Foreign air operator Approval & Surveillance

Foreign air Foreign air operator operator

Approval & Approval & SurveillanceSurveillance

Foreign operator approval and Foreign operator approval and surveillancesurveillance

2

OutlineOutline

Historical Review and current situation – ICAOHistorical Review and current situation – ICAOProblem StatementProblem StatementSolutions and ObjectivesSolutions and ObjectivesICAO Assembly Resolution and ICAO Assembly Resolution and SARPsSARPsDoc 8335, Part VI - Guidance for foreign operatorsDoc 8335, Part VI - Guidance for foreign operatorsInternational Register of AOCsInternational Register of AOCs


3

Certification: the early daysCertification: the early days

(1944 (1944 1980’s)1980’s)

The State of Registry assumes most of the responsibility for safety with participation of individuals (pilots and mechanics)

OperatorsOperators

Flight crew

AircraftC of A

License

RegulatorRegulator

Annex 1

Annex 8

State of Registry


4

General PrinciplesGeneral Principles

Certificates of airworthiness and … and …licenses issued or rendered valid by the contracting issued or rendered valid by the contracting State in which the aircraft is State in which the aircraft is registeredregistered, , shall be recognized as valid by the other contracting States,, provided that the provided that the requirements under which such certificates or requirements under which such certificates or licenses were issued or rendered valid are licenses were issued or rendered valid are equal to or above the minimum standardsequal to or above the minimum standards which may be established from time to time which may be established from time to time pursuant to this Convention.pursuant to this Convention.

Chicago Convention -Chicago Convention - Article 33Article 33

Caveat


5

Air Operator Certificate (AOC)Air Operator Certificate (AOC)

RegulatorRegulator OperatorsOperators

Flight crew

AircraftC of A

License

Air Operator Certificate

Training

Maintenance

• The responsibility for safe operation rests essentially with the operator.

• The State of the Operator ensures fitness of its operators through safety oversight (certification and surveillance)

1990 onwards1990 onwards

Annex 6

State of the Operator


6

OutlineOutline



7

International OperationsInternational Operations

Problem: Approval & Surveillance of Foreign Problem: Approval & Surveillance of Foreign

OperatorsOperators Unharmonised requirement for Foreign AOC orUnharmonised requirement for Foreign AOC or

“Foreign Operations Specifications”“Foreign Operations Specifications”

Multiplication of States with such requirementMultiplication of States with such requirement

E.g: USA, China, Canada, Trinidad & Tobago, E.g: USA, China, Canada, Trinidad & Tobago,

Saudi Arabia, etc.Saudi Arabia, etc.


8

AOC

AOC

AOC

AOC

AOC

AOC

AOC

StateState

StateState

StateState

StateState

StateState

StateState

StateState

Each Airline:1 AOC

+X ForeignOps Specs

Each Airline:1 AOC

+X ForeignOps Specs

MultipleRequirements

MultipleRequirements

Complexity!

The problem:


9

OutlineOutline



10

Solutions and Objectives

Solutions:Solutions: Ensure recognition of adequate oversight by the State of the

Operator (inter-State audits, ICAO USOAP audits,

agreements between States), resulting in the recognition as

valid of the AOC.

Adequate State surveillance of foreign operators.

Bilateral or multilateral aviation safety agreements (e.g. EU-

USA).

ICAO


11

AOC

AOC

AOC

AOC

AOC

AOC

AOC

StateState

StateState

StateState

StateState

StateState

StateState

StateState

FORE I GN OPERATOR

SURVEILLANCE

FORE I GN OPERATOR

SURVEILLANCE

OBJECTIVE

Annex 6 & Doc 8335


12

OutlineOutline

Historical and current situation – ICAOHistorical and current situation – ICAOProblem StatementProblem StatementSolutions and ObjectivesSolutions and Objectives

ICAO Assembly Resolution and ICAO Assembly Resolution and SARPsSARPsDoc 8335, Part VI - Guidance for foreign operatorsDoc 8335, Part VI - Guidance for foreign operatorsInternational Register of AOCsInternational Register of AOCs


13

ICAO ActionsICAO Actions

Assembly resolution A36-6 to encourageAssembly resolution A36-6 to encourage the the international recognitioninternational recognition of the AOC by of the AOC by States.States.

• SARPsSARPs in Annex 6, Part I & Part III in Annex 6, Part I & Part III • Guidance materialGuidance material in a new edition of in a new edition of

Doc.8335Doc.8335

ICAO developed 3 type of provisions:ICAO developed 3 type of provisions:


14

ICAO Assembly ResolutionICAO Assembly Resolution

• Assembly Resolution A36-6 urges all States to Assembly Resolution A36-6 urges all States to recognize as valid the AOCrecognize as valid the AOC issued by another State issued by another State provided that it was issued in accordance with ICAO provided that it was issued in accordance with ICAO Annex 6 requirements. Annex 6 requirements.

• Resolution A36-6 also urges Contracting States to establish operating rules governing the admission of foreign air operators within their territories, in accordance with the Convention,…on a non-discriminatory basis having due regard to the need to minimize the cost and burden to the Contracting States and to the operator.


15

ICAO Assembly ResolutionICAO Assembly Resolution

• A36-6 further urges Contracting States to refrain from unilateral implementation of specific operational requirements and measures governing admission of operators from other Contracting States which would adversely affect the orderly development of international civil aviation.


16

ICAO SARP AmendmentICAO SARP Amendment

• Amendment 32 to Annex 6, Part I became Amendment 32 to Annex 6, Part I became effective on 20 November 2008 – effective on 20 November 2008 – States shall recognize as valid the AOC issued by States shall recognize as valid the AOC issued by

another State, provided the AOC meets Annex 6 another State, provided the AOC meets Annex 6 requirements (requirements (since Nov 2006since Nov 2006).).

