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International Civil Aviation

Executive Summary of ICAO Safety Oversight Standards

Air transportation is an incredibly reliable form of travel as technological advancements have enhanced aircraft, navigation systems, and traffic control of the air. After world war 2, the creation of the International Civil Aviation Organisation ( ICAO) involved the pledge of 54 signatories which is now stand to 193 States to cooperate with popular steps to make sure the security of international air travel. The International Civil Aviation Organisation (ICAO) regulates and promotes the growth of international civil aviation. ICAO is the biggest and most influential aviation safety body and contributed a lot to the growth of international commercial aviation in the area of professional requirements, legal regulations, and operating procedures. The ICAO is divided into 4 parts, 22 chapters, and 96 articles, which has made a tremendous impact on the civil aviation system in the contemporary world. Safety oversight is characterized as a mechanism by which States make sure efficient execution of SARP and related procedures found in the annexes to the Convention on International Civil Aviation & ICAO related documents. The safety improvement system of air operators developed two closed-loop systems, including the concept review performance appraisal, to help facilitate the organizational certification and also oversight and surveillance. The critical aspect of maintaining protection is the credibility of the aviation regulatory climate. The three basic dimensions of an efficient aviation regulatory system are successful regulation, a professional regulatory agency, and a compliant culture within the industry. ICAO played a key role in bringing the world together and opening up air travel between the States with a common regulatory setup. 

Contents

Introduction.

Overview of Chicago Convention.

ICAO..

State safety oversight system..

Supranational regulators.

Air Transport Operators.

Conclusion.

References.

Introduction to Conforming with ICAO Safety Oversight Standards

Air transportation is an incredibly reliable form of travel as technological advancements have enhanced aircraft, navigation systems, and traffic control of the air. Major developments have also been made in related ergonomics and preparation and procedures for aircrews. Structural adjustments were also performed through the position. Since the world war 2, the creation of the International Civil Aviation Organisation ( ICAO) involved the pledge of signatories to cooperate with popular steps to make sure the security of international air travel (Button et al., 2010). The International Civil Aviation Organisation (ICAO), a professional body of the UN, regulates and promotes the growth of international civil aviation. ICAO is the biggest and most influential aviation safety body, and in the growth of international commercial aviation, its professional requirements, legal regulations, and operating procedures have become crucial (Mackenzie, 2010). A critical aspect of maintaining protection is the credibility of the aviation regulatory climate. The three basic dimensions of an efficient aviation regulatory system are successful regulation, a professional regulatory agency, and a compliant culture within the industry (Dezhbankhan & Dezhbankhan, 2014). The report aims to set out the overall framework of International Civil aviation.

Overview of the Chicago Convention

The Convention on International Civil Aviation, drawn up by 54 nations in 1944, was created to encourage collaboration and "build and sustain harmony and comprehension amidst the countries and citizens of the world." This seminal agreement, most widely recognized currently as the 'Chicago Convention,' defined the basic rules that enable international air travel, which contributed to the formation of the International Civil Aviation Organisation, the professional body that has regulated it ever since.

World War II was an important stimulus for the airplane's technological growth. Throughout that time, a large network of passenger and freight carriages was built, though there remained several technological & political barriers to the evolution of such infrastructure and paths for the modern civilian objectives.

In 1944, The United States government issued an invite to 55 States to participate in an ICA Conference in Chicago after numerous research undertaken by the US and various meetings it conducted with its Main Allies.

At a grim period in world history, those delegates gathered and transported to Chicago at considerable danger. There were also several of the nations they led were occupied. The Chicago Conference was eventually participated by 54 of the 55 invited Nations, and upon its completion on 7/12/1994, 52 of them signed the new Convention on International Civil Aviation.

