Regulatory Framework and Aerodrome

Certification Requirements

Eng. Mohamed Iheb Hamdi

ICAO MID Regional Officer for Aerodromes and Ground Aids (AGA)

Aerodrome Certification Workshop

Kiev, Ukraine 5-7 February 2019

Aerodrome Certification Requirements

 States’ obligations under the Chicago Convention to comply with international specifications

 Need to ensure a globally harmonized safe and secure aviation system, in particular, a safe and
efficient airport

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Chicago Convention - States’ Obligations: Preamble to the Chicago Convention (1944):

 "WHEREAS the future development of international civil aviation can greatly help to create and
preserve friendship and understanding among the nations and peoples of the world, yet its abuse can
become a threat to the general security; and

 WHEREAS it is desirable to avoid friction and to promote that co-operation between nations and
peoples upon which the peace of the world depends;

 THEREFORE, the undersigned governments having agreed on certain principles and arrangements in
order that international civil aviation may be developed in a safe and orderly manner and that
international air transport services may be established on the basis of equality of opportunity and
operated soundly and economically;

 Have accordingly concluded this Convention to that end.”

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Aerodrome Certification – ICAO Annex 14

 States shall certify aerodromes used for international operations in accordance with the specifications
contained in ICAO Annex 14 as well as other relevant ICAO specifications through an appropriate
regulatory framework.

 The regulatory framework shall include the establishment of criteria and procedures for the
certification of aerodromes.

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Aerodrome Certification

What?
 Aerodrome certification is a process of ensuring that an aerodrome complies with the applicable safety
rules, regulations and specifications thereby assuring the users, travelling public and airlines that the
aerodrome meets the safety requirements.

Why?
 To minimize the risks to the users and meet the obligations thereof
 Aviation’s safety record and increasing traffic volumes; competition amongst airports.

How?
 Compliance with the safety regulations in force and the commitment to safety through an active Safety
Management System

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ICAO ADREP Data: RWY Excursions & Incursions 2000-2009

(Accidents only; serious incidents and other incidents not included)

 Total no. of aircraft accidents: 1650 (MTOM>5700 kgs)

 RWY excursions & Incursions: 422 (25.6%)
 No. of accidents by phase of flight:
 Taxiing: 3; Take-off: 90; Landing: 329
 Aircraft propulsion types involved:
 Turbofan: 245; Turbojet: 18; Turboprop: 159
 RWY excursion occurrence: 352 (21.3%)

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Aerodrome Certification

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Accidents and Fatalities by Phase of Flight (Boeing Data)

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Aerodrome Certification

 Annex 14, Volume I has technical specifications and requirements associated with:

 Aerodrome Certification Requirements

 Design of Aerodrome Facilities
 Aerodrome Operational Services
 Aerodrome Operational Safety Issues

 Chapter 1, Section 1.4 on Certification of Aerodromes stipulates the requirements

 It also emphasizes the obligations and responsibilities of both the regulator and the operator

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Aerodrome Certification

 Annex 14, Volume I, Ch. 1, Section 1.4 specifies:

 “….When an aerodrome is granted a certificate, it signifies to aircraft operators and other organizations
operating on the aerodrome that, at the time of certification, the aerodrome meets the specifications
regarding the facility and its operations, and that it has, according to the certifying authority, the
capability to maintain these specifications for the period of validity of the certificate. The certification
process also establishes the baseline for continued monitoring of compliance with the specifications….”

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Annex 14, Vol. I Specifications on Certification of Aerodromes

 Paragraph 1.4.1: “States shall certify aerodromes used for international operations in accordance with
the specifications contained in this annex as well as other relevant ICAO specifications through an
appropriate regulatory framework.”

 1.4.2. Recommendation: States should certify aerodromes open to public use in accordance with these
specifications through an appropriate regulatory framework.

 1.4.3. The regulatory framework shall include the establishment of criteria for the certification of
aerodromes.

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Annex 14, Vol. I Specifications on Certification of Aerodromes

 1.4.4. As part of the certification process, States shall ensure that an aerodrome manual which will
include all pertinent information on the aerodrome site, facilities, services, equipment, operating
procedures, organization and management including a SMS, is submitted by the applicant for the
approval/acceptance prior to granting the aerodrome certificate.

