1、STD.ICAO 9379-AN/qI,b-ENGL l=jfly m WII,416 0090449 121 m Dot 9379-AN/916 Manual of Procedures for Establishment and Management of a States Personnel Licensing System FIRST EDITION - 1983 Approved by the Secretary General and published under his authority INTERNATIONAL CIVIL AVIATION ORGANIZATION Co
2、pyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,- STD.ICAO 9379-AN/=iLb-ENGL I,983 m dB414Lb OO=lCl450 943 W Published in separate English, French, Russian and Spanish editions
3、by the International Civil Aviation Organization. All correspondence, except orders and subscriptions, should be addressed to the Secretary General. Orders for this publication should be sent to one of the following addresses, together with the appropriate remittance (by bank draft, cheque or money
4、order) in U.S. dollars or the currency of the country in which the order is placed. Document Sales Unit International Civil Aviation Organization 999 University Street Montreal. Quebec Canada H3C 5H7 Tel.: (514) 9548022 Telex: 0524513 Fax: (514) 954-6769 Sitatex: YULCAYA Internet: Sales-uniticao.org
5、 Credit card orders (American Express, MasterCard and Visa) are accepted at the above address. Egypt. ICAO Representative, Middle East Office, Egyptian Civil Aviation Complex, Cairo Airport Road, Heliopolis, Cairo I 1361. France. Representant de IOACI, Bureau Europe et Atlantique Nord, 3 his, villa
6、in others, the civil aviation administration may be a Department, or a Directorate in the Ministry of Communications or the Ministry of Transport, or some other Ministry. Whatever the structure, the civil aviation administration is an integral part of the States administration and will have an appoi
7、nted top official, at ministerial, directorial, or some other senior level. With the exception of the appendices to each chapter which contain extracts of actual regulations and orders, the aviation administration is referred to throughout this text as the Civil Aviation Authority (CAA) which is the
8、 Licensing Authority referred to in Annex 1. The senior government official, acting as head of the CAA is referred to as the Director. The terms of reference of the Director always include responsibility for the licensing of aviation personnel working with aircraft registered in the State. Normally
9、this responsibility is delegated to a greater or lesser degree to the head of a licensing office acting under the Director. 1.1.2 A licensing office is an integral part of the CAA. It is established to carry out the functions and administrative processes leading up to the issue of a licence, rating
10、or other certificate. In different organizations the licensing section is given different names such as Training and Licensing Unit, Section, Department or Division; Personnel Licensing Office; Examining and Licensing Unit. In this manual the term PEL Office will be *;sed when referring to the secti
11、on responsible for the licensing functions and processes .etailed in the following texts. 1.1.3 Just as a Civil Aviation Authority can be created at different levels and located at different places within a States general administrative structure, so can the PEL office be placed at different levels.
12、 Each State will have to establish the kind of structure that suits it best. Regardless of what organizational structure is decided upon, a YhL office would be expected to carry out some or all of the following functions: ESSENTIAL FUNCTIONS OF A PEL OFFICE a) the assessment and approval of applicat
13、ions for licences and ratings; b) the application of medical fitness assessments relating to licence requirements; c) the issue of licences and ratings; and d) validation of foreign licences. l-l Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for Resal
14、eNo reproduction or networking permitted without license from IHS-,-,-STD.ICAO 9379-AN/=llb-ENGL I,983 m 4fl4L4Lb llCl904b3 STL - l-2 Licensing Manual ROUTINE TASKS TEAT MAY BE CARRIED OUT a) setting and marking written examinations; b) arranging flight testing of flight crew and/or practical tests
15、as appropriate for licences and ratings for personnel other than flight crew; c the production and availability of licensing regulations or explanatory pamphlets or information circulars detailing requirements for the issue of a licence, syllabi and recommended study material; d) the promulgation of
16、 examination schedules, dates, times and location of examination centres; and e) the promulgation of a scale of fees for written examinations, flight or practical tests and the issue of licences or ratings certificates. PROBABLE REGULATORY AND ADMINISTRATIVE FUNCTIONS OF A PEL OFFICE a) the drafting
17、 and amendment of rules relating to the training and licensing of aviation personnel; b) the approval of organizations and persons for specific tasks related to training or testing; c) assessment of the qualifications of military trained personnel in order to determine examination and flight test ex
18、emptions; and d) the enforcement of licensing laws and regulations. 1.1.4 A PEL office may be charged with other administrative functions. For example - some countries put the registration of aircraft as a PEL responsibility. Other licensing offices confine their activities to flight crew licensing
19、only and leave the training and testing of maintenance engineers to an airworthiness section. This section may use the clerical staff of the PEL office to carry out the administrative processes of licence issues. In a similar way the training and testing of air traffic control officers is often made
20、 the responsibility of an air traffic control section. Flight testing of flight crew is not necessarily carried out by PEL office staff, and it is sometimes more convenient to have an airline training organization or a general aviation inspection section responsible for flight testing. These aspects
21、 will be discussed in paragraph 1.2, and will show how, in respect to the structure of a licensing section, a certain organizational flexibility can be achieved. 1.1.5 In the case of States with limited resources and evolving administrations it may not be feasible or economical for the CAA to establ
22、ish a fully functioning PEL office. Where no licensing office exists, nor is one intended, a State which has registered aircraft operating within its jurisdiction usually accepts technical personnel with overseas qualifications. The foreign licence is either validated and some type of certificate is
23、sued or the licence holder is allowed to operate and maintain the currency and validity of his licence by some prior arrangement with the foreign licence issuing authority. Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or net
24、working permitted without license from IHS-,-,-STD.ICAO 737=i-AN/=lLb-ENGL l,=l83 D 484L41b 00904b4 438 - Chapter 1 - The Licensing Authority l-3 1.1.6 For all practical purposes therefore, a Civil Aviation Authority setting up a PEL office would draft a set of requirements covering whatever functio
25、ns are required from paragraph 1.1.3, nominate a head of section and recruit staff as necessary. 1.2 THE ORGANIZATIONAL STRUCTURE OF A PERSONNEL LICENSING OFFICE 1.2.1 In order to undertake effectively all the functions outlined in paragraph 1.1.3, a PhL office must be suitably organized and staffed
26、 with qualified personnel. The size of the office will depend on the scale of the aviation activity in the State and the number of licences to be issued. For a State with only a small number of licences, some of the functions shown in paragraph 1.1.3 could be carried out by one person but such a sma
27、ll office would not necessarily carry out all the licensing work without some assistance. It may not, for example, provide examinations for all classes of licence and may have to make arrangements with another State to provide and mark selected examination papers. The person designated to be respons
28、ible for licensing within a small administration may have other operational or administrative responsibilities so that the amount of input to the licensing activity could be minimal. As more licensing work is generated then the organization would react to this changing situation by employing more st
29、aff. The day-to- day work of the PEL office may have to be carried out in separate regional areas depending on the size of the country and the distances between areas. In such cases the headquarters PEL office may be responsible only for the preparation of examination papers and licensing policy whi
30、le flight testing and actual examinations are arranged by regional offices. This decentralization of PEL functions becomes necessary and more convenient in countries with long lines of communication and increasing PEL activity. 1.2.2 The creation of a PEL office could now be seen as a developing sit
31、uation, starting with an embryo aviation administration whose first tentative responsibilities would be some operational supervision of the aviation activity within the country. This may lead to some form of national pilot training, the writing of aviation regulations and finally a licensing system.
