1. LEGISLATION AND ORGANISATION CONSIDERATIONS
Almaty, 5 to 9 September 2005

2. OVERVIEW Safety responsibilities Basis for safety CAA responsibilities
Associated roles
Basis for safety
Regulations
Safety requirements
CAA responsibilities
Service providers
Management responsibilities
Global aspects
Conclusions
Questions & comments
Almaty, 5 – 9 September 2005

3. SAFETY RESPONSIBILITIES
Shared responsibilities
International organizations (ICAO, IATA, Etc)
State regulatory authority
Operators
Service providers (ATM)
Aerodrome operators
Manufacturers
Maintenance organizations
Training organizations
Support services
Etc.
The responsibility for safety and for effective and efficient safety management is a shared responsibility involving a wide spectrum of organizations and institutions including international organizations, State regulatory authorities for civil aviation, owners and operators, service providers for Air Traffic Management and aerodromes, major aircraft and power-plant manufacturers, maintenance organizations, industry and professional associations, aviation education and training institutions, etc. In addition, third parties that provide aviation support services (including contracted services) must also share in the responsibility for managing safety — observing the safety standards pertinent to their areas of endeavour.
Almaty, 5 – 9 September 2005

4. ASSOCIATED ROLES Policies & Standards Resources Expertise
Risk reduction
Design & maintenance
Oversight
Investigation
Exchange of information
Update regulations
To reduce the severity and probability of mishaps, all these stakeholders have particular roles to perform diligently. Generally, these responsibilities fall into the following areas:
 a)      Defining policies and standards affecting safety;
 b)      Allocating resources to sustain accident prevention initiatives and activities;
 c)      Providing expertise for the identification and evaluation of safety hazards;
 d)      Taking safety action to eliminate or reduce systemic hazards to what has been decided is an acceptable level of risk;
 e)      Incorporating technical advances in design and maintenance of equipment;
 f)       Conducting safety oversight and safety programme evaluation;
 g)      Contributing to the investigation of accidents and serious incidents;
 h)      Keeping abreast of best industry practices, adopting the most appropriate;
 i)        Promoting aviation safety (including the exchange of safety-related information); and
 j)        Amending regulations governing civil aviation safety as required.
 The formal, systematic procedures and practices for the management of safety are generally referred to collectively as a safety management system.
Almaty, 5 – 9 September 2005

5. ICAO RESPONSIBILITIES
To provide procedures and guidance
Standards
Recommended Practices
Procedures for Air Navigation Services (PANS)
Regional Air Navigation Plans
Guidance Material
Fostering implementation
From a regulatory perspective, ICAO’s role is to provide procedures and guidance for the safe conduct of international aircraft operations and to foster the planning and development of air transport. This is largely achieved by developing Standards and Recommended Practices (SARPs), which are contained in Annexes to the Chicago Convention and reflect the best operational experience of States. Procedures for Air Navigation Services (PANS) contain practices beyond the scope of SARPs, where a measure of international uniformity is desirable for safety and efficiency. Regional Air Navigation Plans detail requirements for facilities and services specific to ICAO regions. In essence, these documents define the international framework for promoting safety and efficiency in aviation.
Almaty, 5 – 9 September 2005

6. STATE RESPONSIBILITIES
Implement ICAO SARPs
Aviation law
Manufacturing and trade laws
Labour laws
Security laws
Environmental laws
Establishment of CAA
Necessary authority
Delegation to regulate
Adequately staffed and resourced
States bear significant responsibility for establishing an environment conductive to safe and efficient flight operations. They fulfil much of this responsibility by establishing a legislative framework governing all aspects of civil aviation within their jurisdiction. The laws potentially impacting on safety cover a wide spectrum, some with a more direct impact than others.
Some of the principal areas of legislation potentially affecting safety in aviation include:
 - Aeronautics law establishes a State's objectives for aviation – both commercial and private.
  Typically, this legislation includes the State's vision for aviation safety and delineates the broad responsibilities, accountabilities and authorities for fulfilling those objectives;
- Manufacturing and Trade laws govern the production and sale of safe aeronautic equipment and services;
- Labour laws set the rules for the work environment in which aviation employees are expected to perform their duties safely;
- Security laws contribute to safety in the workplace and govern who may enter into operational areas and under what terms; and
- Environmental laws affecting the siting of airports and navigation aids, impact on flight operations (such as noise abatement procedures).
Almaty, 5 – 9 September 2005

