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18W M10.1 Regulatory Framework
18W M10.1 Regulatory Framework
18W M10.1 Regulatory Framework
Cabotage
The carriage of traffic between points within on and the same territory (generally reserved for the national
airline)
The 96 articles of the Chicago Convention establish the privileges and restrictions of all Contracting States,
provide for the adoption of International Standards and Recommended Practices (SARPS) regulating air
navigation, recommend the installation of navigation facilities by Contracting States and suggest the facilitation
of air transport by the reduction of customs and immigration formalities. The Convention accepts the principle
that every state has complete and exclusive sovereignty over the airspace above its territory and provides that
no scheduled International air service may operate over or into the territory of a Contracting State without its
previous consent. A brief summary of its contents follows...
The Convention on International Civil Aviation - 1944
Whereas future development of international civil aviation can greatly help to create and preserve friendship
and understanding among the nations and peoples of the world, yet its abuse can become a threat to the general
security, and
Whereas it is desirable to avoid friction and to promote that co-operation between nations and peoples upon
which the peace of the world depends;
Therefore, the undersigned governments, having agreed on certain principles and arrangements in order that
international civil aviation may be developed in a safe and orderly manner and that international air transport
services may be established on the basis of equality of opportunity and operated soundly and economically;
Have accordingly concluded this Convention to that end.
Air Navigation - General Principles and Application of the Convention
• Article 1 - Sovereignty
• Article 2 - Territory
• Article 3 - Civil and State Aircraft
• Article 4 - Misuse of Civil Aircraft
Nationality of Aircraft
• Article 17 - Nationality of Aircraft
• Article 18 - Dual Registration
• Article 19 - National Laws Governing Registration Article 20 - Display of Marks
• Article 21 - Report of Registrations
A matter to which the Chicago Conference attached great importance was the question of the exchange of
commercial rights in International Civil Aviation. It was not found possible to reach an agreement satisfactory
to all, but the conference also set up two supplementary agreements - the International Air services Transit
Agreement and the International Air Transport Agreement - which bore on this subject; the first made provision
for aircraft of any signatory power to fly over or land for technical reasons in the territory of any other signatory,
the second provided further, among other things, for the carriage of traffic between the State of registration of
the aircraft and any other signatory State. As of Oct 1990, 100 nations had accepted the Transit Agreement and
11 States remain parties to the Air Transport Agreement.
The Convention on International Civil Aviation provided that ICAO would not come into being until the
Convention was ratified by 26 States (50% of attending States). In the meantime, a provisional organisation
(PICAO) was formed with advisory powers only, to operate until the permanent organisation was created.
PICAO functioned for 20 months until, on 4th April 1947, ICAO officially came into existence. At the invitation
of the Government of Canada, Montreal was chosen as the site for the Headquarters of the organisation.
In the 20 months of the provisional body's life, the foundation for an International organisation devoted to the
needs of civil aviation was laid and PICAO's 50 Contracting States took concerted action to provide and
maintain the facilities and services necessary for the operation of air services across national borders.
ICAO Documents and Publications
International Standards and Recommended Practices
Standards are regarded as necessary for the safety and regularity of international air navigation. Recommended
Practices are regarded as desirable (but not essential) in the interests of safety, regularity and efficiency of
international air navigation. These usually originate within ICAO Technical Divisions, in accordance with
Articles 37, 54 and 90 and are designated, for convenience, as Annexes to the Convention. Member States are
consulted and specifications developed by ANC and submitted to the Council for adoption. A standard must
receive a favourable vote of two thirds of the Council States who are given a specified time to disapprove and
if the majority disapprove, the standard is nullified. When the standard is approved, they become applicable at
dates set by the Council. Member States are called upon to implement the standards, or if they find it impractical
to implement it for any reason, they are obliged under Article 38, to notify ICAO that a difference exists between
the standards and their own national practices. The standard is then included in the appropriate Annex. Any
failure to comply with a standard must be notified to ICAO
The Annexes are the standards by which world-wide aviation functions. This international standardisation is
essential to the safe and efficient operation of aircraft. It should be recognised that the international impact of
standardisation emanating from ICAO can be significant for its effects the airworthiness of aircraft and also the
extensive facilities and services required to support aeronautical operations everywhere. These include
aerodromes, communications, navigational aids, meteorology, air traffic services, search and rescue,
aeronautical information services, etc.
