icao

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INTERNATIONAL CIVILAVIATION ORGANIZATION (ICAO)

AND

THE AIRCRAFT CERTIFICATION SERVICE

A GUIDE TO AIRCRAFT AIRWORTHINESS RESPONSIBILITIES FROMTHE ICAO CONVENTION AND RELATED ANNEXES

Prepared by AIR-4April 1999

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PREFACE

In today’s global aviation environment, it is important to keep in mind the rightsand obligations that countries throughout the world have agreed to observe in mattersof civil aviation. These rights are defined by ICAO.

This document is designed to present general overview information on ICAO andits relevance to our work as employees of the Aircraft Certification Service (AIR). Ashort description of how the United States meets ICAO’s standards related to aircraftairworthiness is also provided. The purpose of this document is to assist AIR fieldpersonnel to understand that the FAA cannot act “extraterritorially” in a manner thatmight infringe on the rights of another ICAO contracting state. We have an obligation toensure that the rights of a State of Registry and a State of Operator are honored prior tothe modification of any aeronautical products. Moreover, as the regulatory bodyoverseeing the largest aeronautical manufacturing industry in the world, we must alsoensure that timely notification of continued airworthiness actions is provided to all perICAO guidance.

Additional information about ICAO can be obtained from the Internet(www.icao.org) or from the ICAO Publications Office, 999 University Street, MontrealQuebec, Canada H3C5H7.

Comments and suggestions on this document are welcome and should besubmitted to AIR-4, Room 818, FAA headquarters.

Mary ChestonManager, International Airworthiness Programs Staff

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TABLE OF CONTENTS

TOPIC PAGE

International Civil Aviation Organization (ICAO)..................................................... 1

The Chicago Convention and its Annexes .................................................................... 6

Categories of ICAO States............................................................................................ 10

Aircraft Airworthiness Responsibilities Defined in the ICAO Conventionand Related Annexes

--Airworthiness Standards and Type Certification ..................................... 14--Noise Certification............................................................................................ 19--Recognition of Transfers of Type Designs ................................................. 20--Airworthiness Certificates ............................................................................. 21--Continued Airworthiness.................................................................................. 23--Accident and Incident Investigation ............................................................ 31

Recent ICAO Initiatives--ICAO’s Action Plan for Aviation Safety ...................................................... 37--The ICAO Safety Oversight Program.......................................................... 40--Article 83 bis to the Chicago Convention .................................................... 42

APPENDIX A -- ICAO Member States....................................................................... 45

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ICAO Job Aid April 19991

International Civil Aviation Organization - ICAO

ICAO -- What is it? ICAO, the International Civil AviationOrganization, is one of the specializedagencies of the United Nations. The1944 Convention on International CivilAviation was signed in Chicago by 52countries (member States), but didn’tofficially come into being until 1947,when the 26th State ratified theConvention. There are currently 185member States. (See Appendix 1.)

Why is it important? ICAO:• Is a global body charged with the

safety of and development ofstandards for international civilaviation;

• Sets international standards forsafety and security;

• Provides a global forum forinternational aviation issues.

What are the aims and objectives ofICAO?

Article 44 of the Convention states thatthe aims and objectives of ICAO are todevelop the principles and techniquesof international air navigation and tofoster the planning and development ofinternational air transport.

How is ICAO organized? ICAO is composed of:• An Assembly, composed ofrepresentatives from all contractingStates. The Assembly normally meetsevery 3 years, votes a triennial budget,and sets the work program for the nexttriennium.

• A Council, the governing bodycomposed of 33 States, elected by theAssembly for three-year terms. (TheU.S. has always been elected to theCouncil.) The Council establishesStandards and Recommended


Practices and incorporates them intoAnnexes to the Convention. TheCouncil is headedby an elected President, who alsoserves for three years.

• The Secretariat, headed by aSecretary General and divided into fivebureaus -- Air Navigation, AirTransport, Technical Co-Operation,Legal, and Administration andServices.

• The headquarters of ICAO islocated in Montreal, Canada. Inaddition, there are seven ICAOregional offices -- in Bangkok, Cairo,Dakar, Lima, Mexico City, Nairobi, andParis. (See p. 5.)

How does the FAA interface withICAO?

The U.S. participates directly in mostaspects of ICAO. The U.S. maintains apermanent U.S. Mission at ICAOHeadquarters in Montreal andparticipates in all technical panels andmost global and regional meetings.

The FAA’s Office of InternationalAviation (AIA) coordinates mostinteractions between the FAA andICAO through the Interagency Groupon International Aviation (IGIA), whichis administered by AIA. IGIAcoordinates and clears the U.S.position on issues of internationalaviation. AIA advances U.S. regulatoryand technical objectives through theU.S. Mission and ICAO

Other FAA Offices provide directongoing support to ICAO's technical,policy, audit and assistance efforts.

What is the Air NavigationCommission?

Chapter X of the Conventionestablishes an Air Navigation


Commission (ANC) composed of 15persons who have “suitablequalifications and experience in thescience and practice of aeronautics.”All members of the ANC, including theU.S. member, are independenttechnical experts, and do not representtheir respective countries.

The ANC is responsible for theexamination, coordination, andplanning of all ICAO’s work in the airnavigation field and recommends to theCouncil amendments to the Standardsand Recommended Practicescontained in the Annexes of theConvention. It is assisted in this workby an internationally recruited technicalsecretariat of ICAO’s Air NavigationBureau and by panels of experts.Several AIR employees serve on thesepanels (e.g., Continuing Airworthiness(CAP), AeronauticalTelecommunications Network (ATNP),Global Navigation Satellite Systems(GNSSP), and Aeronautical MobileCommunication Panel (AMCP)).


