SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE DIRECTORATE OF CIVIL AVIATION OF NAMIBIA

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1 ICAO Universal Safety Oversight Audit Programme SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE DIRECTORATE OF CIVIL AVIATION OF NAMIBIA (Windhoek, 16 to 18 February 2004) International Civil Aviation Organization

2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Summary Report on the Safety Oversight Audit Follow-up of the Directorate of Civil Aviation of Namibia (Windhoek, 16 to 18 February 2004) 1. INTRODUCTION 1.1 Background The Directorate of Civil Aviation of Namibia (DCA) was initially assessed under the voluntary ICAO Safety Oversight Assessment Programme from 29 April to 3 May 1996 by an ICAO assessment team. Subsequently, an audit was carried out from 4 to 11 April 2001 pursuant to Assembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU) agreed to on 16 February 2001 between Namibia and ICAO. The objective of the audit was twofold. Primarily, its objective was to fulfil the mandate given to ICAO pursuant to the above-mentioned Assembly Resolution. Secondly, the audit was conducted with the objective of ascertaining the progress made in the implementation of the recommendations forwarded during the voluntary assessment conducted in 1996 and to re-ascertain the safety oversight capability of the DCA of Namibia. The audit also aimed at ensuring that Namibia was in conformity with ICAO Standards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and 8 to the Convention on International Civil Aviation (Chicago Convention) and related provisions in other Annexes, guidance material and relevant safety-related practices in general use in the aviation industry On 9 July 2001, Namibia submitted an action plan addressing all the findings and recommendations contained in the audit interim report and also containing comments and clarifications of some of the items contained in the audit interim report. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to be generally satisfactory. The action plan and comments provided were taken into consideration in the preparation of the final and summary reports. The summary report was distributed to all Contracting States by State letter AN 19/1-02/26 in March Objectives and activities of the audit follow-up mission The audit follow-up mission was conducted in accordance with Article 18 of the MOU and the ICAO Safety Oversight Audit Manual (Doc 9735). The objective of this mission was to validate the implementation of the corrective action plan and to ascertain the status of the progress made, which enables ICAO to update the information contained in the audit findings and differences database (AFDD) and also to inform other Contracting States on the status of the safety oversight system of Namibia through a non-confidential summary report. It is important to appreciate in this respect that audit follow-up missions are not audits and are not designed to evaluate all aspects of a State s aviation framework or safety oversight system.

3 CIVIL AVIATION ACTIVITIES IN NAMIBIA At the time of the audit follow-up mission, civil aviation activities in Namibia included: a) number of technical staff employed by the organization at Headquarters 3 b) number of regional offices 0 c) number of technical staff employed at regional offices 0 d) number of active pilot licences 240 e) number of active flight crew licences other than pilot licences (flight engineer and flight navigator) 3 f) number of aviation training establishments 0 g) number of active licences other than flight crew licences 45 h) number of commercial air transport operators 0 i) number of air operator certificates (AOCs) issued 59 j) number of aircraft operations inspectors 1 k) number of aircraft registered in Namiba 447 l) number of currently valid certificates of airworthiness issued 329 m) number of approved maintenance organizations (AMOs) 21 n) number of non-approved aircraft maintenance organizations 0 o) number of design organizations 0 p) number of aircraft manufacturing organizations 0 q) number of aircraft parts or equipment manufacturing organizations 0 r) number of aircraft type certificates issued 0 s) number of type certificates other than aircraft issued 0 t) number of aircraft airworthiness inspectors 1 3. EXECUTIVE SUMMARY 3.1 There has been significant progress made in the area of primary aviation legislation and civil aviation regulations. Since the audit in April 2001, the Namibian Civil Aviation Technical Standards (NAM CATS) have been issued to supplement the Namibian Civil Aviation Regulations (NAM CARs) and to address the provisions of ICAO Annexes 1, 6 and 8. The NAM CATS

