FOREWORD

The sixth edition of this manual has been prepared with the objective of providing States and operators with detailed guidance concerning the establishment and maintenance of safe, regular and efficient international commercial air transport operations in accordance with the provisions of the Convention on International Civil Aviation (Chicago Convention, Doc 7300) and its associated Annexes. Previously, primary emphasis was placed on the procedures for the certification of commercial air transport operators by the State of the Operator and the continued safety oversight of the operator. The fifth edition, while continuing to place emphasis on the air operator certificate (AOC) and safety oversight, provided more detailed guidance on these aspects, introduced relevant aspects of the lease, charter and interchange of aircraft and the surveillance by States of foreign operators. The primary emphasis of this new edition is to provide further details and clarifications related to safety management, qualifications of the inspectors, surveillance programmes and Article 83 bis agreement summary.

In accordance with Annex 6, Part I — International Commercial Air Transport — Aeroplanes, and Part III — International Operations — Helicopters, Section II, International Commercial Air Transport, there is a need for the State of the Operator to exercise a positive and continuing measure of control over any operator of that State offering, or wishing to offer, commercial air transport services. Since Annex 6, Parts I and III, presents specifications for broad objectives rather than methods of realizing these objectives, details not covered by Annex 6, Parts I and III, have been provided as well as indications of an acceptable means of compliance with the Annex provisions.

The requirements for safety management systems (SMS) also have an impact on the surveillance of air operators. The State of the Operator also needs to evaluate and monitor the safety performance of its operators within the context of its State safety programme (SSP).

The method by which the State of the Operator exercises the necessary control of its operators is through the issuance of AOCs without which it is contrary to ICAO Standards to operate an international commercial air transport service. An AOC, once issued, should be subject to revocation or suspension if the operator is subsequently unable to meet the conditions specified. States need to establish systems and procedures for the initial certification and the continuing surveillance of the operations. Such a system should be firmly based upon aviation law.

This manual outlines the duties and responsibilities of both the State of the Operator and the operator and recognizes their interdependence in maintaining acceptable standards of operation and safe operating practices. The organization, administration and procedures required for inspection, certification and continuing surveillance of operators are outlined, including the establishment of a safety oversight system within the Civil Aviation Authority (CAA).

The development of an operator’s operations manual is also stressed because of its importance in the certification process and in day-to-day operations. As a result of considerable interest reported by a number of ICAO technical field missions in the development of operations manuals, the Guidance on the Preparation of an Operations Manual (Doc 10153) has been published on the subject and should be considered as complementary to this manual.

While references are included in the manual to financial matters to be considered by the State authority, prior to taking a decision on the issuance of an AOC, the manual concentrates primarily on the technical and safety requirements to be met before the issuance of the certificate and during the conduct of the operations authorized by the certificate. The system and procedures described are based on established practices and are applicable to the whole range of commercial air transport operations.

It has been assumed in the preparation of this manual that the State has enacted basic enabling legislation which provides for the development and maintenance of a body of aviation regulations and rules and the establishment of a CAA, with the necessary powers to ensure compliance with the regulations. The basic enabling legislation should:

a) make provision for the introduction of operating regulations compatible with the provisions of the Annexes to the Convention on International Civil Aviation;

b) make provision for the delegation to a designated State official of the authority to develop and amend operating rules supplementary to the operating regulations;

c) require commercial air transport operations to be conducted in accordance with conditions the State may consider applicable in the interests of safety; and

d) make provision for the enforcement of the operating regulations and rules by specifying the penalty to be applied in the event of infringement or violation.

In this manual, the term “State” refers to the basic authority that normally establishes a CAA which has a Director General of Civil Aviation (DGCA) with power to exercise authority over civil aviation matters. The “operator” is considered to be an organization or enterprise engaged in civil commercial air transport operations. With the exception of the material contained in Part V dealing with lease, charter and interchange operations, it is assumed that, for the purpose of this guidance material, the State of the Operator and the State of Registry are one and the same.

Although it is recognized that bilateral and multilateral agreements by States are fundamental prerequisites to the establishment of international commercial air transport operations, such matters are generally outside the scope of the manual.

This manual also includes examples and references to detailed requirements prescribed by some States. A State may find it advantageous to adopt the detailed requirements of another State that has already established comprehensive operations certification and inspection procedures consistent with the guidance material in this manual.

This sixth edition is the outcome of the work undertaken by the Expert Group for Review of Doc 8335. ICAO gratefully acknowledges the contributions of all members of the Expert Group as well as other panels and individual experts who provided support, advice and input for this manual.

Comments on this manual, particularly with respect to its application, usefulness and scope of coverage, would be appreciated from all States, international organizations and ICAO Technical Cooperation field missions. These will be taken into consideration in the preparation of subsequent editions. Comments concerning the manual should be addressed to: