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Standards And Recommended Practices (SARPs)

Standards And Recommended Practices (SARPs). Standards And Recommended Practices (SARPs).

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Standards And Recommended Practices (SARPs)

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  1. Standards And Recommended Practices (SARPs)

  2. Standards And Recommended Practices (SARPs) • Standards And Recommended Practices (SARPs) are technical specifications adopted by the Council of ICAO in accordance with Article 37 of the Convention on International Civil Aviation in order to achieve "the highest practicable degree of uniformity in regulations, standards, procedures and organization in relation to aircraft, personnel, airways and auxiliary services in all matters in which such uniformity will facilitate and improve air navigation".

  3. Standards And Recommended Practices (SARPs) • SARPs are published by ICAO in the form of Annexes to Chicago Convention. SARPs do not have the same legal binding force as the Convention itself, because Annexes are not international treaties. Moreover States agreed to "undertake to collaborate in securing (...) uniformity", not to "comply with“. Each Contracting State may notify the ICAO Council of differences between SARPs and its own regulations and practices. Those differences are published in the form of Supplements to Annexes.

  4. Verification of compliance with SARPs • ICAO verifies compliance with SARPs through audits of state oversight systems. Currently there are two audit programmes: • Universal Safety Oversight Audit Programme (USOAP) • Universal Security Audit Programme (USAP)

  5. Verification of compliance with SARPs • The objective is to promote global aviation safety by determining the status of implementation of relevant ICAO SARPs, associated procedures and safety-related practices. The audits are conducted within the context of critical elements of a State's safety oversight system. These include the appropriate legislative and regulatory framework; a sound organizational structure; technical guidance; qualified personnel; licensing and certification procedures; continued surveillance and the resolution of identified safety concerns.

  6. Verification of compliance with SARPs • Since its inception, the Programmes have proved effective in identifying safety concerns in the safety-related fields under its scope, while providing recommendations for their resolution. The Programmes are being gradually expanded to include aerodromes, air traffic services, aircraft accident and incident investigation and other safety-related fields. • While providing additional assistance in the form of regional safety oversight seminars and workshops, the programmes also provides ICAO with valuable feedback to improve existing SARPs and create new ones.

  7. PROCEDURE OF FORMULATION OF NEW STANDARDS AND RECOMMENDED PRACTICES Origin of Proposals for SARPs • The formulation of new or revised SARPs begins with a proposal for action from ICAO itself or from its Contracting States. Proposals also may be submitted by international organization.

  8. Development of SARPs • Proposals for technical SARPs are analyzed first by theAir Navigation Commission (ANC). Depending on the nature of the proposal, the Commission may assign its review to a specialized working group. • Meetings are the main vehicle for progress in the air navigation field, although much of the preparatory work is accomplished by correspondence.

  9. Development of SARPs In the development, a number of consultative mechanisms are used: • Air Navigation meetings are divisional-type meetings devoted to broad issues in the air navigation fields. They can be either divisional meetings dealing with issues in one or more related fields or air navigation conferences normally having a "theme" covering issues in more than one field. All Contracting States are invited to participate in these meetings with equal voice. Interested international organizations are invited to participate as observers. • ANC panels are technical groups of qualified experts formed by the ANC to advance, within specified time frames, the solution of specialized problems which cannot be solved adequately or expeditiously by the established facilities of the ANC and the Secretariat. These experts act in their expert capacity and not as representatives of the nominators

  10. Development of SARPs • Air Navigation study groups are small groups of experts made available by States and international organizations to assist the ICAO Secretariat, in a consultative capacity, in advancing progress on technical tasks. • Council technical committees are established to deal with problems involving technical, economic, social and legal aspects, for the resolution or advancement of which expertise is required that is not available through the normal Council means, are also instrumental in developing ICAO SARPs. • In summary, technical issues dealing with a specific subject and requiring detailed examination are normally referred by the ANC to a panel of experts. Less complex issues may be assigned to the Secretariat for further examination, perhaps with the assistance of an air navigation study group.

  11. Review of Draft SARPs • These various groups report back to the Air Navigation Commission in the form of a technical proposal for preliminary review that is normally limited. • The original recommendations for core SARPs along with any alternative proposals developed by the ANC are submitted to Contracting States and selected international organizations for comment. Detailed technical specifications for complex systems are made available to States upon request and are submitted to a validation process. States are normally given three months to comment on the proposals. • Standards developed by other recognized international organizations can also be referenced. • The comments of States and international organizations are analyzed by the Secretariat. • The Commission undertakes the final review of the recommendations and establishes the final texts of the proposed amendments to SARPs, PANS and associated attachments.

