A ICAO Convention Anes Related to FAO 2009 07 r1
Foreign Air Operator Validation
& Surveillance Course
Convention and Annexes
COSCAP 2009
Foreign Air Operator Validation & Surveillance
1
States Responsibilities and Authorities
COSCAP 2009
Foreign Air Operator Validation & Surveillance
2
Convention on International Civil Aviation
4
4
4
Signed at Chicago on 7 December 1944 and came into force
on 4 April 1947
Primary instrument that establishes ICAO and provides it
mandate
Under the authority of the Convention, ICAO establishes
St d d and
Standards
dR
Recommended
d dP
Practices
ti
(SARP
(SARPs))
COSCAP 2009
Foreign Air Operator Validation & Surveillance
3
Convention on International Civil Aviation
Standards & Recommended Practices (SARPS) are contained in
18 Annexes
4 Annex 1 – Personnel Licensing
4 Annex 6 – Operation of Aircraft
4 Annex 8 – Airworthiness of Aircraft
4 Annex 18 – Safe Transportation of Dangerous Goods by Air
4 etc.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
4
ICAO CONVENTION
DOC 7300 / 9
COSCAP 2009
Foreign Air Operator Validation & Surveillance
5
Article 1 ~~ Sovereignty
The contracting States recognize that every State has
complete and exclusive sovereignty over the airspace above
it territory
its
t it
COSCAP 2009
Foreign Air Operator Validation & Surveillance
6
Article 3 ~~ Civil and State aircraft
a) This Convention shall be applicable only to civil aircraft, and
shall not be applicable to state aircraft.
b) Aircraft used in military, customs and police services shall be
deemed to be state aircraft.
c) No state aircraft of a contracting State shall fly over the
t it
territory
off another
th State
St t or land
l d thereon
th
without
ith t authorization
th i ti
by special agreement or otherwise, and in accordance with
the terms thereof.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
7
Article 6 ~~ Scheduled Air Services
No scheduled international air service may be operated over
or into the territory of a contracting State, except with the
special
i l permission
i i or other
th authorization
th i ti off th
thatt St
State,
t and
d iin
accordance with the terms of such permission or authorization.
(air services agreements)
COSCAP 2009
Foreign Air Operator Validation & Surveillance
8
Article 11 ~~ Applicability of Air Regulations
Subject to the provisions of this Convention, the laws and
regulations of a contracting State relating to the admission to
or departure
d
t
ffrom its
it territory
t it
off aircraft
i
ft engaged
d in
i
international air navigation, or to the operation and navigation
of such aircraft while within its territory, shall be applied to the
aircraft of all contracting States without distinction as to
nationality, and shall be complied with by such aircraft upon
entering or departing from or while within the territory of that
State.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
9
Article 12 ~~ Rules of the Air
Each contracting State undertakes to adopt measures to
insure that every aircraft flying over or maneuvering within its
t it
territory
and
d that
th t every aircraft
i
ft carrying
i its
it nationality
ti
lit mark,
k
wherever such aircraft may be, shall comply with the rules
and regulations relating to the flight and maneuver of aircraft
there in force.……... Each contracting State undertakes to
insure the prosecution of all persons violating the regulations
applicable.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
10
Article 16 ~~ Search (inspection) of Aircraft
The appropriate authorities of each of the contracting States
shall have the right, without unreasonable delay, to search
aircraft
i
ft off the
th other
th contracting
t ti States
St t on landing
l di or departure,
d
t
and to inspect the certificates and other documents
prescribed by this Convention.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
11
Article 29 ~~ Documents Carried in Aircraft
Every aircraft of a contracting State
State, engaged in international
navigation, shall carry the following documents in conformity
with the conditions prescribed in this Convention:
a)) Its
It certificate
tifi t off registration;
i t ti
b) Its certificate of airworthiness;
c) The appropriate licenses for each member of the crew;
d) It
Its journey
j
llog b
book;
k
e) If it is equipped with radio apparatus, the aircraft radio station
license;
f) If iti carries
i passengers, a list
li off their
h i names and
d places
l
of embarkation and destination;
g) If it carries cargo, a manifest and detailed declarations of the cargo.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
12
Article 33 ~~ Recognition of certificates & licenses
Certificates of airworthiness and certificates of competency
and licenses issued or rendered valid by the contracting State
i which
in
hi h th
the aircraft
i
ft is
i registered,
i t d shall
h ll b
be recognized
i d as valid
lid
by the other contracting States, provided that the
requirements under which such certificates or licenses were
issued or rendered valid are equal to or above the minimum
standards which may be established from time to time
pursuant to this Convention
COSCAP 2009
Foreign Air Operator Validation & Surveillance
13
Article 38
~~ Departure from International Standards and Procedures
Any State which finds it impractical to comply in all
respects … shall give immediate notification to ICAO of the
diff
difference
b
between
t
its
it own practice
ti and
d that
th t established
t bli h d b
by
international standard. ….. The Council shall make
immediate notice of the difference to all other States ….
