HANDOUT MODULE

REF. AC 147-02 Basic Certificate Curriculum and Syllabus Development

Directorate General of Civil Aviation

Directorate of Airworthiness and Aircraft Operations

INTERNATIONAL (ICAO) –
STATE (DGCA) AVIATION LAW
(REGULATION)
MODULE 1. AVIATION REGULATION
SUB MODULE 1.1 INT. – STATE AVIATION LAW
Presented by Erlana MT.
DGCA2020
INTRODUCTION
GENERAL SUBJECT:

The purpose of this lesson is

to familiarise with the ICAO
obligations. And understand
with the Chicago Convention
obligations, and ICAO Annex
and CASR obligations

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SUB SUBJECT CONTENT:
MODULE 1
International (ICAO) – state (DGCA)
International
aviation law (REGULATION)
Aviation Law
1. International Aviation Law (ICAO)
Aviation SAFETY;
2. State Aviation Law (191 state)
Security
International Air Law:
AIRWORTHY;
Efficiency and
Aviation law is the branch of law Regularity;
that concerns flight, air travel,
and associated legal and Environment Protection
business concerns. and Sustainable
State Compliance.
In the international realm,
the International Civil Aviation
Aviation
Organization (ICAO) provides Law
general rules and mediates (FAA/DGC
international concerns to an A/EASA)
extent regarding aviation law. Picture by erlanadgca2020
ICAO ANNEX

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 Iaw published references listed in this lesson, you will be able to:

 Mampu memahami dan menjelaskan Regulatory

Nasional dan International
 Understand and able to Describe the Chicago
Convention

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 A. CHICAGO CONVENTION (CC)
 The Convention on International Civil Aviation, also known as
the Chicago Convention (ICAO Doc 7300), established ICAO,
a specialised agency of the United Nations charged with
coordinating and regulating international air travel.
 The document, or treaty, was signed on 7 December, 1944, in
Chicago, Illinois, United States, by 52 Signatories, or
Contracting States.
 It went into effect on 4 April, 1947, the same date that ICAO
came into being. As of 2013, the Chicago Convention had
191 Contracting States, which includes most of the Member
States of the United Nations.

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 A. CHICAGO CONVENTION Con’t..

 The treaty consists of 96 articles that define the

general principles for safe international operation
of civil aircraft.
 The principles in the articles address airspace,
aircraft registration, and safety, and detail the
rights of the Signatories in relation to air travel.
 Contracting States bind themselves under
international law to abide by the Articles of the
Convention.

Procedures for Air Navigation Services;

PPT by Erlana MT. - DGCA2020 Air Traffic Mngt and Aircraft Operation
 A. CHICAGO CONVENTION Con’t..

 ICAO publishes and maintains Standards and

Recommended Practices (SARPs) in a series of Annexes to
the Convention.
 The Contracting States are required by Article 37 of the
Convention to adhere to the standards set forth in the ICAO
Annexes and,
 Where appropriate, to incorporate Recommended Practices
as the State may determine, or to notify ICAO of their
differences to the SARPs under Article 38.

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 1. Key Articles Under the Convention

Article 3: Civil and State aircraft

Article 33: Recognition of certificates and licences

Article 37: Adoption of international standards and

procedures

Article 39 (b): Endorsement of certificates and

licences

Article 40: Validity of endorsed certificates and

licences

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 a. Article 3: Civil and State aircraft

This applies only to civil aircraft, not to State aircraft

such as military, customs, police, or Head of State
aircraft.
 This Convention shall be applicable to civil aircraft only and
shall not be applicable to State aircraft.
 Aircraft used in military, customs, and police services shall be
deemed State aircraft.
 No State aircraft of a Contracting State shall fly over the
territory of another State or land thereon without
authorization by special agreement or otherwise, and iaw the
terms thereof.

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 a. Article 3: Civil and State aircraft con’t..

 Each Contracting State shall take appropriate

measures to prohibit the deliberate use of any
civil aircraft registered in that State or
operated by an operator who has his or her
principal place of business or permanent
residence in that State for any purpose
inconsistent with the aims of this Convention.

