1、Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-Published in separate English, French, Russian and Spanish editions by the International Civil Aviation Organization. All corres
2、pondence, except orders and subscriptions, should be addressed to the Secretary General. Orden should be sent to one of the following addresses, together with the appropriate remittance (by bank draft, cheque or money order) in US. dollars or the currency of the country in which the order is placed.
3、 Credit card orders (American Express, MasterCard and Visa) are accepted at ICAO Headquarters. International Civil Aviation Organization. Attention: Document Sales Unit 999 University Street, Montreal, Quebec, Canada H3C 5H7 Telephone: +I (5 14) 954-8022; Facsimile: +1 (514) 954-6769; Sitatex: YULAD
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10、76 France. Directeur rgional de IOACI, Bureau Europe et Atlantique Nord, 3 bis, villa mile-Bergerat, 92522 Neuilly-sur-Seine (Cedex) India. Oxford Book and Stationery Co., Scindia House, New Delhi 110001 or 17 Park Street, Calcutta 700016 Japan. Japan Civil Aviation Promotion Foundation, 15-12, 1-ch
11、ome, Toranomon, Minato-Ku, Tokyo Kenya. ICAO Regional Director, Eastern and Southern African Office, United Nations Accommodation, P.O. Box 46294, Nairobi Mexico. Director Regional de la OACI, Oficina Norteamrica, Centroamrica y Caribe - South Africa. Avex Air Training (Pty) Ltd., Private Bag X102,
12、Halfway House, 1685, Johannesburg, Republic of South Africa Spain. A.E.N.A. - Aeropuertos Espaoles y Navegacin Area. Calle Juan Ignacio Luca de Tena, 14, Thailund. ICAO Regional Director, Asia and Pacific Office, P.O. Box 11, Samyaek Ladprao, Bangkok 10901 United Kingdom. Airplan Flight Equipment Lt
13、d. (AFE), la Ringway Trading Estate, Shadowmoss Road, Manchester M22 5LH 1 2/02 Catalogue of ICAO Publications and Audio-visual Training Aids Issued annually, the Catalogue lists all publications and audio-visual training aids currently available. Monthly supplements announce new publications and au
14、dio-visual training aids, amendments, supplements, reprints, etc. Available free from the Document Sales Unit, ICAO Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-TABLE OF CON
15、TENTS Page Introduction . (E) Chapter 1. Terminology 1 Chapter2. Background 4 2.1 Rationale 4 2.2 Article83bis 4 2.3 Formalities 5 2.4 Transfer of responsibility 6 2.5 Implementation 6 . . Chapter 3. Guidelines on the implementation of Article 83 bis . Chapter4. Modelagreement 9 7 15 Chapter 5. Reso
16、lutions of the ICA0 Assembly A23-2: Amendment of the Chicago Convention regarding transfer of certain functions and duties . A23-3: Ratification of Protocol incorporating Article 83 bis into the Chicago Convention A23-13: Lease, charter and interchange of aircraft in international operations . 15 16
17、 16 19 Chapter 6. States parties to Article 83 bis List of States parties to Article 83 bis. . 19 Ratificationpackage 21 Chapter 7. Registered agreements 23 Appendices Appendix A. Agreement between State XI and State Y concerning Appendix B. Exchange of letters between State XI and State Y Appendix
18、C. Delegation agreement between State XI and State Y on the the transfer of regulatory oversight functions and duties. . implementation of Article 83 bis of the Convention on International Civil Aviation 25 32 37 Copyright International Civil Aviation Organization Provided by IHS under license with
19、ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-INTRODUCTION 1. Article 83 bis of the Convention on International Civil Aviation (Chicago, 1944) (hereinafter referred to as “the Convention”) entered into force on 20 June 1997. This first substantive amendment to
20、the Convention, which was unanimously approved by the 23rd Session of the ICAO Assembly on 6 October 1980, is intended to provide better regulation and oversight over air safety in the case of international lease, charter or interchange of aircraft. 2. Although the Convention allocates certain safet
21、y oversight functions to the State of Registry which that State is entitled and obligated to discharge, the ICAO Assembly recognized in Resolution A23-13 that the State of Registry may be unable to fulfil its responsibilities adequately in instances where aircraft are leased, chartered or interchang
22、ed - in particular without crew - by an operator of another State and that the Convention may not adequately specify the rights and obligations of the State of the Operator in such instances. 3. Accordingly, the ICAO Council urged that if, in the above-mentioned instances, the State of Registry find
23、s itself unable to discharge adequately the functions allocated to it by the Convention, it delegate to the State of the Operator, subject to acceptance by the latter State, those functions of the State of Registry that can more adequately be discharged by the State of the Operator. 4. With the entr
24、y into force of Article 83 bis of the Convention, such transfer agreements will have effect in respect of Contracting States which have ratified the related Protocol (Doc 931 8) upon fulfilment of the conditions established in Article 83 bis. 5. Article 83 bis establishes that agreements for the tra
25、nsfer of certain oversight responsibilities from the State of Registry to the State of the Operator shall be recognized by all other Contracting States which have ratified it. The transfer of responsibility may involve functions and duties under Articles 12, 30, 31 and 32 a) of the Convention, which
26、 address rules of the air, radio licensing, certificates of airworthiness, and personnel licences, respectively. 6. In order to assist Contracting States in this matter, the Secretariat initially developed “Guidelines on the Implementation of Article 83 bis”, the draft of which was transmitted in 19
27、98 to the Air Transport Regulation Panel (ATRP) for comment. To provide additional assistance to Contracting States wishing to apply Article 83 bis, the Secretariat also developed a “Model Agreement on the Implementation of Article 83 bis”. This guidance material was reviewed by the Air Transport Co
28、mmittee of the Council in the framework of its consideration of a Secretariat Study on Aircraft Leasing and distributed to Contracting States through State letter EC 2/82, LE 4/55- 99/54, dated 14 May 1999, (Study on aircraft leasing and material on the implementation of Article 83 bis, Attachment B
