Doc 9379. Edition 2
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Manual of Procedures for Establishment and Management of a State’s Personnel Licensing System
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Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 University Street, Montral, Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at www.icao.int First Edition 1983 Second Edition 2012 Doc 9379, Manual of Procedures for Establishment and Management of a States Personnel Licensing System Order Number 9379 ISBN 978-92-9249-117-8 Print version ISBN 978-92-9265-930-1 Electronic version ICAO 2012 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization.
iii AMENDMENTS Amendments are announced in the supplements to the Catalogue of ICAO Publications the Catalogue and its supplements are available on the ICAO website at www.icao.int. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS CORRIGENDA No. Date Entered by No. Date Entered by 1 3/11/22 ICAO
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Doc 9379. Edition 2. Manual of Procedures for Establishment and Management of a State’s Personnel Licensing SystemDoc 9379. Amendment № 1Annex 1. Edition 14. Personnel LicensingAnnex 6. Part 1. Edition 12. Operation of Aircraft. Part I. International Commercial Air Transport. AeroplanesAnnex 8. Edition 13. Airworthiness of AircraftAnnex 9. Edition 16. FacilitationAnnex 10. Vol 2. Edition 7. Aeronautical Telecommunications. Volume II. Communication Procedures including those with PANS statusAnnex 17. Edition 12. Aviation Security. Safeguarding International Civil Aviation against Acts of Unlawful InterferenceAnnex 19. Edition 2. Safety ManagementDoc 8168. Vol 2. Edition 7. Procedures for Air Navigation Services. Aircraft Operations. Volume II. Construction of Visual and Instrument Flight ProceduresDoc 9868. Edition 3. Procedures For Air Navigation Services. TrainingDoc 7192. Part 4. Edition 2. Training Manual Part D-1. Aircraft Maintenance (Technician/Engineer/Mechanic)Doc 7300. Edition 9. Convention on International Civil AviationDoc 8335. Edition 6. Manual of Procedures for Operations Inspection, Certification and Continued SurveillanceDoc 8984. Edition 3. Manual of Civil Aviation MedicineDoc 9284. Edition 20232024. Technical Instructions for the Safe Transport of Dangerous Goods by AirDoc 9303. Part 10. Edition 8. Machine Readable Travel Documents. Part 10. Logical Data Structure (LDS) for Storage of Biometrics and Other Data in the Contactless Integrated Circuit (IC)Doc 9625. Vol 1. Edition 4. Manual of Criteria for the Qualification of Flight Simulation Training Devices Aeroplanes.Doc 9654. Edition 1. Manual on Prevention of Problematic Use of Substances in the Aviation WorkplaceDoc 9683. Edition 1. Human Factors Training ManualDoc 9734. Part 1. Edition 3. Safety Oversight Manual. Part A. The Establishment and Management of a State Safety Oversight SystemDoc 9735. Edition 4. Universal Safety Oversight Audit Programme Continuous Monitoring ManualDoc 9835. Edition 2. Manual on the Implementation of ICAO Language Proficiency RequirementsDoc 9841. Edition 3. Manual on the Approval of Training OrganizationsDoc 9859. Edition 4. Safety Management ManualCircular 211. Edition 1. Aerodrome Flight Information Service (AFIS)Circular 314. Edition 1. Threat and Error Management (TEM) in Air Traffic ControlAnnex 1. Edition 10. Personnel LicensingAnnex 1. Edition 12. Personnel LicensingAnnex 1. Edition 13. Personnel LicensingAnnex 1. Edition 13. Personnel LicensingAnnex 6. Part 3. Edition 6. Part III — International Operations — HelicoptersAnnex 6. Part 3. Edition 7. Part III — International Operations — HelicoptersAnnex 6. Part 3. Edition 8. International Operations — HelicoptersAnnex 6. Part 1. Edition 9. Part I — International Commercial Air Transport — AeroplanesAnnex 6. Part 3. Edition 9. International Operations — HelicoptersAnnex 6. Part 1. Edition 10. International Commercial Air Transport — AeroplanesAnnex 6. Part 3. Edition 10. Operation of Aircraft. Part III. International Operations. HelicoptersAnnex 6. Part 1. Edition 11. Operation of Aircraft. Part I. International Commercial Air Transport. AeroplanesAnnex 6. Part 1. Edition 11. International Commercial Air Transport — Aeroplanes.Annex 6. Part 1. Edition 11. Operation of Aircraft. Part I. International Commercial Air Transport. AeroplanesAnnex 6. Part 3. Edition 11. Operation of Aircraft. Part III. International Operations. HelicoptersAnnex 19. Edition 1. Safety Management.Doc 9842. Programme Budget of the Organization 2005-2006-2007Doc 10004. Edition 20202022. 2020-2022 Global Aviation Safety PlanDoc 10011. Edition 1. Manual on Aeroplane Upset Prevention and Recovery TrainingDoc 10019. Edition 1. Manual on Remotely Piloted Aircraft Systems (RPAS)Doc 10056. Edition 1. Manual on Air Traffic Controller Competency-based Training and Assessment.Doc 10056. Edition 1. Manual on Air Traffic Controller Competency-based Training and AssessmentDoc 10059. Edition 1. Manual on the implementation of Article 83 bis of the Convention on International Civil AviationDoc 10059. Edition 1. Manual on the implementation of Article 83 bis of the Convention on International Civil AviationDoc 10098. Edition 1. Manual on Competency-based Training and Assessment for Aircraft Maintenance PersonnelDoc 10098. Edition 1. Manual on Competency-based Training and Assessment for Aircraft Maintenance PersonnelDoc 10137. Edition 1. Assembly 40th Session. Montréal, 24 September – 4 October 2019. Technical Commission ReportDoc 10151. Edition 1. Manual on Human Performance (HP) for RegulatorsВСЕ ДОКУМЕНТЫALL DOCUMENTSDoc 9379
Table Of Contents
COVER PAGE
AMENDMENTS
FOREWORD
TABLE OF CONTENTS
GLOSSARY
PUBLICATIONS
Part I. GENERAL PRINCIPLES AND ORGANIZATION
Chapter 1. THE ACTION OF PERSONNEL LICENSING
1.1 GENERAL
1.2 DEFINITION OF PERSONNEL LICENSING
1.3 THE COMPONENTS OF A STATE’S PERSONNEL LICENSING SYSTEM
2.1 GENERAL
2.2 TASKS OF A PEL OFFICE
Chapter 2. THE LICENSING AUTHORITY
2.3 ORGANIZATIONAL STRUCTURE OF A PEL OFFICE
2.4 STAFFING AND QUALIFICATIONS OF KEY PERSONNEL
2.6 STAFF TRAINING AND QUALITY CONTROL
2.7 FACILITIES AND EQUIPMENT
2.5 ADMINISTRATIVE SUPPORT PERSONNEL
2.8 RECORD-KEEPING
2.9 LIBRARY AND REFERENCE DOCUMENTATION
3.2 ORGANIZATION AND CONTENT OF A STATE’S REGULATIONS
Chapter 3. REGULATORY SYSTEM GOVERNING PERSONNEL LICENSING
3.1 RESPONSIBILITIES OF STATES
3.3 DEVELOPMENT AND MAINTENANCE OF REGULATIONS
3.4 DIFFERENCES BETWEEN NATIONAL REGULATIONS AND THE REQUIREMENTS OF ICAO ANNEX 1
3.5 ENFORCEMENT OF REGULATIONS
3.8 USEFUL WEBSITES FOR STATE REGULATIONS, ORDERS AND ADVISORY CIRCULARS
3.7 EXPLANATORY PAMPHLET
3.6 ADVISORY CIRCULARS, AERONAUTICAL NFORMATON CIRCULARS AND NOTAM
3.9 ICAO PROVISIONS
4.1 ICAO LICENCES
Chapter 4. WHICH ACTIVITIES REQUIRE A LICENCE?
4.2 NON-ICAO LICENCES
Chapter 5. MEDICAL ASSESSMENT
5.1 GENERAL
5.2 CLASSES OF MEDICAL ASSESSMENTS
5.3 MEDICAL EXAMINERS
5.4 MEDICAL ASSESSORS
5.5 CHIEF MEDICAL OFFICER
Chapter 6. DELEGATION OF FUNCTIONS AND RESPONSIBILITIES
6.1 GENERAL
6.2 DELEGATION OF PERSONNEL LICENSING FUNCTIONS TO ANOTHER STATE
6.4 DELEGATION OF LICENSING FUNCTIONS TO A REGIONAL SAFETY OVERSIGHT ORGANIZATION
6.3 DELEGATION OF PERSONNEL LICENSING FUNCTIONS AND DUTIES TO ANOTHER STATE UNDER ARTICLE 83 BIS OF THE CHICAGO CONVENTION
6.5 DELEGATION OF PERSONNEL LICENSING FUNCTIONS TO SERVICE PROVIDERS
6.6 DELEGATION OF LICENSING FUNCTIONS TO ORGANIZATIONS
Appendix A to Part I. EXAMPLES OF JOB RESPONSIBILITIES AND QUALIFICATIONS FOR KEY PERSONNEL POSITIONS
Appendix B to Part I. NOTE ON THE NOTIFICATION OF DIFFERENCES TO ANNEX 1 - PERSONNEL LICENSING - AND FORM OF NOTIFICATION
Appendix C to Part I. EXAMPLE OF AN AGREEMENT BETWEEN TWO STATES
Appendix D to Part I. DELEGATION OF PERSONNEL LICENSING FUNCTIONS TO A SERVICE PROVIDER
Part II. PROCEDURES
Chapter 1. PROCEDURES FOR PERSONNEL LICENSING
1.1 GENERAL CONSIDERATIONS
1.2 IMPORTANCE OF PROCEDURES
1.3 ORGANIZATION OF PART II OF THIS MANUAL
2.2 STANDARD LICENCES AND RATINGS PRESCRIBED BY ANNEX 1
Chapter 2. ISSUANCE OF LICENCES
2.1 GENERAL
2.3 ISSUANCE OF LICENCES BY A CONTRACTING STATE
2.4 SELECTION OF ISSUANCE METHOD
2.5 RECOGNITION OF MILITARY QUALIFICATIONS AND EXPERIENCE
2.6 ELECTRONIC PERSONNEL LICENCE (EPL)
Attachment A to Chapter 2. EXAMPLE OF REGULATIONS FOR A CERTIFICATE OF INSPECTION AUTHORIZATION
Attachment B to Chapter 2. EXAMPLE OF A STATE’S REGULATORY REQUIREMENTS CONCERNING CREDITING OF FLIGHT TIME
Attachment C to Chapter 2. EXAMPLE OF CROSS-CREDITING APPLICATIONS TO MEET THE TOTAL AEROPLANE COMMERCIAL PILOT LICENCE EXPERIENCE REQUIREMENTS
Attachment D to Chapter 2. EXAMPLE OF THE ISSUANCE PROCESS
Attachment E to Chapter 2. EXAMPLES OF REGULATIONS/PROCEDURES FOR THE CONVERSION OF FLIGHT CREW LICENCES
Attachment F to Chapter 2. EXAMPLES OF RULES/REGULATIONS/PROCEDURES FOR THE VALIDATION OF FLIGHT CREW LICENCES
Attachment G to Chapter 2. EXAMPLE PROCEDURES FOR THE RECOGNITION OF MILITARY PILOT QUALIFICATIONS
Chapter 3. LICENSING RULES OR SPECIFIC OPERATING REGULATIONS
3.1 GENERAL
3.2 VALIDITY OF LICENCES
3.3 CROSS-CREW QUALIFICATIONS (MIXED-FLEET FLYING)
3.4 CRUISE RELIEF PILOT (ANNEX 1 AND ANNEX 6 REQUIREMENTS)
Attachment to Chapter 3. EXAMPLE LICENSING RULES
Chapter 4. PROCEDURES
GENERAL
Attachment to Chapter 4. EXAMPLE OF INTERNAL PROCEDURES FOR LICENSING RECORD-KEEPING
Chapter 5. EXAMINING PRINCIPLES
5.1 GENERAL
5.2 THEORETICAL KNOWLEDGE EXAMINATIONS
5.3 FLIGHT TESTS AND OTHER PRACTICAL EXAMINATIONS
5.4 QUALIFICATIONS FOR EXAMINERS
Chapter 6. PROCEDURES FOR ASSESSMENT OF LANGUAGE PROFICIENCY
6.1 GENERALITIES AND REQUIREMENTS
6.2 DEMONSTRATION OF PROFICIENCY
6.3 ASSESSMENT DESIGN AND DEVELOPMENT
6.4 AVIATION LANGUAGE ASSESSMENT PROCEDURES
Attachment A to Chapter 6. EXAMPLES OF LICENCE ENDORSEMENTS FOR LANGUAGE PROFICIENCY
Attachment B to Chapter 6. AN EXAMPLE OF AVIATION LANGUAGE TEST PROCEDURES
Chapter 7. TRAINING
7.1 GENERAL
7.2 REQUIREMENT FOR QUALITY ASSURANCE (QA) AND SAFETY MANAGEMENT SYSTEMS (SMS)
7.3 APPROVAL OF TRAINING PROGRAMMES
7.4 APPROVED TRAINING ORGANIZATIONS
7.5 FLIGHT SIMULATION TRAINING DEVICES (FSTDs) AND OTHER SYNTHETIC TRAINING DEVICES
7.6 TRAINING OVERSIGHT
Chapter 8. MEDICAL PROCEDURES
8.1 ORGANIZATION
8.2 QUALIFICATION CRITERIA FOR MEDICAL EXAMINERS
8.3 MEDICAL ASSESSMENT PROCESS
8.4 VALIDITY PERIODS OF MEDICAL ASSESSMENTS
8.5 FLEXIBILITY
8.6 LICENCE HOLDER RESPONSIBILITIES
8.8 SMALL MEDICAL OFFICES
8.9 SAFETY MANAGEMENT OF THE AEROMEDICAL RISK
Chapter 9. COMPETENCY-BASED TRAINING AND ASSESSMENT
9.1 GENERAL
9.2 COMPETENCY-BASED TRAINING AND ASSESSMENT
Chapter 10. SURVEILLANCE OF LICENSED AVIATION PERSONNEL
10.1 GENERAL
10.2 RISK ASSESSMENT PROCESS
10.3 PERIODIC INSPECTIONS AND RENEWAL CHECKS
10.4 SURVEILLANCE AND ENFORCEMENT ACTIONS
Appendix to Part II. EXAMPLE OF A LICENSING AUTHORITY AUDIT CHECKLIST FOR AN ICAO LANGUAGE PROFICIENCY TEST