 We will now go into more detail on the Articles

of the Convention that are relevant to air
operator certification of aviation entities.

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 b. Article 33: Recognition of certificates and licences

 States should recognize the certificates issued by another

Contracting State as long as those certificates were issued
iaw ICAO Standards or higher

 Certificates of airworthiness (CofA) and certificates of

competency and licences issued or rendered valid by the
Contracting State in which the aircraft is registered shall
be recognised as valid by the other Contracting States,
provided that the requirements under which such
certificates or licences were issued or rendered valid are
equal to or above the minimum standards which may be
established from time to time pursuant to this Convention.

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c. Article 37: Adoption of international standards and
procedures

 Each Contracting State undertakes to collaborate

in securing the highest practicable degree of
uniformity in regulations, standards, procedures,
and organisation in relation to aircraft,
personnel, airways, and auxiliary service in all
matters in which such uniformity will facilitate and
improve air navigation.
 Auxiliary services are services that support air
transport, such as maintenance repair and
overhaul, airlines' ticket distribution, franchising,
leasing, ground handling, airport management
and air navigation services.

The Air Navigation Commission (ANC) considers and recommends

Standards and Recommended Practices (SARPs) and Procedures for Air
Navigation Services (PANS) for adoption or approval by the ICAO Council. Ref: WTO document S/C/W/270
 c. Article 37: Adoption of international standards and
procedures con’t...

To this end, ICAO shall adopt and amend from time to time, as may
be necessary, international SARPs dealing with the following:

 Communications systems and air navigation aids,

including ground marking
 Characteristics of aerodromes and landing areas
 Rules of the air and air traffic control practices
 Licensing of operating and mechanical personnel
 Airworthiness of aircraft

PPT by Erlana MT. - DGCA2020 Ref: WTO document S/C/W/270

 c. Article 37: Adoption of international standards and
procedures con’t...

 Registration and identification of aircraft

 Collection and exchange of meteorological
information
 Logbooks

 Aeronautical maps and charts

 Customs and immigration procedures

 Aircraft in distress and investigation of accidents

and such other matters concerned with the safety,
regularity, and efficiency of air navigation as may from
time to time appear appropriate

PPT by Erlana MT. - DGCA2020 Ref: WTO document S/C/W/270

 2. Other Relevant Articles Under the Convention

Article 12: Rules of the air

Article 31: Certificates of airworthines

Article 16: Search of aircraft

Article 38: Departures from international standards

and procedures

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 3. Standards and Recommended Practices

 ICAO Standard. Any specification for physical characteristics,

configuration, material, performance, personnel, or procedure, the
uniform application of which is recognised 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.

Ref: ICAO Annex 6, Foreword, Actions by a

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 3. Standards and Recommended Practices con’t..

 ICAO Recommended Practice. Any specification

for physical characteristics, configuration,
material, performance, personnel, or procedure,
the uniform application of which is recognised 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.

Ref: ICAO Annex 6, Foreword, Actions by a

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 4. Notification of Differences

 The differences notified will be recorded in a

Supplement to the Annex, normally in the
terms used by the Contracting State when
making the notification, to allow the

Differences
Uniformity

Harmonization

Picture by erlanadgca2020
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 4. Notification of Differences con’t...

This is an example of the form sent by

ICAO to Contracting States with each
notification of an impending change to an
Annex, with a request for the State’s
response within a specified time frame.

Note that notifications of differences may be submitted electronically via the ICAO portal.
http://portallogin.icao.int/
Contracting States need to make an explicit statement of intent to comply where such intent
exists, or where such is not the intent, of the difference or differences that will exist.
 4. Notification of Differences con’t...

When using the ICAO form, differences should be noted in the following format:
Block 2A, Annex provision. The number of the paragraph or sub-paragraph in Annex
6 as amended which contains the SARP to which the difference relates.

