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PREAMBLE TO THE CONVENTION ON INTERNATIONAL CIVIL AVIATION
"WHEREAS the future development of international civil aviation can greatly help to create and preserve friendship and understanding among the nations and peoples of the world, yet its abuse can become a threat to the general security; and "WHEREAS it is desirable to avoid friction and to promote that co-operation between nations and peoples upon which the peace of the world depends;
"THEREFORE, the undersigned governments having agreed on certain principles and arrangements in order that international civil aviation may be developed in a safe and orderly manner and that international air transport services may be established on the basis of equality of opportunity and operated soundly and economically;
"Have accordingly concluded this Convention to that end."
ADDRESS BY THE PRESIDENT OF THE COUNCIL OF THE INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) DR. ASSAD KOTAITE TO THE INTERNATIONAL TRANSPORTATION SYMPOSIUM: MOVING TO THE 21ST CENTURY
If to formule a common set of principles for the international transportation system in the 21st century, I can only speak with authority on international civil aviation, I believe that the five principles may be relevant to other modes of transportation as well.
The first of these principles is optimum safety and security. I am sure this comes as no surprise to you. Safety lies at the heart of all transportation. In this regard, I believe that aviation has been a trailblazer and we have generally succeeded in developing and fostering the implementation of worldwide standards. We have, however, come to a crossroads and are now faced with fundamental questions. Are we satisfied with the present-day level of safety? How many accidents and incidents are we willing to accept? Given the current safety performance, how much are we willing to invest to achieve the small, incremental
improvements now required to improve the level of safety?
To these questions, I have always answered that the protection of human life takes precedence over all other considerations, be they political, financial or otherwise. Nothing is more precious than human life and the loss of even one life is too many. I have also emphasized that safety makes good business sense. A good safety record builds and maintains confidence by the travelling public. And it promotes dedication to the integrity and efficiency of operating and management systems. There is no other option but to forever strive for even higher levels of safety.
ICAO is devoted to the principle of optimum safety. Our Global Aviation Safety Plan, which was developed in collaboration with industry, channels much of our resources to those safety-related activities that contribute most to reducing accidents. One such initiative is the mandatory Universal Safety Oversight Audit Programme. By the end of 2001 each of our 188 Contracting States will have received audits of their legislation, procedures and practices as they relate to personnel licensing, and the operation and airworthiness of aircraft. Subject to a decision by the ICAO Assembly next year, the Programme may be expanded to cover air traffic services, aerodromes, and aircraft accident and incident investigation. The Global Aviation Safety Plan also forms the basis for ICAO's efforts to reduce substantially the phenomenon of Controlled Flight into Terrain (CFIT) and other prime causes of fatal aviation accidents.
ICAO is also dedicated to the cause of aviation security. Air transport has a high profile and is occasionally subject to acts of unlawful interference. We have had considerable success in confining such acts and will continue our active campaign through strengthening the legal framework and establishing global standards, along with developing mechanisms for the implementation and monitoring of these security standards.
My second principle I would describe as distinctive operation and regulation. In this increasingly commercialized world, there is a trend towards privatization of air carriers and the handing over by governments of the operation of airports and air navigation services to autonomous
bodies or even to the private sector. ICAO encourages autonomy in the provision of airports and air navigation services because of the range of efficiency and other demonstrated benefits. However, in all instances we strongly encourage the separation of operation and regulation, the latter remaining the responsibility of governments. Whether or not airports and air navigation services are privatized or vested to an autonomous authority for management purposes, safety and security remain at all times the responsibility of States.
My third principle is sustainable development. The economic impact and catalytic nature of aviation, a key factor in business, tourism and trade (notably at present in the form of commerce) has been well documented. But airspace and airport congestion are reaching unacceptable levels in several parts of the world, with knock-on effects to other regions. Air transport and economic growth will be constrained in the future if we cannot provide adequate and cost-effective infrastructure, as well as efficient air traffic management, to meet the public's demand for service. And both air and surface transport will be constrained unless we can prove that we are living up to our environmental responsibilities. In ICAO, we are fully committed to reducing levels of aircraft noise and to implementing our mandate under the Kyoto Protocol for a reduction in aircraft engine emissions.
