INTRODUCTION TO THE

MODEL CIVIL AVIATION SAFETY ACT AND MODEL REGULATIONS

\[STATE\] is a Signatory to the Convention on International Civil
Aviation (Chicago Convention, signed at Chicago on 7 December 1944).
Under Article 12 of the Convention, \[STATE\], as a Contracting State,
is obligated to adopt measures to insure safety through conformity with
international standards in its safety oversight obligations. The
fundamental elements of national safety oversight are legislation
establishing and empowering a civil aviation authority in \[STATE\], and
the promulgation of specific operating regulations for civil aviation.

The Model Civil Aviation Safety Act and the Model Regulations are
published to assist the government of \[STATE\] in carrying out its
aviation safety oversight responsibilities. The Model Civil Aviation
Safety Act and the Model Regulations provide primary information
sufficient to allow \[STATE\] to meet its overall safety oversight
responsibilities and to emphasize \[STATE\]\'s commitment to aviation
safety. Under Articles 37 and 38 of the Chicago Convention, \[STATE\]
has agreed to conform to the standards and recommended practices (SARP)
presented by the International Civil Aviation Organization (ICAO) in a
series of ICAO Annexes addressing subjects ranging from the licensing of
airmen to the shipment of dangerous goods by air. Each ICAO Annex sets
forth ICAO standards, which are the minimum standards required for
operation in international aviation by aircraft registered in a
Contracting State. Recommended practices set forth in each ICAO Annex,
while not mandatory, provide information about what standards should be
adhered to in order to insure aviation safety.

**MODEL CIVIL AVIATION SAFETY ACT**

The Model Aviation Safety Act (Act) provides a legal basis for the
establishment of a Civil Aviation Authority, or CAA in \[STATE\],
referred to in the Model Statute and the Model Regulations as the
"Authority." The Act establishes the Authority under the Director of
Civil Aviation, and defines both the duties and the authority granted
the Director under the law of \[STATE\]. Subchapters I through IV
address the organization, administration, general powers, and duties of
the Authority. Subchapter V requires the registration of aircraft in
\[STATE\] and makes the maintenance of a system of recordation of such
registration a matter of law. Subchapter VI sets forth the statutory
bases for safety regulation by the Authority, including the
certification of aviation personnel and entities, the duties required of
aviation operators and airmen, the power of inspection granted the
Authority and prohibitions applicable to all citizens of \[STATE\]
respecting aviation. Subchapter VII sets forth the civil and criminal
penalties that may be imposed by the Authority for violations of the law
or the regulations, and Subchapter VIII establishes the procedure that
is to be followed by the Authority in enforcement action. Statutory
authority for the economic regulation of air operators is also
necessary, but due to the variation in national systems, no such
language is provided in this Model Civil Aviation Safety Act.

It is recognized that most Signatories to the Chicago Convention may
already have a civil aviation law. The purpose of the Model Civil
Aviation Safety Act is to provide the basis for review and modification
of existing law, where such review and modification is deemed necessary
by \[STATE\].

**MODEL REGULATIONS**

The Model Regulations present ICAO standards as regulatory requirements
for aircraft expected to operate internationally from and into
\[STATE\]. Where applicable, ICAO recommended standards are included for
completeness. Each model regulation presents the standards and
recommended practices in the appropriate ICAO Annex supplemented by
sections from the United States Federal Aviation Regulations (14 CFR)
and/or the European Joint Aviation Requirements (JAR). Supplementation
by 14 CFR or JAR allows efficient implementation of the basic ICAO
standards and recommended practices, based upon the experience gained by
the FAA and the JAA. In some instances, modern regulatory practice in
aviation either exceeds the ICAO Annex requirements or regulates in
areas not yet addressed by the ICAO. Where Model Regulations exceed the
requirements of a specific ICAO Annex, or address an area not covered by
the ICAO Annex, those model regulations will be based upon the
appropriate provisions of 14 CFR and the JAR.

Modern aviation practice presents complex situations to an Authority.
These model regulations attempt to address the present situation faced
by most countries, with aircraft operating both within the country and
in international aviation. One of the assumptions underlying the Model
Regulations is that most aircraft registered in \[STATE\] will have the
range to operate in both local and international aviation. Simplicity in
the regulation of civil aviation under such circumstances supports the
consistent application of ICAO rules throughout the aviation community
within \[STATE\].

