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evolve. While those States did not develop their certification
practices in coordination with each other, their practices are
remarkably similar and consistent in their requirements. The
effectiveness of their practices has been validated over many
years, resulting in improved safety records of operators
throughout the world. Many of these certification practices
have been incorporated by reference in ICAO provisions.
2. Required technical safety evaluations
2.1 Approval and acceptance actions
2.1.1 The certification and continued surveillance of an
air operator includes actions taken by a State on matters submitted
for its review. The actions can be categorized as
approvals or acceptances depending on the nature of the
response by the State to the matter submitted for its review.
2.1.2 An approval is an active response by the State to a
matter submitted for its review. An approval constitutes a finding
or determination of compliance with the applicable standards.
An approval will be evidenced by the signature of the
approving official, the issuance of a document or certificate, or
some other formal action taken by the State.
2.1.3 An acceptance does not necessarily require an
active response by the State to a matter submitted for its
review. A State may accept a matter submitted to it for review
as being in compliance with the applicable standards if the
State does not specifically reject all or a portion of the matter
under review, usually after some defined period of time after
submission.
2.1.4 The phrase “approved by the State” or similar
phrases using the word “approval” are frequently used in
Part III, Section II. Provisions indicating a review and
implying approval or at least “acceptance” by the State occur
even more frequently in Part III, Section II. In addition to
these specific phrases, Part III, Section II contains numerous
references to requirements which would, as a minimum, create
the need for at least a technical review by the State. This
Attachment groups and outlines those specific Standards and
Recommended Practices for ease of use by States.
2.1.5 The State should make or arrange for a technical
safety evaluation before issuing the approval or acceptance.
The evaluation should:
a) be accomplished by a person with specific qualifications
to make such a technical evaluation;
b) be in accordance with written, standardized methodology;
and
c) where necessary to safety, include a practical demonstration
of the air operator’s actual ability to conduct
such an operation.
2.2 Demonstrations necessary prior to some approvals
2.2.1 Standard 2.2.1.4 obligates the State of the Operator,
prior to certification of an operator, to require sufficient demonstrations
by the operator to enable the State to evaluate the
adequacy of the operator’s organization, method of control and
supervision of flight operations and maintenance arrangements.
These demonstrations should be in addition to the
review or inspections of manuals, records, facilities and equipment.
Some of the approvals required by this Part, such as
Annex 6 — Operation of Aircraft Part III
12/31/111//0016 ATT F-2
No. 11
approval for Category III operations, have significant safety
implications and should be validated by demonstration before
the State approves such operations.
2.2.2 While the specific methodology and extent of the
required demonstrations and evaluations vary between States,
the certification processes of States whose operators have good
safety records are generally consistent. In these States, technically
qualified inspectors evaluate a representative sample of
the actual training, maintenance and operations prior to the
issuance of an AOC or additional authorizations to the AOC.
2.3 Recording of certification actions
2.3.1 It is important that the certification, approval and
acceptance actions of the State are adequately documented.
The State should issue a written instrument, such as a letter or
formal document, as an official record of the action. These
written instruments should be retained as long as the operator
continues to exercise the authorizations for which the approval
or acceptance action was issued. These instruments are unambiguous
evidence of the authorities held by an operator and
provide proof in the event that the State and the operator
disagree on the operations that the operator is authorized to
conduct.
2.3.2 Some States collect certification records such as
inspections, demonstrations, approvals and acceptance instruments
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