4 - 3 - include effective dates for the technical standards. However, the DCA has not developed a procedure for the implementation of amendments to the SARPs contained in Annexes 1, 6 and 8 or for the identification and notification of differences to ICAO, nor has a programme been developed for the re-certification of air operators under the new requirements. The Government of Namibia has not decided whether or not to ratify Article 83 bis of the Chicago Convention, and the civil aviation regulations have not been revised to allow the transfer of responsibilities from the State of Registry to the State of the Operator. 3.2 In the area of civil aviation organization, a bill has been developed to establish the Namibiam Civil Aviation Authority (NCAA). However, this bill has not yet successfully completed the legislative process in Namibia, and no time frame has been established for its final approval and implementation. Furthermore, the DCA has developed a draft organizational chart to reflect the staff required to support the level of aviation activity in Namibia, and attempts are being made to fill the positions established in that chart. However, the DCA remains critically understaffed, especially in the aircraft operations area, and until the bill is approved, sufficient resources are not available to attract and retain a sufficient number of adequately qualified and experienced staff necessary to fulfill the safety oversight responsibilities of the DCA. Adequate training is being accomplished in the areas of personnel licensing and airworthiness of aircraft; however, there is no method of providing on-the-job training (OJT) for operations inspectors. The record-keeping system of the DCA has greatly improved since the ICAO audit in April The DCA has made a good progress in the area of personnel licensing. The Designated Examiners Procedures Manual has been developed and approved along with an annual schedule for the supervision and control of training institutions as part of the overall system for personnel licensing in Namibia. The NAM CARs have been revised several times since the ICAO audit of 2001, and a provision for a three-year time limit for designated examiners authorizations has been established. The DCA has also developed the Personnel Licensing Procedures Manual, which contains procedures providing guidance consistent with the personnel licensing activities in Namibia. These procedures have been implemented by the personnel licensing staff of the DCA. However, the manual has not been officially approved. 3.4 The NAM CARs have been revised and NAM CATS for aircraft operations have been issued since the ICAO audit to provide the necessary regulatory instruments for air operator certification, supervision and control. The DCA has developed and put in practice procedures contained in the Flight Operation Inspector Procedures Manual. However, the manual has not been officially approved and is still missing some procedures required to support the NAM CARs and NAM CATS. Although the DCA has established minimum qualification requirements for flight operation inspectors, which include an airline transport pilot licence (ATPL), due to the low level of remuneration being offered, the DCA has been unable to recruit qualified and experienced personnel to carry out the full spectrum of tasks required for the certification and supervision of air operators. Only one operations inspector is responsible for the entire task of air operator certification and supervision. The lack of qualified and experienced flight operations inspector staff significantly degrades the DCA s capability to ensure the flight safety of aircraft being operated in Namibia. 3.5 In the area of airworthiness of aircraft, NAM CATS have been issued to reference detailed airworthiness design standards for the issuance of type certificates and type acceptances, to specify a period of validity of twelve months for the certificates of airworthiness, to specify requirements for the certification of AMOs, including the contents of the maintenance procedures manuals, and to specify the maintenance arrangement requirements for the issuance of AOCs. However, the Namibian certificates of airworthiness have not been reissued to make appropriate reference to the airworthiness code being used. The position of