My fourth principle is safeguarded liberalization. Aviation has by no means been left out of the trend towards free markets and globalization. There are already a large number of "open skies" bilateral air services agreements and liberalized sub-regional and regional agreements. No less than 85 per cent ofICAO's 188 Contracting States are already involved in some form of liberalization, with 97 States (or over half of ICAO States) being parties to some arrangement towards full market access. ICAO supports the process of progressive liberalization. But we believe that it should be accompanied by safeguards to enable the effective and sustained participation of all States in international air transport, to ensure fair competition as well as safety and security. Developing countries and their airlines are particularly vulnerable to rampant deregulation and need to receive preferential treatment in the
economic regulation of international air transport. The liberalization of international air transport is progressing well on the basis of specific needs, interests and circumstances of States. The basic principles of unconditional most favoured nation treatment and national treatment of the World Trade Organization do not respond to these specific needs, interests and circumstances or to safety concerns, and ICAO does not support a wholesale application of the General Agreement on Trade in Services to air transport. At the same time, we are taking an increasingly proactive approach in developing and promoting guidance to enable both safe and safeguarded liberalization of international air transport under the civil aviation umbrella.
When I hear of globalization, I find less and less reference to persons, to human beings. We speak of systems, of networks, of alliances and of organizations. Seldom do we refer to users or passengers as human beings. 1 am concerned by this trend. I believe the time has come for us to place the human being back where he or she belongs, at the centre of our preoccupations. We need to provide for broader and improved access to the transportation system, for those who have never travelled, for the elderly, for the disabled. And as governments, we need to open our ears to the increasingly strong messages from the non-governmental organizations and from civil society at large.
My fifth and final principle is global cooperation. In aviation today, most of our major challenges are global in nature. Crowded skies, traffic delays, noise and air pollution and financial stability are a real challenge. The only way out of the impasse is through cooperation, within the air transport sector and with all other players that are part of the solution, and between developed and developing states. We are all interconnected and cooperation is the only route to solutions for the common good: that of operators, service providers, users, distribution intermediaries and labour.
Global cooperation holds true on the intermodal front. Air transport and other modes of transport are becoming increasingly interrelated. Air and rail networks in Europe are increasingly seen as in partnership as well as in competition. Air express services would not be viable without those ubiquitous vans on the road. Cruise ships would be largely empty
without air services to bring in the passengers. And of course, almost every form of transport, private as well as public, is used by passengers in getting to the airports. Collectively, we need to address congestion and facilitation, and we need to reach those elusive agreements on conventions that would meet the needs of all transportation sectors. We must aim atseamless symbiosis amongst our various transport modes in order to tap the vast potential of an integrated and harmonized global transportation system.
In concluding, I would like to emphasize that the principles and the regulatory framework contained in the Chicago Convention of 1944 have successfully guided international civil aviation throughout the second half of the 20th century. This fundamental document adhered to by 188 States will continue to guide international civil aviation in the 21st century.
"On planet earth, there are no passengers, we are all crew". How true this is of transportation. We all have to work in cooperation, with a common commitment to find common solutions to common challenges.
ICAO has a sovereign body, the Assembly, and a governing body, the Council. The Assembly meets at least once in three years and is convened by the Council. Each Contracting State is entitled to one vote and decisions of the Assembly are taken by a majority of the votes cast except when otherwise provided in the Convention At these sessions, the complete work of the Organization in the technical, economic, legal and technical cooperation fields is reviewed in detail and guidance is given to the other bodies of ICAO for their future work.
The Council is a permanent body responsible to the Assembly and is composed of 33 Contracting States elected by the Assemble for a three-year term. In the election, adequate representation is given to States of chief importance in air transport. States not otherwise included which make the largest contribution to the provision of facilities for civil air navigation, and States not otherwise included whose designation will ensure that all the major geographic areas of the world are represented on the Council.
