AUDIT SUMMARY REPORT OF THE DIRECTORATE OF CIVIL AVIATION (DCA) OF THE ORGANIZATION OF EASTERN CARIBBEAN STATES (OECS)

Transcription

1 ICAO Universal Safety Oversight Audit Programme AUDIT SUMMARY REPORT OF THE DIRECTORATE OF CIVIL AVIATION (DCA) OF THE ORGANIZATION OF EASTERN CARIBBEAN STATES (OECS) (St. John s, Antigua, 6 to 18 April 2000) INTERNATIONAL CIVIL AVIATION ORGANIZATION

2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Audit Summary Report on the Safety Oversight Audit Mission to the Organization of Eastern Caribbean States (OECS) (St. John s, Antigua, 6 to 18 April 2000) 1. BACKGROUND 1.1 The Directorate of Civil Aviation (DCA) of the Organization of Eastern Caribbean States (OECS) was audited from 6 to 18 April 2000 by an ICAO safety oversight audit team in accordance with the Memorandum of Understanding (MOU) agreed on 22 December 1999 between the OECS and ICAO and included in Attachment A to the audit interim report forwarded to the DCA of the OECS on 18 May The audit was carried out pursuant to Assembly Resolution A32-11, with the objective of ascertaining the safety oversight capability of the DCA of the OECS and to ensure that it is in conformity with ICAO Standards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and 8 to the Chicago Convention and related provisions in other Annexes, guidance material and relevant safety-related practices in general use in the aviation industry as referred to in such material. The DCA is being operated in conjunction with the following States comprising the OECS: Anguilla; Antigua and Barbuda; Dominica; Grenada; Montserrat; Saint Kitts and Nevis; Saint Lucia; and Saint Vincent and The Grenadines. Four of these States, namely Antigua and Barbuda; Grenada; Saint Lucia; and Saint Vincent and The Grenadines, are ICAO Contracting States. 1.2 On 2 June 2000, the DCA of the OECS submitted an action plan addressing all the findings and recommendations contained in the audit interim report, and also submitted, on 3 November 2000, additional comments and clarifications, and an update to their action plan. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to be satisfactory. The comments and clarifications provided were, as appropriate, taken into consideration in the preparation of this audit summary report. 2. CIVIL AVIATION ACTIVITIES IN THE OECS At the time of the audit, civil aviation activities in the OECS consisted of: a) number of technical staff employed by the organization at Headquarters 9 b) number of active pilot licences 534 c) number of active flight crew licences other than pilot licences 91 d) number of active licences other than flight crew licences 375 e) number of commercial air transport operators 14 f) number of air operator certificates (AOCs) issued 13 g) number of aircraft operations inspectors 1

3 -2- h) number of aircraft registered in the Eastern Caribbean States 60 i) number of Certificates of Airworthiness (C of A) issued 60 j) number of approved maintenance organizations (AMOs) 9 k) number of aircraft maintenance workshops 9 l) number of aircraft airworthiness inspectors 3 3. SUMMARY OF FINDINGS 3.1 General statement The Civil Aviation Acts of the respective eight States of the OECS are basically satisfactory. The Civil Aviation (Air Navigation) Regulations (CARs) of 1996 (revised in 1998), which constitute the air navigation regulations of the OECS are adequate. The CARs were augmented with the United Kingdom Civil Aviation Authority (CAA) British Civil Aviation Regulations (BCARs) and supporting United Kingdom CAA regulatory publications which supplemented and enabled the DCA to accomplish its oversight tasks. This composite regulatory structure provides a comprehensive framework for the civil aviation activities of the OECS and complies with international requirements for an adequate system of control, supervision and enforcement. The Flight Safety Division is adequately organized and structured to provide effective control and supervision of civil aviation activities within the Member States of the OECS and the level of aviation activities found in the States during the audit period The system, procedures and regulations governing personnel licensing are, for the most part, in compliance with the requirements prescribed by the SARPs contained in Annex 1. The DCA has established a sound structure and recruited qualified personnel to adequately perform the tasks it has defined in relation to the issue and supervision of licences and ratings. However, two areas required improvement as the control and supervision of foreign training establishments are in need of greater surveillance and inspection, and personnel licensing examinations need to be revised and periodic review made by DCA inspection personnel. On 3 November 2000, the DCA informed ICAO that it had, since the audit, incorporated the relevant procedures in its guide to flight crew licensing and rating requirements and standards and, the requirements for the validation of non-oecs flight crew licences. It also indicated that a review of examinations had been made and that procedures had been developed and included in the procedures manual The DCA s system for certification and surveillance of international commercial air transport operators generally conforms with the requirements contained in Annex 6, Parts I and III, and in ICAO Doc However, the DCA s heavy reliance on United Kingdom CAA CARs and supporting regulatory publications does not always ensure that full compliance with ICAO Annex requirements is achieved. Furthermore, inspectors are not always aware of the changes introduced to these regulations, as no formal mechanism exists to ensure awareness of the changes made and incorporate them as applicable. Initial training requirements for operations inspectors have been established, but recurrent operations inspector training is not always provided in accordance with the recommendations contained in ICAO Doc 8335, Chapter 9. Even