REPRESENTATIVE BODIES OF ICAO

ASSEMBLY185 Contracting States

Meet Triennially

Council33 Elected States

Resident in MontrealPresident

Dr. Assad KotaiteU.S. Representative

(Vacant)

Special Technical CommitteesCAEP

Mr. James Erickson

FinanceCommittee

Air TransportCommittee Legal Committee

Air NavigationCommissionUS MemberFrank Price

Committee on JointSupport of Air

Navigations Service

PersonnelCommittee

Committee onUnlawful

Interference

ICAO Secretariat

SECRETARY GeneralMr. Costa Pereira

Aviation SecurityBranch

Air NavigationBureau

(largest technicalbureau)

DirectorMr. Jack Howell Legal Bureau

Air TransportBureau

Bureau of Adminand Services

TechnicalAssitance Bureau

Region OfficesBangkokNairobiParisCairo

Mexico CityLimaDakar


The Chicago Convention and Its Annexes

What is the “Chicago Convention”? The Chicago Convention is the legalinstrument that established ICAO.

What are Annexes? Over the years, the ICAO Council hasdeveloped and adopted 18 technicalAnnexes to the Convention. Article 37of the Convention charges ICAO withestablishing International Standardsand Recommended Practices(SARP’s). These SARP’s areincorporated as Annexes to theConvention. A Standard is aspecification the uniform application ofwhich is necessary for the safety orregularity of international civil airnavigation. A Recommended Practiceis a practice that is agreed to bedesirable but not essential.

What are the subjects of theseAnnexes?

Annex 1 – Personnel Licensing.Licensing of flight crews, air trafficcontrollers and aircraft maintenancepersonnel.

Annex 2 – Rules of the Air. Rulesrelating to the conduct of visual andinstrument flights.

Annex 3 – Meteorological Service forInternational Air Navigation. Provisionof meteorological services forinternational air navigation andreporting of meteorologicalobservations from aircraft.

Annex 4 – Aeronautical Charts.Specifications for aeronautical chartsfor use in international aviation.

Annex 5 -- Units of Measurement to beUsed in Air and Ground Operations.


Annex 6 – Operation of Aircraft.Specifications which will ensure insimilar operations throughout the worldat a level of safety above a prescribedminimum. Note: ICAO is consideringmerging this Annex with Annex 8.

Annex 7 – Aircraft Nationality andRegistration Marks. Requirements forregistration and identification of aircraft.

Annex 8 – Airworthiness of Aircraft.Certification and inspection of aircraftaccording to uniform procedures.Note: ICAO is considering merging thisAnnex with Annex 6.

Annex 9 – Facilitation. Specificationsfor expediting the entry and departureof aircraft, people, cargo, and otherarticles at international airports.

Annex 10 – AeronauticalTelecommunications. Standardizationof communications equipment,systems, and procedures.

Annex 11 -- Air Traffic Services.Establishment and operation of airtraffic control, flight information, andalerting services.

Annex 12 – Search and Rescue.Organization and operation of facilities.

Annex 13 – Aircraft AccidentInvestigation. Uniformity in thenotification, investigation of, andreporting on aircraft accidents.

Annex 14 – Aerodromes.Specifications for the design andoperations of aerodromes.

Annex 15 – Aeronautical Information


Services. Methods for the collectionand dissemination of aeronauticalinformation required for flightoperations.

Annex 16 – Environmental Protection.Specifications for aircraft noisecertification, noise monitoring, andnoise exposure units for land-useplanning and aircraft engine emissions.

Annex 17 – Security – SafeguardingInternational Civil Aviation against Actsof Unlawful Interference.Specifications for safeguardinginternational civil aviation against actsof unlawful interference.

Annex 18 -- The Safe Transport ofDangerous Goods by Air.Specifications for the labeling, packing,and shipping of dangerous cargo.

How are Annexes changed? Adoption of amendments to Annexesrequires a 2/3 vote by the Council, thensubmission to each of the contractingStates. Typically, the amendmentsbecome effective within three monthsof Council approval, unlessdisapproved by a majority of thecontracting States during that time.

What happens if a contracting Statedisagrees with a change?

Contracting States are expected toimplement SARPs unless a particularState gives notice to ICAO that it isunable to comply because a SARPconflicts with State regulations. ICAOpublishes these “differences” inSupplements to Annexes. Forexample, ICAO Annex 8, as amended,currently requires at Paragraph4.2.2.(a) that the State of Design shallensure that, for aeroplanes over 5,700kg, “there exists a continuing structuralintegrity programme to ensure theairworthiness of the aeroplane. The


programme shall include specificinformation concerning corrosionprevention and control.” The U.S.notified ICAO, and ICAO has publishedthe “difference,” that the U.S. onlyrequires the continuing structuralintegrity programme to contain specificinformation concerning corrosionprevention and control for 14 CFR 121operators.

When other signatory States do notaccept differences submitted by aState, that condition may limit thatState’s acceptance of type andoperation of aircraft.

What are the most relevant Annexesto aircraft certification?

Annexes 6, 8, 10, 13, and 16 are mostrelevant to the Aircraft CertificationService (AIR). Annex 8, Airworthinessof Aircraft, is the baseline forinternational certification of productsand of greatest interest to AIR.

What guidance materials supportthe Standards and RecommendedPractices defined in the Annexes?

ICAO documents which containmaterial relating to airworthinessinclude:• Continuing Airworthiness Manual

(Doc 9642);• Manual of Procedures for

Operations Certification andInspection (Doc 8335);

• Manual of Procedures for anAirworthiness Organization (Doc9389); and

• The Continuing Airworthiness ofAircraft in Service (Circular 95).


Categories of ICAO States

ICAO defines the rights and obligations of its member States using veryspecific terms. The following is a definition of these categories of States.

Contracting State: A member State of ICAO. At thepresent time, there are 185Contracting States in ICAO.

The State of Design: The State having jurisdiction overthe organization responsible for thetype design.

• Ensures that a product’s designmeets the State of Design’sairworthiness standards;

• Transmits MandatoryContinuing AirworthinessInformation (MCAI) to otherContracting States.

The State ofManufacture:

The State having jurisdiction overthe organization responsible for thefinal assembly of the aircraft.

• Cooperates with the State ofDesign to assess informationreceived about an aircraft’soperating experience.

The State ofOccurrence:

The state in which an aviationaccident or incident occurs.