In most cases, a modern Authority must account for a number of different
situations while regulating its aviation community. The key to
satisfactory assurance of safety and accountability is the use of
efficient and effective means of communication and data transfer. The
Model Regulations assume that the following situations will be present
in \[STATE\], and in most Contracting States:

-   there are aircraft registered in \[STATE\] that were designed and
    manufactured in another Contracting State;

-   there are aircraft registered in \[STATE\] that were designed in one
    Contracting State and manufactured in another Contracting State;

-   \[STATE\] may have Air Operator Certificate (AOC) holders who
    operate aircraft registered in another Contracting State, which may
    have different states of design and manufacture;

-   \[STATE\] may have AOC holders who are part of a regional
    consortium, with operations and maintenance facilities in a
    neighboring country;

-   \[STATE\] international air carriers may operate in countries
    requiring pilot's licenses with terms and conditions additional to
    those required by ICAO Annex 1, and which differ from one country or
    region to another;

-   \[STATE\] may host air operators and/or aviation repair facilities
    that are required to follow the regulations of another country or
    region in addition to those of \[STATE\];

The Model Regulations are presented in eleven Parts. Part 1, *General
Policies, Procedures and Definitions*, sets forth the basic rules of
construction and application of the regulations, definitions applicable
to more than one Part, and the rules governing the administration of
licenses and certifications. Of special interest are the Implementing
Standards that accompany each Part. These Implementing Standards provide
detailed requirements that support the intent of a regulation presented
in a Part, but gain the force and effect of the governing regulations
only if specifically referred to in the governing regulation.
Implementing Standards are used in the Model Regulations to allow an
Authority the flexibility to incorporate new practices or procedures as
they become available without the procedures required for promulgation
of legally binding regulations.

Part 2 addresses the licensing of personnel. Article 32 of the Chicago
Convention requires \[STATE\] to issue certificates of competency and
licenses or validate such certificates or licenses issued by other
Contracting States to the pilot of every aircraft and to other members
of the operating crew of every aircraft engaged in international
navigation. The basis of this obligation is the goal of promoting and
conducting safe and regular aircraft operations through the development
and implementation of internationally acceptable certification and
licensing processes. If the same process is extended to domestic
operations, \[STATE\] can ensure the overall safety of aircraft
operation through unification of licensing requirements. ICAO Annex 1,
Personnel Licensing, presents the broad international specifications for
personnel licensing agreed upon by Contracting States. Most of the
specifications in ICAO Annex 1 are not given in enough detail to satisfy
the day-to-day management of a country's personnel licensing activities.
Part 2 of the Model Regulations presents detailed requirements for the
general rules of licensing and detailed requirements for the
certification of airmen, pilots, non-pilot flight crewmembers, and
airmen, such as mechanics, who are not flight crew. Part 2 also presents
medical standards for the granting of licenses and certification, and
for the administration of medical examinations. The licensing and
medical standards are based upon ICAO Annex 1, as well as both 14 CFR
and the JAR.

Part 3 of the Model Regulations addresses the certification and
administration of Aviation Training Organizations (ATO). No ICAO Annex
presently covers international standards for an ATO. Consequently, Part
3 relies heavily upon regulations presented in 14 CFR and the JAR. The
use of an ATO for the training and qualification of airmen is common in
modern aviation, most particularly as operators upgrade their aircraft
inventory and airmen transition to new aircraft. The interrelation
between ATO requirements under Part 3 and the licensing and
certification requirements of Part 2 is plain. Even if \[STATE\] does
not have an ATO located in the country, the requirements for ATO
operation do apply to the standards required for adequate training for
qualification for a \[STATE\] certification. Thus, \[STATE\] citizens
who receive training from a foreign ATO should be trained by an ATO
meeting \[STATE\] standards. This situation will be encountered when a
\[STATE\] holder of an Air Operator Certificate (AOC), such as a
national airline, is part of a regional consortium with AOC holders from
other Contracting States in the region, and the consortium has
established an ATO in only one of the regional Contracting States. The
regulations set forth in Part 3 allow for this situation.

Part 4 of the Model Regulations set forth the requirements for
registration of aircraft in \[STATE\], and governs the application of
nationality and registration marks. This Part is derived from ICAO Annex
7.