 Note.—The intent of a safety management system is to have in place an organized and orderly
approach in the management of aerodrome safety by the aerodrome operator. Guidance on an
aerodrome safety management system is given in the Safety Management Manual (SMM) (Doc 9859)
and in the Manual on Certification of Aerodromes (Doc 9774).

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ICAO Doc 9774 – Manual on Certification of Aerodromes

 Basic Aviation Law

 Aviation Authority such as DGCA/CAA for carrying out safety oversight
 Staffing structure of DGCA/CAA
 Technical Regulations including criteria for certification of aerodromes
 Guidance for staff and all stakeholders;
 Aerodrome Certification processes and procedures
 Post Certification safety inspections and surveillance
 Remedial actions for any non-compliances

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Aerodrome Certification – Doc 9774

 Guidance on aerodrome manual preparation including details of particulars to be included

 Maintaining the currency of the manual and carrying out amendments to the manual
 Roles and duties of the Regulator
 Roles and obligations of the Aerodrome Operator
 Dealing with requests for exemptions/deviations
 Aerodrome Safety Management System
 Examples of an Aerodrome Certificate and of an application for grant of an aerodrome certificate

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Aerodrome Certification – Doc 9774

Chapter 1 has guidance on:

 The General requirements, in particular, the obligations under Art. 15 of the Chicago Convention

 The need for certification of aerodromes

 The Scope of the guidance in the manual

 ATS, AVSEC, MET issues to be addressed separately

 DGCA/CAA to ensure co-ordination of various entities

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Aerodrome Certification – Doc 9774

Chapter 2: Aerodrome Certification Regulatory System

 Prerequisites for the introduction of the regulatory system

 Existence of basic aviation law that mandates aerodrome certification and development of regulation
 An authorized State entity (DGCA/CAA) to develop and promulgate regulations
 Basic Aviation law must:
 Establish the DGCA/CAA to act on behalf of the Govt. to ensure aviation safety
 Provide for adoption of regulations
 Authorize the DGCA/CAA to inspect/audit and grant certificate

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Aerodrome Certification – Doc 9774

Chapter 2 –Aerodrome Certification Regulatory System (Cont’d.)

 Aerodrome certification regulations to include:

 Mandatory certification requirements in the regulations

 Certification procedure
 Duties & responsibilities of the operator
 Safety audits, inspections & testing
 Imposition of sanctions for non-compliance
 Use of military aerodromes by civil aircraft

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Aerodrome Certification – Doc 9774

CAA regulations to cover:

 Certification requirements and criteria

 Compliance with applicable technical specifications, Procedures and guidance material

 Conduct of periodic surveillance inspections and audits

 Action to be taken for continued non-compliance

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Aerodrome Certification – Doc 9774

The criteria for certification of other aerodromes:

 All airports and airfields in operation and whose air space is closer to or overlaps that of the nearest
international airport; or

 Even may be only those airports and airfields near international airports and/or to limited use or specific
limited time=use airports for special events

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Aerodrome Certification – Doc 9774

Chapter 3: Aerodrome Certification Model Regulations

 Samples to assist States for developing their own national regulations Framework:
 A. General
 B. Aerodrome Certification
 C. Aerodrome Manual
 D. Obligations of the aerodrome operator
 E. Exemptions

 General section
 Lists the various definitions and applicability of the regulations for clarity

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Aerodrome Certification – Doc 9774

Aerodrome Certification Regulations - Salient Features:

 Certification requirements (criteria)
 Applying for a certificate
 Grant of a certificate, if everything is satisfactory
 Endorsement of conditions of use
 Duration of the certificate
 Surrender of the certificate
 Transfer of a certificate
 Interim certificate
 Amendment of a certificate

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Aerodrome Manual Preparation:

 Regulations to specify format of an Aerodrome Manual (purpose, scope, its structure, & contents in
brief), its maintenance and amendment from time to time, as needed;

 Aerodrome Manual is a legally binding agreement between the operator and the regulator. Generally,
in five parts to include all details;

 Any changes in the operational status of the airport must be quickly reflected in an amendment of the
manual;

 Effective document control and management is needed.