This ground-breaking arrangement recognized initially and even today more often as the 'Chicago Convention,' formed the basis of the norms and processes for global peaceful air travel. Its primary objective was to build international civil aviation "securely and effectively" and to create air transport services "on the grounds of fair opportunities and to function adeptly and financially." Furthermore, the Chicago Convention formalized the assumption that a unified International Civil Aviation Organisation (ICAO) will be set up to coordinate & facilitate the intense international collaboration demanded by the developing global air transport network. The central purpose of ICAO, then as now, was to help States reach the greatest potential degree of consistency in civil aviation legislation, requirements, processes, and organizations.

The Chicago Conference poignantly entered an Interim Agreement, which envisioned the formation of a Provisional ICAO (PICAO) to act as a provisional advising and organizing entity, owing to the ordinary delays required in ratifying the Convention.

The PICAO comprised of an Interim Council and an Interim Assembly, and the Interim Council convened regularly in Montreal, Canada, from June 1945, and composed of 21 State members. The first PICAO Provisional Congress, the predecessor to the modern-day ICAO Triennial Assemblies, was also convened in Montreal in June 1946.

After the Chicago Convention had been adequately ratified on 4/4/1947, the transitional elements of the PICAO weren't any more pertinent and formally became recognized as the ICAO. In May 1947 in Montreal, the very initial official ICAO assembly was convened.

The new age of air travel, the Annexes to the Convention have grown in quantity and have developed to cover over 12,000 international standards and recommended practices (SARPs), already accepted by agreement amongst the 193 Member States of the ICAO.

In addition to the enormous technical advancement and commitments on terms of air travel operators and producers over the coming decades, these SARPs, therefore, made it possible to understand what can now be regarded as a vital engine of socio-economic growth and one of the major mutual accomplishments of mankind, the new international air transport network

(ICAO, n.d.).

Therefore, it can be stated that the Chicago Convention lays out the universal concepts of air traffic and air transport as a multilateral legal tool, as well as also acts as an ethical guide that takes together the people of the world (Abeyratne, 2014). In addition to that, the Chicago Convention on International Civil Aviation goes back to 1944 and remains the standard collection of guidelines on the use of the States' air territories (Krasnicka, 2010).

Parts of Convention

Divided into 4 parts

Part I - Air navigation

Part II - The International Civil Aviation Organization

Part III - International air transport

Part IV - Final provisions (UIO, n.d.).

Major Articles

Article 1

Sovereignty 

The Contracting States acknowledge that each State has absolute and exclusive control over its territories over the airspace. 

Article 2

Territory

The territories and territorial waters contiguous to those territories shall be considered to be the territories of a State under the jurisdiction, suzerainty, security, or order of that Power.

Article 4

Civil aviation misuse

Every Contracting state intends not, for any reason inconsistent with the purposes of this Convention, to use civil aviation.

Article 6

Air Services Scheduled

No scheduled international air service may, except with the specific approval or other permission of that State and in compliance with the terms of such permission or authorization, be conducted over or into the territory of a contracting State.

Article 11

Applicability of air regulations

According to the provisions of this Convention, the laws and regulations of the Contracting State concerning the entry or departure from its territory of aircraft engaged in international air travel or the service and travel of aircraft engaged in international air navigation within its territory shall be regulated by the laws and regulations of the Contracting State, aircraft of all the Contracting States shall be used without distinction as to their nationality and all aircraft shall be complied with upon their arrival into, or departure from, or when within the jurisdiction of that State.

Article 12

The Air Rules

Every Contracting State undertakes to take steps to ensure that all aircraft flying or maneuvering within its jurisdiction and all aircraft bearing its nationality label, wherever such aircraft may be, comply with the rules and regulations relevant to the flight and maneuvering of the aircraft in effect therein. Each Contracting State undertakes, in these respects, to keep its regulations standardized, to the greatest extent possible, with those defined from time to time under this Convention. The laws in effect on the high seas are those defined under this Convention. Each Contracting State shall undertake to ensure the prosecution of all individuals in violation of the relevant regulations. 

Article 13

Regulations of Entry and Clearance

The laws and regulations of a Contracting State relating to the admission or departure from its territories of passengers, crew, or freight of aircraft, such as entrance, approval, immigration, passports, customs, and quarantine regulations, shall be conducted under by, or on behalf of, such passengers, crew or freight upon entrance or departure from or within the territories of that State.

