Section -1, Chapter -2: ICAO and
Civil Aviation
International Institute for Aerospace
Engineering and Management
M.Tech: Aerospace Engineering (Manufacturing & Maintenance Management)
M.Tech: Aerospace Engineering (Manufacturing & Maintenance Management)
1.
INTERNATIONAL
CIVIL AVIATION ORGANISATION (ICAO)
1.1 Evolution of Aviation Safety
Early
aviation in the United States and Europe was a dangerous business with very
little support aids to ensure safe day and night operations and this resulted
in many fatal accidents. The end of World War I (28 Jul 1914 to 11 Nov 1918) saw
the focus shifting back to civil aviation and carriage of passengers. With this
shift came the need for some form of regulation. Aviation industry leaders
believed that the airplane could not reach its full potential without some form
of Federal/Governmental action to improve and maintain safety standards. World
War II (01 Sep 1939 to 02 Sep 1945) saw revised focus driven to meet military
requirements both in the United States and Europe and even in many other
countries of the world. This led a technology boom in the field of aviation.
1.1 Formation of ICAO
Since
the earliest years of aviation, visionaries envisaged a new dimension of
transportation that would go beyond the national boundaries. In 1910, the first
conference of Air Navigation International was held at Paris with 18 European
states participating. During Paris Conference of Peace in 1919, discussion led
to the formation of Aeronautical Commission. 38 states participated in the
convention and discussed all aspects of Civil Aviation. International Commission for Air Navigation
(ICAN) was established to monitor development of Civil Aviation.
With
rapid growth of aviation technologies during the World War, the possibility of
carrying a great number of people and a large quantity of goods over long
distances became a reality. Keeping this in mind, US Govt. sent invitations to
55 states to meet in Chicago in 1944. The outcome of the five weeks of meeting
was the Convention on International Civil Aviation, consisting of a preamble
and 96 article. The Convention on International Civil
Aviation (also known as Chicago Convention), was signed on 7 December 1944 by 52 States. Pending ratification of
the Convention by 26 States, the Provisional International Civil Aviation
Organization (PICAO) was established. ICAO officially came into being on 4
April 1947. In October of the same year, ICAO became a specialized agency of
the United Nations linked to Economic and Social Council (ECOSOC). ICAO was originally created to promote the safe and efficient
development of civil aviation. One enduring aspect of the Organization's work
over the last six decades has been to help States improve civil aviation in
their country through projects implemented under ICAO's Technical Co-operation
Program. With the creation of ICAO to
help in the controlled growth of civil aviation across nations at the global
level there was a clear demarcation between civil and military aviation, with
military aviation coming under the state control. Since its creation in
1952, the Technical Co-operation Bureau (TCB) has been responsible for the
execution of ICAO’s Technical Co-operation Program advising and assisting
States, donors, the private sector and other funding sources in all matters
relating to the development of safe and secure civil aviation. To this day the Technical Co-operation
Program remains a permanent priority activity of ICAO which complements the
technical role of the Regular Program by supporting Member States in the
implementation of ICAO regulations, policies and procedures. The membership of ICAO has increased and as
on 2013, ICAO today has 191 member states.
1.3 Chicago
Convention of ICAO
The Chicago convention, 1944 was
concluded with adopting a preamble and 96 articles. These 96 articles of ICAO
establishes the privileges and restrictions of all contracting states and
provide for the adoption of International Standard and Recommended Practices regulating
international air transportation. These articles form the basis of
international Air Law.
ICAO was formed to develop principles
& techniques for international air navigation and to foster planning &
development of international air transportation. These are:
1)
Ensure safe & orderly growth of international civil aviation
throughout the world.
2)
Encourage the arts of aircraft design and operation for peaceful
purposes.
3)
Encourage the development of airways, airports and air navigation
facilities for international
civil aviation.
4) Meet the needs of the people of the
world for safe, regular, efficient and economical air transport.
5) Prevent economic waste caused by
unreasonable competition.
6) Ensure that the rights of the
Contracting States are fully respected and that every Contracting State has a
fair opportunity to operate international airlines.
7) Avoid discrimination between Contracting
States.
8) Promote safety of flight in
International Air Navigation.
9) Promote generally the development of all
aspects of international civil aeronautics.
10) Creation of International
Airworthiness Standards
1.4 The ICAO Preamble
“WHEREAS
the further 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 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;
THEREBY,
the undersigned government 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 equality of opportunity and operated soundly and economically;
HAVE
accordingly concluded this convention to this end.”
1.5 ICAO
Articles
The 96 articles of ICAO form the
basis of the International Air Law. These articles are contained in four
different parts as indicated in table 1.
Table – 1: Articles of ICAO
Sl No.
|
Chapters
|
Description
|
Article
Numbers
|
Part I:
Air Navigation
|
|||
1.
|
Chapter I
|
General Principles & Applications of the conventions
|
1 to 4
|
2.
|
Chapter II
|
Flight over the territories of the contracting states
|
5 to 16
|
3.
|
Chapter III
|
Nationality of Aircraft
|
17 to 21
|
4.
|
Chapter IV
|
Measurement to facilitate Air Navigation
|
22 to 28
|
5.
|
Chapter V
|
Conditions to be fulfilled with respect to Aircraft
|
29 to 36
|
6.
|
Chapter VI
|
International Standards and Recommended Practices
|
37 to 42
|
Part II:
The International Civil Aviation Organisation
|
|||
7.
|
Chapter VII
|
The Organisation
|
43 to 47
|
8.
|
Chapter VIII
|
The Assembly
|
48and 49
|
9.
|
Chapter IX
|
The Council
|
50to 55
|
10.
|
Chapter X
|
The Air Navigation Commission
|
56 and 57
|
11.
|
Chapter XI
|
Personnel
|
58 and 60
|
12.
