The National Regulatory Framework for Aviation

Chapter 2

Chapter 2

The National Regulatory

The National Regulatory

Framework

Framework

1

Learning Objectives

Learning Objectives

At the end of the lesson, Participants will be able to

appreciate:



the need for effective management of state letters;



the Identification, Notification and Publication of

Differences



the development and review of the primary

legislation, Operating Regulations and Technical

Guidance Materials

2

Reference Documents

Reference Documents



Doc 7300 – The Convention on International Civil

Aviation



Doc 9734, Safety Oversight Manual, Part A – The

Establishment and Management of a State Safety

Oversight System



Doc 10055- Manual on Notification and Publication of

Differences

3

Module Content

Module Content



Management of state letters



Identification, notification and publication of

differences



Development and review of legislation and

operating regulations



Development and review of Technical Guidance

Material

4

Definition of The Regulatory Framework

Definition of The Regulatory Framework



Regulatory Framework means any laws,

regulations, decrees and policies officially

developed and approved by the government,

for the purposes of regulating a given industry.

5

Management of State Letters

Management of State Letters



Article 37:- Each contracting State undertakes to collaborate in

securing the highest practicable degree of uniformity in

regulations, standards, procedures, and organization….



ICAO issues State letters on diverse subjects including the

amendment of existing SARPS;



SARPs cover all technical and operational aspects of ICAO i.e.

safety, personnel licensing, rules of the air, Collection and

exchange of meteorological information, Aeronautical maps

and charts, Communications systems and air navigation aids

and operation of aircraft etc.



ICAO reviews and adopts amendments to Annexes when two-

thirds of the members are in favour of such amendments.

6

Management of State Letters

Management of State Letters

Quick Revision on the SARPs Amendment process

Quick Revision on the SARPs Amendment process



formulation of new or revised SARPs begins with a proposal for

action from ICAO or from a contracting States or from

international organizations.



Analysis is done by the Air Navigation Commission (ANC) , or the

Commission may assign its review to a specialized working

group/panel/technical committee.



various groups report back to the ANC



original recommendations for core SARPs along with any

alternative proposals developed by the ANC are submitted to

Contracting States and selected international organizations for

comments

7

Management of State Letters

Management of State Letters

Quick Revision on the SARPs Amendment process

Quick Revision on the SARPs Amendment process



Council reviews final proposals of the ANC and adopts the

amendment to the Annex if two-thirds of the members are in favour;



States be allowed three months to indicate disapproval of adopted

amendments to SARPs;



A common effective date for all amendments adopted by Council is

set as four months after the last day of the Council session when the

adoption took place;



The SARP applicability date is normally eight months after adoption

and approximately four months after the effective date and is based

on the November AIRAC* date;



On the Applicability Date, States must implement the amendments or

they notify ICAO of differences in implementation.

8

Management of State Letters

Management of State Letters



It is imperative that each state has a coordinated approach

towards ensuring all communication from ICAO is received in an

orderly manner, analyzed and responses generated within the

provided deadlines;



The following procedure may apply to a state:

a)

Designate an office where all communication is received i.e.

the office of NCMC;

b)

Develop a workflow that involves the relevant departments

and management;

c)

There could be need to establish a State Letter Management

Committee comprising of representation from :

9

Management of State Letters

Management of State Letters

Legal Department, Flight Operations, Airworthiness, Personnel

Licensing, Aerodromes and Ground Aids, Air Navigation Services,

Security, Air Transport/Economic Regulation, Accident

Investigation and Environmental protection.



Adopt the Compliance Checklists (CC)/Electronic Filing of

Differences (EFOD) as the primary means of filing of differences

with ICAO;



In situations where we have regional aviation blocks it is

important that responses are harmonized;

10

Management of State Letters

Management of State Letters

Generic Procedure For Handling State Letters

Generic Procedure For Handling State Letters



Designate an office or officer like the NCMC who shall access

the ICAO-NET and download the state letters



In some cases the regional office sends some SLs  directly to

states on some pertinent issues like PIRG deficiency resolution;



in rare circumstances a hard copy may be  received through the

courier/postal dispatch;



NCMC to register the downloaded state letter (or hard copy

where applicable) in the Authority’s State Letter Register or in

cases where there is an automated file/letter management

system the same should be utilized as applicable.

11

Management of State Letters

Management of State Letters

Generic Procedure For Handling State Letters



NCMC to distribute the SL to the relevant Department and/or

other agencies or departments involved with Civil Aviation for

their information, consideration and comments;



Consideration to be given to the timelines and need to compile

the state position to ICAO



The state letter committee to vet the input received and

consolidate the final position as a report for the CEO’s

approval;

12

Management of State Letters

Management of State Letters

Handling ICAO State Letters Other Than Amendments Of

Handling ICAO State Letters Other Than Amendments Of

SARPS or ICAO Documents

SARPS or ICAO Documents

ICAO may issue State letters on matters other than

proposals for amendment of SARPs. This may include;



Informing States of meetings/workshops/ seminars/

trainings;



Requiring States to take certain urgent actions;



Providing States with guidance on particular matters;

and



Any other pertinent information that ICAO may consider

necessary to warrant issuance of a State letter.

13

Management of State Letters

Management of State Letters

Handling ICAO State Letters Other Than Amendments Of

Handling ICAO State Letters Other Than Amendments Of

SARPS Or ICAO Documents

SARPS Or ICAO Documents



These types of State letters shall be distributed

depending on the subject and to the relevant

department;



Nominations to meetings/ workshops/ seminars/

trainings shall take cognizance of the subject matter

and policy of the concerned state;

14

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences



In accordance with Article 37 of the Chicago Convention each

Contracting State undertakes to collaborate in securing the

highest practicable degree of uniformity….



SARPs are adopted by the Council in accordance with Articles

37, 54 and 90 of the Chicago Convention and are designated as

Annexes;



 Article 38 of the Chicago Convention : Any State which finds it

impracticable to comply shall give immediate notification to the

International Civil Aviation Organization of the differences

between its own practice and that established by the

international standard.

15

Identification, Notification and

Identification, Notification and

Publication Of Differences

Publication Of Differences



A Contracting State must notify ICAO at all times

a)

if it does not comply with a Standard in all

respects;

b)

does not bring its regulations or practices into full

accord with any Standard; or

c)

adopts regulations or practices differing in any

particular respect from the Standard.

16

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences



The following are some of the circumstances

that may require the notification of a difference:

a)

A situation in which the State does not bring

its practices into full accord with the

Standard. i.e. partial implementation



Adoption of annex 2 standard 2.1.1 and

article 12 of the convention but no

adoption of the high seas requirement in

the area of jurisdiction.

17

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

b)

A situation in which the State’s regulation (or lack

thereof) differs from the Standard. Application of the

standard but no incorporation of the same into the

national regulations.

c)

A situation in which the State does not comply with a

Standard in all respects ( No incorporation into its

national regulations and not implemented or applied

it in practice within the aviation system;

18

Identification, Notification and

Identification, Notification and

Publication Of Differences

Publication Of Differences



States may report temporary or short-term differences (e.g.

exemptions) and provide such information through other

means like NOTAM or AIC in accordance with Annex 15.



The notification of differences does not relieve a State of its

obligations and may still result in a USOAP  finding related to

the specific SARP



The state is required to publish the differences in the AIP

(GEN 1.7) in a form that would enable a user to differentiate

readily between the requirements of the State and the

related ICAO provisions

19

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences



the publication of significant differences in the AIP is,

primarily, to provide flight crews, and other  stakeholders,

with information which is essential to international

operations, and which is not readily available;

20

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Benefits Of Notifying Differences

Benefits Of Notifying Differences



Promotes, safety, efficiency and regularity in air navigation



enhances transparency of safety information, and,

consequently, facilitates States’ decisions specifically within

the context of the management of safety.



contributes to ensuring the safe and orderly growth of

international civil aviation.



avoid misunderstandings that may result in undesirable

operational situations, or in other potential negative

consequences 

through incorrect notification of differences.

21

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Notification of Differences Process apply to the following items:



Standard.



Recommended Practice - in the event of non-compliance

notification to the Council is encouraged under Assembly

Resolutions.



Appendices - Forms part of the SARPs adopted



Definitions - are an essential part of each SARP and differences

should be notified.



Tables and figures - These add to or illustrate a SARP and form

part of the associated SARP and have the same status of a SARP

and thus should be notified.

22

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

When To Notify Differences.

When To Notify Differences.



ICAO informs Contracting States by State letter, of the adoption of

the amendment and requests for notification of any disapproval,

and differences, before given dates;



the amendment becomes effective on the effective date given in

the State letter except in cases where a majority of the Contracting

States have registered their disapproval with the Council.



Amendments, or such parts thereof as have become effective, will

become applicable on dates set by the Council. This date is mostly

at the end of the year (The November AIRAC cycle date)

.

23

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

When To Notify Differences

When To Notify Differences



 States are expected to comply with and implement all parts of the

amendment that are applicable to them.



All states are encouraged to start preparing for implementation of the

amendment, and notification of differences immediately.



The Council defines the date by which States are requested to notify

ICAO of the differences between its national regulations or practices

and the amended SARPs



States are requested to provide updates of the differences previously

notified after each amendment, as appropriate, until the difference no

longer exists.

24

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Means Of Notification

Means Of Notification

Differences can be notified by

a)

sending to ICAO a Form on Notification of Compliance With

or Differences (paper-based process), which is appended to

all ICAO State letters notifying States of the adoption of an

amendment; or

b)

through the Electronic Filing of Differences (EFOD) system at

www.icao.int/usoap

25

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

The ICAO EFOD system, provides additional information and

functionality such as:

a)

the latest ICAO provisions for which a refiling of differences is

required;

b)

remarks which can help State staff in managing compliance with

individual SARPs and in passing on knowledge to incoming staff;

c)

statistical data which provides a “big picture” overview of the

situation in the State; and

d)

differences information from other States.

States are encouraged to use the EFOD system for timeliness of the

notification dissemination of differences

26

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Management Of Differences

Management Of Differences



States need to be properly organized and staffed with qualified

personnel so as to keep the status of differences up-to-date



The determination of differences require, among other things, a

good knowledge and understanding of:

a)

ICAO requirements, guidance, templates and tools regarding

notification of differences;

b)

national regulatory context and the corresponding SARPs; and

c)

national practices, namely the level of implementation of

SARPs in the State.

27

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Important Points to note:

a)

when drafting regulations keep in mind that differences

will have to be determined and notified

b)

it is advantageous to identify and formulate differences

when the national rules are being drafted or amended;

c)

notification of differences represents only a fraction of

the work and time needed for implementing

28

Identification, Notification and Publication

Identification, Notification and Publication

Of Differences

Of Differences

Recommended CAA Approach To The Differences.

Recommended CAA Approach To The Differences.

The following procedure may apply in the notification of differences: -



identify a focal point in the State. This may be an individual like the

NCMC or a department or section;



identify the expert units corresponding to each Annex and ensure

the participation of all relevant entities and experts, including legal

and technical experts;



have the focal point to distribute, the State letters related to

proposal for the amendment to appropriate State experts having

competence for the corresponding ICAO provisions;

29

Identification, Notification and Publication Of

Identification, Notification and Publication Of

Differences

Differences

Recommended CAA Approach To The Differences.

Recommended CAA Approach To The Differences.



give authority to the focal point to request from the relevant entities and

experts required inputs within a particular time frame before the ICAO

timeline;



let the experts make entries on the positions taken to the EFOD system;

and



when notifying differences, the following information should be

provided:

i.

the number of the paragraph or subparagraph as amended which

contains the SARP to which the difference relates;

ii.

the reasons for the difference why the State does not comply with

the SARP,

iii.

a clear and concise description of the difference; and

iv.

intentions for future compliance and any date by which the State

plans to confirm compliance

30

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation

1. Introduction

1. Introduction



Article 12 and 37 provides the framework for the

development of regulations that will facilitate

uniformity in compliance with the international

practices;



the Chicago Convention requires its Contracting

States to implement and enforce the SARPs contained

in the Annexes to the Convention.

31

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation

1. Introduction Cont.…

1. Introduction Cont.…



two prerequisites for the introduction of a regulatory

system from an air navigation services perspective:



the provision, in the basic aviation law of the State, for

air navigation regulations and the promulgation thereof;

and



the establishment of an appropriate State body, with

the necessary powers to ensure compliance with the

regulations.

32

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation

2.  Requirements on Basic aviation laws

2.  Requirements on Basic aviation laws

The basic laws of the State relating to aviation should:

a)

authorize the establishment of a DGCA to be headed by a

chief executive officer (Director General CA);

b)

make provision for the delegation of the necessary authority

and the assignment of corresponding responsibility to the

DGCA to develop, issue and revise operating regulations and

rules consistent with the air navigation regulations;

33

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation

2.  Requirements on Basic aviation laws Cont.….

2.  Requirements on Basic aviation laws Cont.….

The basic laws of the State relating to aviation should:

c)

make provision for the adoption of operating regulations and rules

based on the provisions of the Annexes;

d)

make provision for the enforcement of the air navigation regulations and

associated operating regulations and rules; and

e)

require all civil aviation operations to be conducted under State

authority and in accordance with any conditions the State may consider

applicable in the interests of safety and in accordance with all

appropriate treaties and agreements between the State and other

States.

34

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation



Should be commensurate with the size and complexity of the

State’s aviation activity and consistent with the requirements

contained in the Convention (Doc 7300)



Facilitate the oversight and management of civil aviation safety

and the enforcement of regulations through the relevant

authorities or agencies;



provide for personnel performing safety oversight functions access

to facilities, personnel and associated records, as applicable, of

individuals and organizations performing various aviation activities;

35

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation



a legislative instrument known as the “civil aviation act” or other

suitable title determined by the State.



is applicable to all individuals and organizations subject to the laws of

the State concerned.



It refers to State legislation relating to the operation and navigation of

such aircraft while within its territory, the registration of aircraft in the

State, and the flight and maneuvering of aircraft, including all other

activities

36

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation

Primary Legislation



should enable the proactive and effective regulation  and supervision

of the civil aviation activities.



key to effective and sustainable safety oversight by the State.



empowers the designated authorities to promulgate and amend, as

needed, specific operating regulations.



Should contain the 

legal basis for enforcement

, including the ability to

impose operating restrictions, suspend or revoke licenses, certificates,

authorizations or approvals as well as impose financial penalties.

37

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation Examples:

Primary Legislation Examples:

1. Protection of safety information



Aviation safety and security information obtained, gathered

voluntarily or otherwise given to the Authority under this Act or

regulations made thereunder shall not be put to any

inappropriate use: Provided that the Authority shall not be

precluded from sharing aviation safety and security information

with other Civil Aviation Authorities in the Contracting States

subject to appropriate safeguards.

38

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation Examples:

Primary Legislation Examples:

2. Suspension or revocation of privileges of a licence



Where the Director-General has reasonable grounds to believe

that a violation of this Act, the regulations and any other rules

made thereunder has occurred, he or she may in respect of the

offending entity specified under section 39, make an order to

detain, prohibit, suspend, revoke or vary the privileges of a

licence, certificate or any other authorization issued by the

Authority

39

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation Examples:

Primary Legislation Examples:

3. Inspection of aerodromes, premises and aircraft

(1) The Authority shall inspect any aerodrome used for civil aviation

operations, premises of any regulated agent or premises of the

holder of an air service license, certificate, authorization or other

approval document issued by the Authority or any aircraft on

Kenyan territory regardless of their state of registry or Kenya

registered aircraft wherever it may be for reasons of aviation safety,

security, consumer protection and for any other reasons for which

the Authority is established

.

40

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Primary Legislation Examples:

Primary Legislation Examples:

(4) The Authority’s inspectors shall have unhindered access to

aerodromes, premises of any regulated agent or premises of the

holder of air service license, certificate, authorization or other

approval document or aircraft wherever it may be and the related

facilities and installations and to any records, information and

explanation that may be required in the course of their inspections.

41

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development Of Specific Operating Regulations

Development Of Specific Operating Regulations



Requires the promulgation of regulations to address, at a minimum,

national requirements emanating from the primary aviation

legislation, for standardized operational procedures, products,

services, equipment and infrastructure in conformity with the

Annexes



ought to be comprehensive, clear, consistent and up to date.



should conform with the Annexes to the Chicago Convention;

Caution: Annexes are not written in a manner that supports transposing the

SARPs verbatim into a State’s regulations.

42

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development Of Specific Operating Regulations

Development Of Specific Operating Regulations



develop regulations which contain sufficient details that are

consistent with their legal frameworks;



develop and implement a process to ensure the timely

amendment of the specific operating regulations, as necessary, in

order to keep pace with the amendments to the Annexes



system should allow the issuance of regulations at an appropriate

level as provided for by the primary legislation.



provide for the regulations to be repealed when replaced by new

ones.

43

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development Of Specific Operating Regulations

Development Of Specific Operating Regulations



The regulations govern all relevant aspects of its civil aviation

activities, including, among others, requirements leading to the

issuance or validation of licenses, ratings, certificates and

approvals, as appropriate.



be written in a way that they can be easily understood and used

by the industry as well as by the CAA staff in the execution of their

day-to-day activities.



regulations should be commensurate to the size and complexity

of the of its industry



Should avoid undue burden to the industry or state;

44

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development Of Specific Operating Regulations

Development Of Specific Operating Regulations



Regulations should be consistent and avoid contradictions and/or

inconsistencies between provisions contained in different regulations in

force.

Point to Note:

Article 40 of the Convention: 

if standards implemented by a State are

lower than those required by ICAO, then the aircraft, air operators or

personnel with licences or certificates issued or rendered valid by that

State cannot participate in international air navigation, except with the

permission of the State or States whose territory is entered.



SARPs applicable to the air navigation services are defined in Annex

2,3,4,5,10,11,12,15 and 19.

45

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Exemptions And Exceptions

Exemptions And Exceptions



regulations should provide for the issuance of exemptions and

exceptions;



there are cases where compliance with regulatory provisions not

possible;



In such cases exemptions or exceptions may be granted by the

State;



These ought to be supported by appropriate, robust and

documented safety risk assessments or aeronautical studies and

imposition of limitations, conditions or mitigation measures, as

appropriate.

46

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Exemptions and Exceptions

Exemptions and Exceptions



Should be rarely used but not a regular occurrence but granted

on the basis of a robust rationale.



the issuance of exceptions or exemptions that are not supported

by safety risk assessments or aeronautical studies and by

thorough reviews by the competent authority is not acceptable.

Note:

 In developing regulations states shall adopt measures to

ensure that every aircraft flying over or manoeuvring within its

territory comply with the specific operating regulations of the state.

47

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Regulations On ANS

Sample Regulations On ANS

48

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Regulations On ANS

Sample Regulations On ANS

49

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Regulations On ANS

Sample Regulations On ANS

50

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Regulations On ANS

Sample Regulations On ANS

51

Development Of Regulations and Technical

Development Of Regulations and Technical

Guidance Materials

Guidance Materials

Review Of Regulations

Review Of Regulations



The operating regulations and rules, need frequent revision to

keep pace with developments in civil aviation and aviation safety.



This is not possible unless these regulations and rules can be

amended rapidly.



A recommended approach is to ensure that the detailed

operating regulations and rules are placed under the authority of

the DGCA and not incorporate them in national civil aviation law.

52

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

The following is a sample Procedure for amendment of regulations :

a)

notification received at the office of the Director General from relevant

entity(ICAO or any stakeholder and may take the form of a state letter or

memorandum)

b)

matter referred to a designated office/section

c)

Evaluation undertaken on the proposal or information received and

ascertain the applicable regulation affected and the department or

section with jurisdiction



Example

: If the matter touches on new separation standards, then the

same is referred to the ATS regulatory section or if is on new

equipment installations then the airworthiness department;

53

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

d)

On determination of the affected section and department, the

designated office will refer the same to Manager /Head of

Department of the relevant Department for action.

e)

There may be need of establishing a regulatory committee per

section

f)

The unit head will distribute the proposed amendment to members

of the committee within the Division/section who will make an

initial review of the amendment proposals with subject matter

experts.

g)

Views from the section will be consolidated and submitted to the

committee coordinating the review

54

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

h)

the Committee will analyse the information  and draft a proposal

to amend the affected provisions within a specified period (i.e.30

days) from the date of receipt of the information to the

department

i)

Once the draft is approved the matter proceeds to the

stakeholder’s engagement to collect views/feedback on the

draft regulation;

j)

proposed changes from the stakeholders if any will be

incorporated and a second stakeholders meeting scheduled for

confirmation of the changes made.

55

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

k)

once consensus is built then the regulation can be enacted;

l)

Where amendments to the Civil Aviation Act introduce provisions that

require amendments to regulations to allow for effective

operationalization of the new provisions in the Act, then the concerned

section may coordinate the review of the affected regulations;

m)

Other scenarios on review of regulations

i.

Amendment of regulations resulting from significant change in the

size and complexity of the aviation system or change in technology

ii.

Amendment of regulations where regulations are no longer relevant,

applicable or effective

56

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

The following circumstances may necessitate a complete review and

replacement of regulations:

a)

When applicable regulations do not meet the requirements of the

corresponding Annex or PANS

b)

transition from a system of uniform adaptation of SARP to

segregation of applicability of requirements in Parts; or

c)

When ICAO overhauls applicable Annexes such that the

corresponding regulations require similar action to be effective.

57

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of Regulations

Review Of Regulations

Interim Measures by CAA Pending Promulgation of regulation

Amendments:

a)

The CAA will identify amendments that may be considered urgent and

require Interim measures for immediate promulgation and action e.g.

through an Aeronautical Information Circular [AIC], Advisory Circular or

Airworthiness Notice.

b)

the Director General may issue Interim measures as necessary through

an appropriate publication as required in the Civil Aviation Act.

c)

Once regulations are in force all other documents issued as Interim

measures will all be revoked.