COSCAP 2009
Foreign Air Operator Validation & Surveillance
14
Interpretation ~~ Convention
4
4
While Article 1 recognizes the sovereignty of States, ICAO
Annexes indicate that the State of Registry (Operator) has the
overallll responsibility
ibilit ffor safety
f t oversight
i ht
While Article 16 grants specific rights for States to carry out
inspections of foreign aircraft, a review of Annexes would
suggest that the scope is somewhat limited
COSCAP 2009
Foreign Air Operator Validation & Surveillance
15
Interpretation ~~ Annex 6
4
4
4
Annex 6, Parts I & III introduce the concept of the “State of the
Operator”
The State of the Operator could be different from the State of
Registry
Annex 6 recognizes that the State of the Operator has vast
responsibilities
ibiliti related
l t d tto safety
f t oversight
i ht
COSCAP 2009
Foreign Air Operator Validation & Surveillance
16
Interpretation ~~ Annex 6
4
4
Air operator certificate (AOC) A certificate authorizing an
operator to carry out specified commercial air transport
operations.
ti
Operations specifications The authorizations, conditions and
limitations associated with the air operator certificate and
subject to the conditions in the operations manual.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
17
Interpretation ~~ Annex 6, Part I
4.2.1.2
4
2 1 2 The air operator certificate shall authorize the operator to
conduct commercial air transport operations in accordance
with the operations specifications.
4 2 1 3 The issue of an air operator certificate by the State of the
4.2.1.3
Operator shall be dependent upon the operator demonstrating
an adequate organization, method of control and supervision
off flight
fli ht operations,
ti
training
t i i programme as wellll as ground
d
handling and maintenance arrangements consistent with the
nature and extent of the operations specified.
4.2.1.4 The continued validity of an air operator certificate shall
depend upon the operator maintaining the requirements of
4.2.1.3 under the supervision of the State of the Operator.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
18
Interpretation
4
4
4
The responsibility of the State of the Operator is combined
with the State of Registry
Under the Convention and its Annexes, States have a
responsibility to refer to the State of Registry or the State of
the Operator any concerns they would have in the case of
regulatory infraction
Deficiencies found by Inspections performed under Article 16
should also be referred to the State of Operator and/or
R i t
Registry
COSCAP 2009
Foreign Air Operator Validation & Surveillance
19
Interpretation
4
4
States must be careful in extending their authority over
Foreign Air Operators beyond the scope contemplated in the
C
Convention
ti
COSCAP Model Regulation and Manual of Validation and
Surveillance of FAO has been developed in full consideration
of the ICAO requirements and DOC 8335
COSCAP 2009
Foreign Air Operator Validation & Surveillance
20
Interpretation
4
4
Article 11 recognizes that States may have requirements
other or more stringent and not conflicting with those provided
i the
in
th C
Convention
ti
These requirements must be imposed on a non-discriminatory
non discriminatory
basis
COSCAP 2009
Foreign Air Operator Validation & Surveillance
21
Foreign Air Operator Validation
& Surveillance Course
-- End -Convention and Annexes
Comments and Questions
COSCAP 2009
Foreign Air Operator Validation & Surveillance
22
& Surveillance Course
Convention and Annexes
COSCAP 2009
Foreign Air Operator Validation & Surveillance
1
States Responsibilities and Authorities
COSCAP 2009
Foreign Air Operator Validation & Surveillance
2
Convention on International Civil Aviation
4
4
4
Signed at Chicago on 7 December 1944 and came into force
on 4 April 1947
Primary instrument that establishes ICAO and provides it
mandate
Under the authority of the Convention, ICAO establishes
St d d and
Standards
dR
Recommended
d dP
Practices
ti
(SARP
(SARPs))
COSCAP 2009
Foreign Air Operator Validation & Surveillance
3
Convention on International Civil Aviation
Standards & Recommended Practices (SARPS) are contained in
18 Annexes
4 Annex 1 – Personnel Licensing
4 Annex 6 – Operation of Aircraft
4 Annex 8 – Airworthiness of Aircraft
4 Annex 18 – Safe Transportation of Dangerous Goods by Air
4 etc.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
4
ICAO CONVENTION
DOC 7300 / 9
COSCAP 2009
Foreign Air Operator Validation & Surveillance
5