5 - 4 - Chief of Aircraft Airworthiness has been filled; however, there are still not enough qualified inspectors to carry out the mandate of the Airworthiness Department, including renewal of certificates of airworthiness on a yearly basis in accordance with the NAM CARs, review and inspection of the maintenance arrangements associated with the issuance of AOCs, the conduct of ongoing surveillance associated with AOCs, and the conduct of sufficient on-going surveillance of AMOs. Furthermore, the DCA has not completed the Airworthiness Inspector Handbook containing procedures for the use and guidance of airworthiness inspectors. The NAM CARs have not been amended, nor have NAM CATS been issued to address all the requirements for maintenance programmes in compliance with ICAO Annex 6, and the DCA still has not established an adequate airworthiness technical library. 4. RESULTS OF THE AUDIT FOLLOW-UP MISSION 4.1 Primary aviation legislation and civil aviation regulations a) Action proposed by State. Concerning the need for the DCA to verify the conformance of its civil aviation regulations with the SARPs contained in Annexes 1, 6 and 8, the DCA indicated that it would prepare, by 2 September 2001, a revision checklist to ensure that all 18 Annexes and related documents are kept current. The DCA also indicated that it would also identify and rectify, as necessary, all the differences between Namibian regulations and the Annexes. b) Validation of action proposed. The DCA has issued the NAM CATS to supplement the NAM CARs and to address the provisions of ICAO Annexes 1, 6 and 8. A compliance checklist to document the conformance of the NAM CARs and NAM CATS with the SARPs of Annex 1 has been developed; however, the same exercise has not been conducted for Annexes 6 and 8. Furthermore, the DCA has not developed a procedure for implementing amendments to the SARPs of Annexes 1, 6 and 8 and for the identification and notification of differences to ICAO. Existing differences, including those for personnel licensing, have not been published in the national Aeronautical Information Publication (AIP). The ICAO recommendation remains open a) Action proposed by State. With respect to the need to establish an effective regulatory system to enable the DCA to legally issue or renew an AOC, personnel licence or certificate of airworthiness, the DCA indicated that the issuance of the NAM CATs to address these issues was progressing according to schedule and was planned to be completed by 2 September b) Validation of action proposed. The Director of the DCA appointed the Deputy Director of Flight Safety as the Chairman of the Civil Aviation Regulations Committee pursuant to regulations (1) and , thus delegating him the responsibility for the promulgation of the NAM CATS, effective 2 March Since then, NAM CATS have been issued and published in the Government Gazette of the Republic of Namibia to address most of the provisions of ICAO Annexes 1, 6 and 8. The ICAO recommendation has been complied with.

6 a) Action proposed by State. Concerning the need to establish a transition plan to the new NAM CARs and NAM CATS to provide a reasonable time frame for each user to achieve full compliance, the DCA indicated that an adequate plan of transition to the new NAM CARs and NAM CATs was already in place. b) Validation of action proposed. The NAM CATS have been issued and published in the Government Gazette of the Republic of Namibia to address most of the provisions of ICAO Annexes 1, 6 and 8. The NAM CATS, which are available through Government printing office, include dates by when the technical standards come into operation. Furthermore, the DCA issues aeronautical information circulars (AICs) whenever NAM CATS are issued in order to inform the aviation industry of any changes being made to regulatory requirements that may impact them. However, the DCA has not established a programme for the re-certification of air operators under the new requirements. The ICAO recommendation remains open a) Action proposed by State. With respect to the recommendation for the DCA to ensure that NAM CARs and NAM CATS are compatible with Article 83 bis of the Chicago Convention, the DCA noted that the Namibian Government considers itself bound by Article 83 bis and this would be officially conveyed by the Ministry of Foreign Affairs to ICAO. It also indicated that once Article 83 bis is formally adopted, the ICAO recommendation regarding its proper implementation in the national law would be addressed. b) Validation of action proposed. The decision of whether or not to ratify Article 83 bis of the Chicago Convention is still being reviewed by the Ministry of Works and Transport. The NAM CARs have not been modified and NAM CATS have not been issued to allow for the transfer of responsibility necessary for the practical implementation of Article 83 bis. Namibia has not entered into any agreements on the transfer of responsibilities from the State of Registry to the State of the Operator, and although the DCA does permit leases between commercial air transport operators within Namibia and leases from other States, agreements involving the transfer of responsibility are not being approved at this time. The ICAO recommendation has been complied with. 4.2 Organization of civil aviation a) Action proposed by State. With respect to the need to immediately recruit and train additional flight operations and airworthiness inspectors, the DCA indicated that, as a short-term solution, it was actively recruiting personnel to fill the vacant inspector positions in the Flight Safety Department by 31 October It was expected that the imminent introduction of the proposed NCAA would address the staffing problem in the medium to long term. b) Validation of action proposed. A bill has been developed to establish the NCAA. However, this bill has not yet successfully completed the legislative process in Namibia to become law. As part of the feasibility study for the NCAA, the DCA has