  12. Standards and Recommended Practices developed and implemented by ICAO • The most important legislative function performed by ICAO is the formulation and adoption of Standards and Recommended Practices (SARPs) for international civil aviation. These are incorporated into the 18 technical annexes to the Convention on International Civil Aviation, also known as the Chicago Convention.

  13. Standards and Recommended Practices developed and implemented by ICAO Standards and Recommended Practices are based on the four "C's" of aviation: • cooperation • consensus • compliance • commitment. Cooperation in the formulation of SARPs, consensus in their approval, compliance in their application, and commitment of adherence to this on-going process.

  14. Standards and Recommended Practices developed and implemented by ICAO Standards and Recommended Practices cover all technical and operational aspects of international civil aviation: • Safety; • Personnel licensing; • Operation of aircraft, aerodromes; • Air traffic services; • Accident investigation; • The environment. SARPs are formulated in broad terms and restricted to essential requirements. For complex systems SARPs material is constructed in two sections: • core SARPs - material of a fundamental regulatory nature contained within the main body of the Annexes, and • detailed technical specifications placed either in Appendices to Annexes or in manuals.

  15. Standards and Recommended Practices developed and implemented by ICAO • Sixteen out of eighteen Annexes to the Convention are of a technical nature and therefore fall within the responsibilities of the Air Navigation Bureau and its sections. • The remaining two Annexes, Facilitation and Security, are under the purview of the Air Transport Bureau. Since the majority of the Annexes concern technical issues, it is focused on them when the development process is described.

  16. Standards and Recommended Practices developed and implemented by ICAO 18 Annexes containing standards and recommended practices (SARPs): • Annex 1 – Personnel Licensing • Annex 2 – Rules of the Air • Annex 3 – Meteorological Service for International Air Navigation • Annex 4 – Aeronautical Charts • Annex 5 – Units of Measurement to be used in Air and Ground Operations • Annex 6 – Operation of Aircraft • Annex 7 – Aircraft Nationality and Registration Marks • Annex 8 – Airworthiness of Aircraft • Annex 9 – Facilitation • Annex 10 – Aeronautical Telecommunications • Annex 11 – Air Traffic Services – Air Traffic Control Service, Flight Information Service and Alerting Service • Annex 12 – Search and Rescue • Annex 13 – Aircraft Accident and Incident Investigation • Annex 14 – Aerodromes • Annex 15 – Aeronautical Information Services • Annex 16 – Environmental Protection • Annex 17 – Security: Safeguarding International Civil Aviation Against Acts of Unlawful Interference • Annex 18 – The Safe Transport of Dangerous Goods by Air

  17. Standards and Recommended Practices.Definition • SARP – Standards and Recommended Practices are developed by ICAO and cover all technical and operational aspects of international civil aviation, such as safety, personnel licensing, operation of aircraft, aerodromes, air traffic services, accident investigation and the environment. • The terms 'Standard' and 'Recommended Practice' in aviation are used by ICAO with specific definitions:

  18. Standards and Recommended Practices.Difference • Standard • Any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which 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; in the event of impossibility of compliance, notification to the Council is compulsory under Article 38 of the Convention. • Recommended Practice • Any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which is recognized as desirable in the interest of safety, regularity or efficiency of international air navigation, and to which Contracting States should endeavour to conform in accordance with the Convention.

  19. Standards and Recommended Practices.Update • At least twice every year, ICAO issues new Standards and Recommended Practices (SARPS), or amends some that are currently in place. • Each Member State is expected to review the new SARPS and if they are applicable to the • State, then the State should amend its regulations to take these into account. • There are over 12,000 SARPS published in 18 Documents called Annexes. • Each Annex applies to a different aspect of the Civil Aviation industry. • Examples are: • Annex 1 (Licensing) • Annex 6 (Aircraft Operations) • Annex 8 (Aircraft Maintenance)

  20. Standards and Recommended Practices • At any point in time, a client State may request a report showing how many differences there are between the ICAO SARPS and the State’s Regulations. • Information Flow

  21. Standards and Recommended Practices • Whenever a client State updates its Regulations, it advises the Central Agency and provides the amended Regulations for the Database to be amended accordingly

