1 ICAO Universal Safety Oversight Audit Programme SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE DIRECTORATE GENERAL OF CIVIL AVIATION OF KUWAIT (Kuwait, 17 to 20 September 2003) International Civil Aviation Organization
2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Summary Report on the Safety Oversight Audit Follow-up of the Directorate General of Civil Aviation of Kuwait (Kuwait, 17 to 20 September 2003) 1. INTRODUCTION 1.1 Background The Directorate General of Civil Aviation (DGCA) of Kuwait was initially assessed under the voluntary ICAO Safety Oversight Assessment Programme from 23 to 28 November 1996 by an ICAO assessment team. Subsequently, an audit was carried out from 22 to 30 October 2000 pursuant to Assembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU) agreed to on 16 February 2000 between Kuwait 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 DGCA of Kuwait. The audit also aimed at ensuring that Kuwait 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 28 December 2000, Kuwait submitted a corrective 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 mentioned in the audit interim report. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to be 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 19/1-01/99 in October 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 Kuwait 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 KUWAIT At the time of the audit follow-up mission, civil aviation activities in Kuwait included: a) number of technical staff employed by the organization at Headquarters 21 b) number of regional offices 0 c) number of technical staff employed at regional offices 0 d) number of active pilot licences 335 e) number of active flight crew licences other than pilot licences (flight engineer and flight navigator) 6 f) number of aviation training establishments 1 g) number of active licences other than flight crew licences 480 h) number of commercial air transport operators 1 i) number of air operator certificates (AOCs) issued 1 j) number of aircraft operations inspectors 3 k) number of aircraft registered in Kuwait 25 l) number of currently valid certificates of airworthiness issued 25 m) number of approved maintenance organizations (AMOs) 1 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 6 3. EXECUTIVE SUMMARY 3.1 The State of Kuwait continues to improve its civil aviation legislative and regulatory framework. Law No. 30 of 24 June 1960 named Kuwait Civil Air Navigation Regulations enacted by an Amiri Decree is the primary aviation law. This law covers the major aspects of the supervision of aviation activities
4 - 3 - and makes all ICAO Standards binding to the users. Since the last safety oversight audit carried out by ICAO in October 2000, the DGCA has also issued additional Kuwait Civil Aviation Safety Regulations (KCASR) implementing ICAO SARPs in various areas. These regulations are now kept up to date with all recent amendments of ICAO Annexes through a formal policy aimed at aligning the legislative framework with ICAO provisions, and a procedure which establishes the tasks and functions of DGCA departments in the implementation process. The DGCA has identified few deviations between the recently implemented KCASR and ICAO SARPs, and notified these differences to ICAO. Kuwait has ratified, by Amiri Decree, Article 83 bis of the Chicago Convention. Additional regulations and procedures recently implemented by the DGCA allow the oversight of operations conducted under Article 83 bis, and also the transfer and acceptance of tasks and functions with respect to the State of Registry s responsibility pertaining to Articles 12, 30, 31 and 32(a) of the Chicago Convention. 3.2 There were no items of concern relating to the civil aviation organization of Kuwait which led to an ICAO finding and recommendation during the last audit, and as a result, no corrective action was required to be conducted by Kuwait in this area. The existing DGCA organization, policies, equipment, staffing, competencies, and safety oversight principles and methods are well adapted to the existing civil aviation activities in Kuwait. The DGCA is an autonomous body headed by a President appointed by an Amiri Decree, empowered to regulate all aviation activities. The DGCA is administratively attached to the Minister of Communication. Based on its organizational structure, the Aviation Safety Department (ASD) is the entity assigned the safety oversight tasks, functions and responsibilities to which the State of Kuwait is committed under the Chicago Convention. 3.3 Significant progress has been made in the area of personnel licensing and training. The DGCA has been able to satisfactorily address the findings and recommendations identified during the initial audit. The DGCA has established new regulations and procedures applicable to personnel licensing activities, including the issuance and renewal of flight crew licences, certification of aviation schools, and designation of aviation medical examiners. The system of licensing, approval and supervision of these activities is adequate, and technical tasks concerning the conduct of exams and practical skills related to licensing activities are conducted in cooperation with the relevant DGCA technical divisions (Flight Operations Division, Airworthiness Division, or Air Navigation Department) with a clear and established distribution of tasks and responsibilities. 3.4 Significant progress has been made in the area of aircraft operations certification and supervision of AOC holders. The DGCA has adopted new KCASR applicable to aircraft operations. The ASD established a system for the certification and supervision of the only commercial air transport operator, which is satisfactorily documented. The procedures used by the operations inspectors are established and available to them. 3.5 In the area of airworthiness, the DGCA has achieved significant progress in completing the proposed action plan as all recommendations have been addressed. Provisions have been established by which the mandatory status of particular Airworthiness Notices is clearly identified, and sufficient airworthiness inspectors have been trained in the area of accident investigation. Procedures are in place to file differences to ICAO SARPs, and the duties and responsibilities of the Airworthiness Division and the Technical Research and Development Division have been adjusted to meet ICAO recommendations.
