I.C.A.

O
 History of ICAO
 The consequence of the studies initiated by the
US and subsequent consultations between the
Major Allies was that the US government
extended an invitation to 55 States or authorities
to attend, in November 1944, an International
Civil Aviation Conference in Chicago.

 Fifty-four States attended this Conference end of

which a Convention on International Civil Aviation
was signed by 52 States set up the permanent
International Civil Aviation Organization (ICAO)
as a means to secure international co-operation
an highest possible degree of uniformity in
regulations and standards, procedures and
organisation regarding civil aviation matters.
 At the same time the International Services
Transit Agreement and the International Air
Transport Agreement were signed.

 The most important work accomplished by the

Chicago Conference was in the technical field
because the Conference laid the foundation for a
set of rules and regulations regarding air
navigation as a whole which brought safety in
flying a great step forward and paved the way for
the application of a common air navigation
system throughout the world.

 Because of the inevitable delays in the ratification

of the Convention, the Conference had signed an
Interim Agreement, which foresaw the creation of
a Provisional International Organization of a
technical and advisory nature with the purpose of
collaboration in the field of international civil
aviation (PICAO).
 This Organization was in operation from August
1945 to April 1947 when the permanent ICAO
came into being. Its seat was in Montreal,
Canada and in 1947 the change from PICAO to
ICAO was little more than a formality.

 From the very assumption of activities of

PICAO/ICAO, it was realised that the work of the
Secretariat, especially in the technical field,
would have to cover two major activities:

• those which covered generally applicable rules and

regulations concerning training and licensing of
aeronautical personnel both in the air and on the
ground, communication systems and procedures, rules
for the air and air traffic control systems and practices,
airworthiness requirements for aircraft engaged in
international air navigation as well as their registration
and identification, aeronautical meteorology and maps
and charts.
 • For obvious reasons, these aspects required uniformity
on a world-wide scale if truly international air navigation
was to become a possibility. Activities in these fields had
therefore to be handled by a central agency, i.e. ICAO
headquarters, if local deviations or separate
developments were to be avoided;

• those concerning the practical application of air

navigation services and facilities by States and their co-
ordinated implementation in specific areas where
operating conditions and other relevant parameters were
comparable.

 To meet the latter objective it was agreed to sub-

divide the surface of the earth into a number of
"regions" within which distinct and specific air
navigation problems of a similar nature existed.
 A typical example of this process is illustrated by
a comparison of the so-called "North Atlantic
Region (NAT)", where the primary problems
concern long-range overseas navigation, with the
"European-Mediterranean region (EUR)" where
the co-ordination of trans-European operations
with domestic and short-range international
traffic constitutes the major problem.

 Once the regions created, it was necessary to

provide bodies which were able to assist States in
the resolution of their specific "regional"
problems and it was agreed that this could best
be achieved by the creation of a number of
Regional Offices which were to be located either
in the Region they served or, if more than one
Region was to be served by such an Office, as
close as possible to the Region concerned.
 As a consequence of the above ICAO adopted the
concept of Regions and Regional Offices on the
understanding that any regional activities could
only be undertaken provided they did not conflict
with the world-wide activities of the Organization.
However, it was also recognised that such
activities could vary from Region to Region taking
into account the general economic, technical or
social environment of the Region concerned.
 Organization
 ICAO is composed of:

 An Assembly, composed of representatives from

all contracting States. The Assembly normally
meets every 3 years, votes a triennial budget,
and sets the work program for the next
triennium.

 A Council, the governing body composed of 33

States, elected by the Assembly for three-year
terms. The Council establishes Standards and
Recommended Practices and incorporates them
into Annexes to the Convention. The Council is
headed by an elected President, who also serves
for three years.
 The Secretariat, headed by a Secretary General
and divided into five bureaus –
• Air Navigation,
• Air
• Transport,
• Technical Co-Operation,
• Legal, and
• Administration and Services.

 The headquarters of ICAO are located in

Montreal, Canada.
 In addition, there are seven ICAO regional offices
in
• Bangkok,
• Cairo,
• Dakar,
• Lima,
• Mexico City,
• Nairobi, and
• Paris.
 The Chicago Convention and Its
Annexes
 The Chicago Convention is the legal instrument
that established ICAO.
 Over the years, the ICAO Council has developed
and adopted 18 technical Annexes to the
Convention.
 Article 37of the Convention charges ICAO with
establishing International Standards and
Recommended Practices (SARP’s). These SARP’s
are incorporated as Annexes to the Convention.
 A Standard is a specification the uniform
application of which is necessary for the safety or
regularity of international civil air navigation. A
Recommended Practice is a practice that is
agreed to be desirable but not essential.
 ICAO ANNEXES
 Annex 1 – Personnel Licensing.- Licensing
of flight crews, air traffic controllers and
aircraft maintenance personnel.

 Annex 2 – Rules of the Air. Rules relating

to the conduct of visual and instrument
flights.

 Annex 3 – Meteorological Service for

International Air Navigation. Provision of
meteorological services for international
air navigation and reporting of
meteorological observations from aircraft.
 Annex 4 – Aeronautical Charts. -
Specifications for aeronautical charts for
use in international aviation.

 Annex 5 -- Units of Measurement to be

Used in Air and Ground Operations.

 Annex 6 – Operation of Aircraft. -

Specifications which will ensure in similar
operations throughout the world at a level
of safety above a prescribed minimum.
 Note: ICAO is considering merging this
Annex with Annex 8.

 Annex 7 – Aircraft Nationality and

Registration Marks - Requirements for
registration and identification of aircraft.
 Annex 8 – Airworthiness of Aircraft. -
Certification and inspection of aircraft
according to uniform procedures.
 Note: ICAO is considering merging this
Annex with Annex 6.

 Annex 9 – Facilitation. - Specifications for

expediting the entry and departure of
aircraft, people, cargo, and other articles
at international airports.

 Annex 10 – Aeronautical
Telecommunications. – Standardization of
communications equipment, systems, and
procedures.
 Annex 11 -- Air Traffic Services. -
Establishment and operation of air traffic
control, flight information, and alerting
services.

 Annex 12 – Search and Rescue. -

Organization and operation of facilities.

 Annex 13 – Aircraft Accident Investigation.

- Uniformity in the notification,
investigation of, and reporting on aircraft
accidents.

 Annex 14 – Aerodromes. - Specifications

for the design and operations of
aerodromes.
 Annex 15 – Aeronautical Information Services. -
Methods for the collection and dissemination of
aeronautical information required for flight
operations.

 Annex 16 – Environmental Protection. -

Specifications for aircraft noise certification, noise
monitoring, and noise exposure units for land-use
planning and aircraft engine emissions.

 Annex 17 – Security – Safeguarding International

Civil Aviation against Acts of Unlawful
Interference. - Specifications for safeguarding
international civil aviation against acts of
unlawful interference.

 Annex 18 -- The Safe Transport of Dangerous

Goods by Air. Specifications for the labelling,
packing, and shipping of dangerous cargo.
 How are Annexes changed?
 Adoption of amendments to Annexes
requires a 2/3 vote by the Council, then
submission to each of the contracting
States.

 Typically, the amendments become

effective within three months of Council
approval, unless disapproved by a
majority of the contracting States during
that time.
if a contracting State disagrees with
a change?
 Contracting States are expected to implement
SARPs unless a particular State gives notice to
ICAO that it is unable to comply because a SARP
conflicts with State regulations.

 ICA publishes these “differences” in Supplements

to Annexes. For example, ICAO Annex 8, as
amended, currently requires at Paragraph
4.2.2.(a) that the State of Design shall ensure
that, for aeroplanes over 5,700 kg, “there exists
a continuing structural integrity programme to
ensure the airworthiness of the aeroplane. The
programme shall include specific information
concerning corrosion prevention and control.”
 The U.S. notified ICAO, and ICAO has
published the “difference,” that the U.S.
only requires the continuing structural
integrity programme to contain specific
information concerning corrosion
prevention and control for 14 CFR 121
operators.

 When other signatory States do not accept

differences submitted by a State, that
condition may limit that State’s
acceptance of type and operation of
aircraft.
 What are the most relevant
Annexes
 Annexes 6, 8, 10, 13, and 16 are most
relevant to the Aircraft Certification
Service (AIR).

 Annex 8, Airworthiness of Aircraft, is the

baseline for international certification of
products and of greatest interest to AIR.
 Categories of ICAO States
 ICAO defines the rights and obligations of
its member States using very specific
terms. The following is a definition of
these categories of States.

Contracting State
 A member State of ICAO. At the present
time, there are 185 Contracting States in
ICAO.
 The State of Design
 The State having jurisdiction over
the organization responsible for the
type design.
• Ensures that a product’s design meets
the State of Design’s airworthiness
standards;
• Transmits Mandatory Continuing
Airworthiness Information (MCAI) to
other Contracting States.
 The State of Manufacture
 The State having jurisdiction over the
organization responsible for the final
assembly of the aircraft.
• Cooperates with the State of Design to
assess information received about an
aircraft’s operating experience

The State of Occurrence:

 The state in which an aviation accident or
incident occurs.
 The State of the Operator
 The State in which the aircraft operator’s
principal place of business is located or, if
there is no such place of business, the
operator’ permanent residence.
• Ensures that the operator’s
organization, method of control and
supervision of flight operations, training
program, and maintenance
arrangements are satisfactory.
 The State of Registry
 The State on whose register an aircraft is
entered.
• Determines an aircraft’s continuing
airworthiness;
• Ensures an aircraft’s continued
airworthiness during its service life;
 ICAO Conventions
 Warsaw Convention (1929)
Rules for international carriage by air
 Convention for the Unification of Certain
Rules relating to International Carriage by
Air
 Signed at Warsaw on 12 October 1929.

 Geneva Convention (1944)

Recognition of rights in aircraft
 Convention on the International
Recognition of Rights in Aircraft
 Signed at Geneva on 19 June 1948.
 Rome Convention (1952)
Damage to third parties on surface
 Convention on Damage Caused by Foreign
Aircraft to Third Parties on the Surface
Signed at Rome on 7 October 1952.

 Guadalajara Convention (1961)

Supplementing Warsaw Convention 1929
 Convention, Supplementary to the Warsaw
Convention, for the Unification of Certain
Rules Relating to International Carriage by
Air Performed by a Person Other than the
Contracting Carrier
 Signed at Guadalajara on 18 September
1961.
 Tokyo Convention (1963)
Offences and other acts committed on
board aircraft
 Convention on Offences and Certain Other
Acts Committed on Board Aircraft
 Signed at Tokyo on 14 September 1963.

 Hague Convention (1970)

Unlawful seizure of aircraft
 Convention for the Suppression of
Unlawful Seizure of Aircraft
 Signed at The Hague on 16 December
1970.
 Montreal Convention
Unlawful acts against the safety of civil
aviation
 Convention for the Suppression of
Unlawful Acts Against the Safety of Civil
Aviation
 Signed at Montreal on
23 September 1971.

 Convention on the Marking of Plastic

Explosives (1991)
 Convention on the Marking of Plastic
Explosives for the Purpose of Detection
 Done at Montreal on 1 March 1991.
 Montreal Convention (1999)
Rules for international carriage by air
 Convention for the Unification of Certain
Rules for International Carriage by Air
 Done at Montreal on 28 May 1999.

 Cape Town Convention (2001)

International Interests in Mobile
Equipment
 Convention on International Interests in
Mobile Equipment.
 Signed at Cape Town on
16 November 2001.
 The Freedoms of the Air
 First Freedom of the Air - the right or
privilege, in respect of scheduled
international air services, granted by one
State to another State or States to fly
across its territory without landing (also
known as a First Freedom Right).

 Second Freedom of the Air - the right

or privilege, in respect of scheduled
international air services, granted by one
State to another State or States to land in
its territory for non-traffic purposes (also
known as a Second Freedom Right).
 Third Freedom of The Air - the right or
privilege, in respect of scheduled
international air services, granted by one
State to another State to put down, in the
territory of the first State, traffic coming
from the home State of the carrier (also
known as a Third Freedom Right).

 Fourth Freedom of The Air - the right

or privilege, in respect of scheduled
international air services, granted by one
State to another State to take on, in the
territory of the first State, traffic destined
for the home State of the carrier (also
known as a Fourth Freedom Right).
 Fifth Freedom of The Air - the right or
privilege, in respect of scheduled
international air services, granted by one
State to another State to put down and to
take on, in the territory of the first State,
traffic coming from or destined to a third
State (also known as a Fifth Freedom
Right).

 ICAO characterizes all "freedoms" beyond

the Fifth as "so-called" because only the
first five "freedoms" have been officially
recognized as such by international treaty.
 Sixth Freedom of The Air - the right or
privilege, in respect of scheduled
international air services, of transporting,
via the home State of the carrier, traffic
moving between two other States (also
known as a Sixth Freedom Right). The
so-called Sixth Freedom of the Air, unlike
the first five freedoms, is not incorporated
as such into any widely recognized air
service agreements such as the "Five
Freedoms Agreement".
 Seventh Freedom of The Air - the right
or privilege, in respect of scheduled
international air services, granted by one
State to another State, of transporting
traffic between the territory of the
granting State and any third State with no
requirement to include on such operation
any point in the territory of the recipient
State, i.e the service need not connect to
or be an extension of any service to/from
the home State of the carrier.
 Eighth Freedom of The Air - the right or
privilege, in respect of scheduled
international air services, of transporting
cabotage traffic between two points in the
territory of the granting State on a service
which originates or terminates in the
home country of the foreign carrier or (in
connection with the so-called Seventh
Freedom of the Air) outside the territory of
the granting State (also known as a
Eighth Freedom Right or "consecutive
cabotage").
 Ninth Freedom of The Air - the right or
privilege of transporting cabotage traffic of
the granting State on a service performed
entirely within the territory of the granting
State (also known as a Ninth Freedom
Right or "stand alone" cabotage).