups and Contracting States in mee
10、ting their objectives of fitting more airplanes into the crowded sky. The Commission was advised that the efficiency activities were organized along three key outcome areas: a) optimizing airspace and route structures; b) improving aerodrome efficiency and capacity; and c) improving system efficienc
11、y through sharing of information and the development of collaborative decision making tools and techniques. 8:6 The Secretary pointed out that efforts to ensure the continuity of international civil aviation also demanded that ICAO continue to meet the most pressing needs of the international civil
12、aviation community during times of crises, whether pandemics or wars, and that the challenge for ICAO would be to minimize and, if possible, prevent disruptions to aviation operations. To achieve this, the main activities would be towards helping States resolve disagreements, cooperating with other
13、international organizations to prevent the spread of communicable disease by air, and mitigating the effects of any disruptions through contingency plans. Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted
14、without license from IHS-,-,-8:7 The Secretary stated that there would be many other issues that would arise and would be impossible to predict in a budget that spans a triennium. Some flexibility in the triennial budget would be necessary; however any significant new task would have to be covered b
15、y extra budgetary resources or reprioritization of the work programme. 8:8 The Secretary thanked those States and international organizations that had offered seconded staff to the Organization. She expressed how such arrangements benefited both the donors and ICAO. She invited more States and inter
16、national organizations to provide more seconded staff in the future. 8:9 The Commission noted, without comment, the Safety, Efficiency and Continuity elements of the Draft Budget of the Organization for 2008,2009 and 2010. 8: 10 The Technical Commission agreed to forward relevant parts of the propos
17、ed budget of the Organization for 2008,2009 and 2010. Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Agenda Item 25: Follow-up of the DGCAl06 Conference on a Global Strategy
18、 for Aviation Safety Implementation of the DGCAl06 Recommendations 25: 1 The Commission reviewed A36-WPl63 presented by the Council, with its addendum containing a progress report on actions being taken on the recommendations of the Directors General of Civil Aviation Conference on a Global Strategy
19、 for Aviation Safety (DGCAl06), held in 2006. The WP provided information on the implementation of recommendations directed to States and outlined the follow-up action on recommendations addressed to ICAO. Addendum 1 to A36-WPl63 outlined the future work of the Council on the review of ICAO Annex pr
20、ovisions structure and development process, including safety critical Standards. The Commission noted the information provided in A36-WPl63. ICAO Standards, Recommended Practices and Procedures 25:2 The Commission considered A36-WPl50 presented by Portugal, on behalf of the European Community and it
21、s Member States, by the other States Members of the European Civil Aviation Conference, and by EUROCONTROL. MI50 recalled that the ICAO Universal Safety Oversight Audit Programme (USOAP) had raised awareness of the problems faced by many States in attempting to comply with their obligations under th
22、e Chicago Convention. It discussed the complexity of the Annex provisions structure and Standards and Recommended Practices (SARPs) system and offered suggestions for future work, based on a draft Resolution for adoption by the Assembly. 25:3 The Commission reviewed A36-WPl239 presented by the Kingd
23、om of Saudi Arabia and the Member States of the Arab Civil Aviation Commission (ACAC). The paper proposed a review of the procedure for adopting International SARPs. It called upon the Council to develop a mechanism that allows a wider participation of the Contracting States so that they can express
24、 views regarding amendments proposed to the Annexes of the Chicago Convention. The paper also proposed the adoption of a basic methodology for introducing substantive modifications to the international civil aviation system. 25:4 The Commission considered A36-WPl246 by the Civil Air Navigation Servi
25、ces Organization (CANSO). The paper also discussed the complexity of the present SARPs and made several suggestions. In view of the trend in many States to separate air navigation service provision from the regulatory oversight function, there was a greater need for collaboration between the regulat
26、ory community and regulated industry in the development and implementation of SARPs. The paper stated that ICAO SARPs should provide a basis for industry to elaborate and collaborate on how the application of those SARPs will be expressed in technical Standards. 25:5 Some delegates considered that t
27、he setting of International Standards by the industry, as proposed in A36-WPl246, could disadvantage some States as the process used by industry does not follow the ICAO process of worldwide consultation. The Commission agreed that the adoption of International Standards under the Convention on Inte
28、rnational Civil Aviation remains the responsibility of ICAO. 25:6 The Commission, noting the future work of the Council on the review of the Annex provisions structure and development process as presented in the Addendum 1 to A36-WP/63, felt that Copyright International Civil Aviation Organization P
29、rovided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-the ideas raised during the discussion and in the working papers, notably A36-WPl50,. A36-WP239 and A36-WPl246, would be very useful for the Council to advance its work. In partic