|
Chapter XII
|
Finances
|
61 to 63
|
13.
|
Chapter XIII
|
The International Arrangement
|
64 to 66
|
Part
III: International Air Transportation
|
|||
14.
|
Chapter XIV
|
The International Arrangement
|
64 to 66
|
15.
|
Chapter XV
|
Information & Reports
|
67
|
16.
|
Chapter XVI
|
Airport and Other Navigation Facilities
|
68 to 76
|
17.
|
Chapter XVII
|
Joint Operating Organisations and Pooled Services
|
77 to 79
|
Part IV:
Final Provision
|
|||
18.
|
Chapter XVIII
|
Other Aeronautical Agreement and Arrangement
|
80 to 83
|
19.
|
Chapter XIX
|
Disputes and Defaults
|
84 to 86
|
20.
|
Chapter XX
|
War
|
89
|
21.
|
Chapter XXI
|
Annexe
|
90
|
22.
|
Chapter XXII
|
Rectification, Adherences, Amendments & Denunciation
|
91 to 95
|
23.
|
Chapter XXIII
|
Definitions
|
96
|
1.6 ICAO
Annexures
One
of the main objectives of formation of ICAO was to achieve safe and efficient
air transport service throughout the world. This calls for certain requirement
in the various areas of civil aviation like high level of reliability in
aircraft airworthiness, operational requirements of the air crew (both ground
and air) and other operational
equipment, facilities and services both in ground and in air. This has been achieved through the creation, adoption
of 18 Annexes to the Convention,
identified as International Standards
and Recommended Practices. The contents of the 18 annexes are shown in
table – 2. These annexes are
periodically updated and amended as required by the ICAO body to keep pace with
advancement of technology and availability of various resources. Standards
are directives which ICAO members agree to follow. Recommended practices are
desirable but not essential practices. If a member has a standard different
from an ICAO standard, that member must notify the ICAO of the difference.
Table - 2: Annexes of ICAO Convention
Annex No.
|
Tile
|
Purpose
|
1
|
Personal Licensing
|
Licensing pilots, Air Traffic Controller
and Aircraft maintenance personnel. Specifies the medical standards for
flight crew and ATC controller.
|
2
|
Rules of the Air
|
Rules relating to visual &
Instrument aided flights
|
3.
|
Metrological Service for International
Air Navigation
|
Metrological services for
international navigation and reporting metrological observation from aircraft.
|
4.
|
Aeronautical Chart
|
Specification for use of aeronautical
chart in int. aviation
|
5.
|
Units of Measurement to be used
|
List dimensional systems to be used
in air and ground operations
|
6.
|
Operation of Aircraft
|
Enumerates specifications for minimum
level of safety
Part I: International Commercial
Air Transport – Airplane
Part II: International General
Aviation - Airplanes
Part III: International
Operations – Helicopters
|
7.
|
Aircraft nationality and Registration
Marks
|
Specifies requirements for registration and
identification of aircraft
|
8
|
Airworthiness of Aircraft
|
Uniform procedure for
certification and inspection of aircraft
|
9.
|
Facilitations
|
Standardization &
simplification for border crossing formalities
|
10.
|
Aeronautical Tele Communication
|
Vol 1 – Standards for
communication equipment and systems
Vol 2- Standards for communication
procedures
|
11.
|
Air Traffic Services
|
Provides information on
organization and operating ATC, flight information and alerting services
|
12.
|
Search and Rescue
|
Organization & operation of
facilities for Search and Rescue
|
13.
|
Aircraft Accident Investigation
|
Provides for uniformity in notifying,
investigating and reporting of aircraft accidents.
|
14.
|
Aerodromes
|
Contains specifications for the design and
equipment for aerodromes
|
15.
|
Aeronautical Information Services
|
Includes methods for collecting and disseminating
aeronautical information required for flight operations.
|
16.
|
Environmental Protection
|
Vol 1 – Specification for aircraft noise
certification, noise monitoring and noise exposure units for land use
planning
Vol 2- Specification for aircraft engine
emissions.
|
17.
|
Security & Safeguard against acts of unlawful
Interference
|
Specifies methods for safeguarding international
civil aviation against unlawful acts of interference.
|
18.
|
Safe transport of dangerous goods by air
|
Specifies requirements to ensured safety of
aircraft and its occupants while transporting hazardous materials by air
|
1.7 Annexures
Related to Airworthiness
Among the 18 annexes the three
annexes directly dealing with airworthiness are discussed below.
a)
Annex 6: Operation of Aircraft- This annex contains the
standards and recommendations relating to the operation of aircraft for
international commercial air transportation, including the regulation for the
certification of the operators. It also contains the technical and operational
regulations for general international aviation activities, including
maintenance.
b) Annex 8: Airworthiness of
Aircraft -This annex contains the standards defining the minimum level of
airworthiness for the development of the type certification requirement as a
basis for the international recognition of the certificate of airworthiness for
aircraft (according to Article 33 of the convention) in order to fly into and
land in the contracting states. It also contains indications and provisions for
the organisation and function of the civil aviation authority.
c) Annex 16: Environmental
Protection - This annex contains the standard applicable to the aircraft noise
certification in relation to diff noise levels proportionate to the type of the
ac (prop driven, jet propelled, helicopters). It states the accuracy of the
test procedures for an effective and unequivocal measurement. This annex also
contains the standard relating to the aircraft engine emission certification
with reference to the toxicity of same chemical components such as azoth
oxides. This is a particularly discussed annexure, because it discusses a
sensitive social matter, noise for people living near aerodromes and sometimes
opposing demands of economic development and the protection of citizens.
2. CIVIL AVIATION AUTHORITY
2.1 State Regulatory System (ICAO Countries)
The
ICAO airworthiness manual document no. 9670 specifies two prerequisites for the
introduction of an airworthiness regulatory system:
a) The provision in the basic law of
the state for a code of airworthiness regulations and the promulgation thereof,
and
b) The establishment of an
appropriate State Entity with the necessary authority to ensure compliance with
the regulations, known as Civil Aviation Authority (CAA).