7 - 6 - developed a draft organizational chart to reflect the staff required to support the level of aviation activity in Namibia, and the DCA has been attempting to fill the positions established in that chart, even though the Ministry does not recognize it as official. The position of Chief of Aircraft Airworthiness has been filled, but of the five positions outlined for airworthiness inspectors, including one senior inspector, only two post have been filled. Because of the inability of the DCA to be a competitive employer, an exception to the minimum qualifications was required to recruit two junior airworthiness inspectors, who since recruiting have received training in order to bring them up to the recruiting standard. The Aircraft Operations Department has only one flight operations inspector position filled, with two more approved for next year s budget. However, a need for eight operations inspectors has been identified, not including the position of Chief of Aircraft Operations, which remains vacant. The position for the Chief of Personnel Licensing has been filled, but the two inspector positions below him remain vacant. The ICAO recommendation remains open a) Action proposed by State. Regarding the recommendation that the DCA be enabled to attract and retain a sufficient number of qualified staff and that the plan to establish an autonomous civil aviation authority be accelerated, the DCA indicated that efforts to establish the NCAA are ongoing. In particular, a draft Establishment Act (Bill) has been completed and would be forwarded to Parliament by 30 November 2001 through the Cabinet Committee on Legislation once it is reviewed by the legal drafters and the Attorney General. b) Validation of action proposed. The bill to provide for the establishment of the NCAA, the transfer of certain State functions to that Authority and related matters, initially drafted on 3 September 2001, has not yet successfully completed the legislative process to become law. Although the Parliament has accepted the last draft of the bill in principle, there has been no time frame established for its final approval and implementation. Meanwhile, the DCA does not have sufficient resources available to attract and retain a sufficient number of adequately qualified and experienced staff necessary to fulfill its safety oversight responsibility. The ICAO recommendation remains open a) Action proposed by State. With respect to the need to take necessary steps to provide the inspector staff with OJT, the DCA indicated that plans are under way to recruit and appoint new inspectors by 1 September 2001 who would then be sent to the United States Federal Aviation Administration (FAA) Oklahoma Training Centre for training as government aviation inspectors. b) Validation of action proposed. The DCA has developed a training policy in accordance with ICAO guidance material, which has been submitted to the administrative training committee of the Ministry of Works, Transport and Communication for recommendation. Once it receives the recommendation of the training committee, the training policy will go to the office of the Minister for final approval. A training needs analysis has been conducted for each staff member, with much of the training planned for personnel licensing and airworthiness including

8 - 7 - OJT being adequately accomplished. However, the training received by the single operations inspector is not adequate. Furthermore, the agreement with the Civil Aviation Authority of the United Kingdom (UKCAA) to provide OJT to operations inspectors in effect during the time of the ICAO audit is no longer being conducted due to lack of financial resources, and the DCA does not have the in-house expertise to provide OJT to its operations inspectors. The ICAO recommendation remains open a) Action proposed by State. Concerning the need to establish and implement administrative rules and procedures to ensure that records on the operators, aircraft and personnel under its supervision are properly maintained, the DCA indicated that it expected to introduce new internal administrative procedures to address this issue by 31 December b) Validation of action proposed. The record-keeping system of the DCA has greatly improved since the ICAO audit in April An administrative system has been put in place, including a color coding scheme to identify different types of records, to ensure that the records are properly maintained and that the appropriate documents are kept. A personnel file is available for each applicant and licence holder, which contains all correspondence, applications, assessments, examination results and other licensing documentation in support of personnel licences issued. The ICAO recommendation has been complied with. 4.3 Personnel licensing and training a) Action proposed by State. With respect to the need to exercise more active control on the technical level of private pilot licences and to consider direct DCA administration of written examinations for private pilots, and the designation of examiners for the private pilot licence (PPL) flight skill test rather than Grade I and II flight instructors, the DCA indicated that it considered its current arrangement where designated examiners provide supervision over Grade II instructors to be adequate and also advised that it already administered the PPL written examinations directly. b) Validation of action proposed. On 6 January 2003, the DCA approved the Designated Examiners Procedures Manual. This manual, which is part of the overall system for personnel licensing in Namibia, provides guidance to designated examiners conducting skill tests and proficiency checks for type ratings. In addition, the DCA has approved an annual schedule for the supervision and control of the training institutions that include the designated persons. The South Africa CAA (SA CAA) has been authorized by Namibia to conduct practical and flight examinations for the initial issuance of a commercial pilot licence (CPL) and an airline transport pilot licence (ATPL). However, based on the established procedures, the DCA remains responsible for the issuance of the licences. The ICAO recommendation has been complied with.

9 a) Action proposed by State. With respect to the recommendation that designated examiners be appointed for a limited term and that their activities be supervised by qualified inspectors, the DCA indicated that new procedures for designating examiners had been adopted and implemented. b) Validation of action proposed. The NAM CARs have been revised several times since the ICAO audit of NAM CAR 201, Part 61, Subpart 18 provides for a three-year time limit for designated examiners authorizations. These provisions have been reflected in the Designated Examiners Procedures Manual. The training institutions in Namibia have been certified as part of the overall system for personnel licensing and in compliance with the ICAO SARPs. The period of validity of the certificates issued by the DCA is one year. All the designated examiners in Namibia are employees of the two training centers, an arrangement which provides the DCA an opportunity for a back-up system for the supervision and control of the examination, as well as for the delivery of practical and flight tests. The ICAO recommendation has been complied with a) Action proposed by State. Regarding the need to refine and compile the procedures for personnel licensing into the Personnel Licensing Procedures Manual, which would, inter alia, require foreign licences to be in full compliance with Annex 1 before their validation or conversion into Namibian licences and would specify the documentation to be provided by applicants, the DCA indicated that new procedures for the validation of foreign pilot licences had been developed and would be formally adopted by 31 December b) Validation of action proposed. Since the ICAO audit of 2001, the DCA has developed the Personnel Licensing Procedures Manual, which has been amended several times and has been implemented by the personnel licensing staff. The manual was reviewed by the ICAO audit follow-up team and was found to be consistent with the personnel licensing activities in Namibia. However, the manual has not been officially approved. The ICAO recommendation remains open. 4.4 Aircraft operations certification and supervision a) Action proposed by State. With respect to the need for the DCA to ensure that the Flight Operations Section has a sufficient number of flight operations inspectors, the DCA indicated that it was actively recruiting personnel to fill the vacant inspector positions in the Flight Safety Department by 31 October It also indicated that, in the medium to long term, it was expected that the imminent introduction of the proposed NCAA would address the staffing problem. b) Validation of action proposed. The DCA has not recruited additional flight operations inspectors since the ICAO audit in Although the DCA has received approval from the government for two additional positions for the Flight Operations Section for the next fiscal year, beginning 1 March 2004, the low level of remuneration being offered impedes the DCA from recruiting qualified, experienced ATPL holders for these positions. The lack of adequate staffing in the Flight

10 - 9 - Operations Section does not allow the DCA to maintain an adequate system for the certification and supervision of air operators in Namibia. The ICAO recommendation remains open a) Action proposed by State. With respect to the recommendation on the use of a qualified outside organization to carry out flight inspections and supervise check pilots, the DCA indicated that its ongoing contract with the UKCAA included the supervision of company check pilots designated by the DCA, with the first such supervisory flight test taking place in early August Furthermore, it indicated that the UKCAA would use the NAM CARs and NAM CATs as the regulatory basis for their surveillance activities on behalf of the DCA. b) Validation of action proposed. Although the DCA has established minimum qualification requirements for flight operations inspectors, which include an ATPL, due to the low level of remuneration, it has been impossible for the DCA to recruit qualified and experienced staff to carry out the entire spectrum of tasks for the certification and supervision of air operators. During one period of time, the DCA delegated some of the tasks for in-flight inspections, supervision and control of check pilots to the UKCAA. However, since 2003, that service has no longer been available due to lack of financial resources. The ICAO recommendation remains open a) Action proposed by State. Regarding the need to ensure that operators receive the specific authorizations and approvals required by the regulations, the DCA indicated that the procedures to be followed and the criteria to be met for the issuance of approvals to inspectors would be contained in the proposed Flight Operations Inspector Handbook, expected to be completed by 31 December b) Validation of action proposed. The DCA has recently established new forms for the specific authorizations and approvals associated with an AOC in compliance with NAM CARs, Part 121 (air operations-large aircraft). However, due to the significant lack of flight operations inspectors, the DCA has not been able to practically review and approve the flight operations manuals for all the air operators certified in Namibia. Although the DCA has established a central library with all air operators operation manuals, a random inspection by the ICAO audit follow-up team revealed that some items of the operations manuals, such as the minimum equipment list (MEL), aerodrome operation minima and training programmes, have not been approved in conformance with ICAO Annex 6 SARPs. Furthermore, some volumes of the operations manual of a major operator were not available in the DCA. The ICAO recommendation remains open a) Action proposed by State. In relation to the need to develop an inspector handbook, the DCA indicated that the proposed Flight Operations Inspector Handbook, being developed with the assistance of the UKCAA, would include the procedures to be used for certification and surveillance of operators, the proper use of inspection forms and checklists and enforcement procedures.

