ICAO 9774

Manual onCertificationof Aerodromes

First Edition 2001

Doc 9774AN/969

International Civil Aviation Organization

Approved by the Secretary Generaland published under his authority

AMENDMENTS

The issue of amendments is announced regularly in the ICAO Journal and in themonthly Supplement to the Catalogue of ICAO Publications and Audio-visualTraining Aids, which holders of this publication should consult. The space belowis provided to keep a record of such amendments.

RECORD OF AMENDMENTS AND CORRIGENDA

AMENDMENTS CORRIGENDA

No. Date Entered by No. Date Entered by

(ii)

(iii)

Foreword

The purpose of this manual is to provide guidance toStates in establishing their regulatory system for thecertification of land aerodromes. The establishment of sucha regulatory system is intended to ensure that the facilities,equipment and operational procedures at certified aero-dromes are in compliance with the Standards andRecommended Practices specified in Volume I of Annex 14to the Convention on International Civil Aviation, and toany national standards and practices in force. This manualalso provides guidance on aerodrome certification pro-cedures and on the subsequent compliance and enforcementof the aerodrome operators obligations. Guidance materialon the organizational aspects of the regulatory authority isalso included.

It is recognized that a State may limit the certificationrequirement to the operation of certain aerodromes only,distinguishing between factors such as the maximumnumber of passenger seats in the aeroplanes served by theaerodrome or the maximum take-off weight of theaeroplanes; whether the operations are scheduled orunscheduled; and whether the aerodrome is open for use atnight. Since the safety of operations at all aerodromes is theresponsibility of the State, the States regulations may alsoneed to cover the operation of uncertified aerodromes. Suchadditional regulations are not covered in this manual; thepractices of certain States in this respect are, however,briefly mentioned in the introductory note to modelregulations 3B.1.1, 3B.1.2 and 3B.1.3 in Chapter 3.

The scope of this manual is confined to the safety,regularity and efficiency aspects of aerodrome facilities,services, equipment and operational procedures and

excludes the subjects of aviation security, air navigationservices and other areas; these subjects are normallycovered by separate regulations. The aerodrome certifi-cation regulations focus on the safety, regularity andefficiency of aircraft operations at aerodromes. Thismanual, therefore, excludes the aspects of aerodromeoperations relating to the administration of aerodromefinances and the servicing of passengers and cargo.

It is recognized that it may not be feasible for a Statewith a limited number of aerodromes under its jurisdiction,or which lacks technical and financial resources, to estab-lish a full organizational structure dealing with aerodromecertification, compliance and enforcement. A State in thisposition should not, however, diminish the stringency of itsregulations in any way; it should consider entering into acooperative arrangement with another State or participatingin a suitable regional cooperation arrangement. The ICAORegional Office accredited to the State may be of assistancein establishing such an arrangement under the TechnicalCooperation Programme of ICAO.

In developing this manual, account was taken of thecurrent aerodrome certification or licensing regulations andprocedures of certain States. However, it is recognized thatthe changing aviation safety environment may necessitaterevision of a States regulations from time to time. It isintended that this manual be kept up to date. Future editionswill most likely be improved on the basis of experiencegained and of comments and suggestions received from theusers of this manual. Readers are invited to give theirviews, comments and suggestions on this edition. Theseshould be directed to the Secretary General of ICAO.

(v)

Table of Contents

Page Page

Chapter 1. Introduction . . . . . . . . . . . . . . . . . . . . 1-1

1.1 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-11.2 Need for certification . . . . . . . . . . . . . . . . . 1-1

Chapter 2. The aerodrome certification regulatory system . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1

2.1 Prerequisites for the introduction of the regulatory system . . . . . . . . . . . . . . . 2-1

2.2 Basic aviation law . . . . . . . . . . . . . . . . . . . . 2-12.3 Basic principles for aerodrome

certification regulations . . . . . . . . . . . . . . . . 2-12.4 Implementation of the regulations . . . . . . . 2-2

Chapter 3. Aerodrome certification model regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 3-13.2 Aerodrome certification model

regulations . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

Chapter 4. Aerodrome certificationprocedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 4-14.2 Certification process . . . . . . . . . . . . . . . . . . 4-14.3 Dealing with the expression of interest . . . 4-1

4.4 Assessment of a formal application foran aerodrome certificate . . . . . . . . . . . . . . . 4-2

4.5 The grant or refusal of a certificate . . . . . . 4-34.6 Promulgation in the AIP of the certified

status and details of the aerodrome . . . . . . 4-44.7 Transfer of an aerodrome certificate . . . . . 4-44.8 Surrender of an aerodrome certificate . . . . 4-4

Chapter 5. Regulatory authority . . . . . . . . . . . . . 5-1

5.1 Organization . . . . . . . . . . . . . . . . . . . . . . . . 5-15.2 Functions and responsibilities of the DASS 5-15.3 Technical library and records . . . . . . . . . . . 5-45.4 Staffing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-45.5 Qualifications, duties and responsibilities

of aerodrome inspectors . . . . . . . . . . . . . . . 5-4

List of Appendices

Appendix 1. Schedule of the aerodrome certification regulations particulars to be included in an aerodrome manual . . . . . . . . . . . . . . . A1-1Appendix 2. Sample application form for anaerodrome certificate . . . . . . . . . . . . . . . . . . . . . . . . . A2-1Appendix 3. Aeronautical studies . . . . . . . . . . . . . . A3-1Appendix 4. Sample aerodrome certificate. . . . . . . A4-1Appendix 5. Organizational structure of a typical aerodrome safety and standards directorate. . . . . . . . A5-1Appendix 6. References. . . . . . . . . . . . . . . . . . . . . . A6-1

Chapter 1

INTRODUCTION

1.1 GENERAL

1.1.1 Article 15 of the Convention on InternationalCivil Aviation requires that all aerodromes open to publicuse under the jurisdiction of a Contracting State shouldprovide uniform conditions for the aircraft of all otherContracting States. Furthermore, Articles 28 and 37 obligeeach State to provide, in its territory, airports and other airnavigation facilities and services in accordance with theStandards and Recommended Practices (SARPs) developedby ICAO. Volume I of Annex 14 to the Convention containsSARPs on the subject of aerodrome design and operation.Responsibility for ensuring safety, regularity and efficiencyof aircraft operations at aerodromes under their respectivejurisdictions rests with individual States. It is thereforeessential that whenever the operation of airports isdelegated to an operator, the State retain its overseeingresponsibility and ensure that the operator complies withthe relevant ICAO SARPs and/or applicable nationalregulations.

1.1.2 The most effective and transparent means ofachieving these objectives are to:

a) establish a separate safety oversight entity and awell-defined safety oversight mechanism, supportedby appropriate legislation, to carry out the functionsof certification and safety regulation of aerodromes;

b) implement an aerodrome certification procedurewhereby a State certifies an aerodrome through theapproval/acceptance of the aerodrome manualsubmitted by the aerodrome operator.

1.2 NEED FOR CERTIFICATION

1.2.1 In order to discharge their overall responsibilityunder the Convention, States need to enact basic legislation

inclusion of a requirement for the certification ofaerodromes in the aerodrome regulations of a State willensure that aerodrome operators can meet their obligationsin accordance with the terms and conditions of theaerodrome certificate. It will also vest the regulatory auth-ority with the necessary powers to enforce compliance withthe regulations. The need for such regulations is furtherunderscored by the increasing trend towards privatization orcorporatization of aerodromes and also the increasing trendtowards the adoption by States of arrangements such asBuild, Operate and Transfer (BOT); Build, Operate andOwn (BOO) and other variants thereof for the developmentof new aerodromes and the expansion of existing ones.

1.2.2 Safety, regularity and efficiency of aircraftoperations at aerodromes being of paramount importance,the requirement for aerodrome certification should applyequally to government departments operating State-ownedaerodromes. Similarly, aerodromes operated by entitiessuch as airport authorities or corporations owned totally orpartially by a State and aerodromes owned and operated byprovincial governments, cities and municipalities shouldnot be exempt from aerodrome certification requirements.

1.2.3 While the overall responsibility for aerodromesafety continues to rest with States, it is recognized thatownership of aerodrome safety is increasingly beingdevolved by States to aerodrome operators. The adequacyof that ownership can be demonstrated through a robustsafety management system (see definitions in 3A.2.1).However, the adoption of a safety management system doesnot obviate the need to comply with the SARPs containedin Annex 14, Volume I, and the applicable nationalregulations.

1.2.4 In order to provide guidance to States that havenot yet introduced an aerodrome certification regulatorysystem, model regulations with introductory notes preced-ing each set of regulations are provided in Chapter 3 foradoption or adaptation, as appropriate, by States. Chapter 41-1

that will provide for the development and promulgation ofcivil aviation regulations, including aerodrome regulations,consistent with their adoption of the Annexes. The

provides guidance material on the aerodrome certificationprocedure, and Chapter 5 covers the organizational aspectsof the CAA for implementation of the regulatory system.