5 RESULTS OF THE AUDIT FOLLOW-UP MISSION 4.1 Primary aviation legislation and civil aviation regulations a) Action proposed by State. With respect to Article 83 bis, the DGCA indicated that, by 1 January 2002, it would develop an appropriate regulatory framework under the new Kuwait Civil Aviation Safety Regulations (KCASR) to allow for the oversight of operations conducted under Article 83 bis and for the transfer and acceptance of responsibilities. The DGCA would also establish procedures for its inspectorate staff to recognizes licences and certificates issued on this basis. b) Validation of action proposed. Kuwait ratified Article 83 bis on 25 January Although the DGCA has not yet entered into any agreement under Article 83 bis provisions with any Contracting State, Notice No. 43 issued by the DGCA on 27 August 2003 updates the existing procedures applicable to aircraft leasing and establishes procedures concerning tasks and functions of the DGCA staff and operators regarding lease arrangements under Article 83 bis of the Chicago Convention. Notice No. 43 clearly allows for the acceptance and transfer of all or part of the State of Registry tasks and functions (lease in or lease out), and gives details on the legal validity of such agreements in addition to the obligations of Kuwait towards other States party to Article 83 bis. In all cases of aircraft leasing, Kuwaiti operators have to apply to the DGCA at least thirty days in advance, using a form established to this effect, and must provide the DGCA with technical, financial and operational conditions relating to the specific leasing operation. Notice No. 43 also updated procedures for the acceptance of leasing operations, including the approval of operational conditions such as applicable regulations for aircraft operations, maintenance arrangements, flight and duty time limitations, crew training and qualifications, etc. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the recommendation that a system be established for ensuring that the KCASR reflect amendments made to ICAO SARPS, the DGCA indicated that a circular establishing such a system has already been issued by the President of the DGCA for the purpose of implementing the ICAO recommendation. b) Validation of action proposed. The DGCA has established a system for amending the KCASR and has issued a set of regulations governing all civil aviation activities based on ICAO SARPs and the Joint Aviation Requirements (JARs). In addition, Notice No. 44 concerning the amendment to the KCASR and the Rules of Construction establishes internal processes and procedures for implementing ICAO SARPs as well as the identification of potential differences, and their notification to ICAO. The ICAO recommendation has been complied with. 4.2 Organization of civil aviation
6 - 5 - There were no items of concern relating to the civil aviation organization of Kuwait which led to an ICAO finding and recommendation during the last audit, and as a result, no corrective action was required to be conducted by Kuwait in this area. The existing DGCA organization, policies, equipment, staffing, competencies, and safety oversight principles and methods are well adapted to the existing civil aviation activities in Kuwait. The DGCA is an autonomous body headed by a President appointed by an Amiri Decree, empowered to regulate all aviation activities. The DGCA is administratively attached to the Minister of Communication. Based on its organizational structure, the Aviation Safety Department (ASD) is the entity assigned the safety oversight tasks, functions and responsibilities to which the State of Kuwait is committed under the Chicago Convention. 4.3 Personnel licensing and training a) Action proposed by State. With respect to the recommendation that requirements and procedures be developed for the designation of medical examiners, along with a system to enable the review of reports submitted by designated medical examiners, the DGCA indicated that regulations for the approval, appointment and continued training of medical examiners would be established by 1 January A system has now been established whereby all medical reports issued by DGCA approved examiners are forwarded to the licensing section for review. By letter dated 29 August 2001, the DGCA advised that an amendment to the KCASR has now been issued which sets forth specific conditions and procedures for the designation of medical examiners, and a system has been developed whereby reports issued by medical examiners can be reviewed. In addition, the President of the DGCA has issued a decision addressing the medical examination of air traffic controllers, their technical tests and their licensing, in a way that is commensurate with the civil aviation needs of Kuwait. b) Validation of action proposed. Requirements and procedures for the designation of medical examiners have been established in Notice No. 39, dated 8 July 2003, issued