ICAO 9734 PART B PDF

FOREWORD

This manual, with the incorporation of Amendment 1, provides additional and more detailed guidance on the financing of a Regional Safety Oversight Organization (RSOO). This new guidance was prepared on the basis of the outcomes of the Symposium on RSOOs that was held in Montréal in October 2011 and endorsed, thereafter, by the ICAO Council during its 195th Session. Relevant stakeholders have participated in the development of the guidance on the financing, including a joint Study Group consisting of subject matter experts from the Air Navigation Bureau and Air Transport Bureau of ICAO, the Chairman of the Airport Economics Panel and Air Navigation Services Economics Panel (AEP-ANSEP), experts from the RSOOs and international organizations such as the World Bank, Airports Council International (ACI), the Civil Air Navigation Services Organization (CANSO) and the International Air Transport Association (IATA). The new funding options provide more practicable means to mobilize the funds required for fulfilling mandates of an RSOO by including, among other information, the potential use of an air safety charge, at the discretion of the RSOO and its Member States. The new guidance emphasizes the need for strict safeguards, such as accountability and transparency to those Member States of an RSOO that are willing to make use of such a mechanism. It also provides an integral view of current ICAO policies, aligning the structure of this manual with existing ICAO policies and guidance material related to the funding of air transport infrastructure.

The manual continues to use the term “RSOO” which covers, in a general sense, a number of legal forms and institutional structures that range from highly formalized international intergovernmental organizations, such as the European Aviation Safety Agency (EASA) and the Pacific Aviation Safety Office (PASO), to less institutionalized projects established under the ICAO Cooperative Development of Operational Safety and Continuing Airworthiness Programme (COSCAP). ICAO Assembly resolutions essentially leave it up to each group of States that wishes to establish an RSOO to determine the legal form and institutional structure that best fits the needs and characteristics of their specific region.

The defining characteristics that are common to all RSOOs lie in their uniform mandate, objective and purpose. Specifically, these refer to the expert advisory and consultative service in the area of safety oversight, the provision of technical assistance and the execution of safety oversight functions on behalf of Member States. As shall be seen in this manual, although it is left to States to decide on the RSOO that best suits their purpose and region, there are both advantages and disadvantages to the different legal forms and institutional structures that have been adopted by some RSOOs. On the whole, however, it must be said that ICAO supports the transition of less formalized legal forms and institutional structures of, for instance, the COSCAP, to more institutionalized RSOOs established on the basis of formal legal agreements. The latter type of RSOO more expressly commits its Member States to the organization, better enables the delegation of tasks and functions to the RSOO and better provides for sustainability. For these reasons, it should be noted that this manual does focus more on this type of RSOO than it does on the COSCAP.

This manual outlines the duties and responsibilities, individually and/or collectively, of ICAO Contracting States to the Chicago Convention with respect to the various options and formats of an RSOO. It addresses a State’s obligation to be in conformance with the Convention on International Civil Aviation (hereafter referred to as the Chicago Convention) signed at Chicago on 7 December 1944, which for many States may be more effectively achieved through membership of an RSOO. Pursuant to Article 1 of the Chicago Convention, a State has complete and exclusive sovereignty over the airspace above its territory and, in accordance with Articles 12 (Rules of the air) and 37 (Adoption of international standards and procedures), has the responsibility for safety oversight of international civil aviation within its borders and in respect of aircraft carrying its registration marks. States are also expected to collaborate to the highest degree to achieve standardization of laws, regulations, procedures and practices. The establishment of a properly resourced RSOO provides those States which individually lack the resources to establish an effective safety oversight system with the means to pool their resources for the purpose of establishing a common regional approach to safety regulation, oversight and enforcement.

ICAO, international organizations, individual States and industry stakeholders have implemented a large number of projects over several decades to improve civil aviation safety in many regions. However, despite these efforts as well as numerous initiatives designed to help States meet their safety oversight responsibilities, a number of States still experience major challenges in developing the capability for effective safety oversight. At the same time, USOAP results indicate a strong statistical correlation between States’ safety oversight capabilities and accident rates, which clearly underlines the importance of robust safety oversight capabilities. As identified by the USOAP audits, the main reason why States fail to develop the capability for effective safety oversight is lack of adequate resources, specifically in terms of qualified technical expertise. This has led ICAO to conclude that regional or subregional safety oversight systems are an effective means of overcoming these deficiencies through shared objectives, strategies and activities. Most importantly, the pooling of resources enables the RSOO to effectively utilize appropriately qualified and experienced personnel.

At the 37th Session of the ICAO Assembly, held in September 2010, delegates expressed strong support for the establishment of RSOOs as a means of strengthening safety oversight capabilities on a regional or subregional basis. The Assembly adopted Resolution A37-8 on regional cooperation and assistance to resolve safety-related deficiencies, in which it recognized that RSOOs have great potential to assist States in complying with their obligations under the Chicago Convention, through economies of scale and harmonization on a larger scale. It directed the ICAO Council to promote the concept of regional cooperation for the purpose of enhancing safety and safety oversight, including the establishment of RSOOs. It further encouraged Contracting States to foster the creation of regional and subregional partnerships to, inter alia, participate in, or provide tangible support for, the strengthening and furtherance of subregional and regional aviation safety and safety oversight bodies, including RSOOs.

This manual further expands on the guidance material to include the experience gained from a number of regional programmes, several of which have resulted in the establishment of an RSOO. A number of RSOOs have already been established throughout the world, and the creation of additional RSOOs is being planned. In view of the diverse range of regional and subregional arrangements for safety oversight, it is intended that this document provides additional guidance material and alternatives for the implementation of various forms of RSOOS, along with greater emphasis on resource allocation and sustainability. Additional reference material and links to various forms of regional arrangements are provided on the ICAO website at www.icao.int/fsix.

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 found suitable, will be included in regular updates to 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 Montréal, Quebec H3C 5H7 Canada