1-2 Manual on Certification of Aerodromes1.2.5 The scope of this manual is confined to thesafety, regularity and efficiency aspects of aerodromefacilities, services, equipment and operational procedures.It does not cover such aspects as those relating to theaeronautical information system, aeronautical meteorology,the administration of aerodrome finances and the servicingof passengers and cargo. Air traffic services normally havetheir own regulatory framework, and therefore ATSregulations are not covered by this manual. However, sinceair traffic services are an integral part of an aerodromesoperation, their regulation should be coordinated with thatof aerodromes and considered within the certificationprocess. This can be achieved in a number of ways, with theaerodrome manual being employed as a link, as illustratedin Section 3C.3. Furthermore, since the appropriate auth-ority for aviation security may be a different organizationfrom that tasked with the certification of aerodromes, its

coverage in this manual is limited to areas affecting aircraftoperational safety, such as boundary fencing and airsidelighting.

1.2.6 In developing the material for this manual,particularly the model regulations and the organizationalaspects of the regulatory authority, it was recognized thatrequirements may not be the same for all States. Thestructure of the model regulations as presented will permittheir adaptation, as appropriate, to meet the specificrequirements of aviation scenarios in individual States.

1.2.7 Throughout this manual, the term State refersto the basic authority which establishes a Civil AviationAuthority (CAA) which has a Director General of CivilAviation (DGCA) with powers to exercise authority, underthe laws of the State, over civil aviation matters.

Chapter 2

THE AERODROME CERTIFICATIONREGULATORY SYSTEM

2.1 PREREQUISITES FORTHE INTRODUCTION OF THE

REGULATORY SYSTEM

There are two prerequisites for the introduction of theaerodrome certification regulatory system. These are:

a) the existence of provisions in the basic aviationlaws of the State for the development and promul-gation of aerodrome regulations; and

b) the existence of an appropriate State entity vestedwith the necessary authority to ensure compliancewith the regulations. This entity may be identifiedin different States by different names. For thepurpose of this manual, this entity is hereinafterreferred to as the Civil Aviation Authority (CAA).

2.2 BASIC AVIATION LAW

The basic aviation law of the State should, inter alia:

a) authorize the establishment of the CAA, whereappropriate, to be headed by a person whose title,for the purpose of this manual, is hereinafterreferred to as the Director General of Civil Aviation(DGCA);

b) provide for the adoption of aerodrome certificationregulations, hereinafter referred to as regulations;

c) entrust the DGCA with the duties and responsi-bilities to issue, review, transfer, refuse and cancelaerodrome certificates; develop, issue and amendAerodrome Directives, Bulletins, Orders, etc.,consistent with the regulations; and establish an

d) require the CAA, as the certification authority, to besatisfied that the holder of an aerodrome certificateis competent to ensure that the aerodrome, itsassociated airspace and the operating proceduresare safe for use by aircraft;

e) provide for the necessary coordination with otheragencies and service providers, such as aeronauticalinformation services, air traffic services, designatedmeteorological authorities, and security, to ensuresafe aircraft operations;

f) provide for the enforcement and imposition ofsanctions for non-compliance with the regulations;and

g) provide for authorized personnel to have right ofaccess to such places as necessary to carry outsafety audits, inspections and testing as providedfor in the regulations.

2.3 BASIC PRINCIPLES FOR AERODROMECERTIFICATION REGULATIONS

The regulations of a State should include provisions for:

a) the mandatory certification of all or certaincategories of aerodromes in accordance with cri-teria established by the State. A State may, forexample, decide to exempt aerodromes used byaircraft with less than a defined number ofpassenger seats from certification requirements andmay instead make other appropriate provisions inthe regulations for ensuring the safety of operationsat uncertified aerodromes, such as those relating tothe movement area and visual aids;2-1

entity to assist in carrying out the functions andresponsibilities of the DGCA; b) the certification procedure;

2-2 Manual on Certification of Aerodromesc) the duties and responsibilities of aerodrome operators;

d) safety audits, inspections and testing;

e) the imposition of sanctions for contravention of, orfailure to comply with, any of the provisions of theregulations; and

f) the use of military aerodromes by civil aircraft.

2.4 IMPLEMENTATION OF THEREGULATIONS

The implementation of the aerodrome certification regu-lations will require the establishment of an adequatelystaffed and budgeted entity within the CAA. The nationalregulations of a State may require the payment of a suitablefee for the issuance, renewal or transfer of an aerodromecertificate.

Chapter 3

AERODROME CERTIFICATION MODEL REGULATIONS

3.1 INTRODUCTION

In this chapter, a set of model regulations covering thecertification of aerodromes are provided to assist States in thedevelopment of their own national regulations on the subject.Introductory notes are given for Sections A to D of the modelregulations.

3.2 AERODROME CERTIFICATIONMODEL REGULATIONS

The aerodrome certification model regulations in this chapterare divided into five sections:

Section A General

Section B Aerodrome Certification

Section C Aerodrome Manual

Section D Obligations of the Aerodrome Operator

Section E Exemptions.3-1

3-2 Manual on Certification of AerodromesSECTION AGENERAL

INTRODUCTORY NOTES

1. This section includes model regulations on appli-cation, definitions and aerodrome standards and practices.

2. These regulations are intended to apply to landaerodromes.

3. States may, as deemed appropriate, make provisionsin their regulations for the use of military aerodromes bycivil aircraft.

4. The terms in these regulations are intended tofacilitate the application of the regulations.

5. Annex 14, Volume I, contains Standards andRecommended Practices (SARPs) for aerodrome design

and operation. Article 38 of the Convention requiresContracting States to notify ICAO of any differencesbetween their national regulations and practices and theinternational Standards contained in the Annex and anyamendments thereto. Contracting States are also invited toextend such notification to any differences from theRecommended Practices contained in the Annex and anyamendments thereto. In addition to their obligation underArticle 38 of the Convention, Annex 15 requires Contrac-ting States to publish the differences between theirnational regulations and practices and the related ICAOStandards and Recommended Practices through theAeronautical Information Service when the notification ofsuch differences is important to the safety of airnavigation.

MODEL REGULATIONS

3A.1 Application

Sections A to E inclusive apply to land aerodromes.

3A.2 Definitions

The terms described in this subsection have the followingmeanings whenever they appear in these regulations:

Aerodrome. A defined area on land (including any buildings,installations and equipment) intended to be used eitherwholly or in part for the arrival, departure and surfacemovement of aircraft.

Aerodrome certificate. The certificate to operate anaerodrome issued by the appropriate authority underSection B of these regulations subsequent to theacceptance/approval of the aerodrome manual.

Aerodrome facilities and equipment. Facilities and equip-ment, inside or outside the boundaries of an aerodrome,that are constructed or installed and maintained for thearrival, departure and surface movement of aircraft.

Aerodrome manual. The manual that forms part of theapplication for an aerodrome certificate pursuant to

these regulations, including any amendments theretoaccepted/approved by the CAA.

Aerodrome operator. In relation to a certificated aerodrome,means the aerodrome certificate holder.

Apron. A defined area, on a land aerodrome, intended toaccommodate aircraft for purposes of loading orunloading of passengers, mail or cargo, fuelling,parking or maintenance.

Certified aerodrome. An aerodrome whose operator hasbeen granted an aerodrome certificate.

Manoeuvring area. That part of an aerodrome to be usedfor the take-off, landing and taxiing of aircraft,excluding aprons.

Marker. An object displayed above ground level in order toindicate an obstacle or delineate a boundary.

Marking. A symbol or group of symbols displayed on thesurface of the movement area in order to conveyaeronautical information.

Maximum carrying capacity. In relation to an aircraft,means the maximum passenger-seating capacity, or the

Chapter 3. Aerodrome Certification Model Regulations 3-3maximum payload, permitted under the aircraftscertificate of type approval.

Maximum passenger-seating capacity. In relation to anaircraft, means the maximum number of seats forpassengers permitted under the aircrafts certificate oftype approval.

Movement area. That part of the aerodrome to be used forthe take-off, landing and taxiing of aircraft, consistingof the manoeuvring area and the apron(s).

Obstacle. All fixed (whether temporary or permanent) andmobile objects, or parts thereof, that are located on anarea intended for the surface movement of aircraft orthat extend above a defined surface intended to protectaircraft in flight.

Obstacle free zone (OFZ). The airspace above the innerapproach surface, inner transitional surfaces, and balkedlanding surface and that portion of the strip bounded bythese surfaces, which is not penetrated by any fixedobstacle other than a low-mass and frangibly mountedone required for air navigation purposes.

Obstacle limitation surfaces. A series of surfaces thatdefine the volume of airspace at and around an aero-drome to be kept free of obstacles in order to permit theintended aeroplane operations to be conducted safelyand to prevent the aerodrome from becoming unusableby the growth of obstacles around the aerodrome.

Runway strip. A defined area including the runway andstopway, if provided, intended:

a) to reduce the risk of damage to aircraft running offa runway; and

b) to protect aircraft flying over it during take-off orlanding operations.

Safety management system. A system for the managementof safety at aerodromes including the organizationalstructure, responsibilities, procedures, processes andprovisions for the implementation of aerodrome safetypolicies by an aerodrome operator, which provides forthe control of safety at, and the safe use of, theaerodrome.

Taxiway strip. An area including a taxiway intended toprotect an aircraft operating on a taxiway and to reducethe risk of damage to an aircraft accidentally runningoff the taxiway.

Unserviceable area. A part of the movement area that isunfit and unavailable for use by aircraft.

Work area. A part of an aerodrome in which maintenanceor construction works are in progress.