The Council and its subsidiary bodies provide the continuing direction of the work of the Organization. One of the major duties of the Council is to adopt International Standards and Recommended Practices
and to incorporate these as Annexes to the Convention on International Civil Aviation. The Council may act as an arbiter between Contracting States on matters concerning aviation and implementation of the Convention; it may investigate any situation which presents avoidable obstacles to the development of international air navigation and, in general, it may take whatever steps are necessary to maintain the safety and regularity of operation of international air transport.
A Standard is any specification for which uniform application is recognized as necessary for the safety or regularity of international air navigation and to which Contracting States will conform in accordance with the Convention. A Recommended Practice is any specification for which the uniform application is recognized as desirable for the safety, regularity or efficiency of international air navigation. ICAO Standards and Recommended Practices are detailed in the 18 Annexes to the Chicago Convention that cover all aspects of international civil aviation. Although the Council has the responsibility for adoption of SARPs, and approval of Procedures for Air Navigation Services (PANS), the principal body concerned with their development is the ICAO Air Navigation Commission. The Commission is composed of fifteen persons who have qualifications and experience in the science and practice of aeronautics. Its members are nominated by Contracting States and are appointed by the Council. They act in their personal expert duty and not as representatives of their nominators The Commission is assisted by small groups of experts, nominated by Contracting States and international organizations and approved by the Commission.
The Secretariat, headed by a Secretary General, is divided into five main divisions the Air Navigation Bureau, the Air Transport Bureau, the Technical Co-operation Bureau, the Legal Bureau, and the Bureau of Administration and Services. In order for the work of the Secretariat to reflect a truly international approach professional personnel are recruited on a broad geographical basis.
ICAO works in close collaboration with other specialized agencies of the United Nations such as the International Maritime Organization, the International Telecommunication Union and the World Meteorological Organization, the International Air Transport Association, the Airports Council International the International Federation of Air
Line Pilots Associations and other international organizations participate at many ICAO meetings.
REPRESENTATIVE BODIES OF ICAO
The Assembly : Composed of all the Contracting States.
The Council: Composed of 33 Contracting States elected by the Assembly. The Council elects its own Secretary General.
The Air Navigation Commission: Composed of 15 members appointed by the Council from nominations received from Contracting States.
The Air Transport Committee: Composed of members appointed by the Council from representatives of Council Member States.
The Legal Committee: Established pursuant to Assembly Resolution Al-46 and open to membership by all Contracting States.
The Committee on Joint Support of Air Navigation Services: Composed of not less than 9 members elected by the Council from representatives of Council Member States.
The Personnel Committee: Composed of not more than 15 and not less than 13 members elected by the Council from representatives of Council Member States.
The Finance Committee: Composed of not more than 13 nor less than 9 members elected by the Council from representatives of Council Member States.
The Committee on Unlawful Interference: Composed of 15 members elected by the Council from representatives of Council Member States.
The ultimate objective of the ICAO universal safety oversight audit programme is to enhance flight safety by identifying shortcomings and providing recommendations for their resolution. This leads States to improve their safety oversight capabilities.
In this respect, both ICAO and the international aviation community have a role to play.
In view of growing concerns over incidents involving unruly passengers on board aircraft, the ICAO Council decided in June 1996 to include the item "Acts or Offences of Concern to the International Aviation Community and not Covered by Existing Air Law Instruments" in the General Work Programme of the Legal Committee. The Secretariat Study Group on Unruly Passengers was established by the Council in 1998. It held five meetings between 1999 and 2001. The Group considered that in view of the increase in the number of reported incidents involving unruly passengers, action should be taken without delay to recommend appropriate measures, including legal measures. Draft model legislative text has been prepared by the Group which will be submitted through the Council to the Assembly in September 2001.
FLIGHT SAFETY AND HUMAN FACTORS
The Flight Safety and Human Factors Programme was implemented to assist Contracting States in the development of materials and exchange of information to deal with human error in aviation operations. The Programme aims at increasing awareness within the aviation community on the importance of Human Factors in the safety and efficiency of civil aviation operations, and it is partly an educational programme. The tools selected to achieve this objective include the publication of a series of circulars called Human Factors digests, of which fourteen have been published to date and a Human Factors Training Manual published in 1998. ICAO has also implemented a programme of regional Human Factors training seminars and worldwide symposia.