29、 refers). 7. This guidance material on the implementation of Article 83 bis has been further reviewed and enhanced in light of the application of Article 83 bis since 1997 and is now offered in this circular for use by Contracting States. Reference should also be made to other relevant material that
30、 has been or will be developed or updated, more particularly, the Manual of Procedures for Operations Inspection, Certification and Continued Surveillance (Doc 8335), the Airworthiness Manual (Doc 9760) and the Manual on the Regulation of International Air Transport (Doc 9626). (iii) Copyright Inter
31、national Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-Chapter 1 TERMINOLOGY The following terminology is discussed to ensure that its intended meaning in the context of this circular will be clearl
32、y understood: air operator certificate, certify as airworthy, charter, interchange, lease, maintenance, operational control, operator, principal place of business, rendering valid (a certificate of airworthinesda licence), State of Registry and State of the Operator. Air operator certificate Annex 6
33、 - Operation of Aircraft, to the Convention defines an air operator certificate (AOC) as a certificate authorizing an operator to carry out specified commercial air transport operations. Certify as airworthy Relevant Annexes to the Convention define certib as airworthy (to) as to certify that an air
34、craft or parts thereof comply with current airworthiness requirements after maintenance has been performed on the aircraft or parts thereof. Charter The Study on Aircraft Leasing (Attachment A to State letter EC 2/82, LE 4/55-99/54, dated 14 May 1999) provides the following regarding the concept of
35、charter: to charter an aircraft the entire capacity is hired or purchased privately by one or more entities, which may re-sell it to the public (this occurs most frequently in non-scheduled passenger air operations which is why they are popularly known as “charter flights”). The situation in which t
36、he charterer is another air carrier which has its own operating authority and charters the entire capacity of the aircraft, usually on short notice, is termed a sub-charter. Interchange The Manual on the Regulation of International Air Transport (Doc 9626) defines the concept of interchange as follo
37、ws: an aircraft interchange or interchange flight is a regularly scheduled, single- plane through service linking a route of one air carrier at the interchange point to a route of a second air carrier, with the same aircraft being crewed by and under the operational control of the respective authori
38、zed carrier on each route. An interchange provides passengers with the benefit of a single-plane service on what is essentially an interline operation and may provide additional benefits to the carriers involved in terms of better aircraft utilization. Lease As stated in the 1999 ICAO Study on Aircr
39、aft Leasing, Doc 9626 describes a leased aircraft as one used under a contractual leasing arrangement. The term lease has so far not been defined by ICAO, basically because national laws governing such contracts vary and the negotiating process results in individual variations in the terms and condi
40、tions of aircraft leases, since leases are usually tailor-made to specific situations. For the purposes of the 1997 ECAC Recommendation on Leasing of Aircraft (Recommendation ECAC/21-l), a lease was understood to be a contractual arrangement whereby a properly licensed air carrier gains commercial c
41、ontrol of an entire aircraft without transfer of ownership. Aircraft leases by air carriers can be characterized by their purpose. Air carriers usefinancial or capital leases to avoid the substantial capital outlayddebt often required in purchasing aircraft directly from the manufacturer or to reduc
42、e taxation or other costs. For example, an air carrier I Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-2 ICAO Circular 29.5-LEO may sell all or part of its fleet to a bank or
43、 other financial institution and then lease the aircraft back. Financial leases are long-term arrangements which give the outward appearance of ownership, e.g. the aircraft bear the air carrier?s namellogo and are usually registered in the air carrier?s State. In contrast, operating leases are desig
44、ned to meet an air carrier?s need for additional aircraft, often on a seasonal or short-term basis. For regulatory purposes, the two basic types of aircraft leases are dry leases, where the aircraft is leased without crew, and wet leases, where the aircraft is leased with crew. Wet leases with parti
45、al crew are sometimes referred to as damp leases. A sub-lease refers to the lease of an already leased aircraft to a third party. In this connection, the term lessor means the party from which the aircraft is leased; the term lessee means the party to which the aircraft is leased. For example, if ai
46、r carrier A leases an aircraft to air carrier B, air carrier A is the lessor and air carrier B is the lessee. Maintenance Relevant Annexes to the Convention define maintenance as tasks required to ensure the continued airworthiness of an aircraft, including any one or combination of overhaul, repair
47、, inspection, replacement, modification or defect rectification. Amendment 98 (effective 16 July 2001) to Annex 8 - Airworthiness of Aircraft, modified this definition to refer to the performance of tasks required to ensure the continuing airworthiness of an aircraft, including any one or combinatio
48、n of overhaul, inspection, replacement, defect rectification, and the embodiment of a modification or repair. Operational control Annex 6 to the Convention defines operational control as the exercise of authority over the initiation, continuation, diversion or termination of a flight in the interest
49、 of the safety of the aircraft and the regularity and efficiency of the flight. Operator Annex 6 to the Convention defines operator as a person, organization or enterprise engaged in or offering to engage in an aircraft operation. Principalplace of business The notion of the operator?s principal place of business has not been defined so far in ICAO documents, although it is referred to in Art
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