3A.3 Standards and practices

Any reference in these regulations to aerodrome standardsand practices is a reference to the Standards andRecommended Practices (SARPs) in the latest version ofVolume I to Annex 14 to the Convention on InternationalCivil Aviation, and the national regulations and practices asamended from time to time.

3-4 Manual on Certification of AerodromesSECTION BAERODROME CERTIFICATION

INTRODUCTORY NOTES

1. This section includes model regulations coveringthe requirement for aerodrome certification; application forissuance of an aerodrome certificate; grant of the certifi-cate; endorsement of conditions in the certificate; durationof the certificate; surrender of the certificate; transfer of thecertificate; grant of an interim certificate and amendment ofthe certificate.

2. The specifications in ICAO Annex 14, Volume I,unless otherwise indicated in a particular context, apply toall aerodromes open to public use in accordance with theprovisions of Article 15 of the Convention on InternationalCivil Aviation (reference Annex 14, Volume I, Chapter 1,1.2.2). The responsibility to ensure safety and order at allaerodromes open to public use under their jurisdiction restswith States. While the requirement for certification may notbe applied by a State to all aerodromes under its jur-isdiction, aerodromes used for international operationsshould not be exempted from the requirement. To this end,States need to establish appropriate criteria.

3. In one State, the use of a licensed aerodrome ismandatory for any operation involving: aircraft with amaximum take-off weight (MTOW) greater than 2 370 kgconducting public transport of passengers, aircraft with anMTOW less than 2 370 kg conducting public transport ofpassengers at night, scheduled public transport of passen-gers or public transport of passengers which begins andends at the same aerodrome, flying training and flighttesting.

4. A second State requires an aerodrome operator tohave an airport certificate if scheduled passenger-carryingoperations are conducted at that aerodrome by an aircarrier using aircraft with more than 30 passenger seats. Ifunscheduled passenger-carrying operations are conductedat an aerodrome by an air carrier using aircraft with morethan 30 passenger seats, the aerodrome operator must havea limited airport operating certificate. Commuter andon-demand operations may only be conducted at aero-dromes adequate for those operations (including specifiedlighting for night operations).

5. A third State requires licensing of aerodromesused for regular public transport operations if the maxi-mum passenger-carrying capacity of the aircraft employedin the operations exceeds 30 seats. Special reportingrequirements are specified for unlicensed aerodromes;

certain specified elements, such as the movement area andvisual aids, must meet the standards specified for licensedaerodromes, and the aircraft conducting regular publictransport operations should not have more than 30passenger seats. While in the case of licensed aerodromesthe responsibility for assessing the adequacy of theaerodrome is that of the aerodrome operator, at unlicensedaerodromes, this responsibility is given to the aircraftoperator.

6. The regulations of a fourth State do not relate theaerodrome certification requirement to the passenger-carrying capacity of the aircraft served by it. An aerodromeis considered to be an airport when the aerodromeoperator has applied for and has been issued with an aero-drome certificate covering the operation of that airport. Anaerodrome may simply be registered if the operatorprovides certain limited information. Registered aerodromeinformation is published only after an inspection of theaerodrome has determined that all conditions of regis-tration have been met which, inter alia, includes compliancewith the specified requirements related to marking, lighting,equipping and operation of aerodromes.

7. Model regulation 3B.1.1 requires certification ofaerodromes in accordance with a States nationalrequirements. A State may, however, decide to limit therequirement as determined appropriate, taking into accountthe safety environment at the aerodromes under itsjurisdiction. Model regulations 3B.1.2 and 3B.1.3 havebeen included as options which may either be adopted assuch or suitably adapted as appropriate. If limitations oncertification requirements are specified, then the Statesregulations must include additional provisions to ensuresafety and order at the aerodromes not requiring certifi-cation. Uncertified aerodromes are not covered by themodel regulations in this manual.

8. There should be a requirement for the intendingaerodrome operator to submit the application for an aero-drome certificate in a form set out by the CAA. Included inAppendix 2 is a sample of the application form used by oneState while Appendix 4 contains a sample of the aerodromecertificate used by another State. Since the aerodromemanual is an integral part of an aerodrome certificate, itspreparation and submission at the time of application forthe grant of a certificate should be specified as an essentialrequirement.

Chapter 3. Aerodrome Certification Model Regulations 3-59. Before granting an aerodrome certificate, the CAAmust be satisfied that the aerodrome manual accuratelydescribes the facilities, services and equipment at theaerodrome and that it contains all the details andinformation as set out in Section C of these regulations. TheCAA should also be satisfied that the aerodrome facilitiesand equipment conform to the standards and practicesspecified in regulation 3A.3. The CAA must satisfy itselfoverall that the aerodrome will offer a safe environment forthe operation of the aircraft it is intended for and that theaerodrome operator has the necessary competence andexperience to operate and maintain the aerodromeproperly.

10. If there are deviations from the standards andpractices specified in regulation 3A.3, the CAA may, afterconducting aeronautical studies to ensure safety (if andwhere permitted by the standards and practices), decide togrant a certificate subject to certain conditions andprocedures to be complied with by the aerodrome operator.Some guidance material on aeronautical studies is includedin Appendix 3.

11. The validity of an aerodrome certificate may beopen-ended or of limited duration. One State has specifieda five-year duration for a certificate; another has specifieda three-year duration, while certain States have notspecified any fixed duration. With an adequate reportingand inspection system in place, an open-ended certificatemay be appropriate. The model regulations include bothoptions.

12. An aerodrome operator may voluntarily choose tosurrender the aerodrome certificate. There should howeverbe a provision for adequate notice to be given to the CAAfor the processing of the request and the cancelling of thecertificate. Upon cancellation of the certificate, the aero-drome may have to be closed for operations until anotheroperator is granted a certificate to operate the aerodrome;alternatively, the aerodrome may remain open to public useas an uncertified aerodrome, for which appropriateprovisions will need to be included by the State in itsregulations.

13. Transfer of an aerodrome certificate from oneoperator to another may be agreed upon and effected by theCAA. The CAA must be satisfied that the proposedtransferee will be able to properly operate and maintain theaerodrome.

14. It may be necessary, pending completion of theprocess involved in the grant or transfer of an aerodromecertificate, to issue an interim aerodrome certificate to theapplicant or to the proposed transferee. The CAA musthowever be satisfied that this would be in the publicinterest, that an aerodrome certificate would be issued atthe completion of the process involved and that this actionwould not be detrimental to aviation safety.

15. An amendment to an aerodrome certificate may berequired if there is a change in the ownership or manage-ment structure, a change in the use, operation orboundaries of the aerodrome or if the aerodrome operatorrequests an amendment.

MODEL REGULATIONS

3B.1 Requirement for an aerodrome certificate

3B.1.1 The operator of an aerodrome intended forpublic use shall, in accordance with the national require-ments, be in possession of an aerodrome certificate.

3B.1.2 An aerodrome certificate is required if themaximum passenger-seating capacity of the aircraftemployed in the operations exceeds ........ seats.

Note. Alternatively, an aerodrome certificate may berequired if the maximum take-off mass of the aircraftexceeds 2 730 kg or if the aerodrome is intended for use atnight.

3B.1.3 The operator of an aerodrome for which anaerodrome certificate is not required may neverthelessapply for an aerodrome certificate, for which a fee may becharged.

3B.2 Application for anaerodrome certificate

An applicant for an aerodrome certificate shall submit tothe CAA for approval an application in the form prescribedby the CAA. The application shall include the aerodromemanual for the aerodrome.

mghahremaniHighlight

3-6 Manual on Certification of Aerodromes3B.3 Grant of an aerodrome certificate

3B.3.1 Subject to the provisions in regulations 3B.3.2and 3B.3.3, the CAA may approve the application andaccept/approve the aerodrome manual submitted underregulation 3B.2 and grant an aerodrome certificate to theapplicant.

3B.3.2 Before granting an aerodrome certificate, theCAA must be satisfied that:

a) the applicant and his/her staff have the necessarycompetence and experience to operate and maintainthe aerodrome properly;

b) the aerodrome manual prepared for the applicantsaerodrome and submitted with the applicationcontains all the relevant information;

c) the aerodrome facilities, services and equipment arein accordance with the standards and practicesspecified by the State;

d) the aerodrome operating procedures make satisfac-tory provision for the safety of aircraft; and

e) an acceptable safety management system is in placeat the aerodrome.

3B.3.3 The CAA may refuse to grant an aerodromecertificate to an applicant. In such cases, the CAA mustnotify the applicant, in writing, of its reasons no later than........ days after making that decision.

3B.4 Endorsement of conditions onan aerodrome certificate

After successful completion of the processing of theapplication and the inspection of the aerodrome, the CAA,when granting the aerodrome certificate, will endorse theconditions for the type of use of the aerodrome and otherdetails as shown in Appendix 4.

3B.5 Duration of an aerodrome certificate

An aerodrome certificate shall remain in force until it issuspended or cancelled or, alternatively, an aerodromecertificate shall be valid for ........ years or until it issuspended or cancelled, whichever is earlier.

3B.6 Surrender of an aerodrome certificate

3B.6.1 An aerodrome certificate holder must give theCAA not less than ........ days written notice of the date on

which the certificate is to be surrendered in order thatsuitable promulgation action can be taken.