2.2 Civil Aviation Authority
The
basic law of the state should authorise establishment of a CAA to be headed by
a Director of Civil Aviation (DCA) and adopt (or formulate) airworthiness
regulations. In most of the ICAO countries have established Director General of
Civil Aviation (DGCA). The DGCA as per ICAO requirement should be empowered to:
a)
Register aircraft and maintain a
national register.
b)
Issue or validate Type Certificate.
c)
Issue, renew or validate Certificates
of Airworthiness.
d)
Issue, amend, cancel or suspend AW
approvals, licences and certificates.
e)
Develop, issue and amend
Airworthiness Directives, bulletins etc.
f)
Establish Airworthiness Engineering
Directorate (AED) and Airworthiness Inspection Directorate (AID) to control
airworthiness.
g)
Make provision for enforcement of
airworthiness regulations.
The
ICAO has also released a document no. 8335 with title ‘Manual of Procedure for
operation, inspection, certification and continued surveillance’. Accordingly, most of the nations have formed
DGCA to regulate aviation activities in the country. The civil aviation authorities
of some of the important countries of the world are discussed below.
3. THE FEDERAL AVIATION ADMINISTRATION (FAA),
USA
In
the United States, Air Commerce Act of 1926 was created to regulate aviation
safety. Later, to have better control on air safety the act was improved and
released as the Civil Aeronautics Act in 1938. Civil Aeronautics Administration
(CAA) was formed as per Civil Aeronautics Act -1940, under the Department of
commerce with responsibility for Air Traffic Control, Aircraft Certification
and looking after safety and
airway development. Civil Aeronautics Board (CAB) was also formed to take care
of safety rulemaking, accident investigation and economic regulation. Federal Aviation
Authority (FAA) was formed as an independent agency based on Federal Aviation
Act 1958 combining both CAA and CAB functions. The name was changed to Federal Aviation Administration under the
Cabinet level and was transferredto Department of Transportation (DOT) of the US Federal
Government responsible for the CAA functions on 01 Apr 67. CAB function was transferred
to National Transportation Safety Board (NTSB).Thanks to the
work of FAA, over the past 50 years aviation has become central to the way US
people live and do business, linking people from all over the world. In fact,
FAA has created the safest, most reliable, most efficient, and most productive
air transportation system in the world. To ensure aviation's future viability,
FAA is now working with its federal and industry partners to develop a flexible
aerospace system that fully responds to the changing needs of businesses and
customers in the 21st Century. The strength of the NextGen
system depends on lower costs, improved service, greater capacity, and smarter
security measures. That is why FAA has defined a vision of the future that
integrates achievements in safety, security, efficiency, and environmental
compatibility.
3.1
Roles and Responsibilities of FAA
FAA has the authority to
regulate and oversee all aspect of American Civil Aviation. Its main
include
a)
Regulating civil aviation to promote
safety within the U.S. and abroad. The FAA exchanges information with foreign
aviation authorities; certifies foreign aviation repair shops, air crews, and
mechanics; provides technical aid and training; negotiates bilateral
airworthiness agreements with other countries; and takes part in international
conferences.
b)
Encouraging and developing civil
aeronautics, including new aviation technology
c)
Developing and operating a system of
air traffic control and navigation for both civil and military aircraft
d)
Researching and developing the
National Airspace System and civil aeronautics
e)
Developing and carrying out programs
to control aircraft noise and other environmental effects of civil aviation
f)
Regulating U.S. commercial space
transportation. The FAA licenses commercial space launch facilities and private
launches of space payloads on expendable launch vehicles.
However,
investigation of aviation incidents, accidents and disasters is conducted by the
National Transportation Safety Board, an
independent government agency of the Federal Government of United States.
3.2 Organization of the FAA
An Administrator manages FAA,
assisted by a Deputy Administrator. Five Associate Administrators report to the
Administrator and direct the line-of-business organizations that carry out the
agency's principle functions. The Chief Counsel and nine Assistant
Administrators also report to the Administrator. The Assistant Administrators
oversee other key programs such as Human Resources, Budget, and System Safety. FAA
also have nine geographical regions and two major centres, the Mike Monroney
Aeronautical Center and the William J. Hughes Technical Centre. The
organisation of FAA is shown in figure - 1.
4. THE JOINT AVIATION AUTHORITIES (JAA)
The Joint Aviation Authorities, (JAA), was an associated body of the European Civil Aviation Conference (ECAC) representing
the civil aviation regulatory
authorities of a number of European States
who had agreed to co-operate in developing and implementing common safety
regulatory standards and procedures. It was not a regulatory body, regulation
being achieved through the member authorities.
The JAA
started as the Joint Airworthiness Authorities in 1970. Originally, its
objectives were only to produce common certification codes for large aeroplanes
and for engines in order to meet the needs of European industry and
international consortia (e.g., Airbus). After 1987, its work was extended to
operations, maintenance, licensing and certification/design standards for all
classes of aircraft. JAA continued to be active in operation, licensing and
formation and in running SAFA (Safety Assessment of Foreign Aircraft)
Programme.
In order
to prepare a smooth transformation of the JAA activity to EASA (European
Aviation Safety Agency) without any safety gap, a report containing a road map
to be followed was elaborated and adopted during 2005 in the FUJA (Future of
JAA) working group meeting. The action emerging from that report can be
summarised as:
-
EASA is expected to take over activities in the field of
operations and licensing in the second half of 2008.
-
EASA will be responsible for SAFA activities as of Jan 1,
2007.
