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

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

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?

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

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

NEXT: MODULE 6AOC INITIAL ENQUIRY, PHASE 1.

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PRE-APPLICATION