The State of theOperator :

The State in which the aircraftoperator’s principal place ofbusiness is located or, if there is nosuch place of business, theoperator’s permanent residence.

• Ensures that the operator’sorganization, method of control


and supervision of flightoperations, training program,and maintenance arrangementsare satisfactory.

The State of Registry: The State on whose register anaircraft is entered.

• Determines an aircraft’scontinuing airworthiness;

• Ensures an aircraft’s continuedairworthiness during its servicelife;

It is important to recognize, unlessa transfer of oversightresponsibilities has occurred underArticle 83 bis (see page 39), thatunder ICAO the State of Registry isthe accountable and leadorganization in matters ofinternational civil aviation involvingaeronautical products.

As a country where aircraft aredesigned, manufactured, registeredand operated, all of the abovecategories apply to the UnitedStates.

The following sections outline the specific requirements of ICAO SARP’s ofinterest to the Aircraft Certification Service by State category (beginning ineach section with the requirements for All Contracting States).




AIRCRAFT AIRWORTHINESS RESPONSIBILITIES

FROM THE ICAO CONVENTION

AND RELATED ANNEXES


AIRWORTHINESS STANDARDS AND TYPE CERTIFICATION

ICAO Requirement forAll Contracting States

“A Contracting State shall not issueor render valid a Certificate ofAirworthiness ... unless the aircraftcomplies with a comprehensive anddetailed national airworthiness codeestablished for that class of aircraftby the State of Registry or by anyother Contracting State. Thisnational code shall be such thatcompliance with it will ensurecompliance with ... the Standards ...of this Annex ... Where the designfeatures of a particular aircraftrender any of the Standards ...inapplicable or inadequate,variations ... may be made.” (Annex8, Part II, Paragraph 2.2)

U.S. Implementation

The U.S. national airworthiness code isTitle 14 of the Code of FederalRegulations (CFR), the FederalAviation Regulations.

Issuance of a Standard AirworthinessCertificate in the U.S. first requires aU.S. Type Certificate. In order toreceive a Type Certificate under 14CFR §§ 21.21 or 21.29, the applicantmust meet the requirements of theapplicable U.S. Federal AviationRegulations.

“The FAA does not issue airworthinesscertificates, nor grant approvals, foraeronautical products manufactured ina State with which the U.S. does nothave a bilateral agreement for thekinds of products concerned.” (SeeFAA Advisory Circular 21-23.)


AIRWORTHINESS STANDARDS AND TYPE CERTIFICATION (cont.)

ICAO Requirements forAll Contracting States

U.S. Implementation

“The Certificate of Airworthinessshall be issued by the ContractingState which approves the aircraft ...on the basis of satisfactoryevidence that the aircraft complieswith the appropriate airworthinessrequirements. Except whenCertificates of Airworthiness areissued [as a change in the State ofRegistry], that State ... shall obtainsuch evidence in the mannerprescribed [below]. (Annex 8, Part II,Paragraph 3.1)

Under 14 CFR § 21.183(c), U.S. type-certificated aircraft, imported under 14CFR § 21.29 are “entitled to anairworthiness certificate if the [State ofManufacture] certifies ... that theaircraft conforms to the type designand is in condition for safe operation.”

FAA is required by law to make afinding that the aircraft conforms to anFAA approved type certificate (TC),and that it is in a condition for safeoperation before the FAA issues anairworthiness certificate for that aircraft.The FAA may base its findings, whollyor partially, on a certification (e.g., anexport certificate of airworthiness)issued by the Civil Aviation Authority ofanother country, provided a bilateralagreement exists. (See FAA Order8130.2, Paragraph 213.)




“There shall be an approved designconsisting of such drawings,specifications, reports anddocumentary evidence as arenecessary to show that the aircraftcomplies with the appropriateairworthiness requirements.Records shall be maintained toestablish the identification of theaircraft with its approved design.”(Annex 8, Part II, Paragraph 3.1.1.)

U.S. Implementation

To comply with the appropriateairworthiness requirements, 14 CFR §§21.21 and 21.31 state that theapplicant must submit the type design(consisting of the drawings andspecifications necessary to define theconfiguration), test reports andcomputations necessary to “show thatthe product to be certificated meets theapplicable airworthiness, aircraft noise,fuel venting, and exhaust emissionrequirements ...”

With respect to identification records,14 CFR § 21.182 requires that “eachapplicant for an airworthinesscertificate ... must show that his aircraftis identified in accordance with14 CFR § 45.11.”

The approved design is defined in FAAType Certification Data Sheets. (SeeFAA Order 8110.4, “Type CertificationProcess.”)

“During the course of construction,the aircraft shall be inspected inaccordance with a system ofinspection approved by the State todetermine that it conforms in allessential respects with theapproved design, and that itsconstruction and assembly aresatisfactory.” (Annex 8, Part II,Paragraph 3.1.2)

14 CFR § 21.33(b) states that “Eachapplicant must make all inspectionsand tests necessary to determine…(2) That materials and productsconform to the specifications in thetype design; (3) That parts of theproducts conform to the drawings inthe type design; and (4) That themanufacturing processes, constructionand assembly conform to thosespecified in the type design.”Production inspection systems areapproved under 14 CFR, part 21,subparts F and G.




The aircraft shall be subjected tosuch flight tests as are deemednecessary ... to show compliancewith the appropriate airworthinessrequirements. (Annex 8, Part II,Paragraph 3.1.3)

U.S. Implementation

14 CFR § 21.35(b) states that “theapplicant must make all flight tests thatthe Administrator finds necessary ... Todetermine the compliance with theapplicable requirements of [14 CFRPart 21]. 14 CFR § 21.127 provides forflight testing of production aircraft.