The Flight Safety and Human Factors Programme is also a provider to the ICAO technical programme of activities in the field of air navigation. The Programme supports:
> the accident prevention and investigation programme
> the Controlled Flight Into Terrain (CFIT) programme aviation security
> the Safety Oversight Audit Programme (SOAP)
> the various tasks related the ICAO CNS/ATM systems
> the development of Human Factors-related Standards and Recommended Practices.
ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME
The ICAO Universal Safety Oversight Audit Programme was launched on 1 January 1999, pursuant to Assembly Resolution A32-11, and on the basis of the recommendations made by the Directors General of Civil Aviation (DGCA) Conference on a Global Strategy for Safety Oversight of November 1997 The Programme supersedes the voluntary assessment programme established in 1995 It is managed and run by the Safety Oversight Audit Section in the Air Navigation Bureau The objective of the ICAO Universal Safety Oversight Audit Programme is to promote global aviation safety through auditing Contracting States, on an ongoing basis, to determine the status of States' implementation on safety oversight and relevant ICAO Standards and Recommended Practices (SARPs), associated procedures, guidance material and safety-related practices The present scope of the Programme is limited to Annex 1 -Personnel Licensing, Annex 6 - Operation of Aircraft and Annex 8 -Airworthiness of Aircraft The initial mandate of the Programme is to audit all Contracting States and report to the next regular session of the Assembly in 2001.
The audit process starts six months prior to the audit, with the signing of a Memorandum of Understanding between ICAO and each State, as the principle of sovereignty must be fully respected Audits are conducted by experienced auditors selected by ICAO, who must undergo a training course as well as on-the-job training before being approved as auditors.
A typical audit is conducted over a period of seven working days by a team of three auditors following standard auditing procedures and protocols The length and duration of the audit, as well as the composition of the team are adjusted on the basis of the level of aviation activity in the State Audits begin and end with detailed briefings from the ICAO audit team to the Civil Aviation Authority and other officials of the State At the end of the audit, the State is provided with a draft of the findings of recommendations, so that it may start the development of its corrective action plan, if necessary.
The interim and final audit reports are confidential However, in order to assist other States in forming an opinion on the safety status of the audited States, ICAO makes available to all Contracting States
summary reports which include an abstract of the audit's findings, the corrective actions proposed by the State, the status of implementation of ICAO Annex provisions, and comments by ICAO on the overall soundness of the safety oversight system in each audited State.
The audits have helped ICAO identify safety concerns in a number of States They have also revealed the need to provide assistance to States to resolve such concerns.
The Safety Oversight Audit Section also conduct regional safety oversight seminar/workshops aimed at State officials and the aviation industry in general, with the objective of increasing the awareness of States regarding their safety oversight responsibilities under the Convention on International Civil Aviation.
ICAO'S TECHNICAL COOPERATION PROGRAMME
ICAO began executing technical cooperation projects in 1951 with funds received from the United Nations Special Account for Technical Assistance for Economic Development, which later became the United Nations Development Programme (UNDP).
Initially, funds allocated to civil aviation were extremely limited, not exceeding US$3 million per year. In spite of this, the Technical Cooperation Bureau (TCB) has over the past 50 years (1951 to 2000) implemented civil aviation projects in the developing world worth almost US$1.2 billion. The project budgets covered engagement of experts and consultants, fellowship training, and procurement of equipment and services. While the main beneficiaries of these undertakings to improve civil aviation facilities were developing countries, users of air transport facilities from all countries also benefited indirectly from safer and more reliable air transport.
ICAO's Technical Cooperation Bureau has had long and extensive experience in providing technical assistance and cooperation to States in the development and implementation of projects across all spectrums of air transport. The cooperation encompasses all phases of project development: Project identification, project assessment and formulation support in arranging funds, and project implementation. In a typical year. Technical Cooperation Bureau will execute over 100 diverse technical cooperation projects in developing countries, ranging
from massive US$20 million endeavours to relatively small-scale ones with budget of US$100,000.
Over the past decade, the aviation sector has seen a drastic reduction in funds from traditional funding sources such as UNDP as well as crucial regulatory and economic changes. Responding to this new environment, ICAO introduced a new policy on technical cooperation which was approved by the 31st session of the ICAO Assembly and which granted TCB the following mandate:
> development of civil aviation facilities as part of the social and economic development of Contracting States;
> improving the civil aviation facilities in developing countries, emphasizing ICAO Standards and Recommended Practices
(SARPs), including those involving CNS/ATM and ICAO's
Universal Safety Oversight Programme;
> promotion of national civil aviation master plans;
> creation of a new funding mechanism entitled "ICAO Objectives Implementation Funding Mechanism" with the stated aim of consolidating all other funding arrangements to encourage contributions from Contracting States.
In almost half a century of technical cooperation project implementation, TCB, in partnership with ICAO's Contracting States, has played an invaluable and instrumental role in the achievement of safe, efficient and reliable air transport worldwide. Legal Issues Relating to Unruly Passengers.
CONVENTION FOR THE UNIFICATION OF CERTAIN RULES FOR INTERNATIONAL CARRIAGE BY AIR
The Convention for the Unification of Certain Rules for International Carriage by Air, done at Montreal on 28 May 1999 modernizes and consolidates the international legal regime which has been established pursuant to the Warsaw Convention of 1929 and its various amending instruments (the so-called "Warsaw System") and provides, within a consolidated and uniform framework, the rules relating to the international carriage of passengers, baggage and cargo performed by aircraft for reward The new instrument facilitates the use of simplified and modernized documents of carriage (passenger ticket, air waybill) thus
enabling the utilization of electronic or computerised data processing for the issuance of these documents.
With respect to the accidental death or injury of passengers, the Convention establishes a two-tier liability regime For proven damage which per passenger does not exceed 100 000 Special Drawing Rights (SDR), the carrier is subject to strict liability regardless of fault, and only in the case of contributory negligence of the passenger or the person claiming compensation could the carrier be partly or wholly exonerated For proven damage exceeding 100 000 SDR, the liability of the air carrier is based on a system of presumed fault with no pre-specified limits of liability For such damage, the carrier is not liable if the carrier proves that the damage was not caused by its negligence or other wrongful act or omission.
A system of strict liability also applies to damage sustained in the event of loss or destruction of baggage With respect to the destruction or loss of cargo, the Convention follows the provisions of Montreal Protocol No 4 (Doc 9148), by establishing a system of strict liability, subject to certain defences which remain available to the air carrier. In relation to the amounts, the Convention contains a built-in review mechanism with a view of protecting the real value of the above-mentioned amounts subsequent to its entry into force.
As regards jurisdiction, the Convention provides that legal action in the case of injury or death of a passenger may, in addition to the existing four jurisdictions, also be brought before a Court in the State in which, at the time of the accident, the passenger had his or her principal and permanent residence, provided the air carrier has the required operational and commercial presence in that State The new instrument also contains rules pertaining to the liability of the actual and contracting carrier vis-a-vis the passenger or consignor, by incorporating the substantive provisions of the Guadalajara Supplementary Convention of 1961 (Doc 8181).
The Convention shall come into force on the sixtieth day following the date of deposit of the thirtieth instrument of ratification, acceptance, approval or accession To date, 11 States have done so.
COMMUNICATIONS, NAVIGATION AND SURVEILLANCE/ AIR TRAFFIC MANAGEMENT (CNS/ATM)
CNS/ATM is one of ICAO's most important activities. Since the conclusion of the work of the Special Committee on Future Air Navigation Systems (FANS), ICAO has significantly progressed the development of material necessary for planning, implementation and operation of CNS/ATM systems. In order to project a clear and organized approach toward implementation of CNS/ATM systems and to coordinate the planning and implementation work globally, ICAO has developed the
Global Air Navigation Plan for CNS/ATM Systems (Global Plan). The
Global Plan has been developed so that it has a clear and functional relationship with the regional air navigation plans. The two parts of the Global Plan provide the means for step-by-step approach to planning based on the concept of homogeneous ATM areas and major international traffic flows. The tables in Part II form the framework to guide the implementation of CNS/ATM systems using the traditional regional planning processes, leading to a global, integrated ATM system.