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Aerodrome Certification – Doc 9774

Contents of an Aerodrome Manual:

 Part 1 – General
 Purpose and scope; Requirements (legal and technical); Conditions of use; Procedures for notifying AIS and
promulgation of information; System for recording aircraft movements.

 Part 2 – Aerodrome Site information

 Plan showing all essential details are per regulatory requirements;
 Site title.

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Aerodrome Certification – Doc 9774

Contents of an Aerodrome Manual (Cont’d.):

 Part 3 – Aerodrome information to be reported to the Aeronautical Information Services (AIS):

 Aeronautical data including the aerodrome’s name & location.

 Aerodrome data:
 RWYs, TWYs and apron(s); Aerodrome and RWY THR elevations, Dimensions of RWY strip, TWY strip,
RESA, Stopways and clearways; Declared distances; Disabled aircraft removal; RFF category available;
and Emergency planning & arrangements

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Aerodrome Certification – Doc 9774

Contents of an Aerodrome Manual (Cont’d.)

 Part 4 – Aerodrome Operating Procedures & Safety Measures:

 Reporting procedures, Procedures for preventing unlawful interference, Plans for handling aircraft
emergency, Details of RFF Services, personnel and equipment; aerodrome inspections; Inspection and
maintenance of visual & non-visual aids; Movement area maintenance; Operational safety management
procedures; Wildlife hazard management; Obstacle control; Disabled aircraft removal; Handling of
dangerous goods; Low visibility operations; Site protection

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Aerodrome Certification – Doc 9774

Contents of an Aerodrome Manual (Cont’d.):

 Part 5 – Aerodrome Administration & Safety Management System

 Aerodrome organization chart with contact details of key safety officials
 Safety Policy and organization
 Safety strategy & planning
 Hazard identification analysis and risk management
 Data collection and analysis
 Internal safety audit & review system
 Safety measures programme including change management
 Safety assurance, safety promotion & risk control
 Staff training and competency

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Aerodrome Certification – Doc 9774

 Obligations of the Aerodrome Operator:

 Compliance with applicable rules and regulations, Standards & practices

 Must employ competent operational and maintenance personnel
 Aerodrome operations and maintenance procedures must be in place
 Must have a functional Safety Management System –an essential requirement for grant of a certificate
 An effective internal safety audit and reporting
 Provide access for the CAA inspectors to inspect the aerodrome
 System for notifying and reporting any changes to the CAA, ATS and pilots as needed

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Aerodrome Certification – Doc 9774

 Obligations of the Aerodrome Operator (Cont’d.)

 Special internal inspections in the interest of safety

 Removal of obstructions from the aerodrome surface and
 Posting of warning notices to warn the public

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Aerodrome Certification –Doc 9774

 Exemptions:

 Model Regulations must specify how exemptions can be granted;

 Need for submission of appropriate aeronautical studies with justification;

 Risk mitigation measures and operating procedures;

 Time limitations & action plan for correction with time frame;

 Monitoring safety performance by both the CAA & the Aerodrome operator; and

 Endorsement in the aerodrome certificate.

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Aerodrome Certification – Doc 9774

 Chapter 4 –Aerodrome Certification Procedures

 Aerodrome Certification Procedures must be clear and specific;

 Various time lines need to be specified and adhered to;

 Procedures must ensure compliance with safety specifications;

 Adherence with the applicable regulations essential for grant of a certificate; otherwise, it may be refused.
Also needed for transfer of a certificate;

 A State may choose to engage a competent outside agency if CAA is not fully geared to do the job;

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Aerodrome Certification – Doc 9774

The DGCA/CAA promulgated procedures encompass the following:

 Introduction
 Certification Process
 Dealing with Expression of Interest
 Assessment of the formal application and field/onsite inspection & verification
 Grant/refusal of a certificate with reasons for refusal
 Promulgation of the certified status in the AIP
 Transfer of a certificate and
 Surrender of a certificate

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Aerodrome Certification Procedures

1. Expression
of interest

5. Issue of 2. Assessment
certificate? by regulator

4. Assessment by 3. Formal
regulator (on site) application

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Aerodrome Certification Procedures

Grant of a certificate is subject to:

 Application meeting all regulatory requirements

 Compliance with all safety specifications including development of appropriate standard operating
procedures
 On-site verification indicating adequacy of facilities and equipment
 Existence of a functional SMS, and
 CAA being satisfied with operator’s competence to operate the aerodrome in a safe manner

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Aerodrome Certification Procedures

The aerodrome certificate may be refused or an existing certificate suspended for any of the following
reasons:

 Any non-compliance with the CAA regulations and safety requirements

 Inadequate/unsafe operating procedures
 Not following approved safety procedures and other risk mitigation action in case of exemptions
granted
 SMS not functional, inactive and ineffective and
 Any significant safety concern as assessed by the regulator.

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Aerodrome Certification – Doc 9774

Chapter 5 –Roles & Responsibilities of the Regulator

Establish an aerodrome regulatory directorate/entity – Directorate of Aerodromes Standards and Safety

(DASS) to perform all aerodrome safety oversight tasks:

 Initial and periodic inspection

 Approval/acceptance of Aerodrome manual
 Ensuring compliance with applicable regulations, Standards and Recommended Practices
 Assessing safety of aerodrome operation and maintenance
 Checking adequacy of aerodrome emergency response services
 Notifying differences to ICAO from any Standard, Procedure or Recommended Practice;

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Aerodrome Certification –Doc 9774

Chapter 5 – Roles & Responsibilities of the Regulator (Cont’d.)

 Review of Aerodrome Safety Management System

 Review of aerodrome notification and reporting
 Establishing procedures and parameters for the conduct of aeronautical studies;
 Evaluating the results of obstacle surveys & monitoring the obstacles in the vicinity of the aerodrome;
 Developing parameters and metrics for the evaluation of aerodrome operational procedures,
restrictions and alternate safety measures.

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Aerodrome Certification - Doc 9774

 Functions and Responsibilities of DASS:

 Notification to the AIS and other agencies

 Conduct Safety Audits:
 Pre-inspection briefing
 Administrative inspection (documents, records, certificates etc.)
 Movement area inspection
 RFF Services inspection
 Fuel facilities inspection
 Night inspections
 Post inspection briefing

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Aerodrome Certification - Doc 9774

 Functions and Responsibilities of DASS (Cont’d.)

 Other safety functions like:

 Evaluating full-scale emergency exercises
 Providing guidance at design and construction stages
 Final inspection of completed projects to check compliance
 Organizing and participating in safety seminars to promote safety
 Compliance and Enforcement
 Developing and maintaining aerodrome standards
 Technical library and records
 Plan human resources requirements including identifying the qualifications, duties and responsibilities
of aerodrome inspectors

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Aerodrome Certification –Doc 9774

• Duties of DASS/Aerodrome Regulatory

entity:
• Other safety functions such as assessing the
results of aerodrome emergency exercises,
any development projects for safety impact
• Compliance and enforcement of applicable
safety specifications
• Maintaining the currency of national
requirements in line with Annex 14
amendments

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Aerodrome Certification –Doc 9774

 Doc 9774, Chapter 5 also includes guidance on:

 Structure and levels of DASS Staffing’
 Qualifications, duties and responsibilities of the aerodrome inspectors

 Appendix 1 - Particulars to be included in the Aerodrome Manual

 Appendix 2 - Sample application form;
 Appendix 3 - Conduct of aeronautical studies
 Appendix 4 - Sample aerodrome certificate used by one State
 Appendix 5 - Typical organizational structure of the DASS and
 Appendix 6 - List of references

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Organizational structure of a typical aerodrome safety and standards directorate

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11 February 2019 Aerodrome Certification Workshop 42