Each aircraft shall be provided witha flight manual, placards, or otherdocuments stating the approvedlimitations within which the aircraftis considered airworthy ... andadditional instructions andinformation necessary for the safeoperation of aircraft. (Annex 8, PartII, Paragraph 8)

14 CFR § 91.9(b) states that “Noperson may operate a U.S. registeredcivil aircraft ... unless there is availablein the aircraft a current, approved[Aircraft] Flight Manual ...” Additionally,the [Aircraft] Flight Manual mustcontain “Other information that isnecessary for safe operation becauseof design, operation, or handlingcharacteristics.” (See 14 CFR §§23.1581, 25.1581, 27.1581, and29.1581.)

Each aircraft must contain specifiedmarkings and placards, as well as “Anyadditional information, instrumentmarkings, and placards required for thesafe operation of the [aircraft if it has]unusual design, operating, or handlingcharacteristics.” (See 14 CFR §§23.1541, 23.1585, 25.1541, 25.1585,27.1541, 27.1585, and 29.1541,29.1585, 31.81, 35.5)




“The Standards ... shall apply toaeroplanes of over 5,700 kg ...intended for the carriage ofpassengers or cargo or mail ininternational air navigation.” (Annex8, Part III,)

U.S. Implementation

14 CFR Parts 23 and 25 prescribeairworthiness standards for airplanes.

14 CFR Parts 33 and 35 prescribeairworthiness standards for the enginesand propellers on these airplanes.

“The Standards ... shall apply tohelicopters intended for the carriageof passengers or cargo or mail ininternational air navigation.” (Annex8, Part IV,)

14 CFR Parts 27 and 29 prescribeairworthiness standards for rotorcraft.

14 CFR Parts 33 and 35 prescribeairworthiness standards for the enginesand propellers on these rotorcraft.


NOISE CERTIFICATION

ICAO Requirement for State ofRegistry

Noise certification shall be grantedor validated by the State of Registryof an aircraft on the basis ofsatisfactory evidence that theaircraft complies with requirementswhich are at least equal to theapplicable Standards specified inthe Annex.

Note. -- The documents attestingnoise certification may take the formof a separate Noise Certificate or asuitable statement contained inanother document approved by theState of Registry and required bythat State to be carried in theaircraft. (Annex 16, Part II, Paragraph1.2)

U.S. Implementation

Noise certification of all aircraft isrequired by the FAA as described in 24CFR § 21.183(e), This certification isconducted in accordance with 14 CFRPart 36.

14 CFR § 36.1501(a) requires that“Noise levels achieved during typecertification must be included in theapproved airplane (rotorcraft) flightmanual.” The FAA does not issue aseparate noise certification.

14 CFR § 91.9(b) states that “Noperson may operate a U.S. registeredcivil aircraft ... unless there is availablein the aircraft a current, approvedAirplane or Rotorcraft Flight Manual ...)


TRANSFERS OF ICAO RESPONSIBILITIES WHEN THERE IS A CHANGETO THE ORGANIZATION RESPONSIBLE FOR TYPE DESIGN

ICAO Requirement for State ofDesign

ICAO guidance, rather than theannexes themselves, describe theresponsibilities of states in situationswhere a type certificate or equivalentwill pass from one holder to another.These practices are based on ensuringthe transmittal of continuingairworthiness information by aresponsible, competent organization--the “organization responsible for thetype design” of an aircraft.” (Annex 8,Part II, Paragraph 4.2.4)

Note. -- Guidance on interpretation of“the organization responsible for thetype design” is contained in theAirworthiness Technical Manual (Doc9051). This organization “will be inpossession of the type design and typecertification data and have thecompetence to use that data asnecessary for the continuingairworthiness of the aircraft.”

U.S. Implementation

Under 14 CFR § 21.47, a typecertificate may be transferred (or madeavailable to third persons by licensingagreements). The grantor is requiredto notify the appropriate AircraftCertification Office of the name andaddress of the proposed transferee.Additional guidance is pending onconditions necessary for FAArecognition of the transfer ofcertificates outside the United States.

Under 14 CFR § 21.50, the holder of adesign approval is required to maintainInstructions for ContinuedAirworthiness and to make thoseinstructions available to any personrequired to comply with thoseinstructions.


AIRWORTHINESS CERTIFICATES


“...States ... shall take whateverother steps they deem necessary toensure that the Certificate ofAirworthiness is withheld if theaircraft is known or suspected tohave dangerous features notspecifically guarded against bythose requirements.” (Annex 8, PartII, Paragraph 3.3)

U.S. Implementation

Regulations throughout 14 CFR Part21, Subpart H, state that the aircraftmust conform to the type design and“is in a condition for safe operation” inorder to receive an FAA Certificate ofAirworthiness.

The Certificate of Airworthinessshall contain the informationindicated in the [form shown inFigure 1], and shall be generallysimilar to it ...” (Annex 8, Part II,Paragraph 7)

FAA Form 8100-2, “StandardAirworthiness Certificate,” contains theinformation indicated on the referencedICAO form and is similar to it.


AIRWORTHINESS CERTIFICATES (cont.)

ICAO Requirements for State ofRegistry

“Every aircraft engaged ininternational navigation shall beprovided with a certificate ofairworthiness issued or renderedvalid ...” (ICAO Convention, Article31)

U.S. Implementation

The FAA issues airworthinesscertificates in accordance with 14 CFRPart 21, Subpart H, for U.S. registeredaircraft. (See § 21.173.)

“When an aircraft possessing avalid Certificate of Airworthiness ...is entered on the register of anotherContracting State, the new State ofRegistry ... may consider priorissuance of the Certificate ofAirworthiness by a ContractingState as satisfactory evidence, inwhole or in part, that the aircraft isairworthy ...” “Note. -- This appliesboth when the aircraft is registeredfor the first time and when theaircraft changes its nationality.”(Annex 8, Part II, Paragraph 3.2)

U.S. type-certificated aircraft, importedunder 14 CFR § 21.29, are “entitled toan airworthiness certificate if the [Stateof Manufacture] certifies, and theAdministrator finds, that the aircraftconforms to the type design and is incondition for safe operation.” (See 14CFR § 21.183(c).)