ARTICLE 23

Procedures for customs and immigration

Each Contracting State shall, to the extent possible, undertake to decide the customs and immigration procedures affecting international air traffic in compliance with the practices which, according to this Convention, may be defined or recommended from time to time. Nothing in this Convention shall be interpreted to prohibit the creation of airports that are free of customs duties.

Article 36

Photographic apparatus

Every Contracting State can forbid or enforce, over its territory, the use of photographic apparatus in aircraft.

Article 37

Adoption of foreign practices and guidelines

Every Contracting State undertakes to work together to achieve the highest possible degree of continuity in aircraft, employees, airways, and auxiliary services legislation, protocols, procedures, and organizations in all matters where such continuity would promote and enhance air navigation.

Article 37

Adoption of foreign practices and guidelines

Every Contracting State undertakes to work together to achieve the highest possible degree of continuity in aircraft, employees, airways, and auxiliary services legislation, protocols, procedures, and organizations in all matters where such continuity would promote and enhance air navigation.

Article 62

Suspension of authority to vote

The Assembly may revoke the voting power in the Assembly and in the Council of any Contracting State which fails to satisfy its financial obligations to the Organization within a suitable period.

Article 67

File reports with Council

Every Contracting State undertakes that, in compliance with the criteria laid down by the Council, its foreign airlines shall file traffic reports, expense statistics, and financial statements with the Council, displaying, inter alia, all receipts, and their origins.

Article 78

Council's function

The Council may recommend to the Contracting States concerned that they create joint organizations on any route or in any area to operate air services.

Article 83

Registration of new arrangements

Any contracting State may make arrangements, subject to the provisions of the preceding article, not inconsistent with this Convention's provisions. Every such arrangement shall be automatically recorded with the Council, which shall, as soon as possible, make it public.

Article 85

Procedure of arbitration

Where the Legislation of the Permanent Court of International Justice has not been adopted by any Contracting State Party to a dispute in which the decision of the Council is challenged and the Contracting States Parties to the dispute are unable to come to a consensus on the option of an arbitral tribunal, any of the Contracting States Parties to the dispute shall nominate a single arbitrator who shall select an umpire.

Article 88

State Penalty for Non-Conformity

In the Assembly and in the Council of any Contracting State which is found to be defaulting under the provisions of Chapter 18, the Tiles Assembly shall suspend voting rights.

Article 89

Conditions of War and Emergency

In the event of war, the terms of this Convention shall not impair the freedom of action, be it as belligerent or as neutral, of either of the contracting States involved. In the case of any contracting state announcing a state of national emergency and notifying the Council of the facts, the same concept applies (UIO, n.d.).

Explanation of SARP

The SARPs for safety protection was developed to support States, in conjunction with the service providers, in handling aviation safety threats. Given the growing complexities of the global air transport system and the interrelated aviation practices needed to ensure the secure operating of aircraft, the regulations on safety management facilitate the ongoing implementation of a comprehensive safety performance enhancement plan. The basis for this constructive security policy is the introduction of the State Security Program (SSP), which routinely tackles security threats, in line with the application of the security management systems (SMS) by the service providers (ICAO, n.d.),

Annexes

ICAO SARPS (Standards and Recommended Practices) are included in 19 Annexes for each area of ICAO obligation. Every specific subject area is dealt with in every Annex. All are susceptible to periodic modifications and descriptions w.r.t all of them are found in publications in the numbered ICAO Paper Series. 

International standards are included in Annexes 2, 5, 7 & 8 but it doesn't include Recommended Practices (RPs). The remaining fifteen annexes include both i.e. International standards and recommended practices (RPs) (SkryBrary, n.d.).

ICAO

The International Civil Aviation Organisation (ICAO) is a specialist entity set up by the States in 1944 to administer the management and regulation of the Convention on International Civil Aviation (Chicago Convention).