Block 2B, Difference category. Indicate the category of the difference as either:

Block 2C, Details of difference. Clearly and concisely describe the difference and its effect.
Block 2D, Remarks. Indicate any reasons for the difference, and intentions, including any
planned date for implementation.

Notification of Differences FORM

01. Annex provision Difference category Details of difference Remarks

Annex 1 Chapter IV C ICAO standard =18 Yo
CASR 65 AMEL = 21 Yo
 5. Regulatory Guidance

a. CAO Annexes 1, 6, 7,
8, 9, and 19

 ICAO Annexes 1, 6, 7, 8, 9, and 19 contain standards that address

different areas of international flight operations.
 We will focus primarily on the air operator certificate (AOC)
requirements contained in Annex 6, Operation of Aircraft.
 We will also touch on the airworthiness and equipment requirements
contained in Annex 8, Airworthiness of Aircraft.

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 5. Regulatory Guidance

b. ICAO Doc 9824

ICAO Doc 9824, Human Factors Guidelines for Aircraft

Maintenance Manual

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 5. Regulatory Guidance

c. ICAO Doc 9734

ICAO Doc 9734, Safety Oversight

Manual, has been designed to
emphasise the obligations and
responsibilities for safety oversight of
an ICAO Contracting State and to
provide information and guidance for
governments on the establishment and
management of a safety oversight
system

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 B. STATES’ SAFETY OVERSIGHT OBLIGATIONS

ICAO CONVENTION
ARTICLES, ANNEXES, SARPs, DOCUMENTS

Member State U.S. Republic of Indonesia

State Aviation Law Aviation Act. Number

U.S. Aviation Law
1/2009

CAA Director General

FAA Administrator Director General Civil
Aviation

State Aviation Code of Federal

Regulations Regulations (CFRs) CASR

Inspector Technical and Inspector Handbooks/

Industry Guidance Directives and Advisory ACs and SI
Circulars

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 B. STATES’ SAFETY OVERSIGHT OBLIGATIONS con’t...

 The above slide illustrates how the Articles of the Convention and ICAO
Annexes, SARPs, and documents are implemented by Indonesia, our
country used in this course, as compared to other Member States’ CAAs.

 As a Signatory to the Convention, each Contracting State is obligated

under international law to ensure compliance with the Convention and its
Annexes through the laws, regulations, and other documents of the State.

 A State’s CAA shall comply with all 19 ICAO Annexes. The CAA’s
regulations must have the full effect of law and clearly outline the CAA’s
authority to require aviation entities to comply with any orders, rules,
regulations, licences, and/or certificates issued by the CAA.

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 B. STATES’ SAFETY OVERSIGHT OBLIGATIONS con’t..

 As we discussed earlier, the Articles of the Convention establish the privileges

and obligations of all Contracting States and provide for the adoption of the
international SARPs that regulate international civil aviation

 Although Contracting States have exclusive sovereignty over their airspace,

ICAO Member States have agreed to certain principles and arrangements in
order for international civil aviation to be conducted safely.

 As stated in ICAO Doc 9734, Part A: 2.1.1, safety oversight is defined as a

function by means of which States ensure effective implementation of the
safety-related SARPs and associated procedures contained in the Annexes to
the Convention and related ICAO documents. Lack of appropriate safety
oversight in one Contracting State threatens the safety of international civil
aircraft operations.

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 C. EIGHT CRITICAL ELEMENTS
(2 YEAR)
POINT

CE-1. Primary aviation legislation CE-1=???

CE-2. Specific operating regulations.

CE-2=???
CE-3. State civil aviation system and safety
oversight functions. CE-3=???

CE-4. Technical personnel qualification and CE-4=???

training.
CE-5. Technical guidance, tools, and the provision CE-5=???
of safety-critical information.
CE-6=???
CE-6. Licensing, certification, authorisation, and
approval obligations. CE-7=???
CE-7. Surveillance obligations.
CE-8=???
CE-8. Resolution of safety concerns.
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 C. EIGHT CRITICAL ELEMENTS con’t...

 ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need to
consider the eight critical elements (CE) for safety oversight.
 CEs are essentially the safety defence tools of a safety oversight system and are required for the effective
implementation of safety-related policy and associated procedures. States are expected to implement safety
oversight CEs in a way that assumes the shared responsibility of the State and the aviation community.
 CEs of a safety oversight system encompass the whole spectrum of civil aviation activities, including areas such
as aerodromes, air traffic control, communications, personnel licensing, flight operations, airworthiness of aircraft,
accident/incident investigation, and transport of dangerous goods by ai
 The effective implementation of the CEs is an indication of a State’s capability for effective safety oversight.

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 E. INSPECTOR DUTIES con’t...

a. Chicago Convention
We discussed the Chicago Convention earlier in the lesson. Remember, by
being a Signatory to the Convention, each Contracting State understands it
is obligated under international law. This will ensure compliance with the
Convention and its Annexes through the laws, regulations, and other
documents of the State.

b. International law as national law

A Contracting State must bring the international law of safety in civil

aviation into its national law with fidelity and accuracy.
Fidelity is defined here as faithful to the intent of international law.

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 E. INSPECTOR DUTIES con’t...

c. Authority of the Director of Civil Aviation

 Once the legislature enacts a Civil Aviation Safety Act and creates a DCA
and CAA, the aviation safety functions become part of the executive
branch of government. The CAA may be an independent agency or part
of a department or Ministry.

 The authority of the DCA shall include, but not be limited to, the authority
to:

 Generate and promulgate regulations under the authority and

guidance of the Act and the SARPs
 Manage the hiring, administration, and training of employees,
including GSIs
 Form and administer a national aviation registry

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 E. INSPECTOR DUTIES con’t...

 Make regulations for:

 Certificating the airworthiness of an aircraft and for
governing the continuing validity of each certificate
 Certificating or licensing airmen and for governing
the continuing validity of each certificate or licence
 Certificating air operators and for governing the
continued validity of each certificate
 Governing the conduct of oversight of aviation
safety and the conduct of enforcement actions

 Make any other regulations that might be needed to

ensure that the Contracting State lives up to the Articles
of the Convention and national law requirements

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 E. INSPECTOR DUTIES con’t...

d. Document authority

A Contracting State can issue other documents that do not have general
legal authority as aviation law, but may be applied under their own terms
with or without a legally binding nature.

 Documents governing inspectors

A CAA shall issue specific instructions to its inspectors that set forth the
scope of their duties, the manner in which those duties are to be
carried out, and the standards expected of the inspector.

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 E. INSPECTOR DUTIES con’t...

 Documents governing aviation entities

Where the regulations, aviation standards, or schedules indicate that the
CAA must approve an operational document issued by a regulated entity,
such as an operator’s Aeroplane Flight Manual (AFM), Maintenance
Control Manual (MCM), or Minimum Equipment List (MEL) the terms of such
documents are held to constitute a set of procedures that are as binding
upon the regulated entity as a regulation or an aviation standard or
schedule incorporated into a regulation by reference. Equally, the
inspector is empowered to apply the terms of that document to the
regulated entity as he or she would apply a regulatory standard.

 Non-binding documents
Some documents, while issued by a CAA, are considered to be non-binding
upon the regulated entity and thus, not subject to the inspection authority
of the inspector.

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 F. HIERARCHY OF INDONESIA REGULATIONS

Constitution 1945
STATE
AVIATION Aviation Act 1/2009

LAW
Government Regulation no. 3/2001
(Aviation Security and Safety)

Civil Aviation Safety Regulations

(Approved under Ministerial Decree)