4 -3- though the operations regulations are generally adequate, the OECS needs to implement many of the recent amendments to Annex 6, Part I which are not included in the national regulations The area of aircraft certification and continuing airworthiness within the DCA is generally satisfactory. However, there is a need for improved surveillance of air operators on the part of the Airworthiness Section, specifically, for greater control of off-shore operators and maintenance subcontractors. International air operators are not submitting maintenance reliability information to the DCA despite OECS regulations requiring oversight of these programmes. The DCA technical library requires improvement as the appropriate airworthiness and flight safety documents are not always being maintained, and the DCA library/repository could not adequately house the resources needed. 3.2 Primary aviation legislation in the OECS Abstract of findings The Civil Aviation Act of each OECS Member State empowers the DCA to perform its safety oversight and put into place the legal framework of the OECS regulations as the principal law governing aviation in the Eastern Caribbean. Under the Civil Aviation Act of each Member State and through a legal clause in the Act called the Interpretation Act, the Minister of each Member State has delegated authority to the DCA to draft and promulgate civil aviation regulations on its behalf. Generally based on United Kingdom CAA publications, several regulations have been promulgated and adapted by the OECS to ensure an adequate level of safety in aircraft operations and related activities. Proposed amendments to the regulations may originate from the Member States through the Civil Aviation Regulatory Board, the DCA, industry associations or other government ministries. If a draft regulatory change has implications for the jurisdiction of the Member States, it must go to the representation of the Civil Aviation Regulatory Board for comment and review. Regulations are promulgated normally by the Civil Aviation Regulatory Board, which is comprised of OECS Ministers responsible for Civil Aviation The primary statutory instrument governing aviation in the OECS is the Civil Aviation (Air Navigation) Regulations of 1996, empowered through a signed treaty of eight States: Anguilla; Antigua and Barbuda; Dominica; Grenada; Montserrat; Saint Kitts and Nevis; Saint Lucia; and Saint Vincent and the Grenadines. The Member States have agreed, through a formal delegation of authority agreement in their respective regulations, to empower the OECS to provide aviation safety oversight of all OECS Member States. The Treaty Establishing the Organization of Eastern Caribbean States (5 October 1981) is a signed document by all OECS Member States which further clarifies and outlines the purpose and function of the OECS, establishes the framework for the institution of the OECS and formalizes its efforts to coordinate, harmonize and pursue joint policies and statutory regulations in the Eastern Caribbean region Acting on behalf of all OECS Member States, the DCA provides safety oversight based on a system of CARs (1996) revised in 1998, which enables the DCA to inspect, investigate, maintain, monitor, coordinate, regulate and license all civil aviation activities in the OECS. In effect, the CARs are a combination of air circulars which also allow the United Kingdom CAA publications to be used to either define and/or amplify the requirements that must be satisfied in order to ensure compliance with the CARs of The DCA has adopted rules on operations, the maintenance of aircraft, spare parts and equipment contained in aircraft flight manuals, repair/overhaul manuals, maintenance manuals and master minimum equipment lists (MMELs) as issued by manufacturers and approved by the DCA. Also included as regulatory