The “FAA is required ... to make afinding that the aircraft conforms to anFAA-approved TC, and that it is in acondition for safe operation before theFAA issues an airworthiness certificatefor that aircraft. The FAA may base itsfindings, wholly or partially, on acertification (e.g., an export C of A)issued by the CAA of another country,provided a BAA exists.” (See FAAOrder 8130.2, Paragraph 213.)


CONTINUED AIRWORTHINESS


When aircraft are involved ininternational commercial operation:

“All modifications and repairs shallbe shown to comply withairworthiness requirementsacceptable to the State of Registry.Procedures shall be established toensure that the substantiating datasupporting compliance with theairworthiness requirements areretained.” (Annex 6, Part I, Paragraph8.6)

U.S. Implementation

Policy is under development to addresshow FAA-approved modifications offoreign registered aircraft arecoordinated with the State of Registry.

Under 14 CFR 121.379 and 121.380,U.S. operators are required to ensurethat modifications and repairs meetFAA’s requirements. Under 14 CFR129.14, foreign operators of U.S.registered aircraft must ensure thataircraft are maintained in accordancewith FAA requirements.

CONTINUED AIRWORTHINESS (cont.)



The continuing airworthiness of anaircraft shall be determined by theState of Registry in relation to theappropriate airworthinessrequirements in force for thataircraft.

The State of Registry shall developor adopt requirements to ensure thecontinued airworthiness of theaircraft during its service life.(Annex 8, Part II, Paragraphs 4.1(a)and (b))

U.S. Implementation

U.S. aircraft owners are expected tomaintain and operate their aircraft inaccordance with the aircraft’sInstructions for ContinuedAirworthiness. (See 14 CFR §§ 43.13,91.7 and 91.403.)

To certify an aircraft in the U.S., anapplicant must prepare Instructions forContinued Airworthiness or develop aprogram to ensure their completionprior to delivery of the first aircraft.(See 14 CFR §§ 21.50, 23.1529,25.1529, 27.1529, and 29.1529, 31.82,33.4 and 35.4.)

In addition to the requirement toprepare Instructions for ContinuedAirworthiness listed above, the FAApublishes an Airworthiness Directive(AD’s) when an unsafe condition isfound. (See 14 CFR Part 39 and FAAOrder 8040.1, “AirworthinessDirectives.”)

Any ... State which has entered onits register an aircraft [for which it] isnot the State of Design and for whichit has issued or validated aCertificate of Airworthiness ... shallensure the transmission to the Stateof Design of all mandatorycontinuing airworthiness information[regarding] that aircraft. (Annex 8,Part II, Paragraph 4.2.4)

For aircraft designed outside the U.S.,the FAA publishes AD’s when anunsafe condition is found and prohibitsoperation of an aircraft in the U.S.without compliance to all appropriateAD’s. U.S. AD’s for foreign productsare sent first to the State of Design andthen to other interested parties.




U.S. Implementation

The State of Registry shall ensurethat [for aircraft] over 5,700 kg ...there exists a system wherebyinformation on faults, malfunctions,defects and other occurrences [that]might cause adverse effects on thecontinuing airworthiness of theaircraft is transmitted to theorganization responsible for the typedesign ... (Annex 8, Part II, Paragraph4.2.5)

Aircraft operators are required to notifythe FAA of any failures, malfunctions,or defects under 14 CFR §§121.703and 121.705.

The FAA requires all holders of TypeCertificates, Supplemental TypeCertificates, Parts ManufacturerApprovals or Technical Standard Orderauthorizations (regardless of aircraftweight) to submit any failure,malfunction, or defect in their products,parts, processes or articles asdescribed in 14 CFR § 21.3.

The FAA shares information on in-service difficulties for foreign productswith the State of Design.

A Certificate of Airworthiness shallbe renewed or shall remain valid ...provided that the State of Registryshall require that the continuingairworthiness of the aircraft shall bedetermined by a periodicalinspection ... or, alternatively bymeans ... approved by the State,which will produce at least anequivalent result. (Annex 8, Part II,Paragraph 5.1)

FAA Airworthiness Certificates remainvalid as along as the maintenance,preventative maintenance andalterations are performed inaccordance with 14 CFR Parts 43 and91 and the aircraft are registered in theU.S. Instructions for ContinuedAirworthiness are required from eachapplicant and must include “aninspection program that includes thefrequency and extent of the inspectionsnecessary to provide for the continuedairworthiness of the [aircraft]. (See 14CFR §§ 21.50, 21.181, 23.1529,25.1529, 27.1529, and 29.1529, 31.82,33.4, and 33.4)

Specific periodic inspections are alsorequired by 14 CFR § 91.409.




U.S. Implementation

“Any failure to maintain an aircraft inan airworthy condition as defined bythe appropriate airworthinessrequirements shall render theaircraft ineligible for operation untilthe aircraft is restored to anairworthy condition.” (Annex 8, PartII, Paragraph 6.1)

“...Airworthiness certificates areeffective as long as the aircraft is safefor flight and meets type design or is ina properly altered state. This includesthat all inspections, maintenance,preventive maintenance, andalterations are performed inaccordance with Parts 43 and 91 ...”(14 CFR, § 21.181(a)(1))

When a State of Registry rendersvalid a Certificate of Airworthinessissued by another ... State, as analternative to issuance of its ownCertificate of Airworthiness, it shallestablish validity ... (Annex 8, Part II,Paragraph 5.2.)

The FAA does not “render valid aCertificate of Airworthiness issued byanother Contracting State.” Rather,the FAA issues its own Certificate ofAirworthiness. See 14 CFR § 21.173.

Each ... State shall establish, [for]aircraft over 5,700 kg maximumcertificated take-off mass, the typeof service information that is to bereported ... by operators,organizations responsible for typedesign and maintenanceorganizations. Procedures forreporting this information shall alsobe established. (Annex 8, Part II,Paragraph 4.2.8)

Service information that must bereported is identified in 14 CFR § 21.3.Procedures are contained in Order8010.2, “Flight Standards ServiceDifficulty Program.”