-
EASA is in the process of establishing an EASA safety
strategy Initiative (ESSI) which will be in some new way will be defined, in
continuation of the JAA joint safety strategy initiative (JSSI). In implementing the so-called FUJA Report,
the JAA had entered into a new phase as of 1 January 2007.
The adoption
of the Regulation (EC) No 1592/2002 by the European
Parliament and the Council of
European Union (EU) and the subsequent establishment of the EASA created a Europe-wide regulatory
authority which has absorbed most functions of the JAA (in the EASA Members
states). With the introduction of the EASA some non-EU members of the JAA
became non-voting members of the EASA, while others were completely excluded
from the legislative and executive process. Among
the functions transferred to EASA is safety and environmental
type-certification of aircraft, engines and parts and approval. Additional
responsibilities have been subsequently added over time.
5. EUROPEAN AVIATION SAFETY AGENCY (EASA)
The European
Aviation Safety Agency (EASA)
is an agency of the European Union (EU) with
regulatory and executive tasks in the field of civilian aviation safety. The
growth of aviation in Europe during the pre/post World War II period which was
driven by nation states like United Kingdom, France and Germany on the one side
and the then USSR in Eastern Europe. The idea of a unified Europe resulted in
the realization of the European Union (EU). This led to the creation of a
unified agency to handle civil aviation safety which later resulted in the
Establishment of the EASA in 2002 to maintain high and uniform level of civil
aviation safety. EASA is the Civil Regulatory Authority of the European Union
which uses the National Aviation Authorities (NAAs) of its member states to
implement its regulations.
This single authority has been
created by the adaptation of a European Parliament and Council Registration Based
in Cologne, Germany, the EASA was
created on 15 July 2003, and it
reached full functionality in 2008, taking over functions of the Joint Aviation Authorities (JAA). European Free Trade Association (EFTA)
countries have been granted participation in the agency. The main task of EASA
is:
a)
To assist the European Commission in preparing legislation
and support the member states and industry in putting the legislation in to
effect.
b)
To assist the European Commission in monitoring the
application of European Community legislation.
c)
To adopt its own certification specification and guidance
material, conduct technical inspections and issue certificates where
centralised action is more efficient.
These
tasks will lead to activities
1)
To certify aeronautical products, parts and appliances.
2)
To approve organisations and personnel engaged in the
maintenance of these products.
3)
To approve air operation
4)
To license of aircrew
5)
To conduct safety oversights of airports and air traffic
services operators.
The
aviation safety in the EU are maintained and conduct analysis and research of
safety, authorising foreign operators, giving advice for the drafting of EU
legislation, implementing and monitoring safety rules (including inspections in
the member states), giving type-certification of aircraft and components as
well as the approval of organisations involved in the design, manufacture and
maintenance of aeronautical products.
The EASA implements its regulations
through two layers of controls:
a)
At European Level – Controls
Product Certification, Design Organisations Approvals and Standardizations.
b)
At National Level – Through the National
Aviation Authority implements EU Rules at national level. Carries out
Individual Airworthiness Certification and Approvals of national organisations
and the aviation personnel.
The
European Aviation and Safety Agency was set up to promote the highest common
standards of safety and environmental protection in civil aviation. It is
intended to be the centerpiece of a new cost efficient regulatory system in
Europe and a reliable partner for equivalent authorities throughout the world.
Before an aircraft can be delivered to an airline and enter into service, it
must obtain a type certificate from an aviation regulatory authority – EASA for
a European aircraft, the Federal Aviation Administration for an American
Aircraft. This certificate testifies that the type of aircraft meets the safety
requirements set by the European Union.
The
Certification of Airbus A 400M for the use of 7 European countries is being
carried out by EASA and likely to be concluded by this year. EASA certification will be for the green
aircraft, the respective countries military airworthiness group will take care
of armament and other equipment installations. EASA will provide support as
required or asked for.
a) EASA Charter
To develop
know how and rule making in the field of aviation safety and environmental protection
•
Certification
for aero products, appliances
•
Approval organization,
personnel engaged in the maintenance of these product
•
Approval of
air operation
•
Licensing of
aircrew
•
Safety
oversight of airports and air traffic service.
b) EASA Partership -
The following countries work with EASA to
ensure compliance with International standard and to facilitate trade in
Aeronautical Products
- FAA Transport – Canada
- DAC/ CTA – Brazil
- Interstate Aviation Committee - Russia
6. DIRECTORATE
GENERAL OF CIVIL AVIATION (DGCA), INDIA
The
aviation activity in India started very soon after the first flight in 1903 in
the United States. The regulatory bodies necessary were also formed to control
and oversee the growth of aviation in India. The Department of Civil Aviation
was set up in 1927 and the Directorate General of Civil Aviation (DGCA) in 1931
with Lt Col Shelmerdine as the first Director General. The Indian Aircraft Act
was promulgated in 1934 and formulated in 1937. After Independence, the power
over all these departments passed over to the Government of India. Power of the
Central Government to make rules to implement the ICAO convention of 1944 was
substituted by the Aircraft Amendment Act of 1972. Civil aviation was very
active and grew substantially over the years. Air India and Indian Airlines was
the Flag carriers of Indian Civil Aviation. However, design and development of
civil aircraft remained dormant. On the military aviation front, India has made
some progress since Independence. Starting with HT-2 and later progressing to
the HF-24, HJT-16, IJT and finally the LCA. Progress has also been made in the
design and development of helicopters like DHRUV and LCH.
6.1
Civil Airworthiness Bodies
In India at
present DGCA is responsible for all airworthiness activities relating to civil
aircraft. DGCA is under the Ministry of Civil Aviation (MOCA). The organisation
structure of DGCA corporate headquarters is shown in figure – 2 (a). Quality
assurance during series production, repair, overhaul and maintenance is looked
after by Airworthiness Directorate. This directorate has five regional offices at Mumbai, Delhi, Kolkata, Chennai and Bangalore. The organisation structure of Directorate of Airworthiness, DGCA is shown in figure - 2 (b). The initial certification, ITSO approval
and modification update leading to special type certification is looked after
by the Aircraft Engineering Directorate. The Engineering directorate has two branch offices one each at Delhi and Bangalore. The organisation structure of the directorate of engineering is shown in figure - 2 (c).