Procedures for Air Navigation Services (PANS)
Developed by the ANC usually on the recommendation of Divisional type Air Navigation meetings and
approved by the Council for world-wide application. They contain, for the most part, operating procedures
regarded as not yet having attained a sufficient degree of maturity for adoption as SARPs, as well as material
of a more permanent character which is considered too detailed for incorporation in an Annex, or is susceptible
to frequent amendment, for which the process of the Convention would be too cumbersome.
Regional Supplementary Procedures (SUPPS)
Similar to PANS, but not intended for world-wide adoption, instead detailed procedural options for regional
application (e.g. flight over desert areas, mountains or the sea) or to promulgate a procedure of justifiable
operational significance, additional to, but not in conflict with existing provisions in the Annexes or PANS
Technical / Training Manuals
Provide guidance and information in amplification of the SARPs and PANS, the implementation of which they
are designed to facilitate
Air Navigation Plans
Detail requirements for facilities and services for international air navigation in the respective ICAO air
navigation regions. They are prepared on the authority of the Secretary General on the basis of recommendations
of regional air navigation meetings and of Council action thereon. The plans are amended periodically to reflect
changes in requirements and in the status of implementation of the recommended facilities and services
ICAO Circulars
Specialised information available to contracting states. Includes studies on technical subjects.
ANNEXES to the ICAO Convention on International Civil Aviation
Annex 1 - Personnel Licensing
• Licensing of flight crews, air traffic controllers and aircraft maintenance personnel
Annex 9* - Facilitation
Annex 14 - Aerodromes
Annex 17 - Security
* All Annexes, except for one, are the responsibility of the Air Navigation Committee. Annex 9 is the
responsibility of the Air Transport Committee.
European and American Legislation Systems
A certification system is a complete set of interrelated disciplines designed to ensure the safe, expeditious and
economical operation of all aircraft flights. These well-defined disciplines involve the aircraft design process,
production, certification, flight operation & maintenance methods as well as the training, testing, qualification
and licensing of all flight/ground staff employed therein. The major elements of any Legislation System are
shown below:
Historical Background
To fully appreciate the differences between the European and American systems, it is worthwhile understanding
just how they ended up so different in the first place.
Just after WW II, commercial aviation was chaotic and disorganised. Every country had their own way of doings
things. Many different national standards of production, certification and maintenance proved to be an
inconvenient barrier to economic progress and safe flight operations.
Consequently, an initial group of 52 different countries gathered together at was is known as the Chicago
Convention 1947 in an attempt to address to problem. It proposed a set of aviation standards to be implemented
initially between themselves and ultimately, across the world. An entity called the International Civil Aviation
Organisation (ICAO) was established, to implement this world-wide standard. The Chicago Convention
document as it’s known, its associated Annexes and the International Standards and Recommended Practices,
were then published so that each member state could adopt them into their own legislation. However, since all
countries had the recognised sovereign right to make decisions about their own aviation regulations, mandatory
compliance with the 'Convention' was never the ICAO's intention. Even though much standardisation was
achieved and many countries had generally similar certification systems in place, it did not take long for many
small differences to appear.
Legislation Progression on both sides of the Atlantic
Within America, principles contained within the ICAO standards were adopted and published as own Federal
Aviation Regulations (FARs), controlled by the Federal Aviation Authority (FAA) The FARs are the regulatory
documents controlling all American Aviation. However, since America is geographically isolated from the rest
of the world, they could rely on these standards without having to compromise or make agreements with other
any country. As a result, the FARs have remained largely unchanged to date since their initial issue in the 1960s.
Similarly, European countries adopted the ICAO standards, unlike America however, there were separate
Aviation Authorities within each country, all with their own methods of doing the same Aviation tasks. All
world-wide countries would have continued with their own styles if there was not an important safety-related
feature built into ICAO’s Recommended Practices framework...
If an aircraft wished to fly internationally, it had to follow the regulations as laid down by the Aviation
Authority of the country it was over-flying or into which it was landing.
…Thus, compromise between countries had been 'forced' due to this requirement, so in that respect the overall
operational differences were levelled out as aircraft travelled around the world. However within the maintenance
& certification environments, the differences were very obvious and could have dangerous consequences. A
significant example is that American companies use imperial measurements whilst many European countries
use the metric system. Certification procedures utilised similar documentation, but with very different formats,
titles or limitations.
The first attempts by any European country to address this issue came about as England and France
manufactured the Concorde in the 1960s. Then during the 1970s and 1980s, several countries collaborated to
produce the Airbus. These ventures only addressed the differences in production and certification methods used
in each country, avoiding assembly problems. It wasn't until the late 1980s, early 1990's that Europe decided
that something had to be done to 'level the playing field' across the continent. The result was a European
Certification System... shown below:
The European Certification System
Initially, the Joint Aviation Authority (JAA) was set up to act as a regulatory body to oversee and direct the
activities of all member Aviation Authorities within Europe. It develops regulatory procedures that are adopted
by each member state, so that any certification done by an approved organisation within that state is 'mutually
recognised' by every other member state.
The JAA issued these regulations in the form of Joint Aviation Requirements (JARs). They consist of separately
issued/updated documents, each pertaining to a defined aviation discipline and containing the regulations for
that discipline. As already mentioned in these notes, the EASA has taken some legislation responsibilities over
from the JAA since 2003.
Each organisation that wishes to gain approval must follow strict guidelines as laid down within the relevant
legislation, and after a successful auditing procedure, is given approval for a specified time period. Repeated
audits verify the organisations continued adherence to the legislation.
A brief description of the main Parts relevant to certification...
Part-21 Certification Procedures for Aircraft, Products and Related Parts - covers the policies and
arrangements between the EASA and European industry applicants for product certification and
design/manufacturing approvals.
Part-66 Certifying Staff - covers the issue of an aircraft maintenance basic licence, also details the licensing
procedures and limitations for technical personnel, especially those employed in a Part-145 organisation.
Part-145 Approved Maintenance Organisations - details the organisational structure, facilities and operating
procedures for approved maintenance organisations, satisfying the requirement to maintain Commercial Air
Transportation GREATER than 5700kg operated by an AIR-OPS organisation.
Part-M Maintenance - similar to Part-145, except this pertains to Commercial Air Transportation LESS than
5700kg operated by an AIR-OPS organisation.
Part-147 Maintenance Training Organisations - details the organisational structure, facilities and operating
procedures for approved maintenance training, satisfying the Part-66 requirement for the conduct of basic and
type examinations as a basis for issue of the Part-66 AML
EASA-FCL Flight Crew Licensing - covers the approved training syllabus, licence issue/renewal procedures
and limitations of all flight crew licences for those employed by an AIR-OPS organisation to fly Commercial
Air Transportation.
AIR-OPS Commercial Air Transportation - Airline Operators - covers the operator's responsibility for
maintenance management, including the aircraft maintenance programme.
The American Certification System
The FAA was set up to act as a regulatory body to oversee and direct the activities of all nine Regional offices
(domestic regions) within the USA. The FAA issues these regulations in the form of Federal Aviation
Regulation (FARs). They consist of separately issued documents pertaining to a defined aviation discipline and
containing the regulations for that discipline. Their numbering system was used as a basis for the EASA system,
hence the similarities.
The approval of all maintenance organisations and airline operators is achieved on an individual basis rather
than issuing a set of regulations that must be followed in a specified way. It is up to each individual organisation
to come up with a method of complying with the regulations and submitting it to the FAA. If the proposal
conforms to the regulations in an acceptable manner, then that organisation is given permanent approval, unless
the company name or address is modified, or the approval has been invalidated.