5 -4- requirements are airworthiness directives, service bulletins and service letters issued by the manufacturer and approved by the DCA The action plan submitted by the OECS, addressing all the recommendations contained in the audit interim report and related to the primary aviation legislation and civil aviation regulations, is summarized in paragraph Corrective action plan proposed/implemented by the OECS With respect to the recommendation requiring the DCA of the OECS to develop a procedure for the introduction of amendments to regulations adopted from other regulations, the DCA indicated that it has an amendment subscription for all adopted regulations such as the BCARs and that, by August 2000, it would review all existing adopted regulations to identify differences which may exist vis-à-vis ICAO Annex SARPs. A procedure for implementing amendments and identifying differences would be formalized, as necessary, and ICAO will be notified of the differences which may still exist. 3.3 Civil aviation organization system in the OECS Abstract of findings The DCA operates under the overall directions of the OECS Civil Aviation Regulatory Board, which is comprised of OECS Ministers responsible for civil aviation. The Director of Civil Aviation is the Chief Executive Officer who reports directly to the OECS Civil Aviation Regulatory Board for all matters concerning civil aviation. The DCA Office is located in St. John s, Antigua. The respective Member States evaluate the financial viability of their prospective air transport operators, but the DCA is primarily responsible for the technical capability analysis of the AOC holder and recommends its approval to the Director of Civil Aviation who has ultimate acceptance power for all AOC holders. The administration of the airports is the responsibility of the respective Member State, but oversight is accomplished by the common DCA The level of remuneration for persons employed in the DCA exceeds that enjoyed by employees of the principal operators in the OECS, and the recruitment and retention of qualified inspectors is adequate, although some key personnel vacancies exist. The annual budget of the DCA is organized under the premise of self-sufficiency and autonomy for the DCA. Thus, the DCA is no longer dependent on contributions from Member States, but rather on direct compensation or charges for services such as certification, surveillance and licensing activities throughout the Eastern Caribbean region The DCA is responsible for ninety-one technical licences for maintenance engineers, nine approved maintenance organizations and fourteen commercial air transport operators. Although the expansion of the facilities of the DCA is in progress, the existing facilities are adequate as computers and other information tools are available and the OECS has established an Internet web page Taking into account the level and complexity of the aviation activity in the OECS Member States, the civil aviation organization system established in the OECS was found to be appropriately organized and adequately funded to satisfactorily undertake the safety oversight responsibilities of the OECS Member States. As a result, no recommendations relating to civil aviation organization were put forward.

6 Personnel licensing and training system in the OECS Abstract of findings The Personnel Licensing Section is part of the DCA Flight Safety Division and is staffed by two licensing inspectors supported by an administrative clerk who also supports other Sections. The duties and responsibilities of the section and the staff have been established on the basis of guidance contained in ICAO Doc 9379 Establishment and Management of a Personnel Licensing System, and the section is adequately equipped with computers and other office equipment (photocopiers, printers, etc.) The Personnel Licensing Section issues the private pilot licence (PPL) on a case-by-case basis only. However, the commercial pilot licence (CPL), the air transport pilot licence (ATPL) and the aircraft maintenance engineer (AME) licence are issued following the United Kingdom CAA guidance. The Personnel Licensing Section also issues aviation licences on the basis of licences issued by other Contracting States through a conversion process which includes the presentation of the original licence and supporting documents, a valid passport, a valid Class 1 medical certificate, verification of specific information with the foreign licence issuing authority (if necessary), written general aviation examinations, written examinations for each type of aircraft and an applicable flight proficiency test The DCA has designated eight aviation medical examiners which have received training in accredited medical aviation institutes in the United Kingdom. There are no training institutes or aviation schools in the OECS. Training is mainly conducted in foreign training institutes. However, the DCA has not established a system or procedures for the inspection, surveillance and monitoring of foreign training facilities AME licences are issued in accordance with OECS regulations and United Kingdom CAA BCAR, Section L (CAP 468) Licensing of Aircraft Maintenance Engineers. Further guidance is found in the United Kingdom CAA CAP 455 Airworthiness Notices. At least three years of airworthiness experience gained from either working with an AMO or with industry is required before an applicant can take an examination administered by the DCA Airworthiness Section Skill tests and proficiency checks are conducted by designated examiners drawn from an Aviation Experts List and taking into account other qualifications stipulated in the CARs. The designees have to hold licences, ratings and authorizations that are, at least, equivalent to those held by the person being examined. Additional requirements include a three-year appointment and monitoring of the designee by a DCA inspector during the first three regulatory check rides conducted by the appointee. A candidate must also receive training on the administrative tasks associated with the role of an examiner and on the assessment techniques as stipulated in the DCA inspector s handbook The action plan submitted by the OECS, addressing all the recommendations contained in the audit interim report and related to personnel licensing and training, is summarized in paragraph

7 3.4.2 Corrective action plan proposed/implemented by the OECS With respect to the need to establish a system and/or procedures for the inspection and monitoring of aviation training centres providing training to OECS licence holders, the DCA indicated that it randomly verified the qualifications and credentials of foreign airmen/pilots by liaison with the relevant civil aviation authorities and that, as of May 2000, a procedure for the verification of training quality of foreign training institutes used to train OECS flight crew personnel had been developed and incorporated in the Flight Crew Licensing Procedures Manual and in the Inspecting Staff Manual With respect to the need to establish a review schedule for all examinations administered by the Personnel Licensing Section, the DCA stated that, until April 2000, written examinations were administered by the UK CAA on contract and a review was conducted by the UK CAA in March 2000; however, since the DCA has taken over the responsibility, it indicated that it would review all examination papers on a biannual basis as of August 2000 and a formal procedure would be included in the Technical Procedures Manual. 3.5 Aircraft operations certification and supervision in the OECS Abstract of findings The Flight Operations Section of the Flight Safety Division is responsible for the issuance and annual renewal of air operator certificates. The officer responsible for flight operations and certification also acts as the manager of the Flight Safety Division conducts personnel licensing examinations and ground operations inspections duties, including inspection of aerodrome standards, accident investigation and tasks related to dangerous goods and flight attendant/cabin safety issues The Flight Operations Section has developed a formal process for the certification of air operators. The OECS CARs require the applicant to comply with all certification and operational requirements of CAP 360 before the issuance of an AOC. The certification process is designed to ensure that an applicant s programme, systems and intended methods of compliance are thoroughly reviewed, evaluated and tested. The certification process is adequate and, once completed, provides reasonable assurance that the applicant s infrastructure (programmes, methods and systems) will result in continued compliance after certification The supervision of commercial air transport operations is the responsibility of the Flight Operations Section of the Flight Safety Division. The section is composed of one flight operations inspector whose annual audit plan and surveillance records support the satisfactory control and supervision of OECS air operators. The DCA has also recruited a United Kingdom CAA flight operations inspector on a contract basis for the surveillance of its off-shore operator, based in Europe. The Flight Operations Section has a comprehensive handbook for its operations inspectors which has been adapted from the United Kingdom CAA flight operations inspector handbook and is used as the basis for all operations inspection and certification activities in the OECS. On 3 November 2000, the DCA indicated that a flight operations inspector had been recruited and provided with a three-week long flight operations course in the United Kingdom The flight operations surveillance files and records indicate that a comprehensive surveillance programme has been established. However, the air operators are not required to develop flight safety and