Figure – 2 (b): Organisation Structure of DGCA Airworthiness Directorate
6.2
Functions
of DGCA
The functions of the DGCA are as follows:
1)
Registration of civil aircraft;
2)
Formulation of standards of
airworthiness for civil aircraft registered
in India and grant of certificates of airworthiness to
such aircraft;
3)
Licensing of pilots,
aircraft maintenance engineers and flight engineers
and conducting
examinations and checks for that purpose;
4)
Licensing of air traffic controllers;
5)
Certification of aerodromes and CNS/ATM facilities;
6)
Maintaining a check on the
proficiency of flight crew, and also
of other operational personnel such as flight dispatchers and cabin crew;
7)
Granting of Air Operator’s
Certificates to Indian carriers and
regulation of air transport services
operating to/from/within/over India by Indian
and foreign operators, including clearance
of scheduled and non‐scheduled flights of such
operators;
8)
Conducting investigation into incidents
and serious incidents involving aircraft up to
2250 kg AUW and taking accident
prevention measures including formulation of implementation of
Safety Aviation Management Programmes;
9)
Carrying out amendments to the
Aircraft Act, the Aircraft Rules and
the Civil Aviation Requirements for
complying with the amendments to ICAO
Annexes, and initiating proposals for amendment to any other Act or for passing a new Act
in order to give effect to an
international Convention or amendment to an
existing Convention;
10)
Coordination of ICAO matters
with all agencies and sending replies
to State Letters, and taking all
necessary action arising out of the
Universal Safety Oversight Audit Programme (USOAP) of ICAO;
11)
Supervision of
the institutes/clubs/schools engaged in flying
training including simulator training, AME training or any other training related with aviation, with a view to ensuring a high quality of training;
12)
Granting approval to aircraft
maintenance, repair and manufacturing organisations and their
continued oversight;
13)
To act as a nodal agency
for implementing Annex 9 provisions in
India and for coordination matters relating
to facilitation at Indian airports including holding meeting of the
National Facilitation Committee; Rev. 1, 17 the December 2012.
14) Rendering advice to the Government on matters relating to air transport including bilateral air services agreements, on ICAO matters and generally on all technical matters relating to civil
aviation, and to act as an overall regulatory and developmental body for civil aviation in the
country;
15)
Coordination at national level for flexi-use of
air space by civil and military air traffic agencies and interaction with ICAO
for provision of more air routes for civil use through Indian air space;
16) Keeping a check on aircraft noise and engine emissions in accordance with ICAO Annex 16 and collaborating with the environmental authorities in this matter, if required;
17)
Promoting indigenous design and manufacture of aircraft and aircraft components by acting as a catalytic agent;
18) Approving training programmes of operators for carriage of dangerous goods, issuing authorizations for carriage of dangerous goods, etc.
19) Safety Oversight of all entities approved/ certified/ licensed under the Aircraft Rules 1937.
The DGCA has promulgated
CAR (Civil Aviation Requirement) 21 regulations for civil aircraft. To ensure
compliance with the ICAO requirements some of other mandatory processes and
procedures have also been formulated. However, in the area of design and
development of civil aircraft there has not been much progress except the
certification of CSIR-NAL designed Hansa-3 and the HAL built DHRUV helicopter.
While the growth in civil aviation operational sector has seen substantial jump;
expectations to cross the 50 Million air-passengers mark in the near future,
the design and development activity has remained dormant.
6.3
Civil Aviation Requirement 21 (CAR 21)
CAR 21 (in the similar manner of FAR
21) with title, ‘Certification Procedures for Aircraft and Related Products and
Parts’ has been released by DGCA on 01 July 2004 and Issue II Revision 2
released on 28 September 2011. CAR 21 was drawn up based on the regulations of JAR 21, Amendment 4.
Now, since JAR 21 regulations have been superseded by
EASA Part 21, in order to harmonize the national requirements with the
international requirements, CAR 21 Issue 2 Revision 2 has been issued.
CAR21
prescribes procedural requirements for issue of type certificates and changes
to these certificates, issue of certificate of airworthiness, issue of noise certificate
and issue of export airworthiness certificate. It covers matters related to design,
manufacture and all other issues related to airworthiness including continued airworthiness,
repairs, etc. CAR 21 also contains requirements for approval of design and production organizations as per the provisions of
Rule 133B. This CAR is issued under the provisions of Rule 133A of the Aircraft
Rules, 1937.
The
Airworthiness Procedures are described in CAR 21 Sub Parts as Follows:
1)
Subpart A - General Provision
2)
Subpart B - Type Certificate & Restricted Type
Certificate
3)
Subpart C - Not Applicable
4)
Sub Part D –
Changes to Type Certificate & Restricted
Type Certificate
5)
Sub Part E –
Supplementary Type Certificate
6)
Sub Part F – Production without Production Approval
7)
Sub Part G – Production Organisation Approval for Products, Parts &
Appliance
8) Sub
Part H – Airworthiness Certificates, Restricted Certificates of Airworthiness and
Export Certificates
of Airworthiness.
