1. Foreign Air Operator Validation & Surveillance Course
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Foreign Air Operator Validation & Surveillance Course
Part II ~~ Convention and Annexes
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Foreign Air Operator Validation & Surveillance

2. States Responsibilities and Authorities
Foreign Air Operator Validation & Surveillance
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States Responsibilities and Authorities
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3. Convention on International Civil Aviation
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Convention on International Civil Aviation
Signed at Chicago on 7 December 1944 and came into force on 4 April 1947
Primary instrument that establishes ICAO and provides it mandate
Under the authority of the Convention, ICAO establishes Standards and Recommended Practices (SARPs)
THIs is the Air Law of ICAO
Established the mandate of ICAO
SARPS in 18 annexes
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Foreign Air Operator Validation & Surveillance

4. Convention on International Civil Aviation
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Convention on International Civil Aviation
Standards & Recommended Practices (SARPS) are contained in 18 Annexes
Annex 1 – Personnel Licensing
Annex 6 – Operation of Aircraft
Annex 8 – Airworthiness of Aircraft
Annex 18 – Safe Transportation of Dangerous Goods by Air
etc.
These are not all of theme, but the ones related to FAO
Also annex 7, 9, 15 as well
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5. Foreign Air Operator Validation & Surveillance
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ICAO CONVENTION DOC 7300 / 9
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6. Article 1 ~~ Sovereignty
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Article 1 ~~ Sovereignty
The contracting States recognize that every State has complete and exclusive sovereignty over the airspace above its territory
This is the Sovereignty article
You cannot file a difference to the Convention. If you sign, you must comply
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7. Article 3 ~~ Civil and State aircraft
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Article 3 ~~ Civil and State aircraft
a) This Convention shall be applicable only to civil aircraft, and shall not be applicable to state aircraft.
b) Aircraft used in military, customs and police services shall be deemed to be state aircraft.
c) No state aircraft of a contracting State shall fly over the territory of another State or land thereon without authorization by special agreement or otherwise, and in accordance with the terms thereof.
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8. Article 6 ~~ Scheduled Air Services
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Article 6 ~~ Scheduled Air Services
No scheduled international air service may be operated over or into the territory of a contracting State, except with the special permission or other authorization of that State, and in accordance with the terms of such permission or authorization. (air services agreements)
Will discuss Air Services agreement these are the political - -economic authority to operate
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9. Article 11 ~~ Applicability of Air Regulations
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Article 11 ~~ Applicability of Air Regulations
Subject to the provisions of this Convention, the laws and regulations of a contracting State relating to the admission to or departure from its territory of aircraft engaged in international air navigation, or to the operation and navigation of such aircraft while within its territory, shall be applied to the aircraft of all contracting States without distinction as to nationality, and shall be complied with by such aircraft upon entering or departing from or while within the territory of that State.
If you are operating in a contracting state the laws of that state are applicable.
KEY point is non-discrimination of application.
You can have regulations, but they must apply equally to all aircraft.
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10. Article 12 ~~ Rules of the Air
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Article 12 ~~ Rules of the Air
Each contracting State undertakes to adopt measures to insure that every aircraft flying over or maneuvering within its territory and that every aircraft carrying its nationality mark, wherever such aircraft may be, shall comply with the rules and regulations relating to the flight and maneuver of aircraft there in force.……... Each contracting State undertakes to insure the prosecution of all persons violating the regulations applicable.
Rules
Requires enforcement
Applies to all a/c operating in a State
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11. Article 16 ~~ Search (inspection) of Aircraft
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Article 16 ~~ Search (inspection) of Aircraft
The appropriate authorities of each of the contracting States shall have the right, without unreasonable delay, to search aircraft of the other contracting States on landing or departure, and to inspect the certificates and other documents prescribed by this Convention.
Aside from the meaning of Search vs. Inspection, this is the article that provides for inspection.
Note the provision regarding unreasonable delay. We do not want to delay a flight unless necessary for safety
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12. Article 29 ~~ Documents Carried in Aircraft
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Article 29 ~~ Documents Carried in Aircraft
Every aircraft of a contracting State, engaged in international navigation, shall carry the following documents in conformity with the conditions prescribed in this Convention:
a) Its certificate of registration;
b) Its certificate of airworthiness;
c) The appropriate licenses for each member of the crew;
d) Its journey log book;
e) If it is equipped with radio apparatus, the aircraft radio station
license;
f) If it carries passengers, a list of their names and places
of embarkation and destination;
g) If it carries cargo, a manifest and detailed declarations of the cargo.
Cannot file a difference to Article 29
This is the high level requirement
Annexes may also introduce a requirement (e.g., carriage of AOC)
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13. Article 33 ~~ Recognition of certificates & licenses
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Article 33 ~~ Recognition of certificates & licenses
Certificates of airworthiness and certificates of competency 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
SHALL be recognized as valid … PROVIDED etc.
There are no choices on the part of a host State. This is in the convention.
With regard to AOCs, similar language is in the Annex – not as strong, but similar effect
This is why the english langauage requirement was so strong – it was linked to the Licence. Failing to meet the licence requirements means that a State could refuse to recognize that licence.
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14. Article 38 ~~ Departure from International Standards and Procedures
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Article 38 ~~ Departure from International Standards and Procedures
Any State which finds it impractical to comply in all respects … shall give immediate notification to ICAO of the difference between its own practice and that established by international standard. ….. The Council shall make immediate notice of the difference to all other States ….
Notifying differences is not an open-ended licence to not comply with the ICAO standards.
Note, there are challenges for ICAO to publish the differences that are notified.
The USOAP audit program has led to an increase in filings.
ICAO is setting up a system that uses the SOA compliance checklists to file the difference.
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15. Interpretation ~~ Convention
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Interpretation ~~ Convention
While Article 1 recognizes the sovereignty of States, ICAO Annexes indicate that the State of Registry (Operator) has the overall responsibility for safety oversight
While Article 16 grants specific rights for States to carry out inspections of foreign aircraft, a review of Annexes would suggest that the scope is somewhat limited
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Foreign Air Operator Validation & Surveillance

