1. ICAO EUR HLSC Preparatory Seminar
9-11 February 2010
Baku, Azerbaijan
Theme 3: Other Safety Issues
Topic 3.1:Harmonization of rules and processes to address other safety issues
A basic underpinning of international civil aviation is the multilateral recognition of certificates and licences provided for under the Convention on International Civil Aviation. Multilateral recognition of certificates and licences facilitates the free flow of States’exportables (pilots and aircraft) throughout the world. However, many States require certificate holders to comply with similar obligations through sets of dissimilar requirements that increase the administrative and finacial burden for certificate holders without any significant safety value. In addition, the multiplicity of requirements for approved maintenance and training organisations adds a significant burden to states and the industry. This paper outlines a proposal to reduce this burden and describes potential safety consequences created by such a burden.

2. Recognition and validation of approvals and certifications
Chicago Convention Doc 7300
Article Applicability of air regulations
“…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.”
The Convention stipulates in Article 11:
ICAO EUR High Level Safety Conference Preparatory Seminar

3. Recognition and validation of approvals and certifications
Chicago Convention Doc 7300
Article Recognition of Certificates and 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.”
There is an exception to this requirement which is prescribed by article 33 that exonerates to some extent aircraft airworthiness certificate and flight crew licences holders from the previous provision.
The rationale to this is that as an aircraft and its crew traverse multiple States it would be impossible to meet multiple laws and regulations, .The Convention provides for multilateral recognition of certificates and licences provided that the requirements under which these are issued are at least equal to the minimum applicable standard . There is a second condition that recognition is valid only in relation with an aircraft registered in the States that issued the licences.
As a result, recognition of licences and certificates for operation of aircraft registered in States other than the State that issued the licence is left to the individual decision of States.
ICAO EUR High Level Safety Conference Preparatory Seminar

4. Air Operator Certificates
Annex 6 - Operation of Aircraft,
Part I – International Commercial Air Transport - Aeroplanes
Part III – International Operations – Helicopters
“Contracting States shall recognize as valid an air operator certificate issued by another Contracting State, provided that the requirements under which the certificate was issued are at least equal to the applicable Standards specified in this Annex.”
The concept of recognition was further expanded to the AOC. Annex 6 was amended in 2008Thus an exported operation is now being treated in a similar manner as the aircraft and flight crew. .
ICAO EUR High Level Safety Conference Preparatory Seminar

5. Issues
Recognition of certificates and licenses for operation of aircraft issued by other State than State of registry
Air Operator Certificates
Approved Maintenance Organisations
Approved Training Organisation
While the Standards for the issuance of an AOC and the associated operations specifications are globally standardised, many States continue to set additional authorization requirements for air operators to operate into those States. This results in multiple certification rules that are a burden to industry. The effect of multiple approvals and certification rules goes beyond tha authorization required for operations in another State and also impacts approved training and maintenance organisations
ICAO EUR High Level Safety Conference Preparatory Seminar

6. Air Operator Certificates
A36-6: State Recognition of the Air Operator Certificate of Foreign Operators and Surveillance of their Operations
“…recognize as valid the Air Operator Certificate (AOC) issued by other Contracting States for the purpose of flight over their territories…”;
“…establish operating rules governing the admission of foreign air operators within their territories, in accordance with the Convention and on a non-discriminatory basis, and in harmonization with ICAO Standards, guidelines and procedures, having due regard to the need to minimize the cost and burden to the Contracting States and to the operator”;
“…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.”;
An international registry of air operator certificates to be established by ICAO
The need for multilateral recognition of AOCs was discussed at the 36th Assembly where rhea following resolution was adopted.
The 36 assembly also decided that ICAO should develop an international registry of AOCs as a means to enable both timely and efficient conduct of the surveillance of foreign air operators and reduce the burden to air operators in obtaining authorization to operate in foreign states.
ICAO EUR High Level Safety Conference Preparatory Seminar

7. Approved Maintenance Organisations
Annex 6, Part 1, Chapter 8 section 8.7.
Multiplicity of requirements;
procedure manuals,
Quality assurance systems
Personnel requirements
International Standards
Inefficient
Unsafe
AMOs providing worldwide service
Today, airlines around the world enter into contractual arrangements for maintenance services with AMOs outside their states of registry of Operator. While there are standards that guide the certification of AMOs, numerous state s choose to apply their own requirements. Consequently AMOs performing maintenance on an international basis face a multiplicity of requirements and inspections from States,This practice is inefficient but it also results in safety concerns since the AMOs can not rely on a single set of SOPs , quality assurance system and personnel requirements.
Consequence
ICAO EUR High Level Safety Conference Preparatory Seminar

8. Approved Training Organisations
Annex 1, Chapter 1, Paragraph and Appendix 2.
PANS-Training
Doc 9841 – Manual on the Approval of flight crew training organisations
Multiplicity of requirements
ATOs providing worldwide service
Inefficient
Similarly ATOs provide service internationally based on international standards and guidance material that guide approval of ATOs and tools,i.e flight simulators. However many States apply requirements that differ frominternational standards that results in a significant burden/.
International Standards and guidance material
Consequence
ICAO EUR High Level Safety Conference Preparatory Seminar

9. Proposal
Does not exempt the State of Registry/Operator from its obligations
Ascertain if the originating State has the capability and procedures
Transparency and CMA
Mutual recognition and validation requires sufficient documentary evidence
AOC approval issuance requires operations specifications in line with Annex 6 requirements
AMOs and ATOs do not. In addition ICAO guidance material for AMO/ATOs is not as detailed as for AOCs
ICAO shall develop these materials but commitment from States is required
International Registry of Air Operator Certificates
The multiplicity of requirements is not only inefficient but causes some safety concerns and diverts resources away from far more safety critical activities.
Multilateral recognition of certificates should eliminate the need for a multiplicity of procedures and safety assurance processes, reduce number of inspections.
It does not eliminate ythe requirements and obligations of the States of registry and /or operator.
An essential and key requirements for such an approach would be to ascertain if the originating state has the capability and procedure necessary to issue approvals and certificates in accordance with the SARPs and provide continuing surveillance.
Transparency and CMA and relationship with the SSP might be a tool to answer this concern.
Recognition and validation of another states’ approvals &certificates would require sufficient documentary evidence. At present the issuance of AOC approvals and operations specifications follows Annex 6 requirements.
Approvals of AMO and ATOs do not require issuance of operations specifications following an international standard.
In addition AMO/ATOs guidance material is not dertailed as for AOCs.
Development of such a material and also of the International AOCs registry , requires significant resources on the ICAO part as well as on the aviation community. Thus the purpose of this paper is to seek the commitment by States to harmonise their requirements with the international system before embarking on this action.
ICAO EUR High Level Safety Conference Preparatory Seminar

10. Conclusions
Multiplicity of requirements for AOCs authorization, AMO/ATOs approvals is a burden
Diligence by State of registry or operator is paramount
Transparency and CMA are the key elements to build trust
Robust standards and guidance material
States commitment to harmonise the national procedures with the international provisions
ICAO EUR High Level Safety Conference Preparatory Seminar