7. BASIS FOR SAFETY Laws and regulations Enforcement Safety programme
Conformity with SARPs
Enforcement
Safety programme
Safe and efficient aviation requires significant infrastructure and aeronautic services, including airports, navigation aids, ATM, meteorological services, flight information services, etc. Some States own and operate their air navigation services and major airports; others own and operate their national airline. However, many States are now commercialising these operations to private corporations – operating under the oversight of the State. Regardless the approach taken, States must ensure that the infrastructure and services in support of aviation are provided and maintained to meet their national laws and regulations. The Convention and its Annexes form the basis for national laws and regulations regarding safety. When a State cannot, adapt their national legislations to SARPs they are required to file a difference.
However, it should be recognised that rulemaking and enforcement alone are insufficient to provide for the requisite safety. In addition to adherence to standard rules, risk management will also be required, involving a safety commitment and culture throughout the entire aviation infrastructure, as well as a formal safety programme including a safety management system.
Almaty, 5 – 9 September 2005

8. UNIFORMITY OF REGULATIONS
Adoption of international standards and procedures
Convention, Article 37
Convention, Article 12
Recognition of certificates and licenses
Convention, Article 33
As indicated in Article 37 of the Chicago Convention, each Contracting State undertakes to collaborate in securing the highest practicable degree of uniformity in regulations, standards, procedures and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in which such uniformity will facilitate and improve air navigation. To this end, ICAO SARPs and procedures are adopted and approved as appropriate.
Such uniformity is of particular importance to facilitate the mutual recognition by States of certificates and licences, a prerequisite to safe, secure and efficient international civil aviation. Mutual recognition is required under Article 33 of the Convention, provided that the minimum standards established pursuant to the Convention are met or exceeded.
Regional harmonization
Almaty, 5 – 9 September 2005

9. SAFETY REQUIREMENTS Vision and mission statement Safety objectives
Corporate values
Understood and accepted
Operating principles
Strategy to reach objectives
As stated before, States have a responsibility for setting the legislation for aviation and for putting in place the necessary administrative arrangements to ensure that these laws are effectively implemented. On aviation safety matters, effective State administrations are guided by:
Statement of vision and mission regarding safety
 - Well understood and accepted set of:
 -       operating principles
-        corporate values such as competence, integrity, responsiveness, etc
 - Statement of the CAA's safety objectives (e.g. reduce the probability and consequences of unsafe aviation occurrences)
 - Strategies for fulfilling safety objectives (e.g. reduction of safety risks to aviation through the identification of those operations that fall below accepted levels, encouraging their return to an acceptable level of safety or, if necessary, rescinding their certification.
Almaty, 5 – 9 September 2005

10. CAA SAFETY RESPONSIBILITIES (1)
Personnel licensing
Procedures for issue and renewal of
Operating certificates
Airworthiness certificates
Airport certificates
Provision of Air Navigation Services
Accident investigation (in some States)
Etc.
Almaty, 5 – 9 September 2005

11. CAA SAFETY RESPONSIBILITIES (2)
Implementing a Safety Oversight System
Covering entire aviation system
Surveillance
Inspection
Safety audits
Enforcement actions as necessary
Monitoring developments
Maintaining records
Analyzing data
Corrective actions
Promoting safety
Carrying out enforcement actions as necessary
- Monitoring technological developments and best industry practices with a view
to improving the State's aviation system performance and safety
- Maintaining a system of aviation records, including licenses and certificates, infractions, reported accidents and incidents, etc.
- Conducting analyses of safety trends, including accident/incident data. service difficulty reports, etc.
- Promoting safety through dissemination of specific safety materials, safety seminars/workshops, etc.
As stated above, most States also provide at least some of the services required in operating a national aviation system, such as ATS. Notwithstanding this common practice, civil aviation authorities should recognise the potential for a conflict of interest between providing an aviation service and, as regulatory authority, fulfilling the responsibilities for safety oversight.
Almaty, 5 – 9 September 2005

12. STATES AND SERVICE PROVIDERS
Some States operate
Air navigation Services
Airports
Airlines
Other States have established
Independent entities, or
Independent corporations
Same safety requirements
Safe and efficient aviation requires significant infrastructure and aeronautic services, including airports, navigation aids, air traffic management, meteorological services, flight information services, etc. Some States own and operate their own air navigation services and major airports; others own and operate their own national airline. However, many States have corporatized these operations, operating under the oversight of the State. Regardless of the approach taken, States must ensure that the infrastructure and services in support of aviation are provided and maintained to meet international obligations and the needs of the State.
Almaty, 5 – 9 September 2005

13. SERVICE PROVIDERS Air Traffic Management Aerodrome operations
Including emergency services
Aviation security
Navigation and communication aids
Meteorological services
Other supporting services
Traditionally, such external services have been provided by the State — usually through their civil or military aviation authorities. However, civil aviation authorities in some States have discovered the potential conflicts of interests in the dual roles of the State as both a regulator and as a service provider. Moreover, some States believe that there are operational efficiencies and economies to be gained from the corporatization of many of these services. As a result, some States have delegated responsibilities for the provision of many of these services.
Regardless of the ownership or management structure for the provision of any supporting services, responsible managers are expected to develop and implement safety management systems within their separate areas of expertise. The guidance material provided in this Manual applies equally to flight operations and the provision of such aviation support services, regardless of whether they are governed by State-run or corporate management.
Almaty, 5 – 9 September 2005