16. Interpretation ~~ Annex 6
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Interpretation ~~ Annex 6
Annex 6, Parts I & III introduce the concept of the “State of the Operator”
The State of the Operator could be different from the State of Registry
Annex 6 recognizes that the State of the Operator has vast responsibilities related to safety oversight
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17. Interpretation ~~ Annex 6
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Interpretation ~~ Annex 6
Air operator certificate (AOC) A certificate authorizing an operator to carry out specified commercial air transport operations.
Operations specifications The authorizations, conditions and limitations associated with the air operator certificate and subject to the conditions in the operations manual.
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18. Interpretation ~~ Annex 6, Part I
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Interpretation ~~ Annex 6, Part I
The air operator certificate shall authorize the operator to conduct commercial air transport operations in accordance with the operations specifications The issue of an air operator certificate by the State of the Operator shall be dependent upon the operator demonstrating an adequate organization, method of control and supervision of flight operations, training programme as well as ground handling and maintenance arrangements consistent with the nature and extent of the operations specified The continued validity of an air operator certificate shall depend upon the operator maintaining the requirements of under the supervision of the State of the Operator.
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19. Foreign Air Operator Validation & Surveillance
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Interpretation
The responsibility of the State of the Operator is combined with the State of Registry
Under the Convention and its Annexes, States have a responsibility to refer to the State of Registry or the State of the Operator any concerns they would have in the case of regulatory infraction
Deficiencies found by Inspections performed under Article 16 should also be referred to the State of Operator and/or Registry
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Foreign Air Operator Validation & Surveillance

20. Foreign Air Operator Validation & Surveillance
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Interpretation
States must be careful in extending their authority over Foreign Air Operators beyond the scope contemplated in the Convention
COSCAP Model Regulation and Manual of Validation and Surveillance of FAO has been developed in full consideration of the ICAO requirements and DOC 8335
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21. Foreign Air Operator Validation & Surveillance
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Interpretation
Article 11 recognizes that States may have requirements other or more stringent and not conflicting with those provided in the Convention
These requirements must be imposed on a non-discriminatory basis
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22. Foreign Air Operator Validation & Surveillance Course
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Foreign Air Operator Validation & Surveillance Course
-- End --
Part II ~~ Convention and Annexes
Comments and Questions
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Foreign Air Operator Validation & Surveillance