1. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Foreign Air Operator Validation & Surveillance
Part I ~~ History
This presentation aims at informing the workshop on ICAO harmonisation efforts regarding the AOC, its associated Operations Specifications, and the approval and surveillance of foreign operators. Specifically, the word “approval” in the context of a foreign operator does not mean a formal approval process such as the approval of a national operator’s procedures, documents and operations during the certification of the operator. The term approval in the context of a foreign operator is similar to what the COSCAP here calls a validation of the foreign operator.

2. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical Review and Current Situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
This presentation starts with an overview of the evolution of ICAO provisions, describes the perceived problem affecting foreign air operators and its identified solutions and exposes the related ICAO Standards and Recommended Practices based on ICAO Resolution A36-6. It will then review the guidance material of Doc 8335 outlining a State’s responsibilities regarding commercial air transport operations by foreign operators. Finally a future project for an international Register of AOCs will be introduced.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

3. Certification: the early days
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Certification: the early days
(19441980’s)
Annex 1
Operators
Flight crew
Aircraft
C of A
License
Regulator
State of Registry
Until the 1980’s, the safety model implied by the Chicago Convention was that Safety of flight operations depends on “a competent pilot” flying “an airworthy aircraft”
The requirement for pilots to hold a license and for aircraft to have a certificate of airworthiness is part of the Chicago Convention and detailed provisions are in Annex 1 and 8 respectively.
The State of Registry assumes most of the responsibility for safety with participation of individuals (pilots and mechanics). This is illustrated by the larger yellow circle.
The Chicago Convention and its Annexes provide the legal recognition and operational framework for Contracting States to build a civil aviation safety system based on mutual trust and recognition. The Chicago Convention does not make any reference to the certification of the operator. .
Annex 8
The State of Registry assumes most of the responsibility for safety with participation of individuals (pilots and mechanics)
COSCAP 2012
Foreign Air Operator Validation & Surveillance

4. Foreign Air Operator Validation & Surveillance
COSCAP 2012
General Principles
Chicago Convention - Article 33 Certificates of airworthiness and … licenses issued or rendered valid by the contracting State in which the aircraft is registered, shall be recognized as valid 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.
Caveat
Article 33 of the Convention puts great responsibility on the State of Registry, and covers the recognition of C&A’s and licenses in the first part of the text.
Then follows a caveat: “provided…”.
The question is how an Authority can be satisfied that the minimum standards are enforced by the State of Registry, if mutual trust is not sufficient. As civil aviation evolved and developed, it was deemed necessary to introduce a new concept.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

5. Air Operator Certificate (AOC)
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Air Operator Certificate (AOC)
Regulator
Operators
Flight crew
Aircraft
C of A
License
Air Operator Certificate
Training
Maintenance
1990 onwards
State of the Operator
Today the operator is seen as an essential part of the system and has specific and important responsibilities regarding the competency of its crew and the maintenance of its aircraft. These responsibilities complement (I.e. do not replace) the licensing and C of A requirements.
The responsibility for safe operation rests essentially with the operator, as illustrated by the larger green circle.
The State of the Operator ensures fitness of its operators through safety oversight (certification and surveillance)
ICAO Annex 6 requirements for the AOC are relatively recent (1990) and are being strengthened in successive amendments to Annex 6, the latest of which became applicable in November 2008.
Annex 6
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)
COSCAP 2012
Foreign Air Operator Validation & Surveillance

6. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical Review and current situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
What is the problem facing international commercial air transport?
COSCAP 2012
Foreign Air Operator Validation & Surveillance

7. International Operations
Foreign Air Operator Validation & Surveillance
COSCAP 2012
International Operations
Problem: Approval & Surveillance of Foreign Operators
Unharmonised requirement for Foreign AOC or “Foreign Operations Specifications”
Multiplication of States with such requirement e.g., USA, China, Canada, Trinidad & Tobago, Saudi Arabia, etc.
Surveillance of foreign operators is a State responsibility which was poorly documented in ICAO provisions until recently.
As a result, requirements for authorizing operations by foreign operators have been or are being implemented by States, involving foreign Ops Specs, or even foreign AOC, which do not exist for ICAO and thus are not harmonised. The multiplication of States requiring foreign operators to submit detailed requests for authorisation creates an obstacle to international air transport, taxing both the State Authorities and the Operators with little safety benefit, as illustrated graphically in the next slide.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