3B.6.2 The CAA will cancel the certificate on thedate specified in the notice.

3B.7 Transfer of an aerodrome certificate

3B.7.1 The CAA may give its consent to and issue aninstrument of transfer of an aerodrome certificate to atransferee when:

a) the current holder of the aerodrome certificatenotifies the CAA, in writing, at least ........ daysbefore ceasing to operate the aerodrome, that thecurrent holder will cease to operate the aerodromeas of the date specified in the notice;

b) the current holder of the aerodrome certificatenotifies the CAA, in writing, of the name of thetransferee;

c) the transferee applies to the CAA, in writing, within........ days before the current holder of theaerodrome certificate ceases to operate the aero-drome for the aerodrome certificate to betransferred to the transferee; and

d) the requirements set out in regulation 3B.3.2 aremet in respect of the transferee.

3B.7.2 If the CAA does not consent to the transfer ofan aerodrome certificate, it shall notify the transferee, inwriting, of its reasons no later than ........ days after makingthat decision.

3B.8 Interim aerodrome certificate

3B.8.1 The CAA may issue an interim aerodromecertificate to the applicant referred to in regulation 3B.2 orthe proposed transferee of an aerodrome certificate referredto in regulation 3B.7.1 authorizing the applicant ortransferee to operate an aerodrome if the CAA is satisfiedthat:

a) an aerodrome certificate in respect of the aerodromewill be issued to the applicant or transferred to thetransferee as soon as the application procedure forthe grant or transfer of an aerodrome certificate hasbeen completed; and

mghahremaniHighlight

mghahremaniHighlight

mghahremaniHighlight

mghahremaniHighlight

mghahremaniHighlight

mghahremaniHighlight

Chapter 3. Aerodrome Certification Model Regulations 3-7b) the grant of the interim certificate is in the publicinterest and is not detrimental to aviation safety.

3B.8.2 An interim aerodrome certificate issuedpursuant to regulation 3B.8.1 shall expire on:

a) the date on which the aerodrome certificate isissued or transferred; or

b) the expiry date specified in the interim aerodromecertificate;

whichever is earlier.

3B.8.3 These regulations apply to an interimaerodrome certificate in the same manner as they apply toan aerodrome certificate.

3B.9 Amendment of an aerodrome certificate

The CAA may, provided that the requirements ofregulations 3B.3.2, 3C.5, and 3C.6 have been met, amendan aerodrome certificate when:

a) there is a change in the ownership or managementof the aerodrome;

b) there is a change in the use or operation of theaerodrome;

c) there is a change in the boundaries of theaerodrome; or

d) the holder of the aerodrome certificate requests anamendment.

mghahremaniHighlight

3-8 Manual on Certification of AerodromesSECTION CAERODROME MANUAL

INTRODUCTORY NOTES

1. Purpose and scope of the aerodrome manual. Theaerodrome manual is a fundamental requirement of thecertification process. It contains all the pertinent infor-mation concerning the aerodrome site, facilities, services,equipment, operating procedures, organization andmanagement including the safety management system. Theinformation presented in the aerodrome manual shoulddemonstrate that the aerodrome conforms to the certifi-cation standards and practices and that there are noapparent shortcomings which would adversely affect thesafety of aircraft operations. The manual is a referencedocument and provides a checklist of aerodrome certifi-cation standards to be maintained and the level of airsideservices at the aerodrome. Information provided in theaerodrome manual will enable the CAA to assess thesuitability of the aerodrome for the aircraft operationsproposed and to judge an applicants fitness to hold acertificate. It is a basic reference guide for conducting siteinspections for granting an aerodrome certificate and forsubsequent safety inspections. The aerodrome manual is areference document agreed between the aerodromeoperator and the CAA with respect to the standards,

conditions and the level of service to be maintained at theaerodrome.

2. Structure and contents of the aerodrome manual.For the purpose of uniformity and to facilitate the CAAsreview and acceptance/approval of the aerodrome manual,the regulations should set out the structure and content ofthe aerodrome manual. Examples of the particulars to beincluded in the aerodrome manual as schedules of theaerodrome certification regulations are given in Appendix 1to this manual. The applicant for an aerodrome certificateis entirely responsible for the accuracy of the informationprovided in the aerodrome manual.

3. The aerodrome manual a living document. Theaerodrome manual is subject to amendment in order toensure that it provides current and accurate information.The aerodrome certificate holder should therefore be maderesponsible for the amendment of the manual and fornotifying the CAA of any such amendments. The content ofan aerodrome manual should be treated with due respect tothe confidentiality requirements of individual States.

MODEL REGULATIONS

3C.1 Preparation of the aerodrome manual

3C.1.1 The operator of a certified aerodrome musthave a manual, to be known as the aerodrome manual, forthe aerodrome.

3C.1.2 The aerodrome manual shall:

a) be typewritten or printed, and signed by theaerodrome operator;

b) be in a format that is easy to revise;

c) have a system for recording the currency of pagesand amendments thereto, including a page forlogging revisions; and

d) be organized in a manner that will facilitate thepreparation, review and acceptance/approvalprocess.

3C.2 Location of the aerodrome manual

3C.2.1 The aerodrome operator must provide theCAA with a complete and current copy of the aerodromemanual.

3C.2.2 The aerodrome operator must keep at least onecomplete and current copy of the aerodrome manual at theaerodrome and one copy at the operators principal place ofbusiness if other than the aerodrome.

3C.2.3 The aerodrome operator must make the copyreferred to in regulation 3C.2.2 available for inspection byauthorized CAA personnel.

3C.3 Information to be includedin the aerodrome manual

3C.3.1 The operator of a certified aerodrome mustinclude the following particulars in an aerodrome manual,

Chapter 3. Aerodrome Certification Model Regulations 3-9to the extent that they are applicable to the aerodrome,under the following parts:

Part 1. General information set out in Part 1 of theschedule of these regulations (see Appendix 1) on thepurpose and scope of the aerodrome manual; the legalrequirement for an aerodrome certificate and an aero-drome manual as prescribed in the national regulations;conditions for use of the aerodrome; the aeronauticalinformation services available and the procedures fortheir promulgation; the system for recording aircraftmovements and the obligations of the aerodromeoperator as specified in Section D of these regulations.

Part 2. Particulars of the aerodrome site as set out inPart 2 of the schedule of these regulations.

Part 3. Particulars of the aerodrome required to bereported to the aeronautical information service as setout in Part 3 of the schedule of these regulations.

Part 4. The aerodrome operating procedures andsafety measures as set out in Part 4 of the schedule ofthese regulations. This may include references to airtraffic procedures such as those relevant to low-visibility operations. Air traffic management proceduresare normally published in the air traffic services manualwith a cross-reference to the aerodrome manual.

Part 5. Details of the aerodrome administration andthe safety management system as set out in Part 5 of theschedule of these regulations.

3C.3.2 If, under regulation 3E.1.1, the CAA exemptsthe aerodrome operator from complying with anyrequirement set out in regulation 3B.3.2, the aerodromemanual must show the identifying number given to that

exemption by the CAA and the date the exemption cameinto effect and any conditions or procedures subject towhich the exemption was granted.

3C.3.3 If a particular is not included in the aerodromemanual because it is not applicable to the aerodrome, theaerodrome operator must state in the manual the reason fornon-applicability of the particular.

3C.4 Amendment of the aerodrome manual

3C.4.1 The operator of a certified aerodrome mustalter or amend the aerodrome manual, whenever necessary,in order to maintain the accuracy of the information in themanual.

3C.4.2 To maintain the accuracy of the aerodromemanual, the CAA may issue a written directive to anaerodrome operator requiring the operator to alter or amendthe manual in accordance with that directive.

3C.5 Notification of changes to theaerodrome manual

An aerodrome operator must notify the CAA, as soon aspracticable, of any changes that the operator wishes tomake to the aerodrome manual.

3C.6 CAA acceptance/approval of theaerodrome manual

The CAA shall accept/approve the aerodrome manual andany amendments thereto, provided these meet the require-ments of the preceding regulations in this section.

3-10 Manual on Certification of AerodromesSECTION DOBLIGATIONS OF THE AERODROME OPERATOR

INTRODUCTORY NOTE

The grant of an aerodrome certificate obliges the aerodromeoperator to ensure the safety, regularity and efficiency ofoperations at the aerodrome, to allow CAA-authorizedpersonnel access to the aerodrome to carry out safety audits,inspections and testing and to be responsible for notifyingand reporting as prescribed.

MODEL REGULATIONS

3D.1 Compliance with standards and practices

The aerodrome operator shall comply with the standardsand practices specified in regulation 3A.3 and with anyconditions endorsed in the certificate pursuant toregulations 3B.4 and 3E.1.1.

3D.2 Competence of operational andmaintenance personnel

3D.2.1 The aerodrome operator shall employ anadequate number of qualified and skilled personnel toperform all critical activities for aerodrome operation andmaintenance.

3D.2.2 If the CAA or any other competent authorityof the government requires competency certification for thepersonnel referred to in regulation 3D.2.1, the aerodromeoperator shall employ only those persons possessing suchcertificates.

3D.2.3 The aerodrome operator shall implement aprogramme to upgrade the competency of the personnelreferred to in regulation 3D.2.1.