by the DGCA and KCASR Part 12 Medical Standards and Certification. Part 12 of the KCASR also establishes medical standards for various licences, classes of medical assessments, requirements and conditions for medical assessments for each class as well as the validity of medical certificates, and requirements concerning experience, training and responsibilities of authorized medical examiners. Standards included in this part of the KCASR correspond to and comply with ICAO Annex 1, Chapters 1 and 6 provisions related to medical fitness. The DGCA has designated three aviation medical examiners according to a procedure established to this effect, and the DGCA is carrying out a surveillance plan. A system for reporting results to the DGCA has been implemented, and the Licensing Section keeps in each licence holder file the application forms with corresponding medical exam results completed by the authorized medical examiners. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need to develop policies, requirements, procedures and guidance material on the issuance of licences based on foreign licences, validation of foreign licences and the acceptance of military
7 - 6 - qualifications for the issuance of civilian licences, the DGCA indicated that the new KCASR, to be implemented by 1 January 2002, would reflect the regulatory requirements for issuing Kuwait licences on the basis of foreign licences as well as the validation of foreign licences. The DGCA does not issue licences based on military qualifications. Procedures for the validation of licences would be published in the Aeronautical Information Publication (AIP) by 1 January By letter dated 29 August 2001, the DGCA advised that a guide has now been issued indicating the regulatory requirements for issuing Kuwait licences on the basis of foreign licences as well as the validation of foreign licences. b) Validation of action proposed. The DGCA has established new regulations applicable to personnel licensing as well as licensing procedures detailing actions and tasks of licensing staff. Procedures for the validation of foreign licences or their conversion to Kuwaiti licences are established and allow for the assessment of competency of the applicant as well as the confirmation of relevant information such as the authenticity of the original licence and its compliance with ICAO Annex 1 provisions. Relevant procedures and requirements concerning the validation of licences are published in the AIP. In all cases the applicant has to pass additional exams and a skill test to demonstrate ability under the supervision of the DGCA. Some differences have been identified and notified to ICAO. The ICAO recommendation has been complied with. 4.4 Aircraft operations certification and supervision a) Action proposed by State. With respect to the need to update the operations regulations, the DGCA indicated in its action plan that the new KCASR would be implemented by 1 January 2002 and would be in conformity with the SARPs of Annex 6. The DGCA has also indicated that it would inform ICAO of any differences and that significant differences would be published in the AIP by 1 July b) Validation of action proposed. Kuwait Civil Aviation Safety Notice No. 34, dated 15 March 2003, implemented Part 3 of the KCASR Certification of Air Operators and Flight Operations Rules and Standards. Part 3 of the KCASR is divided into thirteen chapters addressing a wide range of aircraft operations activities governed by ICAO SARPs contained in Annex 6, Part I, and other aspects of aircraft operations governed by other ICAO Annexes. This includes general operating and flight rules, certification and surveillance of air operators, aircraft maintenance, aircraft performance operating limitations, aircraft equipment requirements, crew training, and operators manuals. The DGCA has also established regulations and procedures applicable to the certification and surveillance of specific operations such as extended range operations by twin-engined aeroplanes (ETOPS), reduced vertical separation minimum (RVSM), and required navigation performance (RNP). All requirements concerning the certification of an operator are in conformance with the provisions of ICAO Annex 6, Part I. Some differences have been identified by the DGCA in other areas of Annex 6, Part I, and notified to