Part 5 of the Model Regulations presents regulatory requirements for the
airworthiness of aircraft expected to operate in \[STATE\] using the
standards and recommended practices in ICAO Annexes 6 and 8 supplemented
by sections from 14 CFR and the JAR. Part 5 is designed to address the
complex situation faced by most countries today respecting the
airworthiness of aircraft operating within the country and in
international aviation. In most such cases, there are aircraft
registered in \[STATE\] that were designed and manufactured in another
Contracting State, and aircraft registered in \[STATE\] that were
designed in one Contracting State and manufactured in another
Contracting State. In addition, \[STATE\] may have AOC holders who
operate aircraft registered in another Contracting State, with different
states of design and manufacture. Additionally, \[STATE\] may have AOC
holders who are part of a regional consortium, with maintenance
facilities in a neighboring country. Proper airworthiness of aircraft
registered in \[STATE\] is the result of communication. The Model
Regulations require all persons operating \[STATE\] registered aircraft
to notify the Authority when certain events occur. The Authority is
required to open lines of communication with the State of Design and/or
the State of Manufacture, so that the Authority can receive all safety
bulletins and airworthiness directives for each type of aircraft
operating in \[STATE\]. Maintenance requirements are set forth in Part 5
for persons who are neither employees of an Approved Maintenance
Organization (AMO) nor work for an Air Operator.

Part 6 of the Model Regulations provides regulations for the
registration and monitoring of Approved Maintenance Organizations (AMO)
in \[STATE\]. The proper maintenance of aircraft is fundamental to
aviation safety, and requires meticulous record-keeping. Modern practice
among Contracting States varies. In the United States, persons may be
individually licensed, or may be granted maintenance authority as a
member of an AMO. Similarly, a United States AOC holder may use an AMO,
or may employ a maintenance organization using licensed personnel. In
JAA practice, the maintenance organization of an AOC holder must qualify
as an AMO in its own right. Whether or not \[STATE\] adopts the FAA or
JAA approach with their AOC holders, there will be a need for oversight
and regulation of AMO's. Maintenance requirements for AOC holders with
integral maintenance organizations with no AMO certificate are addressed
in Part 9. Please note that Section 6.2.1.1(a)(4) requires an AMO
applicant within \[State\] to disclose any and all AMO certificates in
any Contracting State other than \[STATE\]. Many regional airline
consortia use common maintenance facilities in one Contracting State.
This practice does not relieve \[STATE\] from approving the AMO that its
AOC holders use. Knowledge of the other Contracting State's AMO
licensing and regulating practices will allow the Authority both to
communicate with the Authority overseeing the AMO certificate, and to
weigh the AMO requirements of the other Contracting State for
satisfaction of \[STATE\]'s own regulations.

Part 7 of the Model Regulations presents regulatory requirements for
instruments and equipment on aircraft expected to operate in \[STATE\].
The requirements in Part 7 address three categories of aircraft
operations. The sections of Part 7 applicable to all aircraft address
minimum requirements, and are noted by the key \[AAC\] preceding the
particular section. It is important to note that the AAC designation
applies to all aircraft in the Commercial Air Transport \[CAT\] and AOC
Holder \[AOC\] categories unless other, more specific regulations
supplant the \[AAC\] requirement. In some instances, certain items such
as Mach meters or sea anchors apply only to aircraft with performance
characteristics requiring such items. Some \[AAC\] requirements apply to
passenger-carrying aircraft. In such instances, the requirement
addresses the operation of any passenger-carrying aircraft, most
particularly corporate aircraft, that may have performance and range
capabilities matching the type of aircraft operated by commercial air
transport entities or AOC holders. Similarly, some equipment specified
for \[CAT\] or \[AOC\] aircraft have sections keyed as \[AAC\]. In such
instances, if a non- \[CAT\] or \[AOC\] aircraft is fitted with such
equipment, the equipment characteristics must comply with the applicable
sections designated \[AAC\]. The key \[CAT\] addresses those aircraft
operated commercially, that is, for compensation or hire, within
\[STATE\] or into or from \[STATE\]. \[CAT\] requirements will apply to
\[AOC\] aircraft unless a section designated as \[AOC\] supplies a more
specific requirement. The key \[AOC\] applies to AOC holders operating
in \[STATE\], whether on domestic or international flights. Certain
sections, such as those addressing MNPS airspace, may not address
airspace contiguous to \[STATE\], but anticipate that \[STATE\] AOC
holder's aircraft may operate through such airspace in the course of
commerce. Such requirements are intended to facilitate the integration
of \[STATE\] AOC holders into such operations. As in other Parts of
these Model Regulations, operators of aircraft operated in \[STATE\] but
registered in another Contracting State must notify the Authority in
\[STATE\] when alterations, major repairs or major alterations are made
to the aircraft. \[STATE\] may have unique territorial or geographic
features that may affect the operation of aircraft, and must be kept
informed of the condition of aircraft operated within its borders. Part
7 includes survival equipment requirements that may apply to \[STATE\].
The Authority is encouraged to review geographic areas within \[STATE\],
and designate those areas requiring specific types of survival
equipment.

##### Part 8 of the Model Regulations presents regulatory requirements for the operation of aircraft in \[STATE\], based upon the requirements of ICAO Annexes 6 and 8. Part 8 prescribes the requirements for operations conducted by airmen certificated in \[STATE\] while operating aircraft registered in \[STATE\], as well as operations of foreign registered aircraft by \[STATE\] AOC holders, and operations of aircraft within \[STATE\] by airman or AOC holders of a foreign State. Part 8 applies to operations outside of \[STATE\] by all \[STATE\] pilots and operators unless compliance would result in a violation of the laws of the foreign State in which the operation is conducted. The regulations apply to all aircraft, except where superseded by the more stringent requirements put upon entities engaged on commercial air transport and upon AOC holders. {#part-8-of-the-model-regulations-presents-regulatory-requirements-for-the-operation-of-aircraft-in-state-based-upon-the-requirements-of-icao-annexes-6-and-8.-part-8-prescribes-the-requirements-for-operations-conducted-by-airmen-certificated-in-state-while-operating-aircraft-registered-in-state-as-well-as-operations-of-foreign-registered-aircraft-by-state-aoc-holders-and-operations-of-aircraft-within-state-by-airman-or-aoc-holders-of-a-foreign-state.-part-8-applies-to-operations-outside-of-state-by-all-state-pilots-and-operators-unless-compliance-would-result-in-a-violation-of-the-laws-of-the-foreign-state-in-which-the-operation-is-conducted.-the-regulations-apply-to-all-aircraft-except-where-superseded-by-the-more-stringent-requirements-put-upon-entities-engaged-on-commercial-air-transport-and-upon-aoc-holders. .Temp5}

Part 9 of the Model Regulations sets forth the requirements for persons
or entities to be granted an AOC certification from \[STATE\]. Part 9
includes regulations concerning the AOC certificate, flight operations
management, maintenance requirements, security management, and dangerous
goods management. Note that the requirements for an AOC-operated
maintenance organization are contained in this part, and shall apply
where the AOC does not use the services of an AMO, or does not gain an
AMO certification for its maintenance organization.

#####  Part 10 of the Model Regulations prescribes requirements applicable to foreign air carriers. Commercial air transport by a foreign air carrier is the operation of any civil aircraft or helicopter for the purpose of commercial air transportation operations by any air carrier whose Air Operator Certificate is issued and controlled by a civil aviation authority other than \[STATE\]. Part 10 does not apply to aircraft and helicopters when used by military, customs, and police services, unless those flights are made for compensation or hire. Part 10 sets forth the requirements for operations specifications, documents to be carried aboard the aircraft, and security and dangerous goods requirements placed upon a foreign air carrier operating into or out of \[STATE\].

Part 11 of the Model Regulations sets forth the requirements for aerial
work operations, including agricultural aviation, helicopter external
load carrying, glider and banner towing, TV and movie operations,
sight-seeing flights, fish spotting and traffic reporting. Although the
requirements of Part 11 appear to address operations internal to
\[STATE\], in some instances, aircraft registered in \[STATE\] will be
able to perform aerial work in contiguous states. If such operations can
be carried out outside the boundaries of \[STATE\], the aircraft must be
operated and maintained in accordance with ICAO standards set forth in
other Parts of these Model Regulations.

**REGIONAL COORDINATION**

The Authority of \[STATE\] should consider the benefit of correlating
their civil aviation laws and regulations with those of other
Contracting States in the region. Correlation of regulations can lead to
greater unity of air safety efforts by \[STATE\] and its neighbors. This
approach can facilitate the safety regulation of commercial consortia
operating in a region that includes \[STATE\]. The Model Civil Aviation
Safety Act and the Model Regulations provide a basis for such
correlation.