32、 As the administration grows and the need for independent control of the licensing requirement becomes apparent, the Director will have to consider the appointment of a PEL officer. The PEL officer would be expected to create a system so that the required licensing functions can be carried out. To a
33、chieve this objective he will need to set up and staff an organization. Examples of the organizational structure of a PEL office are given in Appendix A. It must be stressed that it is the scale of operations and the number of licensing functions that are required that determines the size of the PEL
34、 office. A small State can scale its activities to those licensing needs which it can accomplish with the available resources and seek assistance from other States to provide those requirements which cannot as yet be satisfactorily carried out, and thus ensure compliance with the provisions of Annex
35、 1. 1.3 TECHNICAL STAFF 1.3.1 The organizational structure in Appendix A shows a number of principal officers whose respective duties require some explanation. In the examples given, the titles of the persons are fairly descriptive of their duties. The head of the PEL Office should be a person who h
36、as a technical background as a pilot, navigator, airworthiness engineer or air traffic control officer. In this manual, this person is referred to as the Controller of Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networki
37、ng permitted without license from IHS-,-,-1-4 Licensing Manual Personnel Licensing. A thorough knowledge of the licensing regulations, licensing practices and procedures together with administrative ability and leadership qualities would enable him to discharge the duties of the PEL office as delega
38、ted by the Director. The Chief Examiners and the Chief Flight Testing Officer would be the principal subordinates to the Controller and the senior member would deputize for him. Each Chief Examiner and the Chief Flight Testing Officer would contend for the position of Controller should that post bec
39、ome vacant. In this suggested organization, examiners are solely responsible for the preparation and marking of written examination papers although in some administrations examiners could also carry out flight testing. They would, of course, be required to hold a pilot licence for this purpose. The
40、terms of reference in Appendix B will show more clearly the respective duties and responsibilities of each officer. Other States may have different titles and different combinations of duties. The principal staff members of a PEL office must be chosen for their appropriate experience and on that can
41、 be built the specialized tasks of examiner, administrator, or flight testing officer. The granting of licence privileges to flight crew, maintenance engineers or air traffic controllers requires that judgement be exercised. This cannot be done satisfactorily or with any authority if the qualificati
42、ons of the person making the judgement are not equal to, or better than, the licence applicant. 1.3.2 At this stage the special situation in respect to the training and licensing of air traffic control personnel must be mentioned because it will be noticed that the terms of reference at Appendix B d
43、o not include any reference to ATC personnel. ATC officers are, in the majority of cases, State employees who are trained and authorized to perform their tasks by the air traffic control administration. ATC organize their own training, produce their own manuals with detailed procedures and in all re
44、spects carry out their functions independently of the PEL office. 1.4 CLERICAL STAFF 1.4.1 The clerical section of a PEL office, as its name suggests, carries out all the routine tasks associated with the licensing functions outlined in paragraph 1.1.3. The section is structured so as to separate th
45、e functions of examinations and licence applications, issues, etc. A typical structure in a large office would be as follows: CHIEF LICENSING CLERK I r I HEAD CLERK (l b) direct the evaluation of the applicants organization for approval; Copyright International Civil Aviation Organization Provided b
46、y IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-STD.ICAO =l37=l-AN/SLb-ENGL 1983 D 484B41b ilCl=iO474 387 D Appendix B - Terms of Keference for the Principal Staff of a PEL Office B-5 c) establish and maintain standards of knowledge and
47、 lecturing skill for instructors approved to lecture thereat consistent with the standard and scope of the requirements of the licence or rating in question; d) direct the examination and audition of ground instructors seeking approval to instruct thereat; and e) direct the regular inspection of pre
48、mises and records of schools holding approval for compliance with standard requirements and recommend such action as considered necessary in cases of non-compliance therewith. 10. Initiate and maintain, where appropriate, liaison with overseas aviation authorities with a view to exchanging informati
49、on concerning content of examination curricula and examining techniques and standards pertinent to the maintenance of effective flight crew licensing standards and adherence to the ideals of the International Civil Aviation Organization. 11. Maintain close liaison with the Chief Flight Testing Officer on all matters affecting both examining and flight testing of candidates for grant or extension of flight crew licences and ratings. 12. Maintain close liaison with the Chief Exa
