AERODROME OPERATIONS TRAINING – MODULE 1ICAO and States Civil Aviation Systems

LEARNING OUTCOME Course participants will gain an overview of

the civil aviation system and how the international standards and recommended practices are reflected in national regulation.

With access to reference documents they will be able to establish the specific legislative requirements governing an airports operation

CIVIL AVIATION SYSTEM

Air TraAir ort System

Air Transport System

Traffic Environment

Standards, Rules, Regulations, & Procedures

Authority Supervision

The primary purpose of the air transport system is to transport people and goods from one place to another

AIR TRANSPORT SYSTEMConsists of 3 major sub-systems Aircraft operations subsystem – consists of all

the functions, organizations, individuals involved in making an aircraft fly safely

Aerodrome subsystem – provides all the services and facilities on the ground for take-off and landing and for loading and unloading of passengers and goods

Airspace subsystem – provides the airspace, air traffic services, navigation services and information services

ECONOMIC AND SAFETY REQUIREMENTS

Economic, Social & Environmental Requirements (ie Market)

Safety & Security Requirements

Aircraft Operations

Sub System

AerodromeSub System (nodes)

Airspace Sub

System (links)

REGULATIONPurpose of regulation is to deal with

deficiencies in markets or activities

Economic Regulation - achieve competitive market or govern activities of monopolies etc

Safety Regulation - reduce the risk of the activity where reduction may not otherwise automatically occur

CHICAGO CONVENTIONChicago Convention on International Civil

Aviation Dec 7th 1944. Main objective – To ensure the safe and

orderly development of international civil aviation

Objective has both economic and safety aspects

Economic – air traffic rights and tariffs Safety – 19 annexes containing standards

and recommended practices (SARPS), 16 deals with safety, one on facilitation and one on security

INTERNATIONAL- ECONOMIC First 2 freedoms: Right to overfly and right to

land for non-traffic (tech stop) contained in Chicago convention (article 5) and reinforced in separate “International Air Services Transit Agreement”

Additional freedoms 3-5 (or 3-9) have come under separate bilateral agreements between individual states rather than on international multilateral basis.

ICAO – STANDARDS 19 Annexes to the Convention containing Standards

and Recommended Practices (SARPS) Standards and Recommended Practices adopted by

the Council under the provisions of the Convention.They are defined as follows: Standard: Any specification for physical

characteristics, configuration, matériel, 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.

ICAO – RECOMMENDED PRACTICE Recommended Practice: Any specification for

physical characteristics, configuration, matériel, 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 will endeavour to conform in accordance with the Convention.

ICAO - ANNEXESAnnex 1 - Personnel Licensing, Annex 2 – Rules of the Air,Annex 3 – Meteorology, Annex 4 – Aeronautical ChartsAnnex 5 – Units of Measurement, Annex 6 – Aircraft

Operations,Annex 7 – Aircraft Nationality &Registration, Annex 8 – Airworthiness, Annex 9 - Facilitation,Annex 10 – Aeronautical Telecommunications,Annex 11 – Air Traffic Services, Annex 12 – Search & RescueAnnex 13 – Accident & Incident Investigation,Annex 14 – Aerodromes, Annex 15 – Aeronautical Information ServicesAnnex 16 – Environmental Protection, Annex 17 – SecurityAnnex 18 – Dangerous Goods, Annex 19 – Safety Management

ICAO - PANSProcedures for Air Navigation Services (PANS)do

not have the same status as the Standards and Recommended Practices. While the latter are adopted by Council in pursuance of Article 37 of the Convention on International Civil Aviation, subject to the full procedure of Article 90, the PANS are approved by the President of the Council on behalf of the Council and recommended to Contracting States for worldwide application.

PANS ABC Doc 8400 Abbreviations and Codes PANS ATM Doc 4444 Air Traffic Management PANS OPS Doc 8168 Aircraft Operations Regional Supplementary Procedures Doc 7030 –

similar status as PANS but application limited to specific areas

DEVELOPMENT SARPS/ PANS ICAO Air Navigation Commission (ANC) tasked

with development of technical SARPS/PANS• Divisional Meetings – all states can participate• 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

ICAO REGIONAL AIR NAVIGATION PLANSPlans set forth in detail the facilities, services and

procedures required for international air navigation within a specified area. Such plans contain recommendations that governments can follow in programming the provision of their air navigation facilities and services. Plans published as 2 volumes:

Basic ANP covering static information (FIR boundaries etc) and basic planning and requirements criteria.

Facilities and Services Implementation Document (FASID) dynamic material covering facilities and services at aerodromes and enroute and guidance material on implementation aspects

Asia/Pacific Air Navigation Planning and Implementation Regional Group (APANPIRG) reviews Asia Pacific plans

ICAO GUIDANCE MATERIAL Guidance Material is produced to supplement the

SARPs and PANS and to facilitate their implementation. Guidance material is issued as Attachments to Annexes or in separate documents such manuals, circulars and lists of designators/ addresses

Aerodrome Guidance Material includes – • Attachments to Annex 14, • Document 9137 Airport Services (8 Parts)• Document 9157 Aerodrome Design (6 Parts)• Document 9184 Airport Planning (3 Parts)• Document 9774 Certification of Aerodromes

CIVIL AVIATION SAFETY SYSTEM

RULES & REQUIREMENTS: issued by the national civil aviation authority or similar

DETAILED OPERATING INSTRUCTIONS: issued by operator, workshop, manufacturer, and regulator (flight ops manual, maintenance manual, procedures manual, quality manual, etc)

AMENDMENT PROCEDURES

EXPERIENCE - FEEDBACK - DEVELOPMENT

NATIONAL LEGISLATION: overall legal framework; delegation to lower authorities

THE CHICAGO CONVENTION annexes: Standards; Recommended Practices

NATIONAL LEGISLATIONStates Civil Aviation Act normally contains both

economic and safety regulation- NZ example below

Minister – Objectives/Functions include • to ensure that New Zealand’s obligations under

international civil aviation agreements are implemented

• to make rules under this Act.

Director General – Powers to issue, suspend or revoke aviation documents (licenses and certificates), investigate, gain access, seize, and make emergency rules

STATES NATIONAL SYSTEM Civil aviation in a state operates within a

system established and maintained in accordance with a high level Civil Aviation Act decreed by Parliament.

The system sets boundaries, which are the minimum safety and security standards to be met by system participants. Civil aviation activities that do not meet these minimum standards are not tolerated. The safety standards are detailed in the Civil Aviation Rules/ Regulations.

SHARED RESPONSIBILITY In States civil aviation system, every

participant shares a responsibility for safety and security. The CAA does not oversee every flight.

Aviation organisations, pilots, engineers, air traffic controllers and aircraft owners are each responsible for meeting the statutory safety and security standards.

The Rules set the minimum standards for entering, and operating within, the system. It is in the best interests of all aviation participants to perform to a standard above the minimum.

INTERNATIONALLY RECOGNISED The States aviation system is aligned with

the safety standards set by the International Civil Aviation Organisation (ICAO). 190 States adhere to ICAO standards, and are regularly audited by ICAO.

ICAO Audit Programmes – Universal Safety Oversight Audit Programme (USOAP), Universal Security Audit Programme (USAP)

States safety system and certification practices can also be recognised in bilateral agreements with other States.

RULES PRESCRIBE MINIMUM STANDARDS The States Civil Aviation Rules, will prescribe

the minimum safety standards required for every aspect of aviation. Rules are normally developed, in consultation with the aviation community.

The highest standards are required to ensure the protection of fare-paying passengers on airline operations. Lesser standards may apply to operations with lower risk, such as non-commercial operations.

ENTRY VIA DOCUMENTATION To operate within the civil aviation system,

an individual or organisation must be granted an aviation document.

The Director grants aviation documents – such as a pilot licence, operating certificate, aircraft registration, engineer licence, air traffic control licence, or aerodrome certificate – only after applicants have demonstrated that they meet the standards set in the Civil Aviation Rules.

100% COMPLIANCE When an aviation organisation makes an

application for an operating certificate, the CAA tailors a checklist of every Rule that applies to that organisation (such as a small, medium or large airline, maintenance or manufacturing organisation, or training organisation), reflecting the type of activities it conducts.

To enter the aviation system, the operator must demonstrate that it complies with all of the Rules on its CAA checklist.

NATIONAL CIVIL AVIATION RULES

LIFE CYCLE – REGULATING AVIATION

5

3

2

7

4

6

Rules (i.e. some teeth) for CORRECTIVE ACTION

Provision for SUPPORT of the system and to maintain good relations

Rules to maintain confidence in the system through SURVEILLANCE

Rules for CONTINUED OPERATION

Rules for EXIT CONTROL

ANALYSIS of CHANGE to assess effectiveness of Rules and safety trends Life

Cycle Approach

Transparent gate & precise rules for ENTRY CONTROL

1s

RISK TO SAFETY ASSESSED The Risk Rating of an operator determines the

degree of surveillance and monitoring attention it will receive from the CAA. The ratings are either low, medium, moderate or high.