30、ular, the Commission urged the Council to take account of the draft resolution proposed in A36-WPl50, the key proposals of which were: a) to identify key risks and define mitigating measures which should form the basis of future USOAP audits and from which filing of differences should be permissible
31、 only in exceptional circumstances; b) to place more detailed, technical provisions in attachments or related guidance material; and c) to revise the existing Annex structure in order to reduce its complexity and make clearer the purpose of the different SARPs. 25:7 The Commission felt that these pr
32、oposals might form part of amended terms of reference for the review of Annex provisions and amendment process. However, several delegates expressed doubts on the need to establish a new Annex on safety oversight. It was suggested that an alternative would be to include safety oversight provisions i
33、n relevant Annexes in a manner similar to what had already been done in Annex 6. It was also suggested that an independent review of the Standards making process be undertaken including a comparison with other international organizations. 25:8 In agreeing with the course of action above, the Commiss
34、ion noted that the resource requirement for this additional work would need to be considered by the Council. Managing Compliance with ICAO SARPs 25:9 The Commission noted the information contained in A36-WPJ245 presented by the Republic of Korea. The paper described the development and functions of
35、a database tool to track and manage ICAO SARPs implementation. The tool is provided free of charge to other States and could benefit from an interface with the Universal Safety Oversight Audit Programme database. The Secretary indicated that additional resources would be required to adapt the softwa
36、re application to be interoperable with ICAO applications, such as the upcoming electronic system for notification and reporting of differences, and that support by Contracting States in this regard would be welcomed. Sharing of Safety Information 25:lO The Commission was presented with A36-WPl201 b
37、y Colombia, which emphasized the importance of the DGCA/06 Conclusion 211 d), referring to the sharing of airworthiness infonnation. The Commission noted that ICAO now had the resources to conduct the feasibility study of establishing a database application for Contracting States to share airworthin
38、ess information. The Commission also noted the proposal by Colombia that States contribute experts, if possible, to assist in this work. ICAO Safety Evaluations/Audits of International Air Operators 25:ll The Commission considered A36-WPl89 presented by the United States. WPl89 discussed the aspect
39、of Recommendation 215 of the DGCA Conference to provide direct assistance, using a pool of international inspectors and safety experts, to non-compliant States and to their international air operators. The latter role to assist operators would involve safety evaluations/audits of these operators so
40、Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-that, if the results were satisfactory, such operators would not face restrictions by other States, due to the shortcomings of
41、 their own States safety oversight. WP/89 stated that such a role would detract fiom foreign air operator oversight; moreover, ICAO would dilute its own efforts to assist States, if it would assume a new and inappropriate role that must instead be performed by Contracting States in their roles as St
42、ates of the Operator. The Commission agreed that ICAO should not engage further in the study on direct assistance to air operators. 25: 12 The Commission noted A36-WP/56, presented by the Interstate Aviation Committee. Copyright International Civil Aviation Organization Provided by IHS under license
43、 with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Agenda Item 26: Recognition of certificates and licences issued by other States Recognition of certificates and licences issued by other States 26: 1 The Commission considered A36-WP113, A36-WPl124 presented
44、 by Pakistan and A36-WPl248 presented by Australia. 26:2 A36-WPl13 presented by the Council, outlined issues associated with the recognition of Air Operator Certificate (AOC) and those associated with the foreign operations. The paper included a draft Assembly Resolution on State recognition of the
45、AOC of foreign operators and the surveillance of their operations. The surveillance of foreign operators is a State responsibility. The proposed Resolution reminded States of the need of such a surveillance, for which States should establish requirements and procedures as well as a process for takin
46、g action when necessary to preserve safety. As a further safety measure, States were urged to include a clause on aviation safety in their bilateral agreements on air services. The proposed Resolution also urged States to establish operational requirements governing the admission of foreign air oper
47、ators within their territories, taking into account their impact on the orderly development of international civil aviation, and the associated cost and burden. 26:3 The Commission noted that there had been a proliferation of new requirements under which operators from a State must submit detailed o
48、perational information to other States and sometimes obtain operations specifications from those States. These requirements illustrated the difficulties associated with the recognition as valid of the AOC issued by another State. The proposed Resolution reinforced the Annex 6, Parts I and 111, Secti
49、on I1 Standard covering such recognition, and called on ICAO to continue developing guidelines and procedures for the recognition as valid of certificates and licences. 26:4 A delegation expressed the need for timely preparation of the guidance material related to procedures to verify the conditions for recognition as valid of certificates and licenses. 265 In vie
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