8 -7- accident prevention programmes as part of their operations manual approvals. Training for flight operations inspectors are largely limited to in-house training only, and a recurrent training programme for all inspectors has not been established The action plan submitted by the OECS, addressing all the recommendations contained in the audit interim report and related to aircraft operations certification and supervision, is summarized in paragraph Corrective action plan proposed/implemented by the OECS With respect to the recommendation on the need to amend the regulations to ensure full compliance with SARPs requirements on unlawful interference and suspected sabotage, the DCA indicated that, on 18 April 2000, it had issued Aviation Notice No. 1/00 to all operators requiring them to comply with the requirement of Annex 6, Part I, paragraphs 13.2 and The same Aviation Notice required air operators to establish a flight safety and accident prevention programmes in line with the requirements of Annex 6, Part I, paragraph 3.6 and achieve compliance by the end of May On the issue relating to the need for the establishment of initial and recurrent training for operations inspectors, the DCA indicated that a recurrent training programme had been established by May 2000 and incorporated into the Inspecting Staff Manual (ISM). The programme developed was based on guidance provided in ICAO Doc With respect to the need to review the regulations to ensure that the contents of the operations manual submitted by operators meet the requirements contained in Annex 6, Parts I and III, and Appendix 2, the DCA indicated that Aviation Notice No. 6/00, dated 16 April 2000, had been issued to all operators amplifying the requirements which should be met in order to ensure compliance with relevant Annex 6 requirements and civil aviation (air navigation) regulations. Compliance was expected to be achieved by the end of May Airworthiness of aircraft in the OECS Abstract of findings The Airworthiness Section of the Flight Safety Division is responsible for aircraft accident/incident investigation, industrial safety programmes for its operators, aircraft certification and safety oversight for the OECS States. There are sixty aircraft on the OECS registry which includes six helicopters and sixteen aircraft listed as more than kg certified maximum take-off weight. There are also nine AMOs which all come under the legal authority of the DCA and are controlled by the OECS-Part 145 Approved Maintenance Organization, which is basically a copy of the JAR-145 and has the same certification requirements The licensing and certification of commercial operators is done under the CARs, Article 6 and also following the United Kingdom CAA CAP 360 and CAP 554 requirements. The surveillance of air operators is conducted through an annual inspection plan reviewed and approved by the Director. The surveillance records are ongoing and adequately maintained. All areas requiring improvement underline the importance of greater surveillance in specific areas, such as the technical documentation, subcontractor audits and the need for expansion of the maintenance reliability reporting system to include notification and

9 -8- oversight on the part of the DCA. On 3 November 2000, the DCA further indicated that the noise certification issue had been addressed and all noise certificates had been issued. With respect to sabotage prevention, a difference has been filed with ICAO for the provision of a least-risk bomb area. The DCA also indicated that there were no CAT II or III operators registered in the OECS The action plan submitted by the OECS, addressing all the recommendations contained in the audit interim report and related to the continuing airworthiness of aircraft, is summarized in paragraph Corrective action plan proposed/implemented by the OECS With respect to the need for operators to acquire information concerning a least-risk bomb location from the manufacturers and incorporate this information in the Aircraft Flight Manual (AFM), the DCA indicated that it would require its operators to acquire the necessary information and to incorporate it in the AFM by August With respect to the recommendation that the DCA establish regulations requiring its air operators to develop and provide the DCA with aircraft maintenance reliability information, the DCA indicated that it had already established a regulatory requirement for its international air operators and that it would further strengthen the regulatory requirement by June 2000 and issue a directive which will make CAP 418 mandatory. The DCA will also initiate a programme of continuous oversight and participate in the reliability meetings of its international operators. On the issue of compliance with noise certification Standards contained in Annex 16, Volume I and to carry on board a document attesting to noise certification, the DCA indicated that it had already established a requirement for all aeroplanes to comply with the noise certification Standards of Annex 16, as contained in CAP 469 and empowered by a directive dated March The DCA further indicated that, by July 2000, it would ensure that all aeroplanes comply with noise certification Standards contained in Annex 16 and CAP 469 and carry on board a document attesting to noise certification, as applicable With respect to the recommendation that the DCA establish a requirement for the ferry flight of an aircraft or special authorization for an aircraft to be flown for maintenance/repair purposes, the DCA indicated that it had already established a non-written procedure for ferry flights and that, following the audit, it had formalized the procedures for the ferry flight of aircraft or special authorization for an aircraft to be flown when it is not fully airworthy but must be flown for repair purposes. A written procedure has been included in the Airworthiness Inspectors Technical Procedures Manual and an Aviation Notice No. 5/00 had been sent out to all operators advising of the procedures to be followed as of end of May On the subject of the need to improve the library facilities and documentation available, the DCA indicated that the library will be expanded to encompass all required documents as soon as the renovation of the current building is completed in December On the issue of the need to establish an adequate system to receive regularly, mandatory continuing airworthiness information, such as service bulletins and service letters for the type of aircraft registered in the OECS, the DCA indicated that it had not yet established such a system and that it would contact the relevant aircraft manufacturers to ensure receipt of service bulletins and service letters for all aircraft registered in the OECS by July With respect to the need to require air operators to ensure that maintenance subcontract work is properly controlled and audited in accordance with national regulations and operators Maintenance