14. SERVICE PROVIDER RESPONSIBILITIES
Responsibility for the safety of aircraft operations
Compliance with laws and regulations
Operating instructions
Safety management systems
Safe and efficient flight operations depend on effective delivery of a variety of supporting services. Service providers are responsible for the safe, regular and efficient conduct of aircraft operations, wherever they may occur, and for compliance with any laws or regulations which the State may promulgate. These laws and regulations, which are the means by which the State implements the provisions of the Chicago Convention and its Annexes, are not in themselves sufficient to provide the service providers with comprehensive and detailed instructions on which to base an operation. The responsibility for the development of operating instructions necessary for the safety of an operation must therefore rest with the service provider.
Operating instructions must not conflict with the laws and regulations of the State. The primary means used by an operator to promulgate these operating instructions is the operations manual, which should be presented to the CAA as part of the documents to be evaluated prior to the delegation of the authority for the service provision (certification).
Service providers have the authority and the responsibility to manage safety risks. This achieves by establishing a systematic method for identifying hazards, assessing risks, assigning priorities to these risks and then by reducing or eliminating those hazards which pose the greatest potential loss.
Almaty, 5 – 9 September 2005

15. MANAGEMENT RESPONSIBILITIES
Safest organizations are most efficient
Management has special responsibilities
Commitment to safety
Cares about safety
Safety in management plan
Managers and staff accountability
Staff look to management for
Clear directions
Adequate resources
Expertise
The safest organizations are often the most efficient. Although trade-offs between safety risk management and costs may occur, management need to recognize the hidden costs of accidents and that safety is good for business. By taking a systematic approach to corporate decision-making and risk management, they reduce their accidental losses.
Management has the authority and the responsibility to manage safety risks in the company. It achieves this by establishing a systematic method for identifying hazards, assessing risks, assigning priorities to these risks and then by reducing or eliminating those hazards which pose the greatest potential loss. It alone has the ability to introduce changes in the organization, its structure, its staffing, its equipment, policies and procedures.
Above all, management sets the organizational climate for safety. Without management’s wholehearted commitment to safety, safety management will be largely ineffective. In positively reinforcing safety actions, management sends the message to all staff that it really cares about safety and they had better too.
To establish safety as a core value of the organization, it is necessary to make safety an integral part of the management plan. Setting objectives and safety goals, then holding managers and employees accountable for achieving those goals, can do this.
This onus on management for safety management applies, regardless of the size or type of organization providing the aviation service. The role of management in accident prevention is crucial.
Almaty, 5 – 9 September 2005

16. GLOBAL COOPERATION Specific individual roles and responsibilities
Integrated into
Coherent global aviation system
Requires cooperation of all
Harmonization, interoperability
Sharing information
Interdependence of all facets
Strength is in collective action
Although the organizational elements described above have specific roles and responsibilities for safety management (and accident prevention), the international nature of aviation demands that their individual efforts be integrated into a coherent, global aviation safety system, requiring the cooperation and collaboration at all levels.
Global collaboration occurs in international fora such as:
a)      Airline associations (such as IATA, ATA);
b)      International federations of national associations (such as IFALPA, IFATCA);
c)      International safety bodies (such as the Flight Safety Foundation, ISASI); and
d)      Industry/government groups (such as CAST, GAIN);
Major manufacturers’ safety forums.
Almaty, 5 – 9 September 2005

17. CONTINUING RELEVANCE World-wide uniformity Involving all partners
Regulations
Procedures
Involving all partners
SARPs implementation
Performance-based requirements
Safety Management Systems
In order to ensure that your State's regulations and procedures continue to meet the needs of the international civil aviation, in particularly in achieving the necessary safety, a number of avenues may be pursued. These avenues include:
-                     improving uniformity in regulations worldwide
-                     fully involving all civil aviation stakeholders as partners in rulemaking process
-                     placing emphasis on the implementation of those SARPs that pose the greatest risk to safety
-                     migrating from prescriptive requirements to performance-based requirements and
requiring safety management programmes, including safety management systems (SMS) and promote their implementation
Almaty, 5 – 9 September 2005

18. SUMMARY Safety responsibilities Basis for safety CAA responsibilities
Associated roles
Basis for safety
Regulations
Safety requirements
CAA responsibilities
Service providers
Management responsibilities
Global aspects
Conclusions
Almaty, 5 – 9 September 2005

19. ? QUESTIONS, COMMENTS Do you have any questions or comments?
Almaty, 5 – 9 September 2005

20. LEGISLATION AND ORGANISATION REQUIREMENTS
Almaty, 5 – 9 September 2005
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