3D.3 Aerodrome operation and maintenance

3D.3.1 Subject to any directives that the CAA mayissue, the aerodrome operator shall operate and maintainthe aerodrome in accordance with the procedures set out inthe aerodrome manual.

3D.3.2 To ensure the safety of aircraft, the CAA maygive written directives to an aerodrome operator to alter theprocedures set out in the aerodrome manual.

3D.3.3 The aerodrome operator should ensure properand efficient maintenance of the aerodrome facilities.

3D.3.4 The aerodrome certificate holder shall coordi-nate with the ATS provider in order to be satisfied thatappropriate air traffic services are available to ensure thesafety of aircraft in the airspace associated with theaerodrome. The coordination shall cover other areas relatedto safety such as aeronautical information service, air trafficservices, designated meteorological authorities, and security.

3D.4 Aerodrome operators safetymanagement system

3D.4.1 The aerodrome operator shall establish asafety management system for the aerodrome describingthe structure of the organization and the duties, powers andresponsibilities of the officials in the organizational struc-ture, with a view to ensuring that operations are carried outin a demonstrably controlled way and are improved wherenecessary.

3D.4.2 The aerodrome operator shall oblige all usersof the aerodrome, including fixed-base operators, ground-handling agencies and other organizations that performactivities independently at the aerodrome in relation toflight or aircraft handling, to comply with the requirementslaid down by the aerodrome operator with regard to safetyat the aerodrome. The aerodrome operator shall monitorsuch compliance.

3D.4.3 The aerodrome operator shall require all usersof the aerodrome, including fixed-base operators, ground-handling agencies and other organizations referred to inregulation 3D.4.2, to cooperate in the programme to

Chapter 3. Aerodrome Certification Model Regulations 3-11promote safety at, and the safe use of, the aerodrome byimmediately informing it of any accidents, incidents,defects and faults which have a bearing on safety.

3D.5 Aerodrome operators internalsafety audits and safety reporting

3D.5.1 The aerodrome operator shall arrange for anaudit of the safety management system, including aninspection of the aerodrome facilities and equipment. Theaudit shall cover the aerodrome operators own functions.The aerodrome operator shall also arrange for an externalaudit and inspection programme for evaluating other users,including fixed-base operators, ground handling agenciesand other organizations working at the aerodrome asreferred to in regulation 3D.4.2.

3D.5.2 The audits referred to in regulation 3D.5.1shall be carried out every ........ months, or less, as agreedwith the CAA.

3D.5.3 The aerodrome operator shall ensure that theaudit reports, including the report on the aerodrome facili-ties, services and equipment, are prepared by suitablyqualified safety experts.

3D.5.4 The aerodrome operator shall retain a copy ofthe report(s) referred to in regulation 3D.5.3 for a period tobe agreed with the CAA. The CAA may request a copy ofthe report(s) for its review and reference.

3D.5.5 The report(s) referred to in regulation 3D.5.3must be prepared and signed by the persons who carried outthe audits and inspections.

3D.6 Access to the aerodrome

3D.6.1 Personnel so authorized by the CAA mayinspect and carry out tests on the aerodrome facilities,services and equipment, inspect the aerodrome operatorsdocuments and records and verify the aerodrome operatorssafety management system before the aerodrome certificateis granted or renewed and, subsequently, at any other time,for the purpose of ensuring safety at the aerodrome.

3D.6.2 An aerodrome operator shall, at the request ofthe person referred to in regulation 3D.6.1, allow access toany part of the aerodrome or any aerodrome facility,including equipment, records, documents and operatorpersonnel, for the purpose referred to in regulation 3D.6.1.

3D.6.3 The aerodrome operator shall cooperate inconducting the activities referred to in 3D.6.1.

3D.7 Notifying and reporting

3D.7.1 An aerodrome operator shall adhere to therequirement to notify and report to the CAA, air trafficcontrol and pilots within the specified time limits requiredby these regulations.

3D.7.2 Notification of inaccuracies in aeronauticalinformation service (AIS) publications. An aerodromeoperator shall review all Aeronautical Information Publi-cations (AIPs), AIP Supplements, AIP Amendments,Notices to Airmen (NOTAMs), Pre-flight InformationBulletins and Aeronautical Information Circulars issued byAIS on receipt thereof and immediately after such reviewsshall notify AIS of any inaccurate information containedtherein that pertains to the aerodrome.

3D.7.3 Notification of changes to the aerodromefacilities, equipment and level of service planned inadvance. An aerodrome operator shall notify AIS and theCAA, in writing, at least ........ days before effecting anychange to the aerodrome facility or equipment or the levelof service at the aerodrome that has been planned inadvance and which is likely to affect the accuracy of theinformation contained in any AIS publication referred to inregulation 3D.7.2.

3D.7.4 Issues requiring immediate notification. Sub-ject to the requirements of regulation 3D.7.5, an aerodromeoperator shall give AIS and shall arrange for air trafficcontrol and the flight operations unit to receive immediatenotice detailing any of the following circumstances ofwhich the operator has knowledge:

a) obstacles, obstructions and hazards:

1) any projections by an object through anobstacle limitation surface relating to theaerodrome; and

2) the existence of any obstruction or hazardouscondition affecting aviation safety at or near theaerodrome;

b) level of service:

reduction in the level of service at the aerodrome asset out in any of the AIS publications referred to inregulation 3D.7.2;

c) movement area:

closure of any part of the movement area of theaerodrome; and

3-12 Manual on Certification of Aerodromesd) any other condition that could affect aviation safetyat the aerodrome and against which precautions arewarranted.

3D.7.5 Immediate notification to pilots. When it is notfeasible for an aerodrome operator to arrange for the airtraffic control and the flight operations unit to receivenotice of a circumstance referred to in 3D.7.4 in accordancewith that regulation, the operator must give immediatenotice direct to the pilots who may be affected by thatcircumstance.

3D.8 Special inspections

An aerodrome operator shall inspect an aerodrome, ascircumstances require, to ensure aviation safety:

a) as soon as practicable after any aircraft accident orincident within the meaning of these terms asdefined in Annex 13 to the Convention onInternational Civil Aviation;

b) during any period of construction or repair of theaerodrome facilities or equipment that is critical tothe safety of aircraft operation; and

c) at any other time when there are conditions at theaerodrome that could affect aviation safety.

3D.9 Removal of obstructions from the aerodrome surface

An aerodrome operator shall remove from the aerodromesurface any vehicle or other obstruction that is likely to behazardous.

3D.10 Warning notices

When low flying aircraft, at or near an aerodrome, ortaxiing aircraft are likely to be hazardous to people orvehicular traffic, the aerodrome operator shall:

a) post hazard warning notices on any public way thatis adjacent to the manoeuvring area; or

b) if such a public way is not controlled by theaerodrome operator, inform the authority respon-sible for posting the notices on the public way thatthere is a hazard.

Chapter 3. Aerodrome Certification Model Regulations 3-13SECTION EEXEMPTIONS

MODEL REGULATIONS

3E.1.1 The CAA may exempt, in writing, an aero-drome operator from complying with specific provisions ofthese regulations.

3E.1.2 Before the CAA decides to exempt the aero-drome operator, the CAA must take into account all safety-related aspects.

3E.1.3 An exemption is subject to the aerodromeoperator complying with the conditions and proceduresspecified by the CAA in the aerodrome certificate as beingnecessary in the interest of safety.

3E.1.4 When an aerodrome does not meet therequirement of a standard or practice specified in regulation3A.3, the CAA may determine, after carrying out aeronaut-ical studies, only if and where permitted by the standardsand practices, the conditions and procedures that arenecessary to ensure a level of safety equivalent to thatestablished by the relevant standard or practice.

3E.1.5 Deviation from a standard or practice and theconditions and procedures referred to in regulation 3B.4shall be set out in an endorsement on the aerodromecertificate.

mghahremaniHighlight

Chapter 4

AERODROME CERTIFICATION PROCEDURES

4.1 INTRODUCTION

4.1.1 The aerodrome certification procedures shouldensure full compliance with and have as a control the aero-drome certification regulations promulgated by the State.The procedures suggested in this chapter are in conformitywith the model regulations of Chapter 3 and, just as themodel regulations can be adapted to suit the scenario inindividual States, the procedures suggested in this chaptercan also be suitably adapted.

4.1.2 Adherence to national regulations and standardprocedures will ensure that aerodrome certificates areissued, refused, transferred or surrendered in a consistentmanner nationally. The use of a common legal format willalso facilitate effective and consistent compliance with andenforcement of the regulations.

4.1.3 The procedures in this chapter refer to thecontrolling model regulations in Chapter 3, and the typicalCAA staff requirement for implementing each procedure isindicated.

4.1.4 States not having a fully-staffed entity withintheir CAA responsible for implementing the proceduresmay opt to enlist outside assistance to perform some of thetechnical services required, e.g. assessment of aerodromefacilities and equipment. Such persons will be deemed to beCAA staff authorized to inspect the facilities and equipmentand conduct tests, etc.

4.2 CERTIFICATION PROCESS

The aerodrome certification process will comprise:

a) dealing with the expression of interest by anintending applicant for the aerodrome certificate;

b) assessing the formal application, including evalu-

d) issuing or refusing an aerodrome certificate; and

e) promulgating the certified status of an aerodromeand the required details in the AIP.