8 4.5 Airworthiness of aircraft ICAO. There is no helicopter and no international general aviation operations in Kuwait. Respective regulations are still under development and the DGCA expects to implement ICAO Annex 6, Parts II and III provisions by the end of The ICAO recommendation remains open a) Action proposed by State. With respect to the recommendation that the DGCA ensure that mandatory instructions are clearly identified as requiring compliance when included in Kuwait Airworthiness Notices, the DGCA indicated that in order to implement the ICAO recommendation, holders of Kuwait Airworthiness Notices were clearly advised of the regulatory status of the notices as well as the mandatory status of particular Airworthiness Notices. b) Validation of action proposed. The DGCA has reviewed all existing Kuwait Airworthiness Notices and identified those containing mandatory instructions. A circular has been issued establishing the regulating status of the content of the Kuwait Airworthiness Notices, which reflects the mandatory status of the particular Airworthiness Notices. Transmittal Notice No. 21 contains all the relevant notices, and all holders of the notices are advised of the required mandatory action. The ICAO recommendation has been complied with a) Action proposed by State. Regarding the need for airworthiness inspectors assigned to accident investigation to receive suitable training, the DGCA indicated that the Aviation Safety Director has scheduled an airworthiness inspector to attend an accident investigation training course in May 2001, and the remaining inspectors would attend in September Further to their action plan, the DGCA advised ICAO, by letter dated 29 August 2001, that two airworthiness inspectors completed a certified accident investigation training course in May/June b) Validation of action proposed. A total of three inspectors have attended and completed a comprehensive training course on accident investigation since the audit and qualified inspectors have performed several investigations. Some of the investigation reports have been reviewed by the audit follow-up mission team and were found to be comprehensive and well-prepared. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the recommendation that the recently adopted design and manufacturing codes be reviewed and amended to ensure that they are in accordance with ICAO SARPs, the DGCA indicated that it accepts the codes issued by the design and manufacturing States (e.g. the Federal Aviation Administration [FAA], Joint Aviation Authorities [JAA], British Civil Airworthiness Regulations [BCARs]) and takes into consideration the differences with SARPs contained in Annexes 6 and 8 as filed by those States with ICAO.
9 - 8 - b) Validation of action proposed. Kuwait does not have an airworthiness code as part of its national regulations. For the purpose of issuing and revalidating a certificate of airworthiness, Kuwait accepts the design aspects of the appropriate airworthiness requirements established by the State of Design. As State of Registry, Kuwait considers the differences which may exist between the ICAO SARPs and the accepted airworthiness codes. The DGCA may also impose additional requirements. Parts 1 and 7 of the KCASR have been amended accordingly. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the recommendation that the Technical Research and Development Division provide a summary document for any technical function undertaken for another division, the DGCA indicated that this has been implemented. Summary documents coordinating technical functions are issued and include details and analysis of the scope of the functions performed, the individual who carried out the function, his signature, completion date, and the date the document was presented to the relevant division. b) Validation of action proposed. As an interim measure, summary documents had been issued to ensure the coordination of technical functions between the Technical Research and Development Division and the Airworthiness Division. In the meantime, duties and responsibilities of the Technical Research and Development Division concerning airworthiness of aircraft have been transferred to the Airworthiness Division, especially the whole process of certificate of airworthiness inspections, the approval of MELs and maintenance programmes as well as the AD compliance review. Consequently, the staffing of the Airworthiness Division has been increased from four to six inspectors. The ICAO audit follow-up team reviewed aircraft files with special attention to the AD compliance status of the individual aircraft. The files were confirmed to be comprehensive and contained all the required data. The ICAO recommendation has been complied with. 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 provided to the audit follow-up team. The differences provided will be included in the relevant Annex supplement in line with Article 17 of the MOU signed between Kuwait and ICAO and in accordance with 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
10 - 9 - critical elements of safety oversight (ICAO Doc 9734 refers) in Kuwait 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 Kuwait 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. 6.2 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.
11 CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM (Doc 9734 Refers) LACK OF EFFECTIVE IMPLEMENTATION (%) KUWAIT GLOBAL: 181 (30.97%) Audit: (9.51%) Follow-Up: (0.89%) 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.