AERODROME OPERATIONS
TRAINING – MODULE 1
ICAO and States Civil Aviation Systems
LEARNING OUTCOME
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Course participants will gain an overview of the
civil aviation system and how the international
standards and recommended practices are
reflected in national regulation.
With access to reference documents they will be
able to establish the specific legislative
requirements governing an airports operation
CIVIL AVIATION SYSTEM
Authority Supervision
Standards, Rules, Regulations, &
Procedures
Air TraAir ort System
Traffic Environment
Air Transport System
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The primary purpose of the air transport system is to transport people
and goods from one place to another
AIR TRANSPORT SYSTEM
Consists of 3 major sub-systems
 Aircraft operations subsystem – consists of all
the functions, organizations, individuals involved
in making an aircraft fly safely
 Aerodrome subsystem – provides all the services
and facilities on the ground for take-off and
landing and for loading and unloading of
passengers and goods
 Airspace subsystem – provides the airspace, air
traffic services, navigation services and
information services
ECONOMIC AND SAFETY REQUIREMENTS
Aircraft
Operations
Sub
System
Economic, Social
& Environmental
Requirements
(ie Market)
Safety & Security
Requirements
Aerodrome
Sub
System
(nodes)
Airspace
Sub
System
(links)
REGULATION
Purpose of regulation is to deal with deficiencies in
markets or activities
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Economic Regulation - achieve competitive
market or govern activities of monopolies etc
Safety Regulation - reduce the risk of the activity
where reduction may not otherwise automatically
occur
CHICAGO CONVENTION
Chicago Convention on International Civil Aviation
Dec 7th 1944.
 Main objective – To ensure the safe and orderly
development of international civil aviation
 Objective has both economic and safety aspects
 Economic – air traffic rights and tariffs
 Safety – 19 annexes containing standards and
recommended practices (SARPS), 16 deals with
safety, one on facilitation and one on security
INTERNATIONAL- ECONOMIC
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First 2 freedoms: Right to overfly and right to
land for non-traffic (tech stop) contained in
Chicago convention (article 5) and reinforced in
separate “International Air Services Transit
Agreement”
Additional freedoms 3-5 (or 3-9) have come under
separate bilateral agreements between individual
states rather than on international multilateral
basis.
ICAO – STANDARDS
19 Annexes to the Convention containing Standards
and Recommended Practices (SARPS)
 Standards and Recommended Practices adopted by
the Council under the provisions of the Convention.
They are defined as follows:
 Standard: Any specification for physical
characteristics, configuration, matériel, performance,
personnel or procedure, the uniform application of
which is recognized as necessary for the safety or
regularity of international air navigation and to
which Contracting States will conform in accordance
with the Convention; in the event of impossibility of
compliance, notification to the Council is compulsory
under Article 38.
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ICAO – RECOMMENDED PRACTICE
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Recommended Practice: Any specification for
physical characteristics, configuration, matériel,
performance, personnel or procedure, the uniform
application of which is recognized as desirable in
the interest of safety, regularity or efficiency of
international air navigation, and to which
Contracting States will endeavour to conform in
accordance with the Convention.
ICAO - ANNEXES
Annex 1 - Personnel Licensing, Annex 2 – Rules of the Air,
Annex 3 – Meteorology, Annex 4 – Aeronautical Charts
Annex 5 – Units of Measurement, Annex 6 – Aircraft Operations,
Annex 7 – Aircraft Nationality &Registration,
Annex 8 – Airworthiness, Annex 9 - Facilitation,
Annex 10 – Aeronautical Telecommunications,
Annex 11 – Air Traffic Services, Annex 12 – Search & Rescue
Annex 13 – Accident & Incident Investigation,
Annex 14 – Aerodromes,
Annex 15 – Aeronautical Information Services
Annex 16 – Environmental Protection, Annex 17 – Security
Annex 18 – Dangerous Goods, Annex 19 – Safety Management
ICAO - PANS
Procedures for Air Navigation Services (PANS)do not
have the same status as the Standards and Recommended
Practices. While the latter are adopted by Council in pursuance of
Article 37 of the Convention on International Civil Aviation,
subject to the full procedure of Article 90, the PANS are approved
by the President of the Council on behalf of the Council and
recommended to Contracting States for worldwide application.
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PANS ABC Doc 8400 Abbreviations and Codes
PANS ATM Doc 4444 Air Traffic Management
PANS OPS Doc 8168 Aircraft Operations
Regional Supplementary Procedures Doc 7030 – similar
status as PANS but application limited to specific areas
DEVELOPMENT SARPS/ PANS
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ICAO Air Navigation Commission (ANC) tasked
with development of technical SARPS/PANS
Divisional Meetings – all states can participate
ANC panels are technical groups of qualified experts
formed by the ANC to advance, within specified time
frames, the solution of specialized problems which
cannot be solved adequately or expeditiously by the
established facilities of the ANC and the Secretariat.
These experts act in their expert capacity and not as
representatives of the nominators
ICAO REGIONAL AIR NAVIGATION PLANS
Plans set forth in detail the facilities, services and
procedures required for international air navigation
within a specified area. Such plans contain
recommendations that governments can follow in
programming the provision of their air navigation
facilities and services. Plans published as 2 volumes:
 Basic ANP covering static information (FIR boundaries
etc) and basic planning and requirements criteria.
 Facilities and Services Implementation Document
(FASID) dynamic material covering facilities and services
at aerodromes and enroute and guidance material on
implementation aspects
 Asia/Pacific Air Navigation Planning and Implementation
Regional Group (APANPIRG) reviews Asia Pacific plans
ICAO GUIDANCE MATERIAL
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Guidance Material is produced to supplement the SARPs
and PANS and to facilitate their implementation.
Guidance material is issued as Attachments to Annexes or
in separate documents such manuals, circulars and lists of
designators/ addresses
Aerodrome Guidance Material includes –
Attachments to Annex 14,
Document 9137 Airport Services (8 Parts)
Document 9157 Aerodrome Design (6 Parts)
Document 9184 Airport Planning (3 Parts)
Document 9774 Certification of Aerodromes
CIVIL AVIATION SAFETY SYSTEM
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THE CHICAGO CONVENTION
annexes: Standards; Recommended Practices
NATIONAL LEGISLATION: overall legal framework; delegation to lower
authorities
RULES & REQUIREMENTS: issued by the national civil aviation authority or
similar
DETAILED OPERATING INSTRUCTIONS: issued by operator, workshop,
manufacturer, and regulator (flight ops manual, maintenance manual, procedures
manual, quality manual, etc)
EXPERIENCE - FEEDBACK - DEVELOPMENT
NATIONAL LEGISLATION
States Civil Aviation Act normally contains both
economic and safety regulation- NZ example
below
 Minister – Objectives/Functions include
• to ensure that New Zealand’s obligations under
international civil aviation agreements are
implemented
• to make rules under this Act.
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Director General – Powers to issue, suspend or
revoke aviation documents (licenses and
certificates), investigate, gain access, seize, and
make emergency rules
STATES NATIONAL SYSTEM
Civil aviation in a state operates within a system
established and maintained in accordance with a
high level Civil Aviation Act decreed by
Parliament.
 The system sets boundaries, which are the
minimum safety and security standards to be
met by system participants. Civil aviation
activities that do not meet these minimum
standards are not tolerated. The safety standards
are detailed in the Civil Aviation Rules/
Regulations.
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SHARED RESPONSIBILITY
In States civil aviation system, every participant
shares a responsibility for safety and security.
The CAA does not oversee every flight.
 Aviation organisations, pilots, engineers, air
traffic controllers and aircraft owners are each
responsible for meeting the statutory safety and
security standards.
 The Rules set the minimum standards for
entering, and operating within, the system. It is
in the best interests of all aviation participants to
perform to a standard above the minimum.
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INTERNATIONALLY RECOGNISED
The States aviation system is aligned with the
safety standards set by the International Civil
Aviation Organisation (ICAO). 190 States adhere
to ICAO standards, and are regularly audited by
ICAO.
 ICAO Audit Programmes – Universal Safety
Oversight Audit Programme (USOAP), Universal
Security Audit Programme (USAP)
 States safety system and certification practices
can also be recognised in bilateral agreements
with other States.
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RULES PRESCRIBE MINIMUM STANDARDS
The States Civil Aviation Rules, will prescribe
the minimum safety standards required for every
aspect of aviation. Rules are normally developed,
in consultation with the aviation community.
 The highest standards are required to ensure the
protection of fare-paying passengers on airline
operations. Lesser standards may apply to
operations with lower risk, such as noncommercial operations.
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ENTRY VIA DOCUMENTATION
To operate within the civil aviation system, an
individual or organisation must be granted an
aviation document.
 The Director grants aviation documents – such as
a pilot licence, operating certificate, aircraft
registration, engineer licence, air traffic control
licence, or aerodrome certificate – only after
applicants have demonstrated that they meet the
standards set in the Civil Aviation Rules.
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100% COMPLIANCE
When an aviation organisation makes an
application for an operating certificate, the CAA
tailors a checklist of every Rule that applies to
that organisation (such as a small, medium or
large airline, maintenance or manufacturing
organisation, or training organisation), reflecting
the type of activities it conducts.
 To enter the aviation system, the operator must
demonstrate that it complies with all of the Rules
on its CAA checklist.
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NATIONAL CIVIL AVIATION RULES
LIFE CYCLE – REGULATING AVIATION
1
s
2
Transparent
gate & precise
rules for
Rules for
CONTINUED
OPERATION
ENTRY CONTROL
3
6
ANALYSIS of CHANGE to
assess effectiveness of
Rules and safety trends
5
7
Rules (i.e. some
teeth) for
CORRECTIVE
ACTION
Rules for EXIT
CONTROL
Rules to maintain
confidence in the
system through
SURVEILLANCE
Life
Cycle
Approach
4
Provision for
SUPPORT of the
system and to
maintain good
relations
RISK TO SAFETY ASSESSED
The Risk Rating of an operator determines the
degree of surveillance and monitoring attention it
will receive from the CAA. The ratings are either
low, medium, moderate or high.
 Factors such as changes in key staff members,
the type or number of aircraft, or the type of
operation being conducted by an organisation can
affect its Risk Rating. When a factor changes, the
CAA’s systems will trigger an alert that the
change must be reviewed. CAA managers will
then determine whether the operator’s overall
Risk Rating has been affected.
 CAA analysis of wider safety trends can also
affect Risk Ratings.
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LEARNING FROM ACCIDENTS/INCIDENTS
The CAA investigates aviation accidents and
serious incidents for a broad range of purposes
under the Act. Accidents and incidents involving
commercial transport operators may be
investigated by a separate government agency,,
to determine whether the regulator (the CAA)
needs to change some aspect of the civil aviation
system.
 In either case, the primary aim is to learn from
what happened to reduce the risk of recurrence.
If a safety investigation shows a participant has
deliberately endangered people or property, the
CAA will consider law enforcement action.
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EXIT FROM SYSTEM
If aviation document holders operate outside the
Rules, they may be removed from the system or
have conditions imposed.
 In less serious cases, safety breaches may be
addressed through education, support and advice.
However, the Director General has the power to
revoke aviation documents, and to enforce the
requirements of the Act and the Rules.
 Once aviation documents have been revoked, the
holders must start the entire certification process
again from the beginning if they wish to re-enter
the system.
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ANALYSING SAFETY TRENDS
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The CAA analyses the data it collects on
accidents and incidents to identify safety trends.
To assist analysis, aviation operations are
divided into sectors such as large airlines,
agricultural operations, and private (noncommercial) helicopters. Safety targets are set for
each sector and performance towards these
targets is monitored, and regularly reported back
to the aviation community.
ROBUST RESPONSIVE SYSTEM
The boundaries of the civil aviation system evolve
as experience grows, analysis of safety
information highlights the need for change, and
State keeps pace with its international
obligations.
 The States civil aviation system is therefore
robust and responsive to the continually
changing aviation community.
 The States system is respected internationally,
and provides an appropriate level of safety and
security for the public of the nation.
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AERODROME SAFETY REGULATION – CAR
PART 139
Subpart A General- Requirement for certification,
certification issue, duration, renewal
 Subpart B Certification Requirements – Design,
limitations, personnel, emergency plan, rescue
fire-fighting, public protection, wildlife,
notification data, QA, exposition
 Subpart C Operating Requirements – continued
compliance, RESA, maintenance, ATC/Apron
management, changes to organisation, safety and
audit
 Subpart D Security
 Subpart E Use (Superseded by CAR 91, 121, 125
135)
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CAA ADVISORY CIRCULARS
Civil Aviation Authority Advisory Circulars
contain information about standards, practices
and procedures that the Director has found to be
an Acceptable Means of Compliance (AMC) with
the associated rule.
 Differences to ICAO Annex 14: Largely AC 139
series reflection of ICAO Annex 14 SARPS but
there are some differences ref:
http://www.caa.govt.nz/rules/ICAO_diff.htm
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REPORTING ACCIDENTS INCIDENTS – CAR
PART 12
Aerodrome incident means an incident involving
an aircraft operation and—
 (1) an obstruction either on the aerodrome
operational area or protruding into the aerodrome
obstacle limitation surfaces; or
 (2) a defective visual aid; or
 (3) a defective surface of a manoeuvring area; or
 (4) any other defective aerodrome facility:
Notification of incident
 (a) A holder of a certificate issued in accordance with
the following Parts must notify the Authority as soon
as practicable of any associated incident if the
certificate holder is involved in the incident and the
incident is a serious incident or is an immediate
hazard to the safety of an aircraft operation:
USE OF AERODROMES
Now promulgated as part of as part of General Operating
Rules and Air Operator Rules
Example
Part 91 Operating on and in the vicinity of an
aerodrome
 (a) Except as provided in paragraph (b), a pilot of an
aeroplane operating on or in the vicinity of an aerodrome
must—
 (1) observe other aerodrome traffic for the purpose of
avoiding a collision; and ……..
Operations at aerodromes with air traffic services
 (a) Each pilot-in-command of an aircraft on or in the
vicinity of an aerodrome with an aerodrome control
service in operation shall— …….
ADDITIONAL AIR OPERATOR
REQUIREMENTS NZ CAR 121.71
(b) A holder of an air operator certificate must
ensure that an aeroplane performing an air
operation under the authority of the holder’s
certificate does not use an aerodrome for landing
or taking-off unless the aerodrome has—
 (1) rescue fire equipment that is appropriate to
the aeroplane type and is acceptable to the
Director; and
 (2) for turbojet and turbofan powered aeroplanes,
an operating visual approach slope indicator
system, except when the aeroplane is performing
a precision instrument approach that includes
glide-slope guidance.
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REVIEW – DISCUSSION
Requirement for regulation
 Economic versus Safety Regulation
 International ICAO Role Convention
 SARPS, PANS, ANP, Guidance Material
 National Civil Aviation System
 Life Cycle approach
 Civil Aviation Rules/ Safety Regulations
 Advisory Circulars
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