Harmonization of the content, and layout by 1 Harmonization of the content, and layout by 1 January 2010, of the AOC and its associated January 2010, of the AOC and its associated operations specifications, with supporting definition operations specifications, with supporting definition and guidance materialand guidance material


17

Annex 6 - Amendment 32Annex 6 - Amendment 32

• Annex 6, Part I & Part III – Annex 6, Part I & Part III – AOCAOC

True certified copy: http://www.icao.int/fsix/_Library/Annex6_AOC.pdf


18


Annex 6, P

art I & P

art III – A

nnex 6, Part I &

Part III – O

ps Specs

Ops S

pecsAnnex 6, Part I Annex 6, Part I & Part III – & Part III – Ops SpecsOps Specs

States to adopt States to adopt this lay-out bythis lay-out by1 Jan 20101 Jan 2010


19


• BUT ALSO in Annex 6, Part I & Part III – BUT ALSO in Annex 6, Part I & Part III – SARPsSARPs States shall establish a programme for the States shall establish a programme for the surveillancesurveillance of of

operations by foreign air operatorsoperations by foreign air operators Foreign operators shall meet and maintain the requirements Foreign operators shall meet and maintain the requirements

of the State in which they are operatingof the State in which they are operating Cases of Cases of non-compliancenon-compliance with laws, regulations or with laws, regulations or

procedures by a foreign operator to be notified to operator, procedures by a foreign operator to be notified to operator, and, if warranted, to the State of the Operator (Registry)and, if warranted, to the State of the Operator (Registry)

If warranted, the State in which the operation is conducted If warranted, the State in which the operation is conducted shall engage in shall engage in consultationconsultation with the State of the Operator with the State of the Operator (Registry) concerning the safety standards maintained by the (Registry) concerning the safety standards maintained by the operatoroperator


20

OutlineOutline

Historical and current situation – ICAOHistorical and current situation – ICAOProblem StatementProblem StatementSolutions and ObjectivesSolutions and Objectives

ICAO Assembly Resolution and SARPsDoc 8335, Part VI - Guidance for foreign operatorsDoc 8335, Part VI - Guidance for foreign operatorsInternational Register of AOCsInternational Register of AOCs


21

Guidance Material – DOC8335Guidance Material – DOC8335

• Doc 8335 available to States on ICAO-NetDoc 8335 available to States on ICAO-Net A confirmation that the A confirmation that the safety oversightsafety oversight of an operator rests of an operator rests

with the with the State of the Operator: certification + surveillanceState of the Operator: certification + surveillance.. Part VI covers the Part VI covers the surveillancesurveillance of foreign operators and of foreign operators and

admission procedures (no certification!).admission procedures (no certification!). An attachment with a An attachment with a ramp inspection checklist ramp inspection checklist and a and a

chapter withchapter with actions from findings (for foreign operators) actions from findings (for foreign operators) Part V covers Part V covers leasingleasing, , code-sharingcode-sharing, interchange, … , interchange, …

operations, with guidance on the use of Article 83bis.operations, with guidance on the use of Article 83bis. An attachment with a An attachment with a model safety clausemodel safety clause for inclusion in for inclusion in

air service agreements to emphasize the safety air service agreements to emphasize the safety responsibilities of States.responsibilities of States.


22

Foreign Operator Initial ApprovalForeign Operator Initial Approval

No

No

Commercial Air Transport Operators from other States

Additional Inputs:Findings or Deficiencies

from safety programmes (USOAP, FAA-IASA,

EU-SAFA, etc)

By the bilateral mutual recognition agreement

Document Check

Further investigation

foreign operator APPROVAL

Initial Check (USOAP, FAA -IASA, EU-SAFA,

etc.)

B.A.?

Yes

Finding?

No

No

Yes

YesSignif.?

Finding?

No

Yes

Yes, significant finding/deficiency

Finding?

B.A. = Bilateral Agreement is signed.

Additional measures: denial or other action


23

Continuing Foreign Operator SurveillanceContinuing Foreign Operator Surveillance

foreign operator APPROVED

Additional Inputs:

Findings or Deficiencies from safety programmes

(USOAP, FAA-IASA, EU-SAFA, etc)

Ramp Checks

Regular Document Checks

Other Safety indicators

Further investigation

foreign operator approval maintained / renewed

SURVEILLANCE

Start of operations

Yes

No

No

Finding?

Finding?

Yes

Additional measures: withdraw approval or other action


24

OutlineOutline

Historical and current situation – ICAOHistorical and current situation – ICAOProblem StatementProblem StatementSolutions and ObjectivesSolutions and ObjectivesICAO Assembly Resolution and SARPsDoc 8335, Part VI - Guidance for foreign operatorsInternational Register of AOCsInternational Register of AOCs


25

International Register of AOCInternational Register of AOC

Future work initiated by the 36Future work initiated by the 36 thth Assembly Assembly

To facilitate surveillance of foreign operatorsTo facilitate surveillance of foreign operators

To reduce the cost and the burden to stakeholdersTo reduce the cost and the burden to stakeholders

Data uploaded by the State of the OperatorData uploaded by the State of the Operator

Information on status of AOC / Ops SpecsInformation on status of AOC / Ops Specs

Foreign air Foreign air operator Approval operator Approval

& Surveillance& Surveillance--- End ------ End ---

Questions and/or Comments!Questions and/or Comments!

Foreign air operator Approval & Surveillance

Documents

Transcript of Foreign air operator Approval & Surveillance