Article 1 ~~ Sovereignty
The contracting States recognize that every State has
complete and exclusive sovereignty over the airspace above
it territory
its
t it
COSCAP 2009
Foreign Air Operator Validation & Surveillance
6
Article 3 ~~ Civil and State aircraft
a) This Convention shall be applicable only to civil aircraft, and
shall not be applicable to state aircraft.
b) Aircraft used in military, customs and police services shall be
deemed to be state aircraft.
c) No state aircraft of a contracting State shall fly over the
t it
territory
off another
th State
St t or land
l d thereon
th
without
ith t authorization
th i ti
by special agreement or otherwise, and in accordance with
the terms thereof.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
7
Article 6 ~~ Scheduled Air Services
No scheduled international air service may be operated over
or into the territory of a contracting State, except with the
special
i l permission
i i or other
th authorization
th i ti off th
thatt St
State,
t and
d iin
accordance with the terms of such permission or authorization.
(air services agreements)
COSCAP 2009
Foreign Air Operator Validation & Surveillance
8
Article 11 ~~ Applicability of Air Regulations
Subject to the provisions of this Convention, the laws and
regulations of a contracting State relating to the admission to
or departure
d
t
ffrom its
it territory
t it
off aircraft
i
ft engaged
d in
i
international air navigation, or to the operation and navigation
of such aircraft while within its territory, shall be applied to the
aircraft of all contracting States without distinction as to
nationality, and shall be complied with by such aircraft upon
entering or departing from or while within the territory of that
State.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
9
Article 12 ~~ Rules of the Air
Each contracting State undertakes to adopt measures to
insure that every aircraft flying over or maneuvering within its
t it
territory
and
d that
th t every aircraft
i
ft carrying
i its
it nationality
ti
lit mark,
k
wherever such aircraft may be, shall comply with the rules
and regulations relating to the flight and maneuver of aircraft
there in force.……... Each contracting State undertakes to
insure the prosecution of all persons violating the regulations
applicable.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
10
Article 16 ~~ Search (inspection) of Aircraft
The appropriate authorities of each of the contracting States
shall have the right, without unreasonable delay, to search
aircraft
i
ft off the
th other
th contracting
t ti States
St t on landing
l di or departure,
d
t
and to inspect the certificates and other documents
prescribed by this Convention.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
11
Article 29 ~~ Documents Carried in Aircraft
Every aircraft of a contracting State
State, engaged in international
navigation, shall carry the following documents in conformity
with the conditions prescribed in this Convention:
a)) Its
It certificate
tifi t off registration;
i t ti
b) Its certificate of airworthiness;
c) The appropriate licenses for each member of the crew;
d) It
Its journey
j
llog b
book;
k
e) If it is equipped with radio apparatus, the aircraft radio station
license;
f) If iti carries
i passengers, a list
li off their
h i names and
d places
l
of embarkation and destination;
g) If it carries cargo, a manifest and detailed declarations of the cargo.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
12
Article 33 ~~ Recognition of certificates & licenses
Certificates of airworthiness and certificates of competency
and licenses issued or rendered valid by the contracting State
i which
in
hi h th
the aircraft
i
ft is
i registered,
i t d shall
h ll b
be recognized
i d as valid
lid
by the other contracting States, provided that the
requirements under which such certificates or licenses were
issued or rendered valid are equal to or above the minimum
standards which may be established from time to time
pursuant to this Convention
COSCAP 2009
Foreign Air Operator Validation & Surveillance
13
Article 38
~~ Departure from International Standards and Procedures
Any State which finds it impractical to comply in all
respects … shall give immediate notification to ICAO of the
diff
difference
b
between
t
its
it own practice
ti and
d that
th t established
t bli h d b
by
international standard. ….. The Council shall make
immediate notice of the difference to all other States ….