ICAO Requirements for State ofDesign

The State of Design of an aircraftshall transmit any generallyapplicable information ... for thecontinuing airworthiness ... and forthe safe operation ... to every ...State which has ... advised the Stateof Design that it has entered theaircraft on its register; and ... to anyother ... State upon request. (Annex8, Part I, Paragraph 4.2.2)

U.S. Implementation

The FAA shares its AD’s with allbilateral partner countries.

The FAA has filed an official differenceto this paragraph with ICAO: “TheUnited States transmits mandatorycontinuing airworthiness information tothose States that request it .”

The State of Design shall ensurethat, [for] aircraft over 5,700 kgmaximum certificated take-off mass,there exists a system for ...receiving information [regardingfaults, malfunctions, defects, etc.];... deciding if and whenairworthiness action is needed; ...developing the necessaryairworthiness actions; and ...promulgating the information onthose actions ... (Annex 8, Part II,Paragraph 4.2.6)

14 CFR § 21.3 requires reporting offailures, malfunctions and defects. TheFAA has a service difficulty reportingprogram to receive the information forall aircraft regardless of weight. Thisprogram is described in FAA Order8010.2, “Flight Standards ServiceDifficulty Program;” FAA Order8120.2A, “Production Approval andSurveillance Procedures,” Chapter 10;and FAA Order 8100.5, “AircraftCertification Directorate Procedures,”Chapter 7.

Design deficiencies and/or deficienciesin the manufacturer’s qualitycontrol/inspection system areinvestigated. “If justified, airworthinessdirective action should berecommended ...” (See FAA Order8120.2A and FAA Order 8100.5.)



ICAO Requirement for State ofDesign

U.S. Implementation

The State of Design shall ensurethat, [for airplanes] over 5,700 kgmaximum certificated take-off mass,there exists a continuing structuralintegrity programme to ensure theairworthiness of the [airplane]. Theprogramme shall include specificinformation concerning corrosionprevention and control. (Annex 8,Part II, Paragraph 4.2.7)

The FAA meets the requirements for astructural integrity program by requiringall new aircraft to be certified withInstructions for ContinuedAirworthiness. Older aircraft arehandled through the FAA’s agingaircraft program.

The FAA has filed an official differencewith ICAO regarding corrosion. “At thistime, the United States does notrequire that the continuing structuralintegrity programme contain specificinformation concerning corrosionprevention and control.” However,corrosion is addressed during initialcertification in the “Protection ofStructure.” (See 14 CFR §§ 23.609,25.609, 27.609, and 29.609.)

Maintenance tasks and frequenciesthat have been specified asmandatory by the State of Design inapproval of the type design shall beidentified as such. (Annex 8, Part III,Paragraph 10.4)

The FAA requires each applicant forType Certification to prepareInstructions for ContinuedAirworthiness. These instructions mustinclude “an inspection program thatincludes the frequency and extent ofthe inspections necessary to providefor the continued airworthiness of the[aircraft].” (See 14 CFR §§21.50,23.1529, 25.1529, 27.1529, and29.1529.)

Specific periodic inspections are alsorequired by 14 CFR § 91.409.



ICAO Requirement for State ofManufacture

U.S. Implementation

Where the State of Manufacture ... isother than the State of Design thereshall be an agreement acceptable toboth States to ensure that themanufacturing organization co-operates with the organizationresponsible for the type design inassessing information received onexperience with operating theaircraft. (Annex 8, Part II, Paragraph4.2.9)

Whenever the U.S. is only the State ofManufacture or the State of Design(e.g., Bell Helicopter Model 407), aworking arrangement is concluded withthe other responsible aviation authorityto ensure continued airworthinessresponsibilities are defined.



ICAO Requirement for State of theOperator

U.S. Implementation

The operator shall include aminimum equipment list (MEL),approved by the State of theOperator, in an operations manual.(Annex 6, Part I, Paragraph 6.1.2)

The FAA requires commercial airtransport airplanes to have minimumequipment lists. (See 14 CFR §91.213.)

If the State of Registry is unable tofulfill its responsibilities ... whereaircraft are leased, chartered orinterchanged, by an operator ofanother State, then the State ofRegistry should delegateresponsibilities to the State of theOperator. (Annex 6, Part I, Note 1)

The FAA is currently pursuingCongressional authorization that willauthorize bilateral exchanges of safetyoversight responsibilities.

The State of the Operator shallrequire the Operator to provideOperations Manuals with allmaterials deemed mandatory by theState of the Operator (Annex 6: PartI, Paragraph 4.2.2.2; Part II, Paragraph6.1.3.1; Part III, Paragraph 4.1.3.1)

The FAA approves air carrieroperations specifications under 14CFR Part 119.

The FAA requires each aircraft to havean approved flight manual. (See 14CFR §§ 23.1529, 25.1529, 27.1529,and 29.1529 and AC 91-67.)


ACCIDENT AND INCIDENT INVESTIGATION

ICAO Requirement for State ofOccurrence

U.S. Implementation

The State of Occurrence shallinstitute an investigation into thecircumstances of the accident.Such State shall also be responsiblefor the conduct of the investigation,but may delegate the whole or anypart of the conducting of suchinvestigation to the State of Registryor the State of the Operator. In anyevent the State of Occurrence shalluse every means to facilitate theinvestigation. (Annex 13, Paragraph5.1)

The FAA participates in aircraftaccident investigations conducted bythe National Transportation SafetyBoard (NTSB) and conducts certainother accident investigations (e.g.,nonfatal accidents of civil aircraft whichhave a gross weight of 12,500 lbs. orless). (49 CFR § 831.2, referenced inAppendix 4, Part 1, FAA Order8020.11A)

If a request is received from theState of Registry, the State of theOperator, the State of Design, or theState of Manufacture that the aircraftremain undisturbed pendinginspection by an accreditedrepresentative of the requestingState, the State of Occurrence shalltake all reasonable steps to comply.(Annex 13, Paragraphs 3.3 and 3.4)

The State of Occurrence shallforward notification of an accidentor serious incident to the State ofRegistry, the State of the Operator,the State of Design, the State ofManufacture, and the ICAO. (Annex13, Paragraph 4.1)

The NTSB provides the notificationsrequired by Annex 13.


