Regulatory Framework and Aerodrome Certification Requirements Meetings Seminars and... ·...

5-7 February 2019

Aerodrome Certification Workshop

Kiev, Ukraine

Eng. Mohamed Iheb Hamdi ICAO MID Regional Officer for Aerodromes and Ground Aids (AGA)

Regulatory Framework and Aerodrome Certification Requirements

11 February 2019 Aerodrome Certification Workshop 2

States’ obligations under the Chicago Convention to comply with international specifications

Need to ensure a globally harmonized safe and secure aviation system, in particular, a safe and

efficient airport

Aerodrome Certification Requirements


"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.”

Chicago Convention - States’ Obligations: Preamble to the Chicago Convention (1944):


States shall certify aerodromes used for international operations in accordance with the specifications

contained in ICAO Annex 14 as well as other relevant ICAO specifications through an appropriate regulatory framework.

The regulatory framework shall include the establishment of criteria and procedures for the certification of aerodromes.

Aerodrome Certification – ICAO Annex 14


What? Aerodrome certification is a process of ensuring that an aerodrome complies with the applicable safety

rules, regulations and specifications thereby assuring the users, travelling public and airlines that the aerodrome meets the safety requirements.

Why? To minimize the risks to the users and meet the obligations thereof Aviation’s safety record and increasing traffic volumes; competition amongst airports.

How? Compliance with the safety regulations in force and the commitment to safety through an active Safety

Management System

Aerodrome Certification


(Accidents only; serious incidents and other incidents not included) Total no. of aircraft accidents: 1650 (MTOM>5700 kgs) RWY excursions & Incursions: 422 (25.6%) No. of accidents by phase of flight: Taxiing: 3; Take-off: 90; Landing: 329 Aircraft propulsion types involved: Turbofan: 245; Turbojet: 18; Turboprop: 159 RWY excursion occurrence: 352 (21.3%)

ICAO ADREP Data: RWY Excursions & Incursions 2000-2009


Accidents and Fatalities by Phase of Flight (Boeing Data)


Annex 14, Volume I has technical specifications and requirements associated with:

Aerodrome Certification Requirements Design of Aerodrome Facilities Aerodrome Operational Services Aerodrome Operational Safety Issues

Chapter 1, Section 1.4 on Certification of Aerodromes stipulates the requirements It also emphasizes the obligations and responsibilities of both the regulator and the operator



Annex 14, Volume I, Ch. 1, Section 1.4 specifies:

“….When an aerodrome is granted a certificate, it signifies to aircraft operators and other organizations operating on the aerodrome that, at the time of certification, the aerodrome meets the specifications regarding the facility and its operations, and that it has, according to the certifying authority, the capability to maintain these specifications for the period of validity of the certificate. The certification process also establishes the baseline for continued monitoring of compliance with the specifications….”



Paragraph 1.4.1: “States shall certify aerodromes used for international operations in accordance with

the specifications contained in this annex as well as other relevant ICAO specifications through an appropriate regulatory framework.”

1.4.2. Recommendation: States should certify aerodromes open to public use in accordance with these specifications through an appropriate regulatory framework.

1.4.3. The regulatory framework shall include the establishment of criteria for the certification of aerodromes.

Annex 14, Vol. I Specifications on Certification of Aerodromes


1.4.4. As part of the certification process, States shall ensure that an aerodrome manual which will

include all pertinent information on the aerodrome site, facilities, services, equipment, operating procedures, organization and management including a SMS, is submitted by the applicant for the approval/acceptance prior to granting the aerodrome certificate.

Note.—The intent of a safety management system is to have in place an organized and orderly approach in the management of aerodrome safety by the aerodrome operator. Guidance on an aerodrome safety management system is given in the Safety Management Manual (SMM) (Doc 9859) and in the Manual on Certification of Aerodromes (Doc 9774).

Annex 14, Vol. I Specifications on Certification of Aerodromes


Basic Aviation Law Aviation Authority such as DGCA/CAA for carrying out safety oversight Staffing structure of DGCA/CAA Technical Regulations including criteria for certification of aerodromes Guidance for staff and all stakeholders; Aerodrome Certification processes and procedures Post Certification safety inspections and surveillance Remedial actions for any non-compliances

ICAO Doc 9774 – Manual on Certification of Aerodromes


Guidance on aerodrome manual preparation including details of particulars to be included Maintaining the currency of the manual and carrying out amendments to the manual Roles and duties of the Regulator Roles and obligations of the Aerodrome Operator Dealing with requests for exemptions/deviations Aerodrome Safety Management System Examples of an Aerodrome Certificate and of an application for grant of an aerodrome certificate