4.3 DEALING WITH THEEXPRESSION OF INTEREST

4.3.1 Aerodromes that are required to be certified inaccordance with national regulations must be in possessionof an aerodrome certificate before commencing operations.If the aerodrome certification regulations have not yet beenestablished, a suitable transition should be agreed tobetween the CAA and the current aerodrome operator.Dealing with the expression of interest should include aflight operations assessment by the CAA and/or the rel-evant authorities to ensure that the operation of anaerodrome at the location specified in the application willnot endanger the safety of aircraft operations. If the resultof this assessment is negative, then there is no need toproceed any further, and the applicant should be advisedaccordingly by invoking model regulation 3B.3.3 at thisinitial stage.

4.3.2 The flight operations assessment should takeinto consideration the proximity of the aerodrome to otheraerodromes and landing sites, including military aero-dromes; obstacles and terrain; any excessive operationalrestriction requirements; any existing restrictions and con-trolled airspace; and any existing instrument procedures.

4.3.3 There may be other State legislation orregulations covering subjects such as environmental protec-tion, which may require the approval of a competentauthority from those areas of expertise. The processing ofthe expression of interest should also include referrals tothose competent State entities for their clearance with thenecessary documentation, e.g. an environmental impactstudy carried out by the applicant.4-1

ation of the aerodrome manual;

c) assessing the aerodrome facilities and equipment;4.3.4 Should the results of the above assessment be

positive, the CAA should advise the applicant in writing to:

4-2 Manual on Certification of Aerodromesa) submit a formal application for an aerodromecertificate in accordance with the requirements ofregulation 3B.2. The CAA should provide the appli-cant with the prescribed application form, a copy ofthe aerodrome certification regulations, includingits schedule(s), and any other relevant circular orpublication that the CAA may have issued,including the national standards for aerodromes;and

b) obtain copies of other relevant publications issuedby ICAO and State entities other than the CAA.

Note. The applicant may be asked to cover the cost ofthe forms and publications.

4.3.5 In the letter to the applicant, the contact personin the CAA should be indicated.

CAA staff requirement

4.3.6 The CAA staff requirement for carrying out theactivities described in 4.3.1 to 4.3.5 may include, but not belimited to, aerodrome inspectors, airspace policy special-ists, rescue and fire-fighting inspectors and visual aidsspecialists.

4.4 ASSESSMENT OF A FORMALAPPLICATION FOR AN

AERODROME CERTIFICATE

4.4.1 Model regulation 3B.3.2 specifies the responsi-bilities of the CAA before it can grant an aerodromecertificate. It specifies the requirements for aerodromecertification and the need for operational safety consider-ations. The CAA must be satisfied that the aerodromeoperator has the necessary competence and experience tocomply with the relevant regulatory provisions, orders anddirectives of the CAA.

4.4.2 To ensure uniformity, the CAA may prescribe astandard application form for an aerodrome certificate.

Note. A sample application form based upon the formused in one State is given in Appendix 2 for guidancepurposes.

4.4.3 The assessment by the CAA of the formalapplication should include the following:

a) a flight operations assessment if that was notcarried out during the time of dealing with the

expression of interest. This assessment should alsoinclude an aeronautical study pursuant to modelregulation 3E.1.4 if there is a deviation from astandard or a practice;

b) an assessment of the aerodrome manual submittedby the applicant to determine whether:

1) the manual complies with the requirements ofthe regulations in Section C and the schedule ofthese regulations (see Appendix 1). All verifi-cations that can be completed or initiated in theoffice should be carried out, including theaerodrome data to be published by the aero-nautical information service, and the adequacy ofthe aerodrome operating procedures; and

2) the management system, including the safetymanagement system, indicates that the appli-cant will be able to operate and maintain theaerodrome properly; and

c) a site visit as detailed in 4.4.4.

4.4.4 A site visit should be undertaken for the purposeof assessing the aerodrome facilities, services and equip-ment to verify and ensure that they comply with thespecified standards and practices. This should include:

a) on-site verification of aerodrome data; and

b) the checking of aerodrome facilities and equipment,which should include:

1) dimensions and surface conditions of:

runway(s); runway shoulders; runway strip(s); runway end safety areas; stopway(s) and clearways; taxiway(s); taxiway shoulders; taxiway strips; and aprons;

2) the presence of obstacles in obstacle limitationsurfaces at and in the vicinity of theaerodrome;

3) the following aeronautical ground lights,including their flight check records:

runway and taxiway lighting;

Chapter 4. Aerodrome Certification Procedures 4-3 approach lights; PAPI/APAPI or T-VASIS/AT-VASIS; apron floodlighting;

obstacle lighting; pilot-activated lighting, if applicable; and visual docking guidance systems;

4) standby power;

5) wind direction indicator(s);

6) illumination of the wind direction indicator(s);

7) aerodrome markings and markers;

8) signs in the movement areas;

9) tie-down points for aircraft;

10) ground earthing points;

11) rescue and fire-fighting equipment and instal-lations;

12) aerodrome maintenance equipment, particularlyfor the airside facilities maintenance includingrunway surface friction measurement;

13) runway sweepers and snow removalequipment;

14) disabled aircraft removal equipment;

15) wildlife management procedures and equip-ment;

16) two-way radios installed in vehicles for use bythe aerodrome operator in the movement area;

17) the presence of lights that may endanger thesafety of aircraft; and

18) fuelling facilities.

CAA staff requirement

4.4.5 The CAA staff requirement for carrying out theassessment of the formal application for an aerodromecertificate may include aerodrome inspectors, airspacepolicy specialists, rescue and fire-fighting inspectors andvisual aids specialists.

4.5 THE GRANT OR REFUSAL OF A CERTIFICATE

4.5.1 The regulations in 3B.3 of the model regulationsrequire the CAA to notify its decision to issue or refuse toissue a certificate. The regulations in 3B.4 of the modelregulations allow the CAA to endorse conditions, in theinterest of safety, on an aerodrome certificate being issued.

4.5.2 Based on the results of the assessment of theformal application for a certificate, the CAA should notifythe applicant whether the application was successful orunsuccessful. If the application was unsuccessful, theapplicant should be advised of the additional steps thatneed to be taken by the applicant prior to certification. Forexample, the aerodrome manual may need to be amendedto incorporate any changes to the aerodrome facilities andequipment that may be required in order to comply with thestandards and practices specified in the regulations.

4.5.3 If the application was successful, the aerodromecertificate, incorporating conditions pursuant to modelregulations 3B.4 or 3E.1.4, as applicable, shall be grantedto the applicant after an identifying number has beenallocated.

Note. Appendix 4 contains a sample aerodromecertificate issued by one State.

4.5.4 If after being advised of the additional steps thatmust be taken to rectify the shortcomings referred to in4.5.2, the aerodrome operator is still not able to satisfy therequirements of the regulations, the CAA may refuse togrant a certificate. The refusal may be based on one ormore of the following determinations, for which detailsshould be given:

a) the inspection of aerodrome facilities and equipmentrevealed that they do not make satisfactory provisionfor the safety of aircraft operations;

b) the assessment of the aerodrome operating proce-dures revealed that they do not make satisfactoryprovision for the safety of aircraft operations;

c) the assessment of the aerodrome manual revealedthat it does not contain the particulars set out inmodel regulation 3C.3.1 and the associated scheduleof the regulations; and

d) the assessment of the above facts and other factors(to be listed) revealed that the applicant will not beable to properly operate and maintain the aero-drome as required by model regulation 3B.3.2 a).

4-4 Manual on Certification of AerodromesIf the basic legislation provides for a review process, theapplicants attention may be drawn to that fact in the letterof refusal.

CAA staff requirement

4.5.5 The CAA staff requirement for carrying out theactivities described in 4.5.1 to 4.5.4 may include:

a) appropriate CAA management staff, i.e. themanager or director of the standards entity, orsimilar, or the Director General of the CAA; and

b) aerodrome inspectors.

Costs

4.5.6 A State may require the applicant to bear thecosts of aerodrome certification.

4.6 PROMULGATION IN THE AIP OF THECERTIFIED STATUS AND DETAILS

OF THE AERODROME

Upon satisfactory completion of the certification process,information about the aerodrome should be provided to theaeronautical information service for publication.

4.7 TRANSFER OF AN AERODROME CERTIFICATE

4.7.1 Transfer of an aerodrome certificate may berequired in accordance with the applicable national regula-tions when the ownership and the operation of theaerodrome are transferred from one operator to another.Establishment of a standard procedure will ensure that theaerodrome certificates are transferred correctly andconsistently using a common legal format nationally.

4.7.2 The reasons for a transfer may include the saleor transfer of the responsibility to operate the aerodromefrom a government department to a government-constitutedaerodrome entity, such as an airport authority or a provin-cial or municipal administration, or as a result ofprivatization or corporatization. The ownership and theoperational responsibility may also change from one privateentity to another.