8. Foreign Air Operator Validation & Surveillance
COSCAP 2012
The problem:
AOC
State
Each Airline:
1 AOC +
X Foreign Ops Specs
Multiple
Requirements
Complexity !
If each airline has one AOC but flies to other States requiring foreign Ops Specs, this results in multiple unharmonised requirements with different National CAAs, each requirement involving initial authorization and long-term maintenance, with daunting complexity, both for the airline and the CAAs. In this scenario, foreign Operations Specifications increase the complexity of flight operations, training programmes and documentation, ultimately affecting safety.
There are 190 ICAO Contracting States. The development of new requirements needs to be curtailed, especially when it arises not so much out of safety concerns but rather for the purpose of retaliation.
As an example, a requirement in 2006 from a single State to permit a large foreign operator to continue existing operations forced the operator to send a file of 16,000 pages to that CAA, with completely different information than that provided to other States, much of it sensitive safety data. There is no evidence that the CAA has the capability to meaningfully analyze the data. It is a waste of precious resources that cannot be directed at improving safety.
This situation is treacherous to the evolution of the international air transport system as envisaged under the Chicago Convention.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

9. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical Review and current situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
What solutions has ICAO identified and the resulting objectives
COSCAP 2012
Foreign Air Operator Validation & Surveillance

10. Solutions and Objectives
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Solutions and Objectives
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
COSCAP 2012
Foreign Air Operator Validation & Surveillance

11. Foreign Air Operator Validation & Surveillance
COSCAP 2012
AOC
State
FOREI GN
OPERATOR
SURVEILLANCE
OBJECTIVE
Bilateral Safety Agreements
Annex 6 & DOC 8335
Using the Standards of Annex 6 and the expanded guidance material of Doc 8335, States can certify their own operators and exercise surveillance of all operators within their territory, including foreign operators. The updated Doc 8335 is available as a draft version on the ICAO-net to be published as a matter of priority.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

12. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical and current situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
Let us review these new or amended ICAO provisions.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

13. Foreign Air Operator Validation & Surveillance
COSCAP 2012
ICAO Actions
ICAO Developed 3 types of provisions:
Assembly resolution A36-6 to encourage the international recognition of the AOC by States.
SARPs in Annex 6, Part I & Part III
Guidance material in a new edition of DOC 8335
Doc.8335 is the Manual of Procedures for Operations Inspection, Certification and Continued Surveillance.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

14. ICAO Assembly Resolution
Foreign Air Operator Validation & Surveillance
COSCAP 2012
ICAO Assembly Resolution
Assembly Resolution A36-6 urges all States to recognize as valid the AOC issued by another State provided that it was issued in accordance with ICAO 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.
NB: The 36th Assembly took place in September 2007.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

15. ICAO Assembly Resolution
Foreign Air Operator Validation & Surveillance
COSCAP 2012
ICAO 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.
NB: The 36th Assembly took place in September 2007.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

16. Foreign Air Operator Validation & Surveillance
COSCAP 2012
ICAO SARP Amendment
Amendment 32 to Annex 6, Part I became effective on 20 November 2008
States shall recognize as valid the AOC issued by another State, provided the AOC meets Annex 6 requirements (since November 2006)
Harmonization of the content, and layout by 1 January 2010, of the AOC and its associated operations specifications, with supporting definition and guidance material
COSCAP 2012
Foreign Air Operator Validation & Surveillance

17. Air Operator Certificate
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Air Operator Certificate
This is the AOC template. The AOC lay-out shall be followed from 1 January A true certified copy of the Air Operator Certificate needs to be carried on board each aircraft. What is meant by a true certified copy is explained in a file which can be downloaded from the webpage referenced at the bottom of the slide.
True certified copy:
DOC s.4.4 Certified true copy of the AOC page I-11
COSCAP 2012
Foreign Air Operator Validation & Surveillance

18. Operations Specifications
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Operations Specifications
Similarly, here is the template of the Operations Specifications document.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

19. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Annex 6 - Amendment 32
ALSO in Annex 6, Part I & Part III – SARPs
States shall establish a programme for the surveillance of operations by foreign air operators
Foreign operators shall meet and maintain the requirements of the State in which they are operating
Cases of non-compliance with laws, regulations or procedures by a foreign operator to be notified to operator, and, if warranted, to the State of the Operator (Registry)
If warranted, the State in which the operation is conducted shall engage in consultation with the State of the Operator (Registry) concerning the safety standards maintained by the operator
But also in Annex 6, Part I & Part III, new SARPS establishing formally the surveillance programme of foreign operators, to support the existing responsibilities of States:
COSCAP 2012
Foreign Air Operator Validation & Surveillance

20. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical and current situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
COSCAP 2012
Foreign Air Operator Validation & Surveillance

