ICAO and Civil Aviation

Section -1, Chapter -2: ICAO and Civil Aviation 

International Institute for Aerospace Engineering and Management 

M.Tech: Aerospace Engineering (Manufacturing &  Maintenance Management)

   Prof. Kanchan Biswas, Adjunct Faculty, IIAEM, Jain University

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 21^st 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.

 Figure – 1: Organisation Structure of FAA

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 (a): Organisation Structure of DGCA Head Quarters as of Feb 2015

Figure – 2 (b): Organisation Structure of DGCA Airworthiness Directorate

Figure – 2 (c): Organisation Structure of DGCA Aircraft Engineering 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.

             

       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 -

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:

1. Control the design
2. Show compliance with the applicable certification standards and environmental requirements
3. Show compliance with protection requirements
4. Independently check this compliance
5. Liaise with DGCA
6. Continually evaluate the design organisation
7. 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’.

2.  EASA: http://easa.europa.eu

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/

6.  Transport Canada: http://www.tc.gc.ca/eng/air-menu.htm

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’