If a large aircraft manufacturer/repair station such as Boeing, McDonnell Douglas, Cessna, etc. needed to change
their internal procedures for any reason, it would require a large financial effort on their part and the FAA to
renew their approval. Consequently, the greatest resistance to any FAA certification changes comes from these
organisations. A brief description of the main FARs relevant to certification...
FAR-21 Certification Procedures for Products and Parts - covers the policies and procedures for product
certification and design/manufacturing approvals.
FAR-65 Certification: Airmen other than Flight Crew Members - covers the issue of an aircraft maintenance
basic licence, including the syllabus requirements.
FAR-91 General Operating and Flight Rules - details the rules of the air, airspace definitions and operational
procedures for all general aviation. Also contains pilot and ground crew training guidelines.
FAR-121 Operating Requirements: Domestic Flag and Supplemental Operations - pertains to all other
aircraft not covered by FAR-125.
FAR-125 Certification and Operations: pertains to aircraft with more than 20 passengers or max payload
GREATER than 6000lbs.
FAR-145 Repair Stations - covers the organisational structure, facilities and operating procedures for approved
Repair Stations.
FAR-147 Aviation Maintenance Technician School - contains details of facilities, course content and training
required to gain practical experience in an aircraft orientated school environment.
See next page for a diagram showing how they ‘fit’ together…
Differences between the European & US Systems
American European
Multi-choice questions are freely available for both Multi-choice questions are kept confidential for all
ground and flight crew licences ground and flight crew licences
US airlines depend on an individual company's policies EASA require they follow what is laid down in the
and operating requirements to comply with FARs legislation and by regular auditing, a company’s
compliance is monitored
Any FAA approved mechanic can sign a maintenance Only Part-66 licenced technicians with a type rating can
release on any aircraft sign a release to service of that aircraft type within a Part-
145 organisation
Requires experience to keep a FAR-65 licence current Requires both experience and recurrent training to keep a
Part-66 AML
Does not require any work experience at all for initial Theoretical, on-the-job training and work experience are
FAR-65 certification required for initial issue of a Part-66 AML
FARs pertain to light aircraft and general aviation EASA pertain almost exclusively to Commercial Air
Transport
FAA Parts 65 & 147 requires that some outdated The Part-66 syllabus includes Human Factors,
techniques still be taught, but does not include newer Composites, Avionics, Advanced
technology training. Human Factors, Composites, NDT, etc.
Avionics, Advanced NDT, etc., is taught at the discretion
of the schools
In all, the EASA requires more training in certain technologies, has more training hours, has more licence
categories and aircraft-specific training before initial issue of a Part-66 basic licence. It publishes the
regulations, made legal by each member state and it is up to the organisations seeking EASA approval to
adapt their internal procedures so that they gain 'mutual recognition' from other member states. It helps to create
an economically level playing field, enhancing safety and competition throughout all European member states.
European Aviation Safety Agency (EASA)
The creation of the European Aviation Safety Agency contributes to establish and maintain a high and uniform
level of civil aviation safety in Europe. This system will also ensure a single European market for industry and
air operators without competitive disruption. The Agency additionally contributes to the Community objective
of reducing the environmental impact of aviation through the definition and application of technical
requirements that are in line with international standards.
Achieving European Harmonisation
European countries have long sought to harmonise their procedures and standards in the field of aviation safety,
through the Joint Aviation Authorities (JAA). The JAA acted as a co-ordinating body, relying on the good will
of national aviation authorities across Europe. At the same time the European Aviation Safety Agency was
given powers to implement this Community law where centralised action is more efficient. In such a context
common standards are more rapidly and consistently implemented throughout the EU.
An International Player
Aircraft are sold and operated in a global market. Harmonisation of standards is therefore required across the
world. The European Aviation Safety Agency works closely with its counterparts around the world, including
international organisations, such as the International Civil Aviation Organisation, to achieve this goal.