SICAO deals with the 193 Member States Convention and business associations to achieve agreement on SARPs and policies to facilitate a civil aviation sector that is secure, effective, reliable, financially productive, and environmentally friendly. ICAO Member States use these SARPs and policies to ensure that their local civil aviation activities and rules comply with global standards, That, in effect, enables more than 100,000 flights daily to function smoothly and securely in every place of the globe on the global aviation network.

In additament to the key work on the resolution between its Member States and industry of consensus-driven international SARPs and strategies, as well as amidst several additional agendas and initiatives, ICAO also promotes support and capacity-building for States in favor of various aviation growth targets; generates international proposals to facilitate pragmatic multilateral security and air navigation development; assesses and reviews on various efficiency measures in the air travel sector; and audits the civil aviation control capabilities of States in the fields of protection and stability (ICAO, n.d.)

As set out in Article 43 of the Chicago Convention, one of the overriding goals of the ICAO is to encourage the preparation and growth of international air travel, so that it can satisfy the people's needs for secure, frequent, effective, and economical air transport (Abeyratne, 2014).

State Safety Oversight System

Safety oversight is characterized as a mechanism by which States make sure efficient execution of SARP and related procedures found in the annexes to the Convention on International Civil Aviation & ICAO related documents (ICAO, n.d.).

A State is mandated to give security oversight to its aircraft operators as well as to international operators operating in its airspace, are provided with safety/security supervision. If it does not have the requisite legislative, regulatory and operational facilities and human and financial capital to execute the required protection and security regulatory functions, it will not be able to cope with the effects of market development and liberalization (ICAO, n.d.).

Supranational Regulators

A series of institutions and organizations have been set up at national, territorial, and local levels to establish universal safety laws, legislation, guidelines, and procedures and to monitor their operation in all aviation industries to satisfy the criteria for secure air travel services.

Over the decades, the regulatory structure and safety standards have been developed and are increasingly being updated and strengthened to achieve ever-increasing safety efficiency and to overcome the potential obstacles raised by the introduction of innovative ideas in the field of air navigation and the need to ensure the sustainable growth of civil aviation.

It is possible to differentiate between three essential levels of safety regulation, namely:

  • The ICAO has developed and promulgated international (global) regulatory frameworks and specifications.
  • Geographic legislative provisions and specifications. There is an alternate and intermediary regulatory framework in Europe, and CIS, focused on certain relinquishing of national regulatory roles to supra-national agencies. The goal of setting up these entities is to attain a proper and consistent degree of civil aviation safety by following popular safety regulations and steps following the standards and recommended practices of the ICAO.
  • National statutory frameworks and conditions, promulgated by the appointed state authorities in national laws and other statutory proceedings. The national regulatory protection standards shall conform with those laid down at global and regional levels.

 The European Commission & European Council legislation have been the common legislative techniques used in Europe to improve aviation safety.

The European Aviation Safety Agency (EASA) was established in 2003 as an entity of the EU to further accomplish the aim and to support the maximum common levels of environment protection safety in civil aviation. Initial registration and ongoing airframe of aircraft and similar products, consent of entities engaged in the layout, production, and servicing of aeronautical products, and certification of employees and institutions participating in the service of aircraft are presently protected by EASA competence. EASA is to expand the scope of its operations to cover airport operations and air traffic control by 2012, following the implementation of the Single European Sky II legislative package.

Various bodies, such as the European Organization for Civil Aviation Equipment (EUROCAE), are also contributing to the production and application of civil aviation safety regulations and specifications at the European level.

National Arrangements to regulate

In each state, a national safety regulatory mechanism is created. There is a major difference in enforcement at the national level of international safety legislation and arrangements. This encourages geographic diversity but also contributes to some contradictions. Several safety regulatory standards, both in states with minimal pre-established safety laws and those with good-established regulatory frameworks, are proving difficult to enforce. The convergence of all national regulatory systems is more complicated than expected (SkryBrary, n.d.).