COSCAP 2009
Foreign Air Operator Validation & Surveillance
14
Interpretation ~~ Convention
4
4
While Article 1 recognizes the sovereignty of States, ICAO
Annexes indicate that the State of Registry (Operator) has the
overallll responsibility
ibilit ffor safety
f t oversight
i ht
While Article 16 grants specific rights for States to carry out
inspections of foreign aircraft, a review of Annexes would
suggest that the scope is somewhat limited
COSCAP 2009
Foreign Air Operator Validation & Surveillance
15
Interpretation ~~ Annex 6
4
4
4
Annex 6, Parts I & III introduce the concept of the “State of the
Operator”
The State of the Operator could be different from the State of
Registry
Annex 6 recognizes that the State of the Operator has vast
responsibilities
ibiliti related
l t d tto safety
f t oversight
i ht
COSCAP 2009
Foreign Air Operator Validation & Surveillance
16
Interpretation ~~ Annex 6
4
4
Air operator certificate (AOC) A certificate authorizing an
operator to carry out specified commercial air transport
operations.
ti
Operations specifications The authorizations, conditions and
limitations associated with the air operator certificate and
subject to the conditions in the operations manual.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
17
Interpretation ~~ Annex 6, Part I
4.2.1.2
4
2 1 2 The air operator certificate shall authorize the operator to
conduct commercial air transport operations in accordance
with the operations specifications.
4 2 1 3 The issue of an air operator certificate by the State of the
4.2.1.3
Operator shall be dependent upon the operator demonstrating
an adequate organization, method of control and supervision
off flight
fli ht operations,
ti
training
t i i programme as wellll as ground
d
handling and maintenance arrangements consistent with the
nature and extent of the operations specified.
4.2.1.4 The continued validity of an air operator certificate shall
depend upon the operator maintaining the requirements of
4.2.1.3 under the supervision of the State of the Operator.
COSCAP 2009
Foreign Air Operator Validation & Surveillance
18
Interpretation
4
4
4
The responsibility of the State of the Operator is combined
with the State of Registry
Under the Convention and its Annexes, States have a
responsibility to refer to the State of Registry or the State of
the Operator any concerns they would have in the case of
regulatory infraction
Deficiencies found by Inspections performed under Article 16
should also be referred to the State of Operator and/or
R i t
Registry
COSCAP 2009
Foreign Air Operator Validation & Surveillance
19
Interpretation
4
4
States must be careful in extending their authority over
Foreign Air Operators beyond the scope contemplated in the
C
Convention
ti
COSCAP Model Regulation and Manual of Validation and
Surveillance of FAO has been developed in full consideration
of the ICAO requirements and DOC 8335
COSCAP 2009
Foreign Air Operator Validation & Surveillance
20
Interpretation
4
4
Article 11 recognizes that States may have requirements
other or more stringent and not conflicting with those provided
i the
in
th C
Convention
ti
These requirements must be imposed on a non-discriminatory
non discriminatory
basis
COSCAP 2009
Foreign Air Operator Validation & Surveillance
21
Foreign Air Operator Validation
& Surveillance Course
-- End -Convention and Annexes
Comments and Questions
COSCAP 2009
Foreign Air Operator Validation & Surveillance
22