9)
Sub Part I –
Noise Certificate
10) Sub Part JA – Design
Organisation Approval – Products or Change of Products
11) Sub Part JB – Design
Organisation Approval – Part & Appliance
12) Sub Part K – Parts & Appliances
13) Sub Part L – Not Applicable
14) Sub Part M – Repairs
15) Sub Part N – Not Applicable
16) Sub Part O – Indian
Technical Standard Order Authorisation
17) Sub Part P – Permit to Fly
18) Sub Part Q – Identification of Products Parts
& Appliances
6.3.2 Acceptable Means of Compliance and Guidance Material to CAR 21
The document also
contains the ‘Acceptable Means of Compliance and Guidance Material’ for the
airworthiness and environmental certification of aircraft and related products,
parts and appliances, as well as for the certification of design and production
organizations. “Acceptable
Means of Compliance” (AMC) illustrate a means, but not the only means, by which
a specification contained in an airworthiness code or a requirement in an
implementing rule can be met. “Guidance Material” (GM) helps to illustrate the
meaning of a specification or requirement. While the document CAR 21 runs into 424
pages, the CAR 21 requirement is up to 88 pages
the rest of the document is devoted to the AMC and Guidance material.
6.4 Production of Products, Parts and
Appliances
Production – Production
is intended to relate to products (aircraft, engines and Propellers) and parts
and appliance (including ITSO articles) as per type certificate. It also
permits manufacture of these items under changes in type design certificated in
Supplementary Type Certificate (STC). Manufacture of Prototype also is termed
as production.
Mass Production - After a prototype has been type certified,
what typically follows is the series manufacture or mass production. Mass
production has to conform to the type design. Production control also required
during the prototype development phase. In both these phases it is required
a) A
close collaboration is required amongst design organisation and production
organisation.
b) Proper
support for the continuing airworthiness.
Production Organisation – An organisation
authorised by DGCA to carry out production is a production organisation. The
authorisation is accorded through Production Organisation Approval (POA). Directorate
of Airworthiness in the DGCA accords POA.
Production
Organisation Approval
– Production
organiation approval deals with the requirements for showing conformity
of product, parts and appliances with the applicable design data through the
use of an approved production organisation. The requirement of approval of such
organisation may be covered under two
options as shown below:
a) Production Organisation Approval (POA)
according to CAR 21, Sub Part G, or
b) Production without Production Organisation
Approval according to CAR 21, Sub Part F.
In
the first case, the approval bears a similarity with Design Organisation
Approval. As per option (a), for the POA, the approval aims to highlight the
responsibility of the organisation, allowing the authority to perform less fiscal
but more efficient control over the production process and the quality of
conformance. On the basis of POA privileges, a POA holder may obtain
Certificate of Airworthiness upon presentation of a Statement of Conformity,
with no further showing. The second option may be exercised for the production of
limited in number of units, or in a situation where POA under subpart G not yet
issued. Such an organisation does not have the privilege of POA; and this means
it will be exposed to closer DGCA supervision for the issue of final certification. If
POA holder is not the type certificate holder, the production
organisation must have close co-operation agreement with the TCH.
6.5 Production Organisation Approval Procedure (CAR
21 Subpart G)
The DGCA will only accept an
application for a POA if it is convinced that for the scope of work such an
approval is appropriate for the purpose of showing conformity with a specific
design and applicant hold the or has applied for such design approval or have
coordinated with an organistion who is in the possession of such design data. The
most important requirements are therefore to have;
1) A Quality System to enable proper quality assurance
2) An Organisation with adequate trained manpower and supporting
staff along with the required infra structure to carry out production
3) A Production organisation exposition – a manual detailing the procedure to be
followed in each stage or under different conditions.
6.5.1
Quality System (DGCA CAR 21.139)
The quality system is an organizational structure with
responsibilities, procedures, processes, and resources which implement a
management function to determine and enforce quality principles. The
Quality system is required to ensure that each product, part or appliance
produced by the organisation, or by its partner or supplied from or
subcontracted to outside parties, conforms to the applicable design data and is
in condition for safe operation. The
Quality system must be documented. The quality system should be documented in such a way that the
documentation can be made easily available to personnel who need to use the
material for performing their normal duties, in particular:
a) procedures, instructions, data to cover
the issues of 21.139(b)(1) are available in a written form,
b) distribution of relevant procedures to offices/persons is made in a controlled manner,
c) procedures which identify persons responsible for the prescribed actions are established,
d) The updating process is clearly described.
e) The manager responsible for ensuring that the quality system is implemented and maintained, should be identified.
b) distribution of relevant procedures to offices/persons is made in a controlled manner,
c) procedures which identify persons responsible for the prescribed actions are established,
d) The updating process is clearly described.
e) The manager responsible for ensuring that the quality system is implemented and maintained, should be identified.
The
following are important activity/resources required for the production
organisation for the maintenance of quality:
1) Manufacturing processes
2) Verification of incoming material
3) Vendor and subcontractor assessment, audit and
control.
4) Non-conforming item control
5) Personnel competence and qualification
6) Inspection and testing, including production
flight tests
7) Airworthiness co-ordination with TCH
8) Internal quality audit and corrective actions
The
facilities, working conditions, equipment and tools, processes and associated
materials, personnel number and competence and general organisation are
adequate to discharge the responsibilities under CAR 21.165. For the manufacturing activity it is
essential that the necessary design data is available as a continuous
basis, i.e.
1) The production organisation is in receipt of
all necessary airworthiness data from DGCA and holder of or applicant of the
Type Certificate or design approval, as appropriate to determine conformity
with the applicable design data.
2) The production organisation has a procedure to
ensure that airworthiness data are correctly incorporated in its production
data.
3) The above data are kept up to date and made
available to all personnel who need access to such data to perform their
duties.
DGCA
will verify on the basis of the exposition and by appropriate investigations
that the production organization has established and can maintain their
documented quality system.
Independent
Quality Assurance Functions – The
quality system must include an independent quality assurance function to
monitor compliance with and adequacy of documented quality procedures.
‘Independent’ is related to the lines of reporting, authority and access within
the organisation. The aim is to have the organisation capability to produce in
conformity with the applicable design the products, parts and appliances in
condition for ‘Safe Operation’.
6.5.2
Organisation:
The production organisation must appoint following personnel -
The production organisation must appoint following personnel -
1)
A manager Accountable
to the DGCA to be nominated with responsibilities within organisation (corporate
authority) to ensure that all production is performed to the required standards
and that the production organisation in continuously in compliance with the
data and procedures identified in the exposition (manual). This function
may be carried out by the Chief Executive or by another person in the organization, nominated by him or her to
fulfill the function provided his or her position and authority in the organization
permits to discharge the attached responsibilities.
2) A manager or group of managers with responsibilities and tasks clearly defined, reporting directly or indirectly to the manager accountable. One of these managers, normally known as Quality Manager is responsible for monitoring the organisations compliance with the CAR 21 Sub part G. He or she should have a direct link with the manager accountable. DGCA requires the nominated managers to be identified and
3) Staff at all levels have been given appropriate authority to be able to discharge their allocated responsibilities and that there is full and effective co-operation within the production organisation in respect of airworthiness matters.
4) Certifying staff – Defined as those employees who are authorised to sign final documents (e.g. statement of conformity in the standard format DGCA Form -1 as shown in Appendix A).
The PO maintains a record of all certifying
staffs which must include the scope of their authorisation. Further certifying
staff are provided with evidence of the scope of their authorisation.
6.5.3
Production
Organisation Exposition (CAR 21.143)
The purpose of the Production
Organisation Exposition (POE) is to set
forth in a concise document format the organizational relationships,
responsibilities, terms of reference, and associated authority, procedures,
means and methods of the organization. The information to be provided is
specified in 21.143 (a).
Where this information is documented and
integrated in manuals, procedures and instruction, the POE should provide a
summary of the information and an appropriate cross reference. DGCA requires
the POE to be an accurate definition and description of the production organization.
The document does not require approval in itself, but it will be considered as
such by virtue of the approval of the organization. When changes to the organization
occur, the POE is required to be kept up to date as per a procedure, laid down
in the POE. Significant changes to the organization (as defined in GM
21.147(a)) should be approved by DGCA prior to update of the POE. When an organization
is approved against any other implementing rule containing a requirement for an
exposition, a supplement covering the differences may suffice to meet the
requirements of CAR 21 Subpart G except that the supplement should have an
index identifying where those parts missing from the supplement are covered. Those
items then formally become part of the POE. In any combined documents the POE
should be easily identifiable.
The
POA exposition must remain up to date and must be supplied to DGCA.
6.5.4 Terms
of Approval (CAR 21.151)
The terms of approvals are issued as part of
POA. It identifies the scope of work, the product and/or categories of parts
and appliances for which the holder is entitled to exercise privileges.
6.5.5 Investigations (Audit!) (CAR 21.157)
Each
applicant or holder of the POA shall make arrangements that allow DGCA to make
any investigations, including investigations of partners, and/or sub-contractors
necessary to determine compliance with the applicable regulations.
6.5.6 Privileges
of POA Holder (CAR 21.163)
The
holder of the POA
a) In the case of complete aircraft, submit a SOC
to the DGCA for the purpose of obtaining a Certificate of Airworthiness or
Export C of A.
b) In the case of other products, parts &
appliances Issue Authorised Release Certificate (DGCA Form -1) where certifying
staff has been approved by Quality Manager. (Please see Appendix ‘A’).
c) Maintain a new aircraft that he has produced,
and where certifying staff have been approved by Quality Manager, issue a
certificate of release to service in respect of that maintenance.
6.5.7
Responsibilities of Holder of POA (CAR 21.165)
The
holder of POA shall
a) Ensure that Prod Org Exposition furnished are
used as working documents within the organisation.
b) Maintain the production organisation in
conformity with the data and procedures approved for the POA.
c)
1) Determine that each completed
aircraft conforms to the type design and is in condition for safe operation
prior to submitting SOC to DGCA or
2)
Determine that other Products, parts or appliances are complete and
conforms to the approved design data and are in condition to safe operation
before issuing the a DGCA Form -1 to certify airworthiness, or
3)
Determine that other Products, parts or appliances conforms to the applicable
data before issuing the DGCA Form -1 as
a Conformity certificate.
d) Record all details of work carried out in a
form acceptable to DGCA.
1) Report to the holder of the TC
or Design Approval, all cases where products parts and appliances have been
released by the PO and subsequently identified to have deviations from the
applicable design data and investigate with the holder of the TC or DA to
identify those deviations which could lead to unsafe conditions.
2)
Report to DGCA, the deviations identified according to above sub para.
Such reports must be made in a form and manner acceptable to the DGCA.
3) Where the POA holder is acting as a supplier
to another production organisation, report also to that organisation.
e)
Provide
assistance to holder of TC or DA in dealing with any continuing airworthiness
actions that are related to the products, parts or appliances that have been
produced.
f) Institute an archiving system incorporating
requirements to its partners, suppliers and subcontractors, ensuring
conservation of data used to justify conformity of the products parts and
appliances to be held at the disposal of DGCA and to be retained in order to
provide the information necessary to ensure the continuing airworthiness of the
products, parts and appliances.
g)
Where, under the
terms of approval, he submits to the DGCA a certificate of release to service,
determine that each completed aircraft has been subjected to necessary
maintenance and is in condition for safe operation, prior to submitting the
certificate.
7. Design Organization Approval
7.1 Requirement of Design Organisation Approval (CAR 21.A.231)
According
to CAR 21 Sub Part JA (for type certification and ITSO authorisation for
design, development of Auxiliary Power Unit) and subpart JB (for parts and
appliances), any organisation desirous of development of aircraft and related
products, parts and appliances as well as their certification or as TC holder
of any product, parts and appliance must possess the DOA. Acquiring a DOA is
demonstrated capability for carrying out design and development activity.