Guidance Materials - Staff Instructions, Advisory Circulars

(Approved under DG Decree)
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 AVIATION LAW NO. 1/2009
Bab I Ketentuan Umum
3
Bab II Asas dan Tujuan
Bab III Ruang Lingkup Berlakunya Undang-undang Bab XV Pencarian dan Pertolongan Kecelakaan Pesawat
Udara
Bab IV Kedaulatan Atas Wilayah Udara
Bab XVI Investigasi dan Penyelidikan Lanjutan Kecelakaan
Bab V Pembinaan Pesawat Udara
Bab VI Rancang Bangun dan Produksi Pesawat Bab XVII Pemberdayaan Industri dan Pengembangan
Udara Teknologi Penerbangan
Bab VII Pendaftaran dan Kebangsaan Pesawat Bab XVIII Sistem Informasi Penerbangan
Udara
Bab XIX Sumber Daya Manusia
Bab VIII Kelaikudaraan dan Pengoperasian Pesawat
Udara Bab XX Peran Serta Masyarakat
Bab IX Kepentingan Nasional atas Objek Pesawat Bab XXI Penyidikan
Udara Bab XXII Ketentuan Pidana
Bab X Angkutan Udara Bab XXIII Ketentuan Peralihan
BabXI Kebandarudaraan Bab XXIV Ketentuan Penutup
Bab XII Navigasi Penerbangan
Bab XIII Keselamatan Penerbangan
Bab XIV Keamanan Penerbangan
SANCTIONS IN THE CIVIL AVIATIONS 4

1. CRIMINAL SANCTIONS:
 Chapter XXII (Criminal sanctions), articles 401 - 443
 Sentencing of maximum fifteen years and
 Fine of maximum Rp. 15.000.000.000,- (fifteen billion rupiah)
 Violation on corporate level could bring fine 3 times as much
2. ADMINISTRATIVE SANCTIONS:
 Several articles in Aviation Law No. 1/2009
 Government Regulations No. 3 year 2001 articles 99 to 102
 Minister Regulations no. PM 30/2015 (imposing penalty units)
 DG Decree KP 623 year 2015, Procedure and mekanism to impose administratif sanctions for
violation of aviation regulation.
 Sanctions: Warning letters 1 to 3 (one month interval), suspension of certificate/permit for 3
months, and revocation of certificate/permit
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 1. AVIATION ACT NO. 1 YEAR 2009

Chapter VIII :

Aircraft Airworthiness And Operation

Part Seven Aircraft Operation

Article 64 The process of airworthiness certification, air operator certification, aircraft

operation certification, aircraft maintenance organization certification and aircraft personnel
licensing as meant in Article 34 item (2), Article 41 item (2), Articles 48, 49, and 58 shall be
conducted by a public service management institution.

Chapter X :

Air Transportation

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 1. AVIATION ACT NO. 1 YEAR 2009

Chapter X :

Air Transportation

Kinds of Air Transportation

Paragraph 1 Commercial Air Transportation

Article 83

(1) Air transportation activities shall consist of: a. commercial air transportation; and b. non-
commercial air transportation

(2) Commercial air transportation as meant in item (1) point a shall consist of: a. domestic
commercial air transportation; and b. international commercial air transportation. 27

(3) Commercial air transportation activities as meant in item (1) point a may be done with
scheduled and/or non-scheduled by national and/or foreign air transportation entity for
passenger and cargo shipment or freighter.
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2. GOV. REGULATION NO. 3/2001
(AVIATION SECURITY AND SAFETY

Second Part
Aircraft Operations
Article 24

Article 25
 2. GOV. REGULATION NO. 3/2001
(AVIATION SECURITY AND SAFETY CON’T...

Article 26

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 2. GOV. REGULATION NO. 3/2001
(AVIATION SECURITY AND SAFETY CON’T...

Article 27

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 2. GOV. REGULATION NO. 3/2001
(AVIATION SECURITY AND SAFETY CON’T...

Article 27

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 III. SUMMARY

A. REVIEW
 Chicago Convention
 States’ safety oversight obligations
 Eight critical elements
 DGCA Regulations

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 III. SUMMARY con’t...

B. OBJECTIVES
In accordance with published references listed in this lesson,
and in keeping with your job functions, you should be able to:

 Describe the Chicago Convention

 State the eight critical elements of safety oversight
 Describe DGCA Regulations
 State the three types of inspector duties

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THANK YOU
TERIMA KASIH