  22. The formulation of a new standard or recommended practice • SARPs shall be drafted in clear, simple and concise language. • For complex aeronautical systems, SARPs shall consist of broad, mature and stable provisions specifying system-level, functional and performance requirements that provide for the requisite safety levels and interoperability. For such systems, any technical specifications necessary to achieve these requirements shall be appendices to Annexes. • Any related detailed technical specifications shall be placed in separate documents and be referenced in Annexes by means of notes;

  23. The formulation of a new standard or recommended practice Guidelines for new SARPs • From the inception of development of ICAO material for a new system, the material should be planned to conform to the three-level structure established by the ICAO policy. • The material contained in “core” SARPs (first level) should be limited to: • general definitions of terms; • general system characteristics and performance requirements; • where applicable (Annex 10), high-level radio-frequency characteristics (as required for the purpose of demonstrating conformance with relevant ITU Radio Regulations); and • reference(s) to appendix material (second level) and/or non-SARPs material (third level) as required. • This material is not expected to exceed ten pages per system

  24. The formulation of a new standard or recommended practice • In apportioning the additional specifications between the second and third levels, an effort should be made to limit to the extent possible the size of the material in the second level (appendix), by including in it only those additional provisions that are necessary in practice to achieve interoperability. • The possibility of dispensing with second level material altogether (by locating in the third level all material that does not fall into the “core” category) should be actively explored, in close coordination with the ICAO bodies that define the applicable operational requirements.

  25. The formulation of a new standard or recommended practice • When developing new SARPs having substantial elements of commonality with existing ones, consideration should be given to aligning the structure of the existing SARPs to the new ones to highlight the elements of commonality. • Similarly, if the level of detail of existing SARPs for a system or family of systems proves unnecessarily restrictive and technology-specific, thereby preventing the achievement of benefits to safety and efficiency, consideration should be given to replacing the detailed material with broader provisions.

  26. The formulation of a new standard or recommended practice • SARPs are formulated in broad terms and restricted to essential requirements. • The formulation of new or revised SARPs begins with a proposal for action from ICAO itself or from its Contracting States. Proposals also may be submitted by international organizations.

  27. Full description of the procedures for adoption. Participation in this process of participating Air Navigation Commission, working groups and Secretariat and others Adoption/Publication of Annex Amendments • The Council reviews the proposals of the Air Navigation Commission and adopts the amendment to the Annex if two-thirds of the members are in favour.Within two weeks of the adoption of an Annex amendment by the Council, an interim edition of the amendment, referred to as the "Green Edition", is dispatched to States with a covering explanatory letter. This covering letter also gives the various dates associated with the introduction of the amendment.

  28. Full description of the procedures for adoption. Participation in this process of participating Air Navigation Commission, working groups and Secretariat and others Approval/Publication of other Annex Materialand Procedures • Attachments to Annexes, although they are developed in the same manner as Standards and Recommended Practices, are approved by Council rather than adopted. • Regional Supplementary Procedures, because of their regional application, do not have the same line of development as the previously mentioned amendments; they also must be approved byCouncil. • The proposed amendments to PANS are approved by the Air Navigation Commission, under power delegated to it by the Council.

  29. Full description of the procedures for adoption. Participation in this process of participating Air Navigation Commission, working groups and Secretariat and others Implementation of SARPs/Universal Safety Oversight Audit Programme • Under the Convention on International Civil Aviation, the implementation of SARPs lies with Contracting States. To help them in the area of safety, ICAO established in 1999 a Universal Safety Oversight Audit Programme. The Programme consists of regular, mandatory, systematic and harmonized safety audits carried out by ICAO in all Contracting States. • The objective is to promote global aviation safety by determining the status of implementation of relevant ICAO SARPs, associated procedures and safety-related practices.

  30. Full description of the procedures for adoption. Participation in this process of participating Air Navigation Commission, working groups and Secretariat and others • While providing additional assistance in the form of regional safety oversight seminars and workshops, the programme also provides ICAO with valuable feedback to improve existing SARPs and create new ones.The experience gained with the safety oversight programme was successfully adapted to aviation security. In 2002, the Universal Security Audit Programme was launched to similarly help States identify deficiencies in the implementation of security-related SARPs. The format may in the future be applied to other areas of civil aviation.

  31. Full description of the procedures for adoption. Participation in this process of participating Air Navigation Commission, working groups and Secretariat and others • Yes, cooperation, consensus, compliance and an unfailing commitment to the on-going implementation of SARPs have made it possible to create a global aviation system that has evolved into the safest mode of mass transportation ever conceived. The flight crew of today's commercial aircraft, as their predecessors and those that will follow, can count on a standardized aviation infrastructure wherever they fly in the world.

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