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into a single file which is retained as long as the operator
is active. Other States retain these records in files
according to the certification action performed, and revise the
file as the approvals or acceptance instruments are updated.
Regardless of the method used, these certification records are
persuasive evidence that a State is complying with its ICAO
obligations regarding operator certification.
2.4 Coordination of operations
and airworthiness evaluations
Some of the references to approval or acceptance in Part III,
Section II will require an operations evaluation and an airworthiness
evaluation. Low minima approvals for the conduct
of Category II and III ILS approaches, for example, require
coordinated prior evaluation by operations and airworthiness
specialists. Flight operations specialists should evaluate the
operational procedures, training and qualifications. Airworthiness
specialists should evaluate the aircraft, equipment reliability
and maintenance procedures. These evaluations may be
accomplished separately, but should be coordinated to ensure
that all aspects necessary for safety have been addressed
before any approval is issued.
2.5 State of the Operator and
State of Registry responsibilities
2.5.1 Annex 6, Part III, Section II places the responsibility
for initial certification, issuance of the AOC, and ongoing
surveillance of an air operator on the State of the Operator.
Annex 6, Part III also requires the State of the Operator to consider
or act in accordance with various approvals and acceptances
by the State of Registry. Under these provisions, the
State of the Operator should ensure that its actions are consistent
with the approvals and acceptances of the State of Registry
and that the air operator is in compliance with State of Registry
requirements.
2.5.2 It is essential that the State of the Operator be
satisfied with the arrangements by which its air operators use
aircraft on the register of another State, particularly for maintenance
and crew training. The State of the Operator should
review such arrangements in coordination with the State of
Registry. Where appropriate, an agreement transferring oversight
responsibilities from the State of Registry to the State of
the Operator pursuant to Article 83 bis to the Convention on
International Civil Aviation should be arranged to preclude
any misunderstandings regarding which State is responsible
for specific oversight responsibilities.
Note.— Guidance concerning the responsibilities of the
State of the Operator and the State of Registry in connection
with lease, charter and interchange operations is contained in
the Manual of Procedures for Operations Inspection, Certification
and Continued Surveillance (Doc 8335). Guidance concerning
the transfer of State of Registry responsibilities to the
State of the Operator in accordance with Article 83 bis is contained
in Guidance on the Implementation of Article 83 bis of
the Convention on International Civil Aviation (Cir 295).
3. Approval actions
3.1 Approvals
The term “approval” implies a more formal action on the part
of the State with respect to a certification matter than does the
term “acceptance”. Some States require the Director of the
CAA or a designated lower level CAA official to issue a
formal written instrument for every “approval” action taken.
Other States allow a variety of documents to be issued as
evidence of an approval. The approval document issued and
the matter addressed by the approval will depend on the delegated
authority of the official. In such States, authority to sign
routine approvals, such as operator Minimum Equipment Lists
for specific aircraft, is delegated to technical inspectors. More
complex or significant approvals are normally issued by higher
level officials.
Attachment F Annex 6 — Operation of Aircraft
ATT F-3 12/31/111/0/016
No. 11
3.2 Air operator certificate (AOC)
3.2.1 The AOC required by Annex 6, Part III, 2.2.1 is a
formal instrument which, as stated by 2.2.1.6, should include
approvals for at least the following:
a) operator’s identification (name, location);
b) date of issue and period of validity;
c) description of the types of operations authorized;
d) the type(s) of aircraft authorized for use; and
e) authorized areas of operations or routes.
3.2.2 Some States use the AOC and associated documents,
such as Operations Specifications to document the
other approvals required by Part III, Section II.
3.3 Provisions that require an approval
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