Operations and Licensing: Part 2

U.S./Europe International Aviation Safety Conference

By: James Ballough, FAA, and Claude Probst, EASA

Date: June 4, 2008

“Global Safety Management: Revolution or Evolution”

Operations and Licensing: Part 2

Reciprocal Acceptance of Operations Specifications:What Should Future Bilateral Agreements Look Like?

Reciprocal Acceptance of Operations Specifications 2June 5, 2008 2

Defining the Issues:• Responsibilities of States

– Chicago Convention– State Regulatory and Oversight System

• The Operator– Air Operator Certificate (AOC)– Operations Specifications – Operator’s Operations Manual

• Role of ICAO– Universal Safety Oversight Audit Program (USOAP)– International AOC Register

• Bilateral Considerations– Air Safety Clause / Air Services Agreement

Reciprocal Acceptance of Operations Specifications 3June 5, 2008 3

Responsibilities of States:• Acceptance of International Standards

– Chicago Convention• Development of State Regulatory System

– implementation of SARPs• Certification of Operators

– issue Air Operator Certificate (AOC) and Operations Specifications

• Conduct of Safety Oversight– national and foreign operators within its territory– global information sharing

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The Operator:• Air Operator Certificate (AOC)

– provides legal basis for the operation– identifies State of the Operator– facilitates oversight surveillance and foreign

authorizations• Operations Specifications

– associated with AOC– specifies authorizations, conditions and limitations– facilitates oversight surveillance and foreign

authorizations• Operations Manual

– defines operational structure, responsibilities, duties procedures, management system …

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Aircraft Operator Certificate (AOC)

RegulatorRegulator OperatorsOperators

Flight crew

AircraftC of A

Licence

Aircraft Operator Cert.Training

Maintenance

• 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)

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Air Operator Certificate (AOC):• Standard minimum content• Standard layout (1 Jan 2010)

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Operations Specifications:• Standard minimum content• Standard layout (1 Jan 2010)

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The Role of ICAO:• Sets Global Standards• Monitors Implementation by States

– Universal Safety Oversight Audit Program (USOAP)

• Flight Safety Information Exchange (FSIX)– Safety Database

• International AOC Register ?

• IASDEX with other data sharing agreements

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AOC

AOC

AOC

AOC

AOC

AOC

AOC

State

State

State

State

State

State

State

FORE I GN OPERATOR

SURVEILLANCE

Annex 6 & Doc 8335

InternationalAOC Register

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ICAO Proposals:Amendment 32 to Annex 6, Parts I and III(to be effective 20 Nov 08)

• Encourage the International Recognition of the AOC by States

• Annex 6, Parts I & III – SARPSHarmonization of content and layout of AOC and Op Specs

• Document 8335 Guidance Material

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Bilateral Considerations:• Mutual Recognition of Certificates and

Licenses– Chicago Convention (Art. 33)

• Compliance with Rules and Regulations– Chicago Convention (Art. 12)– Right to Inspect (Art. 16)– Authorization and Surveillance of Foreign

Operators• Bilateral Air Services Agreements

– Model Clause on Aviation Safety

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Bilateral Agreement Considerations:

• Reciprocal acceptance with conditions and validationsOperations Specifications Recognition Agreement

Procedures

• Standardized authorizations

• Issuance of appropriate Technical PermissionsSpecialized Authorizations and LimitationsDifferences tailored to individual Operator

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State of the Operator, State of Operations, and Operator Requirements

• States establish foreign operator surveillance program

• Operators meet and maintain State of Operations requirements

• Operator and State of the Operator notified of non-compliance

• State of Operations and State of the Operator consult regarding Operator compliance

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What States Need:Why Operations Specifications are necessary at some level – why they won’t go away.

• Chicago Convention– Art. 1 (sovereignty)– Art. 6 (scheduled air services)– Art. 12 (rules of the air)

• Conditions and Limitations• Technical Permissions

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Your thoughts?