ACCIDENT AND INCIDENT INVESTIGATION (cont.)

ICAO Requirement for State ofRegistry and the State of theOperator

U.S. Implementation

The State of Registry and the Stateof the Operator shall provide theState of Occurrence with anyrelevant information regarding theaircraft and flight crew involved inthe accident or serious incident.Each State shall also inform theState of Occurrence whether itintends to be represented at theinvestigation. (Annex 13, Paragraph4.5)

The FAA participates in major foreignaccident investigations as an advisor tothe U.S. accredited representativeappointed by the NTSB.

When an aircraft involved in anaccident or serious incident lands ina State other than the State ofOccurrence, the State of Registry orthe State of the Operator shallfurnish the State conducting theinvestigation the flight recorderrecords. (Annex 13, Paragraph 5.16)




U.S. Implementation

When the accident or seriousincident has occurred in the territoryof a non-Contracting State, the Stateof Registry should endeavour toinstitute and conduct aninvestigation in co-operation withthe State of Occurrence but, failingsuch co-operation, should itselfconduct an investigation with suchinformation as is available. (Annex13, Paragraph 5.2)

When the location of the accident orserious incident cannot definitely beestablished as being in the territoryof any State, the State of Registryshall institute and conduct anynecessary investigation. (Annex 13,Paragraph 5.3)

When an accident or incident involvesa U.S.-registered aircraft in a non-Contracting State, “the conduct of theinvestigation shall be in consonancewith any agreement entered intobetween the United States and theforeign state.” (49 CFR § 831.2(a)(2))

The NTSB is responsible forinvestigation of accidents which involveU.S. registered civil aircraft determinedto be not in the territory of anotherState (i.e., in international waters). (49CFR § 831.2(a)(2))

When the State of Registry institutesthe investigation of an accident orserious incident ... it shall forwardnotification ... to the State of theOperator, the State of Design, theState of Manufacture, and ICAO.(Annex 13, Paragraph 4.7)



ICAO Requirement for State ofDesign and State of Manufacture

U.S. Implementation

In the case of an accident or seriousincident ... the State of Design andthe State of Manufacture shallinform the State of Occurrence ofthe name of its accreditedrepresentative and whether therepresentative will be present at theinvestigation. (Annex 13, Paragraph4.6)

When the State conducting aninvestigation of an accident to anaircraft of a maximum mass of over2,250 kg specifically requestsparticipation by the State of Designand the State of Manufacture, thelatter State(s) shall each appoint anaccredited representative. (Annex13, Paragraph 5.22)

When the U.S. is the State ofOccurrence, the NTSB conductsinvestigations of accidents andincidents. The FAA is a “party to theinvestigation.”

When the U.S. is the not the State ofOccurrence, the NTSB is the U.S.accredited representative. The FAA isan advisor to the NTSB and has equalstatus with other advisors (e.g.,manufacturer, operator). (49 CFR §831.11)



ICAO Requirement for State of theOperator, State of Design and Stateof Manufacture

U.S. Implementation

Upon receipt of notification, theState of the Operator, the State ofDesign and the State of Manufactureshall, upon request, provide theState of Registry with any relevantinformation available regarding theflight crew and the aircraft involvedin the accident or serious incident.Each State shall also inform theState of Registry whether it intendsto be represented at theinvestigation ... (Annex 13, Paragraph4.8)

“The operator of an aircraft involved inan accident or incident shall retain allrecords, reports, internal documents,and memoranda dealing with theaccident or incident...” (49 CFR §830.10)




RECENT ICAO INITIATIVES


ACTION PLAN FOR GLOBAL AVIATION SAFETY

In February 1997 ICAO defined its Strategic Action Plan for global aviation safety.This was the first comprehensive reevaluation of ICAO’s mission since the signingof the Chicago Convention in 1944. ICAO’s work programme is to be integratedwith this Strategic Action Plan. The U.S. advocates ICAO’s being proactive in itssafety role and supports this definition of ICAO’s priorities in international aviationsafety.

ICAO goal • To provide necessary leadershipand to gain a commitment fromContracting States and the aviationindustry for a collaborative effort toenhance aviation safety in order to:

• Achieve a significantdecrease in the world-wideaccident rate; and

• Enhance the identification ofshortcomings anddeficiencies in the airnavigation field and toachieve a significant degreeof improvement.

• To increase and improve its owncapability to compile, assess, anddisseminate safety-relatedinformation.

Safety Initiatives • Mandated Airborne CollisionAvoidance System (ACAS)

• Accelerated development of GlobalNavigation Satellite System(GNSS)-based non-precisionapproaches

• An enhanced Controlled Flight IntoTerrain (CFIT) Program

• Adoption of standard Air TrafficControl (ATC) phraseology;

• Development of the Global AirTraffic Management (ATM) plan;

• Review of the FM broadcastinterference problem with ILS,VOR, and VHF systems;

• Increased emphasis on human


factors;• Implementation of a global

operational/safety informationsharing mechanism (e.g., theGlobal Aviation InformationNetwork, GAIN)


ICAO SAFETY OVERSIGHT PROGRAM

What is ICAO’s Safety OversightProgramme?

ICAO’s Safety Oversight Programme,established in 1995, is an effort bywhich States ensure the effectiveimplementation of the safety-relatedSARP’s and associated procedurescontained in the Annexes to theConvention. It incorporates as its corefunction mandatory safety oversightassessments of States by ICAO, withthe consent of the State, and with theobjective of offering follow-up adviceand technical assistance to enableStates to implement SARP’s andassociated procedures. At the presenttime, the programme addresses onlyAnnexes 1 (Personnel Licensing andTraining), 6 (Aircraft Operation), and 8(Aircraft Airworthiness).

Who controls, supervises, andadministers the safety oversightprogramme?

The safety oversight programme isunder the control and supervision ofthe Council and the Air NavigationBureau (ANB) and is administered bythe Secretary General.


Who is responsible for the day-to-day activities of the programme?

The ANB is responsible for activitiesrelated to team members, safetyoversight assessment and identificationof differences, or lack ofimplementation, of SARP’s containedin Annexes 1, 6, and 8.

The Technical Co-operation Bureau isresponsible, as requested by anassessed State, for activities designedto rectify deficiencies which requirelong-term expert advice or assistanceunder the Technical Co-operationProgramme.

The ICAO Regional Offices facilitatecoordination of the safety oversightassessment teams, provide assistanceand advice when necessary, and areresponsible for required follow-upaction when the final assessmentreport has been completed.

Who determines whether aContracting State will be audited ?

Audits are to be carried out uponICAO’s initiative, but always with theconsent of the State.

What is the composition of thesafety oversight assessment teamand how long does it take toconduct an assessment?

The safety oversight assessment teamtypically consists of three persons(flight operations, airworthiness,licensing and training, or any otherdiscipline that might be required). Itusually takes up to three weeks toconduct an assessment.

What happens to the results of asafety oversight assessment?

The interim and final audit reports areconfidential. Only the assessed Statecan disclose all or any part of thereports to a third party. ICAO providessummary reports of audits to otherContracting States on request.

ARTICLE 83 bis TO THE CHICAGO CONVENTION


What is Article 83 bis? Article 83 bis is an amendment to theChicago Convention that becameeffective in June 1997. It authorizesStates to make bilateral transfers ofsafety oversight responsibilities relatedto the lease, charter, and interchangeof aircraft. It gives States a basis andlegal framework for entering intobilateral agreements transferringresponsibilities under Articles 12 (Rulesof the air), 31 (Certificates ofairworthiness), and 32(a) (Licenses ofpersonnel).

Typically, the State of Registrytransfers the responsibilities to theState in which the aircraft are to bebased (State of Operator).

What does Article 83 bis do? • Article 83 bis allows placement ofsafety oversight responsibilities withthe State where the aircraft oroperator is based, i.e., with theState that is in a better situation todischarge safety oversight.

• Article 83 bis guarantees thatbilateral agreements for transfer ofoversight responsibilities arerecognized by all ICAO States.

When will the U.S. implement Article83 bis?

The FAA needs statutory authority inorder to implement the provisions ofArticle 83 bis. Once such authority isprovided by Congress, the FAA willdevelop the rule changes, proceduresand guidance material for theimplementation of 83 bis. Once theseare completed, aircraft owners will beable to voluntarily request participationunder Article 83 bis. To participateunder the U.S. implementation of 83bis, states requested to participate bythe aircraft owner will have to have anexisting bilateral agreement with the


U.S.




APPENDIX A – ICAO Member States

1. Afghanistan2. Albania3. Algeria4. Angola5. Antigua and Barbuda6. Argentina7. Armenia8. Australia9. Austria10. Azerbaijan11. Bahamas12. Bahrain13. Bangladesh14. Barbados15. Belarus16. Belgium17. Belize18. Benin19. Bhutan20. Bolivia21. Bosnia and Herzegovina22. Botswana23. Brazil24. Brunei Darussalam25. Bulgaria26. Burkina Faso27. Burundi28. Cambodia29. Cameroon30. Canada31. Cape Verde32. Central African Republic33. Chad34. Chile35. China, People’s Republic of36. Colombia37. Comoros38, Congo39. Cook Islands40. Costa Rica41. Côte d'Ivoire42. Croatia43. Cuba44. Cyprus45. Czech Republic46. Democratic People's Republic of Korea47. Democratic Republic of the Congo

48. Denmark49. Djibouti50. Dominican Republic51. Ecuador52. Egypt53. El Salvador54. Equatorial Guinea55. Eritrea56. Estonia57. Ethiopia58. Federated States of Micronesia59. Fiji60. Finland61. France62. Gabon63. Gambia64. Georgia65. Germany66. Ghana67. Greece68. Grenada69. Guatemala70. Guinea71. Guinea-Bissau72. Guyana73. Haiti74. Honduras75. Hungary76. Iceland77. India78. Indonesia79. Iran, Islamic Republic of80. Iraq81. Ireland82. Israel83. Italy84. Jamaica85. Japan86. Jordan87. Kazakhstan88. Kenya89. Kiribati90. Korea91. Kuwait91. Kyrgyzstan

92. Lao People's Democratic


Republic93. Latvia94. Lebanon95. Lesotho96. Liberia97. Libyan Arab Jamahiriya98. Lithuania99. Luxembourg100. Madagascar101. Malawi102. Malaysia103. Maldives104. Mali105. Malta106. Marshall Islands107. Mauritania108. Mauritius109. Mexico110. Moldova111. Monaco112. Mongolia113. Morocco114. Mozambique115. Myanmar116. Namibia117. Nauru118. Nepal119. Netherlands, Kingdom of the120. New Zealand121. Nicaragua122. Niger123. Nigeria124. Norway125. Oman126, Pakistan127. Panama128. Papua New Guinea129. Paraguay130. Peru131. Philippines132. Poland133. Portugal134. Qatar135. Palau, Republic of136. Romania137. Russian Federation139. Rwanda140. Saint Lucia141. Saint Vincent and the Grenadines142. Samoa143. San Marino144. Sao Tome and Principe

145. Saudi Arabia146. Senegal147. Seychelles148. Sierra Leone149. Singapore150. Slovakia151. Slovenia152. Solomon Islands153. Somalia154. South Africa155. Spain156. Sri Lanka157. Sudan158. Suriname159. Swaziland160. Sweden161. Switzerland162. Syrian Arab Republic163. Tajikistan164. Thailand165. The former Yugoslav Republic of Macedonia166. Togo167. Tonga168. Trinidad and Tobago169. Tunisia170. Turkey171. Turkmenistan172. Uganda173. Ukraine174. United Arab Emirates175. United Kingdom176. United Republic of Tanzania177. United States178. Uruguay179. Uzbekistan180. Vanuatu181. Venezuela182. Viet Nam183. Yemen184. Zambia185. Zimbabwe

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