7.2 Functions of Design Organisation - The main duties are:
1. To design
2. To demonstrate compliance with the applicable
requirements
3. To independently check the statement of
compliance
4. To provide items for continued airworthiness
5. To check the jobs performed by partners/sub-contractors
6. To independently monitor the functions
7. To provide the authorities with compliance
document
8. To allow the authority to make any inspection
and any flight and ground tests necessary to check the validity of the statement of compliance.
7.3 Issue
of Design Organisation Approval (CAR 21. A235)
The
Engineering Directorate in the DGCA has the authority to accord the DOA. The
applicant can be issued with DOA if it has demonstrated the compliance with the
applicable following requirement under this subpart –
a) CAR 21.A 239: Design Assurance System
- The
organisation has established and can maintain DAS (Design Assurance System) for the control and
supervision of the design or of design changes.
b) CAR 21. A 243: Data Requirement (DOE)
1) To furnish a handbook which the
organisation, the relevant procedures and the range of products or changes to
the product.
2) Description and information on the design
activities and organisations of the various partners or subcontractors as
necessary to establish the statement.
3) The handbook shall be amended and kept up to
date with all changes with respect to the organisation and DGCA will be
supplied with the amendments.
4) A
statement of the qualification and experience of the management, staff and
other persons responsible for making decision affecting airworthiness of the organisation.
7.3.1 Design Assurance System
The main purpose of institution of a design assurance
system is for control and supervision of the design and design changes to the
product covered by the applicant. This includes all activities for the
achievement of the type certificate, the approval of changes and the
maintenance of continued airworthiness. The relation between design, design
assurance and type investigation is shown in figure - 3. In particular the design assurance system
should include the organisational structure to:
- Control
the design
- Show
compliance with the applicable certification standards and environmental
requirements
- Show
compliance with protection requirements
- Independently
check this compliance
- Liaise
with DGCA
- Continually
evaluate the design organisation
- Control
Subcontractors
Figure – 3: Relation between Design, Design
Assurance and Type Investigation
The
design assurance is accomplished through the action of:
a) Certification
Verification Engineers (CVE)
1) CVE are responsible for checking and signing
all the documents of compliance with the applicable requirements.
2) The CVE may work in conjunctions with the
individuals who prepares compliance documents, but may not be directly involved
in their creation.
b) System
Monitoring (See Figure 2.3)
1) Has the task of ensuring that all the
responsibilities of the DAS are properly discharged, proposing corrective and
preventive measures for continuous effectiveness. Normally these are done
through targeted audits.
2) The system monitoring could be a functional
emanation of the applicant’s Quality Assurance System.
3) The person responsible for system monitoring
always reports to the ‘Head of Design
Organisation’.
c) DOA
Handbook
This
is the basic document which describes the organisation containing the description,
the object of certification, staff functions, all procedures related to design
activities, tests and others.
7.3.2 Terms of Approval (CAR 21.A 251 and CAR
B.251)
Terms
of approval is issued as part of DOA. This lists the type of the design work,
the categories of the product and the specific products or changes thereof. The
functions and duties that the organisation is approved to perform in regards to
the airworthiness of products are also indicated.
7.3.3 Investigations (CAR 21.A257 and B 257)
a) Each applicant or holder of the DOA shall
make arrangements that allow DGCA to make any investigations, including
investigations of partners, and/or subcontractors necessary to determine
compliance with the applicable regulations.
b) Each holder of the DOA must allow DGCA to
make any inspections and any flight and ground tests necessary to check the
validity of the compliance statement submitted by the applicant.
7.4 CAR 21.A 263: Privileges (CAR A 263)
a) The compliance document submitted by the
organisation for the purpose of
1) Obtaining a type certificate or approval of a
major change to a type design
2) A supplemental type certificate (clause is
reserved in case of DGCA)
3) Obtaining an ITSO under CAR 21.A 263 (b)
4) A major design approval (this clause is absent
in DGCA)
---- may be accepted by the DGCA without further verification.
b) The holder of the DOA may within his terms
of approval
1)
Propose
classification of changes to the type design as ‘major’ or ‘minor’ to DGCA
2)
Approve minor
changes to Type Design under procedures agreed with DGCA
3)
Approve
documentary changes to aircraft flight manual and other documents
4)
Approve the
repair of major repair for the product for which it holds TC (not exists in
DGCA CAR 21).
7.5 Responsibilities of Holder of DOA (CAR
21.A 265 and 21.B 265))
The
peculiarity of the DOA is the creation of the Office of Chief Airworthiness
which among other tasks ensures liaison between design organization and the
airworthiness authority with respect to all aspect of the type certification. The CAW office will also issues the update of
DOA handbook (sometimes called Design Organisation Manual).
The holder of a design
organization approval shall:
(a) Maintain the
handbook in conformity with the design assurance system;
(b) Ensure that this
handbook is used as a basic working document within the organization;
(c) Determine that the
design of products, or changes or repairs thereof, as applicable, complies with
applicable requirements and have no unsafe feature;
(d) For all changes or
repairs, provide to DGCA statements and associated documentation confirming
compliance with paragraph (c);
(e) Provide to DGCA
information or instructions related to required actions under 21.3B.
Reference:
1. Andre Aeur, ‘JAA – EASA Transition’.
3. ICAO: http://www.icao.int/
4. FAA: http://www.faa.gov/ Andre Aeur, ‘JAA – EASA Transition’.
5. CAA of Australia: http://www.casa.gov.au/
7. Agencia Nacional de Aviacao Civil) Brazil: http//www.anac.gov.br
8. DGAC (Direction Generale de l’aviation civil), France http://www.aviation-civile.gov.fr/
9. NAC CAR 21, DGCA, Govt of India
10. CAR 21, DGCA, Govt of India
11. Airworthiness An introduction to Aircraft Certification, Filippo De Florio, Elsevier Publication,
UK, 2006.
Appendix
‘A’