21. Guidance Material -- DOC 8335
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Guidance Material -- DOC 8335
DOC 8335 available to States on ICAO-Net
A confirmation that the safety oversight of an operator rests with the State of the Operator: certification + surveillance.
Part VI covers the surveillance of foreign operators and admission procedures (no certification!).
An attachment with a ramp inspection checklist and a chapter with actions from findings (for foreign operators)
Part V covers leasing, code-sharing, interchange, … operations, with guidance on the use of Article 83bis.
An attachment with a model safety clause for inclusion in air service agreements to emphasize the safety responsibilities of States.
Doc 8335, the Manual of Procedures for Operations Inspection, Certification and Continued Surveillance, has been reviewed with the aim of streamlining the material and of updating it. The material includes:
A confirmation that the safety oversight of an operator rests with the State of the Operator that conducts the certification of the operator, resulting in the issuance of the AOC, and the continuing surveillance of the operator. Both the certification process and the surveillance activities are extensively covered in Part III and IV of the updated Doc 8335.
Part VI covers the surveillance of foreign operators and admission procedures (no certification!). It should be emphasized that Article 16 of the Chicago Convention entitle States to search aircraft from other States on landing and departure and to inspect the certificates and other documents prescribed by the convention and its Annexes provided there is no unreasonable delay to the operation. ….
NB: the model safety clause was adopted by ICAO Council on 13 June 2001.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

22. Foreign Operator Initial Approval
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Foreign Operator Initial Approval 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?
Signif.?
Yes, significant finding/deficiency
B.A. = Bilateral Agreement is signed.
Additional measures: denial or other action
Part VI of the updated manual covers the surveillance of a foreign operator by a State, with a description of the initial approval and continuing surveillance activities. The initial approval flow chart is depicted here. Remember that the term approval, in the context of a foreign operator, is not an operational approval nor a certification but is similar to what the COSCAP documents calls a validation of the foreign operator. It should represent a simple, streamlined process – normally without undue costs and efforts. ….
Further investigation:
In the case of any significant negative findings / major deficiencies resulting from the document review, or related to the State of the Operator oversight capability, discussions with the State of the Operator should be initiated to seek resolution of such deficiencies prior to granting an approval. This can be supplemented, in part, by the consideration of audits, including operator audits. The State may consider audits performed by other States, by internationally recognized audit organizations, or by its CAA.
Additional measures in case persistent issues remain use a risk management process to reduce the risk to an acceptable level, e.g. denial of operations, operational restriction, further requirements, etc.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

23. Continuing Foreign Operator Surveillance
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Continuing 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
Finding?
Additional measures: withdraw approval or other action
Here is the description of the surveillance activities of the State. Once the foreign operator starts operations, ramp inspections should be scheduled based on a risk assessment and management process. This risk assessment and management process should involve the analysis of USOAP audit results for the State of the Operator, and other safety indicators such as the FAA IASA categorization of the State of the Operator, the fact that the operator is on the IATA Operational Safety Audit registry, the regional sharing of ramp inspection data, if harmonised inspection standards exist, etc.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

24. Foreign Air Operator Validation & Surveillance
COSCAP 2012
Outline
Historical and current situation – ICAO
Problem Statement
Solutions and Objectives
ICAO Assembly Resolution and SARPs
DOC 8335, Part VI - Guidance for foreign operators
International Register of AOCs
ICAO is looking at developing additional tools to facilitate the surveillance of foreign operators and improve both transparency and efficiency. One of these tools is an international register of Air Operator Certificates and associated operations specifications, maintained under ICAO umbrella.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

25. International Register of AOC
Foreign Air Operator Validation & Surveillance
COSCAP 2012
International Register of AOC
Future work initiated by the 36th Assembly
To facilitate surveillance of foreign operators
To reduce the cost and the burden to stakeholders
Data uploaded by the State of the Operator
Information on status of AOC / Ops Specs
This international Register of AOCs was requested by the 36th Assembly in Its aim was to facilitate the surveillance of foreign operators by providing access to current data on operators to all Contracting States. Other benefits would be to reduce the costs and burden on the CAA and operators, to provide timely advisories on AOC/Ops specs status and changes, to expand the dataset to additional optional data and to link it to other ICAO databases.
The data would be uploaded by the State of the Operator, and accessible by all Contracting States.
Currently, a group of experts is drafting the business rules of the application and ICAO is looking for ways to finance the development of the tool.
COSCAP 2012
Foreign Air Operator Validation & Surveillance

26. Foreign Air Operator Approval & Surveillance
Foreign Air Operator Validation & Surveillance
COSCAP 2012
Foreign Air Operator Approval & Surveillance
--- End ---
Part I ~~ History
Questions and/or Comments!