The Air Navigation Commission created the Air Traffic Management Operational Concept Panel (ATMCP) to develop a global concept for air traffic management that will provide the vision, benefits and objectives of a seamless, global air traffic management system. The global concept will act as a catalyst toward speedy implementation of
Selected Relevant Documents:
Annex 10, Volume I - Aeronautical Telecommunications Annex 11 -Air Traffic Services
Manual on Airspace Planning Methodology/or the Determination of Separation Minima (Doc 9689)
Manual of Air Traffic Services (ATS) Data Link Applications Guidelines for the introduction of and Operational Use of Global Navigation Satellite Systems (Circular 267 Manual on Required Navigation Performance (RNP) (Doc 9613)
Global Air Navigation Plan for CNS/ATM Systems (Doc 9750)
THE ICAO TRAINAIR PROGRAMME
The TRAINAIR Programme is a global training programme which aim is to improve safety and efficiency of air transport through the establishment and maintenance of high standards of training and competency for aviation personnel on a world-wide basis and in a cost effective manner. Members of the TRAINAIR Programme produce material-dependent, standardized training courses in all fields of civil aviation that are called "Standardized Training Packages (STP)". These STPs are developed according to the TRAINAIR methodology. The members also share these STPs in a worldwide network administered by
ICAO's TRAINAIR Central Unit. So far, 43 Standardized Training
Packages are available for sharing and 78 are at different stages of development. By the end of April 2001 programme membership will comprise approximately 33 training institutions serving the civil aviation training needs.
AIRPORT AND ROUTE FACILITY MANAGEMENT
ICAO's main objectives in the field of airport and route facility management are to monitor compliance with Article 15 of the Chicago Convention and application of ICAO recommended policies and practices in the area of cost recovery for airports and air navigation services. The work involved falls into three main areas:
> review and policy development;
> guidance on airport and route facility management; and
> technical support.
Under review and policy development the main tasks performed by the Secretariat are to monitor and prepare studies on the economic situation of airports and air navigation services and the impact of associated charges on users; monitor States' charging practices and application of ICAO recommended policies and practices; prepare advice on charges and cost recovery policy development; prepare for and serve conferences on the economics of airports and air navigation services, and initiate action on recommendations of such conferences; provide advice and develop guidelines on organizational, cost recovery and financing arrangements for multinational air navigation facilities/services including
CNS/ATM, and on the application of market-based options to reduce adverse environmental consequences of aircraft engine noise and emissions.
With regard to guidance on airport and route facility management, the Secretariat prepares new, and updates existing, manuals and other documents containing guidance material for States on various aspects of airport and route facility economics and management; and provides assistance to States through regional workshops and seminars on airport and route facility management.
As to technical support the Secretariat provides with respect to other projects, including those in the field of air navigation globally, at the regional level and in particular planning groups, advice, information and documentation, on organizational and economic aspects of airports and air navigation services, including means of addressing safety oversight and reducing shortcomings in the air navigation field. The Secretariat also provides support in the establishment and administration of cooperative projects.
З М І С Т
Загальні методичні вказівки..............................................3
1. Модуль 1 International Civil Aviation Organizations..................4
2. Модуль 2 History of ICAO................................................24
3. Модуль 3 The Chicago Convention......................................41
4. Модуль 4 ICAO Structure.................................................56
5. Модуль 5 ICAO' s Aims...................................................73
6. Модуль 6 ICAO Activities................................................89
7. Тексти для читання......................................................107
Preamble to the Convention on International Civil Aviation........107
Address by the President of the Council of the International Civil Aviation Organization (ICAO) Dr. Assad Kotaite to the International Transportation Symposium: Moving to the 21st Century.....................................................................107
Representative Bodies of ICAO.......................................113
Ultimate Obj ective.......................................................113
Flight Safety and Human Factors.......................................114
ICAO Universal Safety Oversight Audit Programme...............115
ICAO'S Technical Cooperation Programme.........................116
Convention for the Unification of Certain Rules
for International Carriage by Air.......................................117
Communications, Navigation and Surveillance/
Air Traffic Management (CNS/ATM).................................119
The ICAO TRAINAIR Programme....................................120
Airport and Route Facility Management...............................120