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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
6
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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.
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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:
Foreign operator approval and Foreign operator approval and surveillancesurveillance
9
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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:
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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.
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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.
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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Annex 6 - Amendment 32Annex 6 - Amendment 32
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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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Annex 6 - Amendment 32Annex 6 - Amendment 32
• 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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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.
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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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
Foreign operator approval and Foreign operator approval and surveillancesurveillance
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!