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aerodromes or providing operational services (such as ATS, aeronautical information services and
meteorological services) will require an SMS that is quite distinct from the safety programme implemented
for the regulatory function of the CAA. The relationship between the regulatory authority and the regulated
body should be the same whether the regulated body is an external entity or part of the State organization.
3.2 REGULATORY RESPONSIBILITIES
3.2.1 Through their actions as the regulatory authority, States set the tone for safe and efficient
aviation operations conducted within their jurisdiction, for example:
a) SARPs. The State, as the signatory to the Chicago Convention, is responsible for implementation of
ICAO SARPs.
3-2 Safety Management Manual (SMM)
b) Civil Aviation Administration (CAA). States must establish an appropriate body, often referred to
as the Civil Aviation Administration (CAA), with the necessary powers to ensure compliance with the
aviation regulations.
c) Safety oversight. States must establish appropriate safety oversight mechanisms to ensure that
operators and service providers maintain an acceptable level of safety in their operations.
3.2.2 In the discharge of the State’s regulatory responsibilities, the regulatory authority may adopt
either an active role, involving close supervision of the functioning of all aviation-related activities, or a
passive role, whereby greater responsibility is delegated to the operators and service providers.
3.2.3 Many States are moving away from a very active role in the supervision of aviation activities. The
reasons for this include the large number of inspectors required to perform this function, confusion over
safety responsibilities, and the need for a large enforcement organization — factors which contradict the
safety culture that modern safety management practices promote.
3.2.4 In a more passive role, the State leaves the interpretation and implementation of the regulations
to the operator or service provider, relying upon their technical competence and encouraging compliance
through the threat of enforcement action.
3.2.5 Considerable merit exists in a State regulatory system which falls between the active and
passive extremes and which should:
a) represent a well-balanced allocation of responsibility between the State and the operator or service
provider for safety;
b) be capable of economic justification within the resources of the State;
c) enable the State to maintain continuing regulation and supervision of the activities of the operator or
service provider without unduly inhibiting the effective direction and control of the organization; and
d) result in the cultivation and maintenance of harmonious relationships between the State and
operators and service providers.
3.3 CIVIL AVIATION ADMINISTRATIONS (CAAs)
3.3.1 The CAA is the State body responsible for implementing the legislative and regulatory provisions
for aviation safety. In effect, the CAA develops and delivers the State’s safety programme. In doing so,
effective CAAs are guided by:
a) a clear statement of their vision and mission (regarding safety);
b) a well-understood and accepted set of:
1) operating principles, such as delivering safe and efficient service consistent with public
expectations and at reasonable cost, and treating regulated organizations (clients) and
employees with respect; and
2) corporate values such as competence, openness, fairness, integrity, respect and
responsiveness to client needs;
Chapter 3. State Safety Programme 3-3
c) a statement of the Administration’s safety objectives, for example, reduce the probability and
consequences of unsafe aviation occurrences, and improve understanding throughout the aviation
industry and general public of the State’s actual safety performance; and
d) strategies for fulfilling their objectives, for example, 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.
3.3.2 Based on such broad direction, State Administrations typically have responsibilities for some or
all of the following:
a) establishing and implementing the rules, regulations and procedures for safe and efficient aviation,
for example:
1) personnel licensing;
2) procedures for obtaining and renewing:
— operating certificates;
— airworthiness certificates; and
— airport certifications;
3) operation of air traffic services; and
4) (in many States) conduct of accident and incident investigations;
b) implementing a system for safety oversight of the entire civil aviation system by surveillance,
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Safety Management Manual (SMM) 安全管理手册(22)
