ICAO 9734 PART A PDF

FOREWORD

This manual relates to the responsibilities, functions and duties of ICAO Member States with respect to aviation safety oversight in compliance with their obligations as signatories to the Convention on International Civil Aviation (the “Chicago Convention”). It is directed at State authorities and intended as a guide to assist States in establishing and managing an effective and sustainable State safety oversight system through the implementation of the eight critical elements of such a system.

The manual adopts the definition of “safety oversight” as stated in Annex 19 to the Chicago Convention — Safety Management (Second edition, July 2016):

“a function performed by a State to ensure that individuals and organizations performing an aviation activity comply with safety-related national laws and regulations.”

The manual focuses on the eight critical elements identified as the essential components of a State safety oversight system. These critical elements are as follows:

CE-1 — Primary aviation legislation;

CE-2 — Specific operating regulations;

CE-3 — State system and functions;

CE-4 — Qualified technical personnel;

CE-5 — Technical guidance, tools and provision of safety-critical information;

CE-6 — Licensing, certification, authorization and approval obligations;

CE-7 — Surveillance obligations; and

CE-8 — Resolution of safety issues.

The first edition of this manual, prepared with the assistance of the Safety Oversight Audit Study Group, addressed a safety oversight system as related to Annex 1 — Personnel Licensing, Annex 6 — Operation of Aircraft and Annex 8 — Airworthiness of Aircraft. The second edition addressed the transition to the comprehensive systems approach covering all safety-related provisions in all safety-related Annexes to the Convention. This third edition was developed to reflect the adoption of Amendment 1 to Annex 19 to the Chicago Convention — Safety Management (Second Edition, July 2016) as well as to provide additional guidance.

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 found 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: