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AS-WP/12
INTERNATIONAL CIVIL AVIATION ORGANIZATION
AFRICAN MINISTERIAL MEETING ON AVIATION SAFETY
(ABUJA, NIGERIA, 16 -20 JULY 2012)
Agenda Item 3: XXX
Agenda Item 4: XXX
4.3: The certification process for the issuance of Air Operator Certificates (AOCs) and the
identification of Significant Safety Concerns (SSCs)
(Presented by the ICAO Secretariat)
SUMMARY
This paper provides information on the certification process for the issuance of Air Operator Certificates
(AOC) and its relation to Significant Safety Concerns (SSCs).
Action by the meeting is contained in paragraph 3.
REFERENCES
Doc 8335 - Manual of Procedures for Operations Inspection, Certification and Continued Surveillance
RELATED ICAO STRATEGIC OBJECTIVES
-A: Safety
1.
INTRODUCTION
1.1
This paper presents a need for a thorough and documented certification process to be
satisfactorily completed before the issuance of an AOC and accompanying operations specifications.
It also discusses the mechanism for the identification of an SSC if ICAO Standards are not met by the
issuing authority.
2.
DISCUSSION
2.1
Transparency and the sharing of safety information are fundamental elements of a
safe global air transport system. The free flow of information between ICAO Member States allows
for the identification of safety deficiencies and the mitigation of safety risks. Transparency is based
upon mutual trust, as all Member States rely on one another to meet international obligations and
safety commitments.
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2.2
To encourage transparency, ICAO established a mechanism for the identification and
resolution of Significant Safety Concerns (SSCs) which allows Member States to share critical safety
information that may have an impact on international air travel. An SSC is identified when a State
allows an activity to be conducted that does not meet international standards and is an immediate
safety risk to international civil aviation.
2.3
The SSC mechanism is described in a Memorandum of Understanding between a
Member State and ICAO, which establishes the obligations and responsibilities of both ICAO and the
State when an SSC is identified. Corrective actions that are expected from a State to resolve the SSC
include the suspension or cancelation of any non-compliant authorizations, approvals, licences and/or
certificates.
2.4
It is important to note that all Member States with an ICAO-identified SSC have the
common problem of the State’s civil aviation authority issuing AOCs without all aspects of the
certification process being completed. In all cases, various authorizations and approvals were granted
by the civil aviation authority without first conducting all of the required performance checks,
evaluations and inspections. Other Member States are not obligated to recognize as valid an AOC
issued by a Member State if the AOC was not issued in accordance with requirements at least equal to
the applicable ICAO Standards.
2.5
As the issuance of AOCs involves a lengthy process, ICAO has developed a fivephase certification process and has developed detailed technical guidance for civil aviation authorities
in Doc 8335, Manual of Procedures for Operations Inspection, Certification and Continued
Surveillance. The five phases are the Pre-Application Phase, Formal Application Phase, Document
Evaluation Phase, Demonstration and Inspection Phase and Certification Phase.
2.6
By using a phased approach, the civil aviation authority and the AOC applicant are
able to actively communicate throughout the process and to agree on schedules for activities and
delivery timelines based upon the complexity and scope of the proposed operations. The five-phase
process allows the civil aviation authority to plan for staff work assignments, while enabling the AOC
applicant to manage budgetary expenses and hiring. The phased approach allows the civil aviation
authority to make periodic evaluations to determine if the applicant is ready to advance to the next
phase, and ultimately, to determine if the AOC applicant is eligible for the issuance of an AOC by
demonstrating the ability to conduct safe operations in compliance with national regulations.
2.7
Member States agree to recognize each other’s AOCs through mutual trust. However,
this trust breaks down when a State is revealed to not be upholding the agreed upon ICAO Standards.
When an SSC is in the areas of aircraft operations and/or airworthiness, other Member States are
informed that these significant deficiencies are related to that State’s air operators that may be flying
into their territory. When an SSC is in the areas of air navigation services and/or aerodromes, other
Member States are informed that these significant deficiencies could affect the safety of their aircraft
flying into the State with the SSC.
2.8
ICAO posts all SSCs and State’s corrective actions on ICAO’s secure website to
inform all Member States of the current status of the SSC. The purpose of posting the identified SSCs
is to share critical safety information with all Member States so that appropriate actions can be taken
to mitigate the identified safety risk to international civil aviation.
2.9
Some States have established methods to address States that allow air operators to
conduct operations that are below international standards and prevent air operators from such States
from entering their territory. These methods include the U.S. Federal Aviation Administration’s
International Aviation Safety Assessment programme; the European Union’s list of operators banned
from operating in its territory; and individual States withholding operating and landing rights to
another State’s air operators due to identified safety concerns.
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2.10
ICAO promotes the resolution of SSCs through direct, high-level contacts with the
authorities of the States concerned, including correspondence and on-site missions, complemented by
the development of ICAO Plans of Action for presentation at the ministerial level.
2.11
ICAO publishes Electronic Bulletins in the six languages of ICAO to inform Member
States of the identification of SSCs. Through the high profile of SSC identification, some civil
aviation authorities and ministries were able to receive direct attention and focus from higher levels of
government that had been previously lacking. Additionally, donor States and organizations monitor
the status of States with SSCs and the ICAO Plans of Action, as part of their data gathering for
selecting, developing and funding assistance projects.
3.
3.1
ACTION BY THE MEETING
The meeting is invited to:
a)
encourage States to acknowledge the importance of satisfactorily completing a
thorough and documented AOC process prior to the issuance of AOCs and
accompanying operations specifications;
b)
note that all of the States with an ICAO-identified SSC have the common
problem of the State’s civil aviation authority issuing AOCs without all aspects
of the certification process being completed; and
c)
encourage States to take specific measures to address identified SSCs as a matter
of urgency.
— END —
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