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ICAO Provisions:Obligations
for Certification
Annex 6Document 8335
AFI-CIS Inspectors’Refresher Training(Operations/Airworthiness)Addis Ababa, Ethiopia 22 – 25 February 2016
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ObjectiveBrief Overview: Regulatory requirements relatedto AOC
Chicago Convention– Annex 6 Part I “International Air Transportation –
Aeroplanes” Ninth Edition July 2010
– ICAO Document 8335 “ Manual of Procedures for OperationsInspection, Certification and Continued surveillance” Fifth Edition,2010
Five Phases of Certification
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Chicago Convention
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Articles under the Convention
Article 33: Recognition ofcertificates and licencesArticle 33: Recognition ofcertificates and licences
Article 39 (b): Endorsement ofcertificates and licencesArticle 39 (b): Endorsement ofcertificates and licences
Article 40:Validity of endorsedcertificates and licencesArticle 40:Validity of endorsedcertificates and licences
Article 37: Adoption ofinternational standards andprocedures
Article 37: Adoption ofinternational standards andprocedures
Article 3: Applicability to civilaircraftArticle 3: Applicability to civilaircraft
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Other Relevant Articles
Article 12: Rules of the air
Article 31 : Certificates ofAirworthiness
Article 16: Search of aircraft
Article 38: Departures frominternational standards andprocedures
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Standards and Recommended Practices
ICAO Standard– Any specification for physical characteristics, configuration,
material, performance, personnel, or procedure, the uniformapplication of which is recognized as necessary for the safetyor regularity of international air navigation and to whichContracting States will conform in accordance with theConvention; in the event of impossibility of compliance,notification to the Council is compulsory under Article 38.
ICAO Recommended Practice– Any specification for physical characteristics, configuration,
material, performance, personnel, or procedure, the uniformapplication of which is recognized as desirable in the interestof safety, regularity, or efficiency of international airnavigation, and to which Contracting States will endeavor toconform in accordance with the Convention.
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Supplement to Annex 6
Supplement to Annex 6 thatidentifies those ContractingStates that have notifiedICAO of differences.
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Notification of Differences Form
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Article 83 and 83 bis
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Regulatory Guidance
Annex 6, Part 1 International Commercial AirTransport — AeroplanesAnnex 8 Airworthiness of AircraftDocument 8335 ICAO’s Manual of Proceduresfor Operations Inspections, Certification andContinued SurveillanceDocument 9734 ICAO’s Safety Oversight Manual
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QUESTIONIn which ICAOPublication will youfind the requirement(Standard) for theissuance of a validAOC, by the State ofthe Operator?
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ANSWER:Annex 6, P1,Standard 4.2.1.1
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QUESTION
ANSWER:ICAO Doc 8335 (Manual of Procedures for OperationsInspections, Certification and Continued Surveillance.)
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As an AFI-CIS Inspector, in which ICAO publicationwould you find the list and description of the requiredattachments to the Formal Application for an AOC?
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QUESTIONWhere will you find an explanation ofacceptance and approval actions to be takenduring the document evaluation / compliancephase of the AOC certification process?
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ANSWER: Annex 6, Standard 4.2.3.2
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QUESTION:
How do we know which documents arerequired to be approved after their technicalevaluation?
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ANSWER: An 6, PI, Att E
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Safety Oversight ObligationsICAO CONVENTION
ARTICLES, ANNEXES, SARPs, DOCUMENTS
Member State
CAA Director General
U.S.
U.S. Aviation Law
State AviationRegulations
Code of FederalRegulations (CFRs)
Inspector Technical andIndustry Guidance
Inspector Handbooks/Directives and Advisory
Circulars
Meravia
Director Civil Aviation
MCARs
MDs and MAPs
State Aviation Law
FAA Administrator
Model Law
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Inspector Duties
Resolution ofSafety Issues
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The Five Phases of Certification
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Pre-Application Phase
The applicant seeking anair operator certificatemakes the initial inquiryfor application.
Usually, a meeting is heldand the applicant issupplied withinformation needed tocomplete the application.
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Formal Application PhaseFormal Application Phase
At this point, theprospectiveoperator’s applicationis reviewed byinspectors and aformal applicationmeeting is conductedwith the prospectiveoperator or applicant.
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Document Evaluation Phase
The inspector performsan in-depth review ofthe application and allrequired attachments.
This is to ensure thatthe applicant’sdocuments andmanuals meet all CAAstandards andrequirements.
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Demonstration/Inspection Phase
In this phase theapplicantdemonstrates itsoperation to theinspector inaccordance withapplicable regulationsas defined in theapplicant’s inspecteddocuments andmanuals.
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Certification Phase
This is the final phase of the certification process.The inspector reviews all the certification findingsand the certificate and operation specifications(OpSpecs) are issued to the operator.
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Summary
Chicago ConventionAnnex 6 to the ChicagoConvention (AOC)State Safety OversightObligationsCritical Elements of an OversightSystemSafety Management SystemsInspector DutiesFive Phases of Certification
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NEXT: MODULE 6AOC INITIAL ENQUIRY, PHASE 1.
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PRE-APPLICATION