58

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development and Review Of Technical Guidance Material.

Development and Review Of Technical Guidance Material.

Role of TGMs:

a)

Enables technical personnel to perform their safety oversight

functions effectively and in accordance with established

procedures in a standardized manner.

b)

Aides in the implementation of relevant regulations.

c)

provide guidance to technical personnel on how to accomplish

their specific functions and activities

59

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development And Review Of Technical Guidance Material.

Development And Review Of Technical Guidance Material.



States need to develop and publish their own technical

guidance material;



TGMs from another State or RSOO may serve as a base during

preparation



Ought to address all activities of the State’s aviation authority

and all the tasks performed by its staff.



procedures may be compiled in the form of an inspector’s

handbook  that includes references to appropriate checklists

and templates.

60

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Development And Review Of Technical Guidance Material.

Development And Review Of Technical Guidance Material.



States should also develop guidance for the industry to

explain how the regulatory provisions should be

implemented.



may also include templates and standard format for

documents to be established by each service provider

concerned.

61

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Promulgation And Access Of 

Promulgation And Access Of 

TGMS



Following the approval of TGMs the Technical Librarian shall

upload the TGMs on the on-line system and notify all



Hard copy of the TGM may be printed and retained in the

Technical Library for reference,



Where TGMs are printed and retained in the technical library,

the librarian will ensure that the necessary amendments are

incorporated in all hard copies by updating all previous copies



All superseded copies of TGMs will be retained on the on-line

system as archived material for future reference as may be

necessary.

62

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Promulgation And Access Of TGMs

Promulgation And Access Of TGMs



The Technical librarian will, through email, notify staff of any new or

amended TGMS available on the on-line system.



Inspectors to ensure that at the time of coming into force of a new TGM

(procedure) that all previous versions are not used in undertaking any

oversight function.

Note

Note



TGMs are issued to support the implementation of applicable regulations

and provide guidance to both inspectors and the regulated entities on

implementation of the regulations.



Wherever there are any contradictions between regulations and TGMs,

the provisions in the regulations will prevail.

63

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of TGMs

Review Of TGMs

TGMs may be reviewed in the following Circumstances:



Upon amendment to Regulations that require amendment of TGMs;



Whenever there is an operational or environmental requirement;



Concern raised by the industry in interpretation and/or accuracy of

TGMs;



Identified deficiencies in implementation of existing Regulations and

Procedures.



Whenever there is a change in technology such as introduction of new

equipment e.g. new aircraft type; or



When it is no longer relevant, applicable or effective.

64

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Review Of TGMs

Review Of TGMs

The following Procedure for Development/Amendment of TGMs



Upon receipt of the proposal for development/amendment of TGM,

the information will be sent to the relevant department for

consideration.



Once the Departmental Head determines the need to

develop/amend TGMs this will be undertaken



Draft TGMs will be renumbered in accordance with CAA sequence

and forwarded to the committee for further review and

considerations.



The committee once satisfied with the proposal will recommend the

draft TGM to the DASSR for approval

65

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Regulations That May Require TGMs

Sample Regulations That May Require TGMs

Extract from Annex 15 para 3.6 transposed Regulation:

(1) A service provider shall implement and maintain a quality management system

that−

(a) encompasses all functions of an aeronautical information service as

outlined in these regulations;

(b) enables its execution be made demonstrable for each function stage;

(c) is applicable to the whole aeronautical data chain from data origination

to distribution to the next intended user, taking into consideration the

intended use of data.

(d) follows the ISO 9000 series of quality assurance standards and be certified

by an accredited certification body.

(e)  meets requirements prescribed by the Authority.

66

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

67

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Advisory Circular On QMS

Sample Advisory Circular On QMS

68

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Advisory Circular On QMS

Sample Advisory Circular On QMS

69

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

Sample Advisory Circular On QMS

Sample Advisory Circular On QMS

70

Development Of Regulations and

Development Of Regulations and

Technical Guidance Materials

Technical Guidance Materials

CONCLUSION

CONCLUSION

The existence of current legislation, Regulations and

Technical Guidance Material is a key pillar in ensuring

that a given state is able to undertake safety  oversight

of its aviation system. Hence each state should strive

the same developed and updated on a regular basis

for currency.

71

End of Chapter

End of Chapter

Thank You

Thank You

72