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States
2.1.5 States bear significant responsibility for establishing an environment conducive to safe and
efficient flight operations. Irrespective of any risk management methods they may employ, such as those
described in this manual, States, as the signatories to the Chicago Convention, have an obligation to
implement ICAO SARPs. To this end, each State must:
a) provide the legislative and regulatory provisions needed to govern the State’s aviation system.
Some of the areas requiring a legal framework for effective safety management are listed below:
1) Aviation legislation 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.
2) Manufacturing and trade laws govern the production and sale of safe aeronautic equipment and
services.
3) Labour laws (including Occupational Safety and Health (OSH) laws) set the rules for the work
environment in which aviation employees are expected to perform their duties safely.
1. These are contained in Annex 13 — Aircraft Accident and Incident Investigation, the Manual of Aircraft Accident and Incident
Investigation (Doc 9756) and the Accident/Incident Reporting Manual (ADREP Manual) (Doc 9156).
Chapter 2. Responsibility for Managing Safety 2-3
4) Security laws contribute to safety in the workplace, for example, they govern who may enter into
operational areas and under what terms. Also, they may protect sources of safety information.
5) Environmental laws affecting the siting of airports and navigation aids impact on flight operations
(such as noise abatement procedures);
b) establish an appropriate State body, usually referred to as the Civil Aviation Administration (CAA),
with the necessary powers to ensure compliance with the regulations. This responsibility includes:
1) establishing the necessary statutory authority and delegations to regulate the aviation industry;
2) ensuring it is adequately staffed with competent technical officials; and
3) maintaining an effective system of safety oversight to assess how well regulatory requirements
are being met; and
c) establish appropriate safety oversight mechanisms to ensure that operators and service providers
maintain an acceptable level of safety in their operations.
2.1.6 Safe and efficient aviation requires significant infrastructure and aeronautic services, including
airports, navigation aids, air traffic management, meteorological services, and flight information services.
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 and they operate under
the oversight of the State. Regardless of the approach taken, States must ensure that the infrastructure and
services in support of aviation are maintained to meet international obligations and the needs of the State.
2.1.7 Where the regulatory function and the provision of particular services are both under the direct
control of one State body (such as the CAA), a clear distinction must be maintained between these two
functions, i.e. service provider and regulator.
2.1.8 Finally, States have a responsibility to be “good citizens” in the international aviation community.
They can best do this by ensuring conformity with the Chicago Convention and ICAO SARPs. When a State
cannot adapt its national legislation and regulations to the SARPs, it is required to file a “difference”. ICAO
publishes these differences so that other States may be aware of departures from internationally agreed
Standards. The ICAO USOAP is used to determine States’ compliance with safety-critical SARPs.
Civil Aviation Administrations (CAAs)
2.1.9 Having developed appropriate legislation governing aviation, a State must establish a CAA to set
the rules, regulations and procedures by which the State implements its safety programme. Chapter 3 (State
Safety Programme) of this manual outlines the principal functions and activities of the CAA for delivering an
effective safety programme. Basically, the CAA provides the necessary oversight for compliance with the
State’s laws and regulations for air safety and for the fulfilment of the State’s safety goals.
Manufacturers
2.1.10 Each new generation of equipment incorporates improvements based on the latest “state of the
art” and operational experience. Manufacturers produce equipment that complies with the airworthiness and
other standards of domestic and foreign governments, and meets the economic and performance
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Safety Management Manual (SMM) 安全管理手册(18)