11 b) Validation of action proposed. The DCA has developed and implemented the Flight Operations Inspector Procedures Manual. However, the manual has not been officially approved and is still missing some procedures required to support the NAM CARs and NAM CATS. The ICAO recommendation remains open a) Action proposed by State. As to the need to implement the provisions of Annex 18 and the asociated Technical Instructions, the DCA indicated that it would designate, by 31 December 2001, an inspector as transport of dangerous goods coordinator as soon as a sufficient number of inspectors were employed. b) Validation of action proposed. The NAM CARs, Part 92 contains regulations on the safe transport of dangerous goods by air that are based on ICAO Annex 18 provisions. However, the DCA has not nominated one department or DCA official to be responsible for answering inquiries or addressing issues related to the safe transport of dangerous goods by air. No training in the area of safe transport of dangerous goods by air has been provided to any of the DCA inspectors. The ICAO recommendation remains open a) Action proposed by State. Regarding the need to ensure that the objective of an operator s accident prevention and flight safety programme covers all aspects of flight safety in accordance with ICAO Doc 9422, the DCA indicated that NAM CAR would be appropriately amended by 2 September b) Validation of action proposed. Although the NAM CARs, Part 121 provides a requirement for air operators to establish and maintain an accident prevention and flight safety programme, the DCA has not verified the implementation of all of the objectives contained in the programme during the air operator certification process. The ICAO recommendation remains open. 4.5 Airworthiness of aircraft a) Action proposed by State. Regarding the need to immediately recruit an adequate number of qualified airworthiness inspectors, especially in view of the additional workload created by the new NAM CARs, the DCA indicated that as a short-term solution, it was actively recruiting personnel to fill the vacant inspector positions in the Flight Safety Department by 31 October It also indicated that it expected that the imminent introduction of the proposed NCAA would address the staffing problem in the medium to long term. b) Validation of action proposed. The bill to establish the NCAA has not yet successfully passed through the legislative process in order to become law. As part of the feasibility study for the NCAA, the DCA has developed a draft organizational chart to reflect the staff required to support the level of aviation activity in Namibia, and the DCA has been attempting to fill the positions established in that chart, even though the Ministry does not recognize it as official. The position of Chief of Aircraft Airworthiness has been filled, but of the five positions outlined for airworthiness inspectors, including one senior inspector, only two posts have been