10 -9- Organization Exposition Manuals, the DCA indicated that, by May 2000, it would ensure that maintenance subcontract work is properly controlled and audited in accordance with approved Exposition Manuals and national regulations. It also indicated that all parts from suppliers not approved by the DCA have been quarantined until deemed to have come from approved source and all subcontracted maintenance at facilities that have not been previously approved by the DCA has been suspended, until approval by the DCA. However, no evidence of action taken has been provided to ICAO as part of the action plan With respect to the need for the DCA to enforce its own regulations relating to the reporting of faults, defects and malfunctions with regard to off-shore operators, the DCA indicated that it had already established a system for faults, defects and malfunctioning to be transmitted to the State Civil Aviation Authority and to the organization responsible for design and that its Airworthiness Section would ensure that all records of Mandatory Occurrence Reports be up-to-date and readily available as of May The DCA would also ensure that operators submit reports in a timely manner and on the correct reporting forms. 4. COMMENTS The action plan submitted indicates that almost all of the required recommendations have been implemented or are in the final phase of their implementation. On 3 November 2000, the DCA submitted further information and evidence of action completed since the submission of the action plan. These are referred to in the appropriate paragraph in this report. 5. STATUS OF IMPLEMENTATION AND DIFFERENCES FROM THE ICAO SARPS Various differences between ICAO Annexes 1, 6 and 8 and the national regulations of the OECS Member States identified during the audit still existed upon completion and presentation of the final report. In accordance with Article 17 of the MOU signed between the OECS Member States and ICAO, differences with regard to the international Standards not implemented and the national regulations of the OECS Member States will be included in the Supplements to the respective Annexes. The differences concerned are incorporated in the Appendix to this summary report.

11 APPENDIX STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 1 PERSONNEL LICENSING) ICAO Standard reference OECS regulations reference Differences between the national regulations of the Organization of Eastern Caribbean States (OECS) and ICAO Standards Chapter CARs, Sched. 8, Part A The OECS does not issue the following licences: air traffic controller licence (ATCL), flight operations officer/flight dispatcher licence and aeronautical station operator licence (the ATCL issuance is, at the present time, being contemplated).

12 A-2 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 6 OPERATION OF AIRCRAFT) (PART I International Commercial Air Transport Aeroplanes) ICAO Standard reference OECS regulations reference Differences between the national regulations of the Organization of Eastern Caribbean States(OECS) and ICAO Standards 3.6 N/A The OECS has not established regulations by which the operator is required to establish and maintain an accident prevention and flight safety programme N/A The OECS has not established a requirement for noise certificate and to be carried on board an aircraft CAP 554 The OECS has not established a requirement for the submission of maintenance reliability information N/A The OECS has not established regulations by which the operator is required to establish and maintain a training programme to enable crew members to act in the most appropriate manner to minimize the consequences of acts of unlawful interference N/A The OECS has not established regulations by which the operator is required to establish procedures to ensure that there is on board a checklist of the procedures to be followed in searching for bomb in case of suspected sabotage.

13 A-3 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 8 AIRWORTHINESS OF AIRCRAFT) ICAO Standard reference OECS s regulations reference Differences between the national regulations of the Organization of Eastern Caribbean States (OECS) and ICAO Standards Part II CAR Art. 8 (7) (b) The OECS has not established an adequate system for receipt and dissemination of continuing airworthiness information, service bulletins and service letters CAR Art. 88 System of faults, defects and malfunction reporting for off-shore operators CAR Art. 8 (7) (c) The OECS has not established a requirement for the ferry flight of aircraft when it is no longer in an airworthy condition. Part III N/A Least-risk bomb location identified on the aircraft. END