4.7.3 Model regulation 3B.7.1 specifies, inter alia, therequirement for the CAAs consent for the transfer of anaerodrome certificate and for the powers to transfer acertificate to be vested in the CAA. Consent to transfer willbe given by the CAA only if it is satisfied that the proposedtransferee will be able to operate and maintain theaerodrome properly and that no significant variation willoccur in the day-to-day operations of the aerodrome. Thisimplies that the aerodrome facilities, services and equip-ment should remain substantially unaltered; key aerodromeoperational and maintenance personnel should remain inposition or be replaced with staff of equivalent qualifi-cations, experience or skill level; the safety managementsystem should remain effective and, finally, the aerodromemanual procedures should remain substantially unaltered.

4.7.4 Consent to the proposed transfer may be refusedif the CAA is not satisfied that the proposed transferee willbe able to operate and maintain the aerodrome properly orif significant changes to the operational aspects of the aero-drome will result or will be made by the transferee (e.g.reduction in runway, taxiway or apron facilities; changes inthe conditions of the existing certificate unacceptable to theCAA; inadequacy or inappropriateness of the new staffingarrangements or significant revisions to the aerodromemanual).

4.7.5 If the CAA decides to deny consent, it shouldadvise the transferee, in writing, within the period specifiedin model regulation 3B.7.2 stating the reasons for denial.

CAA staff requirement

4.7.6 The CAA staff requirement for carrying out thetransfer of an aerodrome certificate may include:

a) appropriate CAA management staff, e.g. the mana-ger or director of the office responsible for dealingwith the subject of aerodrome certification; and

b) aerodrome inspectors.

4.8 SURRENDER OF AN AERODROME CERTIFICATE

4.8.1 Model regulations 3B.6.1 and 3B.6.2 providefor the cancellation of an aerodrome certificate if anaerodrome operator voluntarily gives notice in writing tothe CAA.

4.8.2 Upon receipt of the notice, the CAA should:

Chapter 4. Aerodrome Certification Procedures 4-5a) verify the credentials of the operator requestingcancellation as the certificate holder;

b) verify that the notification received from theaerodrome operator meets the requirements ofregulations 3B.6.1 and 3B.6.2; and

c) check that the information provided by the aero-drome operator includes the following:

1) if the aerodrome is to remain open, anappropriate NOTAM has been promulgated toadvise the change of status; and

2) if the aerodrome is to be closed to all traffic,sufficient safety measures have been taken bythe aerodrome operator, such as the removal ofwind socks and markings, the provision of

appropriate closed markings, unserviceabilitymarkers and such other visual aids as necessary.

4.8.3 If the application for cancellation of thecertificate is found to be in order, a competent official ofthe CAA should issue a letter cancelling the certificateeffective from the date specified in the notice given by thecertificate holder.

4.8.4 If the aerodrome is to remain open for use as anuncertified aerodrome, the CAA should ensure that thesafety requirements at such aerodromes are met.

4.8.5 The aeronautical information service should beadvised to take appropriate action regarding the uncertifiedstatus of the aerodrome or the closure of the aerodrome, asthe case may be, in accordance with Annex 15 to theConvention on International Civil Aviation.

Chapter 5

REGULATORY AUTHORITY

5.1 ORGANIZATION

5.1.1 In all States it will be necessary to establish anentity within the CAA responsible for ensuring that therequirements set forth in Sections 1.2 and 1.3 of Annex 14,Volume I, are met. The organizational structure and staffingof such an entity, hereinafter referred to as the Directorateof Aerodromes Standards and Safety (DASS), will varydepending upon the level of aviation activity in the State.

5.1.2 The primary responsibility of the DASS shouldbe to ensure that:

a) the aerodromes under the jurisdiction of the Stateoffer a safe operational environment in accordancewith the Convention on International Civil Aviation;and

b) the States obligation under Article 38 of theConvention to notify ICAO of differences betweenits national regulations and practices and theInternational Standards contained in Annex 14,Volume I, is met. It is also recommended thatdifferences between the Recommended Practicescontained in the Annex and the States nationalregulations and practices be notified to ICAO.

5.1.3 A typical organizational structure of a DASS isgiven in Appendix 5. The Directorate may have twodivisions, one dealing with aerodrome standards and theother with aerodrome safety. The Aerodrome StandardsDivision may consist of two sections, one dealing withaerodrome design and the other with engineering specifi-cations. The Aerodrome Safety Division may have threesections, the first dealing with aerodrome certification, thesecond dealing with compliance and enforcement and thethird being the technical library, which may also be maderesponsible for the collection and recording of aerodromesafety data.

division may be combined and even the functions of thetwo divisions may be combined.

5.1.5 In States with a large number of aerodromesunder their jurisdiction, there may be a need to establishregional aerodrome offices with appropriate delegation offunctions and authority.

5.1.6 The aerodrome certification and subsequentsafety inspection tasks require input from the aerodromeengineering and flight operations inspection staff of theCAA. The DASS should therefore function in close cooper-ation with the Flight Operations Division of the CAA. Thefunctions of the DASS described in 5.2 include thoserelating to aerodrome certification and safety inspection tobe performed by the Flight Operations Division.

5.2 FUNCTIONS AND RESPONSIBILITIESOF THE DASS

5.2.1 Aerodrome certification

These tasks and responsibilities include:

a) receiving, recording, reviewing and processing, incooperation with the Flight Operations Division ofthe CAA, the expressions of interest received froman intending applicant for an aerodrome certificate;

b) receiving, recording, reviewing and processing, incooperation with the Flight Operations Division ofthe CAA, the formal application for an aerodromecertificate, including the initial inspection coveringthe review of the aerodrome manual, on-siteverification, inspection and testing of aerodromeparticulars, facilities and equipment, including aero-nautical studies, if and where permitted by thestandards and practices, as described in 4.4.3 and5-1

5.1.4 Depending upon the level of aviation activity inthe State, the number of aerodromes and the volume ofwork in the DASS, the functions of the sections under each

4.4.4;

c) grant or refusal of an aerodrome certificate;

5-2 Manual on Certification of Aerodromesd) estimating, recording and collecting the cost of theservices from applicants (if applicable under theregulations);

e) receiving, recording, reviewing and processingapplications for the transfer of an aerodromecertificate;

f) grant or refusal of the transfer of an aerodromecertificate;

g) receiving, recording, reviewing and processingapplications for the surrender of an aerodromecertificate;

h) cancelling or suspending an aerodrome certificate;

i) grant of an interim aerodrome certificate; and

j) reviewing the factors requiring the amendment ofan aerodrome certificate and issuing the requiredamendments.

5.2.2 Notifications to AIS andother organizations

These tasks and responsibilities include:

a) notifying AIS of the certified status of anaerodrome and providing the particulars of theaerodrome described in Part 3 of Appendix 1 to thismanual for promulgation by the AIS;

b) reviewing any amendments to aerodrome manualsand notifying AIS of the changes to be made in theAIS publications;

c) coordinating with AIS in the review of anynotification received from an aerodrome operatorfor promulgation by AIS, such as notification of:inaccuracies in AIS publications; changes in aero-drome facilities, equipment and level of servicesplanned in advance; obstacles, obstructions andhazards; closure of any part of the manoeuvringarea; immediate reduction in the level of service atthe aerodrome and any other conditions that couldaffect the safety at or near the aerodrome andwarrant precautions to be taken; and

d) coordinating with other agencies and serviceproviders such as aeronautical information service,air traffic services, designated meteorological auth-orities, and security.

5.2.3 Safety audits

5.2.3.1 These tasks and responsibilities include:

a) periodic or special on-site audits of the aerodromesafety management system including verification ofthe aerodrome, and data published in the AIP andinspection of the aerodrome facilities, equipmentand operating procedures; and

b) review of the aerodrome operators daily audits andspecial safety audit reports and actions thereon.

Note. An aerodrome audit programme shouldoperate on the principle that the aerodrome certificateholders internal audit programme is of primaryimportance and that the CAAs audits are conducted toreview and evaluate that programme and, in addition, toindependently check and verify the particulars of theaerodrome notified in the AIP, as well as the aerodromeoperating procedures, safety measures, facilities andequipment.

5.2.3.2 Periodic inspections are therefore required toensure that aerodrome certificate holders meet their obli-gations under the terms of the certificate, as set out inSection D of the model regulations, and the requirements ofthe accepted/approved aerodrome manual.

5.2.3.3 The frequency of such inspections maycorrespond to the class of the aerodrome as categorized bythe State. For example, one State requires its aerodromes,which are categorized as large, medium and small certifiedhub aerodromes, to be inspected annually, reducing thefrequency to once in eighteen months in the case of non-hub aerodromes. For its limited certified aerodromes, therecommended frequency is once in twenty-four months,which can be reduced to once in thirty-six months ifcircumstances so require.