12 filled. Because of the inability of the DCA to be a competitive employer, an exception to the minimum qualifications was required to recruit two junior airworthiness inspectors, who since recruitment have received training in order to bring them up to the recruiting standard. Although NAM CAR , effective 31 March 2001, specifies that the certificate of airworthiness shall be valid only for a period of twelve months, the DCA has not yet implemented this requirement due to lack of personnel. The ICAO recommendation remains open a) Action proposed by State. With respect to adopting a detailed code of airworthiness for the issuance of a Namibian certificate of airworthiness is consistent with the Chicago Convention and Annex 8, the DCA indicated that a detailed code of airworthiness would be adopted by 2 September 2001 and that this would be reflected in the NAM CATS-AR, Certification of Aircraft Parts and Products. In addition, it indicated the technical standards would be issued soon. b) Validation of action proposed. The DCA issued NAM CATS-AR Certification Procedures for Products and Parts Aircraft Airworthiness, which were published in the Government Gazette of the Republic of Namibia on 21 July 2003 and became effective on 1 August Part of this technical standard makes reference to detailed airworthiness design standards (Federal Aviation Regulations (FARs), Joint Aviation Requirements (JARs) or British Civil Aviation Regulations (BCARs)), for the issuance of type certificates, depending on the category of aircraft or aircraft component. Airworthiness design standards are also referenced for the type acceptance of imported aircraft and aircraft products. However, neither the existing certificates of airworthiness nor the form contained in Annex L of the technical standard make appropriate reference to the airworthiness code being used. In addition, there are no procedures developed for the issuance of a certificate of airworthiness, and the checklist being used by the airworthiness inspectors does not contain sufficient detail in accordance with ICAO Doc 9760, Volume I, paragraph Furthermore, although NAM CAR , effective 31 March 2001, specifies that the certificate of airworthiness shall be valid only for a period of twelve months, the DCA has not yet implemented this requirement. The ICAO recommendation remains open a) Action proposed by State. As to the need to develop, approve and implement procedures and checklists for the approval of modifications and repairs and for the surveillance of AOC holders and AMOs, the DCA indicated that it expected to include these procedures in an airworthiness inspector handbook, to be completed by 31 December The surveillance procedures would be supplementary to procedures already approved in the Flight Safety Surveillance Procedures Manual. b) Validation of action proposed. The DCA still has not completed the airworthiness inspector handbook for the use and guidance of members of the airworthiness inspection division. The DCA has issued NAM CATS-AMO, applicable on 31 March 2003, to specify the contents required in the AMO manual of procedures, the requirements for a quality assurance system, and to provide the form of approval and the form of application for an AMO. However, no procedures have been

13 developed for conducting inspections of AOC holders and AMOs or for the approval of modifications and repairs. Although the checklist being used for the initial inspection of an aircraft maintenance organization does not address all the provisions contained in ICAO Doc 9760, Chapter 7, the checklist developed for audits of AMOs is complete. The DCA develops an audit schedule for AMOs; however, the inspections are only carried out once a year upon renewal of the AMO certificate. Although the system used to track deficiencies is adequate for foreign AMOs, the follow-up is not conducted adequately should an on-site visit be required due to limited resources. The DCA has developed a checklist for air operator certification based on NAM CATS-OPS, effective 31 December 2003; however, the air operators in Namibia have not been certified under this new standard. Furthermore, due to lack of manpower, the DCA airworthiness inspectors are not involved in air operator certification, nor do they conduct surveillance of the maintenance arrangements associated with the issuance of an AOC. The DCA has issued a document vesting each airworthiness inspector, in accordance with NAM CAR (c), with the powers stipulated in NAM CARs , which includes the power to detain aircraft for just cause. However, the DCA has not yet issued a credential to airworthiness inspectors identifying the authority and powers vested in them by the Director. The ICAO recommendation remains open a) Action proposed by State. Concerning the need to specify which aircraft records need to be submitted and kept, the DCA indicated that it expected to include a procedure to this effect in the airworthiness inspector handbook, expected to be completed by 31 December b) Validation of action proposed. The DCA still has not specified in any procedure or checklist which aircraft records must be kept. Although records have been established for every aircraft registered in Namibia, neither the index contained on the inside cover of the file, nor the checklist being used by the airworthiness inspectors for the issuance of the certificates of airworthiness is sufficiently detailed to ensure that the list of documents specified in ICAO Doc 9760, Volume I, paragraph are reviewed and kept. The ICAO audit follow-up team randomly inspected several aircraft files and found various documents, including inspection reports and mass and balance reports, missing. The ICAO recommendation remains open a) Action proposed by State. Regarding the need to amend Part 121 of the NAM CARs so that compliance with the Standards of Annex 6 and ICAO guidance material with respect to the maintenance aspects of air operator certification are met, the DCA indicated that the NAM CARs, particularly Part 121 (Air Transport Operations Large Aeroplane), would be amended to ensure the incorporation of the requirements from Annex 6, Part I, paragraphs 11.3 and (c) relating to the maintenance aspects of AOC certification. b) Validation of action proposed. The NAM CARs have not been amended to include the requirement for a structural integrity programme or for procedures to be used for changing or deviating from the maintenance schedule approved by the Director. In