Aerodrome Certification – Doc 9774


Chapter 1 has guidance on: The General requirements, in particular, the obligations under Art. 15 of the Chicago Convention

The need for certification of aerodromes

The Scope of the guidance in the manual

ATS, AVSEC, MET issues to be addressed separately

DGCA/CAA to ensure co-ordination of various entities



Chapter 2: Aerodrome Certification Regulatory System Prerequisites for the introduction of the regulatory system Existence of basic aviation law that mandates aerodrome certification and development of regulation An authorized State entity (DGCA/CAA) to develop and promulgate regulations Basic Aviation law must:

Establish the DGCA/CAA to act on behalf of the Govt. to ensure aviation safety Provide for adoption of regulations Authorize the DGCA/CAA to inspect/audit and grant certificate



Chapter 2 –Aerodrome Certification Regulatory System (Cont’d.)

Aerodrome certification regulations to include: Mandatory certification requirements in the regulations Certification procedure Duties & responsibilities of the operator Safety audits, inspections & testing Imposition of sanctions for non-compliance Use of military aerodromes by civil aircraft



CAA regulations to cover: Certification requirements and criteria

Compliance with applicable technical specifications, Procedures and guidance material

Conduct of periodic surveillance inspections and audits

Action to be taken for continued non-compliance



The criteria for certification of other aerodromes: All airports and airfields in operation and whose air space is closer to or overlaps that of the nearest

international airport; or

Even may be only those airports and airfields near international airports and/or to limited use or specific limited time=use airports for special events



Chapter 3: Aerodrome Certification Model Regulations

Samples to assist States for developing their own national regulations Framework: A. General B. Aerodrome Certification C. Aerodrome Manual D. Obligations of the aerodrome operator E. Exemptions

General section

Lists the various definitions and applicability of the regulations for clarity



Aerodrome Certification Regulations - Salient Features: Certification requirements (criteria) Applying for a certificate Grant of a certificate, if everything is satisfactory Endorsement of conditions of use Duration of the certificate Surrender of the certificate Transfer of a certificate Interim certificate Amendment of a certificate



Regulations to specify format of an Aerodrome Manual (purpose, scope, its structure, & contents in brief), its maintenance and amendment from time to time, as needed;

Aerodrome Manual is a legally binding agreement between the operator and the regulator. Generally, in five parts to include all details;

Any changes in the operational status of the airport must be quickly reflected in an amendment of the manual;

Effective document control and management is needed.

Aerodrome Manual Preparation:


Contents of an Aerodrome Manual: Part 1 – General

Purpose and scope; Requirements (legal and technical); Conditions of use; Procedures for notifying AIS and promulgation of information; System for recording aircraft movements.

Part 2 – Aerodrome Site information Plan showing all essential details are per regulatory requirements; Site title.



Contents of an Aerodrome Manual (Cont’d.): Part 3 – Aerodrome information to be reported to the Aeronautical Information Services (AIS):

Aeronautical data including the aerodrome’s name & location. Aerodrome data: RWYs, TWYs and apron(s); Aerodrome and RWY THR elevations, Dimensions of RWY strip, TWY strip,

RESA, Stopways and clearways; Declared distances; Disabled aircraft removal; RFF category available; and Emergency planning & arrangements



Contents of an Aerodrome Manual (Cont’d.) Part 4 – Aerodrome Operating Procedures & Safety Measures:

Reporting procedures, Procedures for preventing unlawful interference, Plans for handling aircraft

emergency, Details of RFF Services, personnel and equipment; aerodrome inspections; Inspection and maintenance of visual & non-visual aids; Movement area maintenance; Operational safety management procedures; Wildlife hazard management; Obstacle control; Disabled aircraft removal; Handling of dangerous goods; Low visibility operations; Site protection



Contents of an Aerodrome Manual (Cont’d.): Part 5 – Aerodrome Administration & Safety Management System

Aerodrome organization chart with contact details of key safety officials Safety Policy and organization Safety strategy & planning Hazard identification analysis and risk management Data collection and analysis Internal safety audit & review system Safety measures programme including change management Safety assurance, safety promotion & risk control Staff training and competency



Obligations of the Aerodrome Operator: Compliance with applicable rules and regulations, Standards & practices Must employ competent operational and maintenance personnel Aerodrome operations and maintenance procedures must be in place Must have a functional Safety Management System –an essential requirement for grant of a certificate An effective internal safety audit and reporting Provide access for the CAA inspectors to inspect the aerodrome System for notifying and reporting any changes to the CAA, ATS and pilots as needed



Obligations of the Aerodrome Operator (Cont’d.) Special internal inspections in the interest of safety Removal of obstructions from the aerodrome surface and Posting of warning notices to warn the public



Exemptions: Model Regulations must specify how exemptions can be granted;

Need for submission of appropriate aeronautical studies with justification;

Risk mitigation measures and operating procedures;

Time limitations & action plan for correction with time frame;

Monitoring safety performance by both the CAA & the Aerodrome operator; and

Endorsement in the aerodrome certificate.