5.2.3.4 The tasks and responsibilities associated withperiodic inspections are described in 5.5.4. These tasks maybe carried out in the following phases:

a) Pre-inspection briefing with aerodrome manage-ment, including coordination with air traffic controltower personnel.

b) Administrative inspection of the aerodrome safetymanagement system, including such items as snowand ice control plans (if applicable); currentNOTAMs; medical and RFF training records;aviation fuel suppliers safety records; fuellingagents certificates and fire safety training records;

Chapter 5. Regulatory Authority 5-3documentation of the annual review of theaerodrome emergency plan, including full-scaleemergency exercises, and the aerodrome operatorsrecords of the safety audits of fixed-base operators,ground handling agents and other agencies engagedin airside activities.

c) Movement area inspection including the inspectionand checking of runways and taxiways in order toascertain the condition of pavements, markings,lighting, signs, shoulders, strips and runway endsafety areas; checking for potentially hazardousconditions if construction work is in progress, suchas excavations, trenches, stockpiled material, inad-equate construction area markings, constructionequipment in the movement area and inadequatemarking and lighting of temporary thresholds;checking ground vehicle operations in themovement area to verify that only authorizedvehicles have access to the area and that therequired procedures are being followed, thevehicles are properly marked and the drivers knowand use the proper communication terminology;checking that the public is protected againstunauthorized entry to the movement area andagainst jet or propeller blast; checking for wildlifehazards and wildlife attractants; and checkinglanding direction indicators and wind directionindicators.

d) Rescue and fire-fighting including the checking oftraining records; random testing of the knowledgeof firefighters; checking that the equipment is inposition, is functional and meets the categoryrequirements; conducting a time response drill;checking the alarm system; checking and exam-ining proximity suits, other protective clothing andfire-fighting and rescue tools and supplies in theinventory.

e) Fuel facilities including the examination of theinspection records by qualified and authorizedpersonnel, particularly checking that the aerodromefire-fighting standards are adequately covered in theinspection checklist, and spot checking, includingfuel sampling, for compliance with the applicablerequirements.

f) Night inspections including the evaluation andchecking for compliance with the standards relatedto runway, taxiway and apron lighting and signage;pavement markings; aerodrome beacons; winddirection indicator lighting; obstacle lighting andthe marking and lighting of construction areas.

g) Post inspection briefing with the aerodromemanagement, including the determination of appro-priate enforcement action for non-compliance withthe regulations.

5.2.4 Other safety functions

These tasks and responsibilities may include:

a) a first-hand evaluation of full-scale airportemergency exercises to identify problems anddeficiencies;

b) the provision of guidance at the design andconstruction stages of aerodrome projects, particu-larly complex projects or where there is significantwork that may impact compliance with theregulations;

c) final inspection of completed projects involvingcomplex or significant work to identify problems ordeficiencies that need to be corrected in order tocomply with the requirements of the regulations;

d) the organization of, and participation in, aerodromesafety seminars and other training programmes topromote a safety culture.

5.2.5 Compliance and enforcement

5.2.5.1 It is the responsibility of aerodrome operatorsto comply with the requirements of the aerodrome certifi-cation regulations. Aviation safety at aerodromes dependsprimarily on voluntary adherence to these requirements bythe aerodrome operators. Promoting compliance with theregulations through education, training and counselling istherefore of primary importance, and only when theseefforts have failed should formal enforcement action betaken. Sanctions can be administrative or legal dependingon the severity of the violation of the regulations and itsimpact on aviation safety. It is recognized that States mayhave their own policies for enforcement of their regulations.

5.2.5.2 Administrative action in the form of a warningletter or correction letter may be considered appropriatewhen legal action is deemed unnecessary. Administrativeenforcement action is intended to bring the violation to theattention of the aerodrome operator, to document correctiveaction and to require future compliance. Such actions arewarranted when the violation does not result in a significantunsafe condition, is not caused by incompetence or lack ofrequired qualifications on the part of the aerodromeoperator, is not deliberately caused, the attitude of the

5-4 Manual on Certification of Aerodromesoperator is constructive and positive towards compliancewith the regulations and there is no history of such aviolation by the operator.

5.2.5.3 Formal legal enforcement action may bewarranted to prevent future violations of the regulations.Such action may include the issuance of cease-and-desistorders and injunctions and the imposition of sanctions afterthe act to deter violations. Such sanctions may includerevocation, suspension or amendment of the certificate.Legal enforcement actions are pursuant to appropriatestatutory provisions in the civil aviation legislation of aState.

5.2.5.4 In determining the appropriate type andmeasure of sanction to be applied, the factors to beconsidered may include the nature of the violation, whetherit was deliberate or inadvertently caused; the potential oractual hazard to aviation safety created by the violation; theaerodrome operators level of responsibility; records ofprevious violations; the operators attitude toward theviolation, including whether the operator voluntarilydisclosed the violation and whether action was taken tocorrect it; the impact of the proposed sanction on theviolator and its value as a deterrent to other operators insimilar situations.

5.2.5.5 Certificate-related legal sanctions can have asignificant impact on air services and may also have otherrepercussions. Since the public interest and aviation safetyare the principal objectives of aerodrome certification regu-lations, recourse to the imposition of sanctions may bewarranted only after all other means of resolving safetyviolations have failed to ensure compliance.

5.2.5.6 Suspension of an aerodrome certificate may beconsidered if:

a) the aerodrome operators safety managementsystem is found to be inadequate;

b) it is in the interest of operational safety;

c) all other means for timely correction of the unsafecondition or ensuring safe aircraft operations havenot yielded the required results;

d) the technical proficiency or qualifications of theaerodrome operator to perform the duties to meetthe critical safety requirements in accordance withthe regulations are found inadequate;

e) the operator resists or is unwilling to take action tocorrect or mitigate the condition affecting aviationsafety; or

f) the operator wilfully fails to perform an alreadyagreed upon corrective action and suspension of thecertificate is the last resort to avoid unsafe operationsin the aerodrome movement area.

5.2.5.7 Revocation of an aerodrome certificate may bewarranted if the aerodrome operator:

a) is incapable or unwilling to carry out correctiveaction or has committed/repeated serious violations;

b) has demonstrated a lack of responsibility, such asdeliberate and flagrant acts of non-compliance orfalsification of records jeopardizing aviation safety;or

c) has made it convincingly clear that the continuedoperation of the aerodrome will be detrimental tothe public interest.

5.2.6 Aerodrome standards

These general tasks and responsibilities may include thefollowing:

a) reviewing ICAO State letters on the subject ofaerodromes, preparing responses thereto and takingaction thereon;

b) developing and continuing to review the nationalstandards and practices for aerodrome design,operation and maintenance, and engineeringspecifications;

c) developing and issuing orders, rules, advisorycirculars and guidance material relating to aero-drome standards and practices;

d) reviewing plans and designs for new aerodromes orthe further development of, or modification to,existing aerodromes, submitted to the CAA forapproval, to ensure that the requirements of theICAO SARPs and the States national regulationsare complied with; and

e) advising the aerodrome inspectors, as required, onaerodrome standards and practices.

5.3 TECHNICAL LIBRARYAND RECORDS

5.3.1 To enable DASS personnel to keep abreast ofthe subject of aerodrome design, specifications, operation

Chapter 5. Regulatory Authority 5-5and maintenance, it is essential to establish a properlyorganized and administered technical library. The libraryshould contain all documents issued by ICAO relating tothe design, operation and maintenance of aerodromefacilities and equipment, and all national standards, rules,orders, advisory circulars and guidance material. Addition-ally, the standards and other relevant documentation issuedby other States which are commonly used as referencematerial, and important textbooks and magazines on thesubject should also be kept in the technical library. It isimportant that the documents in the library be promptlyamended to keep them current.

5.3.2 DASS will need to maintain files for eachaerodrome in the State including certified aerodromes. Thefile for each certified aerodrome should contain recordsfrom the expression of interest stage to the issuance orrefusal of the certificate, and the file should remain openthereafter for further documentation and correspondence onthe subject. Additionally, an aerodrome certificate registershould be maintained for each aerodrome as well as areference log of the date of issue of important letters, formsand certificate numbers.

5.3.3 Close liaison should be maintained with theAccident Investigation and Prevention Unit of the State toobtain data on aircraft accidents and incidents at or nearaerodromes for use by DASS staff in their continuing work.

5.4 STAFFING

The structure and level of staffing of the DASS will dependon the volume of work to be handled. The DASS should beheaded by a qualified and experienced person. TheAerodrome Standards Division should be staffed withqualified civil engineers and electrical engineers withexperience in aerodrome design, construction or mainten-ance. The Aerodrome Safety Division should be staffedwith aerodrome inspectors. The detailed qualificationrequirements, duties and responsibilities of aerodromeinspectors are given in 5.5.

5.5 QUALIFICATIONS, DUTIESAND RESPONSIBILITIES

OF AERODROME INSPECTORS

5.5.1 Aerodrome inspectors may be engineers (civilor electrical) with adequate experience in aerodromeplanning, operation or maintenance and should possess asound knowledge of Annex 14, Volume I, all relevant

manuals published by ICAO, and the States nationalstandards and practices. Flight training, airport manage-ment experience and knowledge of modern safetymanagement systems are desirable qualifications.

5.5.2 The CAA may also consider hiring persons withother qualifications, experience and knowledge suitable forcarrying out the duties of aerodrome inspector, subject toany conditions that the CAA may have regarding thepersons qualifications, experience and knowledge. Suchpersons may have airport management, flight operations orair traffic control backgrounds. Training in the appropriateelements of aerodrome engineering relevant to aerodromeinspection should be an essential requirement.

5.5.3 Aerodrome inspectors will report to the head ofthe DASS through the Head of the Aerodrome SafetyDivision and will be responsible for carrying out thefunctions described in 5.2.1 to 5.2.5. Adequate on-the-jobtraining should be provided before entrusting the wholespectrum of aerodrome inspection duties to an inspector.

5.5.4 The typical duties of an aerodro