14 addition, there is no requirement for the maintenance programme to be based on the maintenance programme information made available by the State of Design or by the organization responsible for the type design in accordance with the Recommended Practice contained in ICAO Annex 6, Part I, paragraph Although the DCA approves requests for maintenance programme escalations, no requirements or procedures have been established for this type of approval. Furthermore, DCA inspectors do not conduct ongoing oversight of reliability programmes due to lack of manpower. The ICAO recommendation remains open a) Action proposed by State. With respect to the need to establish an airworthiness library and ensure that all essential documentation from design organizations, States of Design and ICAO are available to the airworthiness inspectors, the DCA indicated that a technical library would be set up and a librarian recruited by 31 December b) Validation of action proposed. The DCA still has not established an adequate technical library. Although the relevant ICAO documents for personnel licensing, operations and airworthiness were available and up to date, essential documentation from design organizations and States of Design is not available for all the aircraft on the Namibian register. Furthermore, the DCA has not developed a system to procure, maintain current and distribute the documents to support the approvals issued in Namibia. The ICAO audit follow-up team was unable to review the latest amendment of a major operator s operations manual, approved by the DCA in August of 2003, as only Volume I out of three volumes was available. The ICAO recommendation remains open. 5. UPDATE ON DEPARTURES FROM ICAO SARPs During the audit follow-up mission, an updated list on the status of implementation and differences existing between the national regulations and Annexes 1, 6 and 8 SARPs and/or SARPs not implemented was not provided to the audit follow-up team. As such, Namibia is urged to conduct a thorough review of its national legislation and regulations and to notify ICAO of any differences as required under Article 38 of the Chicago Convention. 6. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) 6.1 The general objective of the AFDD is to assist States in identifying the elements that need attention in the implementation of the proposed corrective action plan. The information is also intended to assist States in establishing a priority of actions to be taken to resolve safety concerns identified by the audits. The appendix to this report contains a graphic representation of the lack of effective implementation of the critical elements of safety oversight (ICAO Doc 9734 refers) in Namibia and at a global level. The graphic representation of the State level depicts the situation during the initial audit and the situation at the time of the audit follow-up mission. The graphic representation will enable Namibia to prioritize the necessary corrective actions and to identify assistance requirements based on its personnel, technical and financial capabilities in consideration of its safety oversight obligations.

15 As indicated in paragraph 1.2 above, the scope of the audit follow-up mission was limited to validating the progress made in the implementation of the State s corrective action plan and did not constitute an audit as described in ICAO Doc The graphic representation of the situation in the State at the time of the audit follow-up mission, as contained in the appendix to this report, is similarly limited to reflecting the progress made in implementing the ICAO recommendations made during the initial audit and does not purport to depict a current comprehensive evaluation of all aspects of a State s safety oversight system. Considering the mandate for ICAO audit follow-up missions and the time available to conduct such missions, it is possible that some safety concerns may exist in the State which are not covered in this report or reflected in the appendix.

16 CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM (Doc 9734 refers) LACK OF EFFECTIVE IMPLEMENTATION (%) NAMIBIA GLOBAL: 181 (31.82%) Audit: (56.93%) Follow-Up: (20.87%) Primary Avi ati o n Legislation Specific Operating Regulations CAA Structure and Safety Oversight Functions Technical Guidance Material Qualified Technical Personnel Licensing and Certification Obligations Continued Surveillance Obligations Resolution of Safety Issues Note.- The above graphic representation of the situation in the State at the time of the audit follow-up mission is limited to reflecting the progress made in implementing the ICAO recommendations made during the initial audit.