Aerodrome Certification –Doc 9774


Chapter 4 –Aerodrome Certification Procedures Aerodrome Certification Procedures must be clear and specific;

Various time lines need to be specified and adhered to;

Procedures must ensure compliance with safety specifications;

Adherence with the applicable regulations essential for grant of a certificate; otherwise, it may be refused.

Also needed for transfer of a certificate;

A State may choose to engage a competent outside agency if CAA is not fully geared to do the job;



The DGCA/CAA promulgated procedures encompass the following: Introduction Certification Process Dealing with Expression of Interest Assessment of the formal application and field/onsite inspection & verification Grant/refusal of a certificate with reasons for refusal Promulgation of the certified status in the AIP Transfer of a certificate and Surrender of a certificate



Aerodrome Certification Procedures

1. Expression of interest

2. Assessment by regulator

3. Formal application

4. Assessment by regulator (on site)

5. Issue of certificate?


Grant of a certificate is subject to:

Application meeting all regulatory requirements Compliance with all safety specifications including development of appropriate standard operating

procedures On-site verification indicating adequacy of facilities and equipment Existence of a functional SMS, and CAA being satisfied with operator’s competence to operate the aerodrome in a safe manner



The aerodrome certificate may be refused or an existing certificate suspended for any of the following reasons: Any non-compliance with the CAA regulations and safety requirements Inadequate/unsafe operating procedures Not following approved safety procedures and other risk mitigation action in case of exemptions

granted SMS not functional, inactive and ineffective and Any significant safety concern as assessed by the regulator.



Chapter 5 –Roles & Responsibilities of the Regulator Establish an aerodrome regulatory directorate/entity – Directorate of Aerodromes Standards and Safety (DASS) to perform all aerodrome safety oversight tasks: Initial and periodic inspection Approval/acceptance of Aerodrome manual Ensuring compliance with applicable regulations, Standards and Recommended Practices Assessing safety of aerodrome operation and maintenance Checking adequacy of aerodrome emergency response services Notifying differences to ICAO from any Standard, Procedure or Recommended Practice;



Chapter 5 – Roles & Responsibilities of the Regulator (Cont’d.) Review of Aerodrome Safety Management System Review of aerodrome notification and reporting Establishing procedures and parameters for the conduct of aeronautical studies; Evaluating the results of obstacle surveys & monitoring the obstacles in the vicinity of the aerodrome; Developing parameters and metrics for the evaluation of aerodrome operational procedures,

restrictions and alternate safety measures.



Functions and Responsibilities of DASS: Notification to the AIS and other agencies Conduct Safety Audits:

Pre-inspection briefing Administrative inspection (documents, records, certificates etc.) Movement area inspection RFF Services inspection Fuel facilities inspection Night inspections Post inspection briefing

Aerodrome Certification - Doc 9774


Functions and Responsibilities of DASS (Cont’d.)

Other safety functions like: Evaluating full-scale emergency exercises Providing guidance at design and construction stages Final inspection of completed projects to check compliance Organizing and participating in safety seminars to promote safety

Compliance and Enforcement Developing and maintaining aerodrome standards Technical library and records Plan human resources requirements including identifying the qualifications, duties and responsibilities

of aerodrome inspectors

Aerodrome Certification - Doc 9774



• Duties of DASS/Aerodrome Regulatory entity:

• Other safety functions such as assessing the results of aerodrome emergency exercises, any development projects for safety impact

• Compliance and enforcement of applicable safety specifications

• Maintaining the currency of national requirements in line with Annex 14 amendments


Doc 9774, Chapter 5 also includes guidance on:

Structure and levels of DASS Staffing’ Qualifications, duties and responsibilities of the aerodrome inspectors

Appendix 1 - Particulars to be included in the Aerodrome Manual Appendix 2 - Sample application form; Appendix 3 - Conduct of aeronautical studies Appendix 4 - Sample aerodrome certificate used by one State Appendix 5 - Typical organizational structure of the DASS and Appendix 6 - List of references



Organizational structure of a typical aerodrome safety and standards directorate

Regulatory Framework and Aerodrome Certification Requirements Meetings Seminars and... ·...

Documents

Transcript of Regulatory Framework and Aerodrome Certification Requirements Meetings Seminars and... ·...