Air Transport Operators

The building of the safety assurance system for air operators is necessary for the national civil aviation authority to routinely and effectively conduct safety monitoring work on-air operators. The safety improvement system of air operators developed two closed-loop systems, including the concept review performance appraisal, to help facilitate the organizational certification and also oversight and surveillance. There are 5 job functions for each closed system, i.e. setup of the system, program management, task management, data processing, review and measurement, and action. Closed-loop management of institutional qualification and monitoring is completed through the five work units (Xie, 2017).

The very first trade association with the major U.S. airlines is the Air Transport Association (ATA), established in 1936. Before Congress, regulatory authorities, state governments, and other legislative bodies, the ATA portrays the industry and acts as the central focus for the efforts of industry to standardize procedures and boost the civil aviation system's performance. Several other airline trade groups play a significant role in preserving aviation safety (NAP, n.d.).

Conclusion on Conforming with ICAO Safety Oversight Standards

In light of the above, it can be concluded that to regulate the international air traffic, the ICAO which is commonly known as Chicago Convention on civil aviation was a milestone achieved by the participants of 55 member nations after World War II, and could be said that such convention has given momentum for setting up UN in 1945. To bring the world together and open up air travel between the states with a common regulatory set up was badly needed and on a date, 193 nations have ratified the ICAO, and, this has benefitted the world population taken care of Air safety measure. 

References for Conforming with ICAO Safety Oversight Standards

Abeyratne, R. (2014). Convention on International Civil Aviation. A Commentary. Switzerland: Springer International Publishing.

Abeyratne, R. (2014). The nature and role of ICAO. Regulation of Air Transport. Switzerland: Springer Cham.

Button, K., Clarke, A., Palubinskas, G., Stough, R., & Thibault, M. (2004). Conforming with ICAO safety oversight standards. Journal of Air Transport Management, 10(4), 249-255.

Dezhbankhan, F. & Dezhbankhan, S. (2014). The effectiveness of the civil aviation regulatory framework in Islamic republic of Iran: The need for an independent (multimodal) transport accident and incident investigation authority. 4058. Retrieved from https://www.researchgate.net/publication/305467269_The_Effectiveness_of_the_Civil_Aviation_Regulatory_Framework_in_Islamic_Republic_of_Iran_The_Need_for_an_Independent_Multimodal_Transport_Accident_and_Incident_Investigation_Authority

ICAO. (n.d.). About ICAO. Retrieved from https://www.icao.int/about-icao/Pages/default.aspx

ICAO. (n.d.). ICAO Secretariat study on the safety and security aspects of economic liberalization. Retrieved from https://www.icao.int/sustainability/Documents/SafetySecurityStudy_en.pdf

ICAO. (n.d.). Safety oversight manual. Retrieved from https://www.icao.int/WACAF/AFIRAN08_Doc/9734_parta_cons_en.pdf

ICAO. (n.d.). SARPs- Standards and recommended practices. Retrieved from https://www.icao.int/safety/SafetyManagement/Pages/SARPs.aspx

ICAO. (n.d.). The history of ICAO and the Chicago convention. Retrieved from https://www.icao.int/about-icao/History/Pages/default.aspx

Krasnicka, I. (2010). 66 years of the Chicago convention on international civil aviation-new trends in the international law of the air. Juridical Science Series, 1, 194-212.

Mackenzie, D. (2010). ICAO: A history of the international civil aviation organization. Canada: University of Toronto Press.

NAP. (n.d.). Roles and responsibilities. Retrieved from https://www.nap.edu/read/9726/chapter/5

SkryBrary, (n.d.). Safety regulation. Retrieved from https://www.skybrary.aero/index.php/Safety_Regulation

SkryBrary. (n.d.). ICAO annexes and doc series. Retrieved from https://www.skybrary.aero/index.php/ICAO_Annexes_and_Doc_Series

UIO. (n.d.). Convention on International Civil Aviation (ICAO Convention). Retrieved from https://www.jus.uio.no/english/services/library/treaties/07/7-01/international-civil-aviation.xml#treaty-header2-10

Xie, Z. H. (2017). Air operators’ safety assurance system. ITM Web of Conferences,12, 1-7.

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