Factors such as changes in key staff members, the type or number of aircraft, or the type of operation being conducted by an organisation can affect its Risk Rating. When a factor changes, the CAA’s systems will trigger an alert that the change must be reviewed. CAA managers will then determine whether the operator’s overall Risk Rating has been affected.

CAA analysis of wider safety trends can also affect Risk Ratings.

LEARNING FROM ACCIDENTS/INCIDENTS The CAA investigates aviation accidents and

serious incidents for a broad range of purposes under the Act. Accidents and incidents involving commercial transport operators may be investigated by a separate government agency,, to determine whether the regulator (the CAA) needs to change some aspect of the civil aviation system.

In either case, the primary aim is to learn from what happened to reduce the risk of recurrence. If a safety investigation shows a participant has deliberately endangered people or property, the CAA will consider law enforcement action.

EXIT FROM SYSTEM If aviation document holders operate outside

the Rules, they may be removed from the system or have conditions imposed.

In less serious cases, safety breaches may be addressed through education, support and advice. However, the Director General has the power to revoke aviation documents, and to enforce the requirements of the Act and the Rules.

Once aviation documents have been revoked, the holders must start the entire certification process again from the beginning if they wish to re-enter the system.

ANALYSING SAFETY TRENDS The CAA analyses the data it collects on

accidents and incidents to identify safety trends. To assist analysis, aviation operations are divided into sectors such as large airlines, agricultural operations, and private (non-commercial) helicopters. Safety targets are set for each sector and performance towards these targets is monitored, and regularly reported back to the aviation community.

ROBUST RESPONSIVE SYSTEM The boundaries of the civil aviation system

evolve as experience grows, analysis of safety information highlights the need for change, and State keeps pace with its international obligations.

The States civil aviation system is therefore robust and responsive to the continually changing aviation community.

The States system is respected internationally, and provides an appropriate level of safety and security for the public of the nation.

AERODROME SAFETY REGULATION – CAR PART 139 Subpart A General- Requirement for certification,

certification issue, duration, renewal Subpart B Certification Requirements – Design,

limitations, personnel, emergency plan, rescue fire-fighting, public protection, wildlife, notification data, QA, exposition

Subpart C Operating Requirements – continued compliance, RESA, maintenance, ATC/Apron management, changes to organisation, safety and audit

Subpart D Security Subpart E Use (Superseded by CAR 91, 121, 125

135)

CAA ADVISORY CIRCULARS Civil Aviation Authority Advisory Circulars

contain information about standards, practices and procedures that the Director has found to be an Acceptable Means of Compliance (AMC) with the associated rule.

Differences to ICAO Annex 14: Largely AC 139 series reflection of ICAO Annex 14 SARPS but there are some differences ref: http://www.caa.govt.nz/rules/ICAO_diff.htm

REPORTING ACCIDENTS INCIDENTS – CAR PART 12Aerodrome incident means an incident involving an

aircraft operation and— (1) an obstruction either on the aerodrome operational

area or protruding into the aerodrome obstacle limitation surfaces; or

(2) a defective visual aid; or (3) a defective surface of a manoeuvring area; or (4) any other defective aerodrome facility: Notification of incident (a) A holder of a certificate issued in accordance with the

following Parts must notify the Authority as soon as practicable of any associated incident if the certificate holder is involved in the incident and the incident is a serious incident or is an immediate hazard to the safety of an aircraft operation:

USE OF AERODROMESNow promulgated as part of as part of General Operating

Rules and Air Operator Rules Example Part 91 Operating on and in the vicinity of an

aerodrome (a) Except as provided in paragraph (b), a pilot of an

aeroplane operating on or in the vicinity of an aerodrome must—

(1) observe other aerodrome traffic for the purpose of avoiding a collision; and ……..

Operations at aerodromes with air traffic services (a) Each pilot-in-command of an aircraft on or in the

vicinity of an aerodrome with an aerodrome control service in operation shall— …….

ADDITIONAL AIR OPERATOR REQUIREMENTS NZ CAR 121.71 (b) A holder of an air operator certificate must

ensure that an aeroplane performing an air operation under the authority of the holder’s certificate does not use an aerodrome for landing or taking-off unless the aerodrome has—

(1) rescue fire equipment that is appropriate to the aeroplane type and is acceptable to the Director; and

(2) for turbojet and turbofan powered aeroplanes, an operating visual approach slope indicator system, except when the aeroplane is performing a precision instrument approach that includes glide-slope guidance.

REVIEW – DISCUSSION Requirement for regulation Economic versus Safety Regulation International ICAO Role Convention SARPS, PANS, ANP, Guidance Material National Civil Aviation System Life Cycle approach Civil Aviation Rules/ Safety Regulations Advisory Circulars