SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE CIVIL AVIATION AUTHORITY OF CAPE VERDE

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1 ICAO Universal Safety Oversight Audit Programme SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE CIVIL AVIATION AUTHORITY OF CAPE VERDE (Praia, 5 to 10 February 2003) International Civil Aviation Organization

2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Summary Report on the Safety Oversight Audit Follow-up of the Civil Aviation Authority of Cape Verde (Praia, 5 to 10 February 2003) 1. INTRODUCTION 1.1 Background The Instituto da Aeronáutica Civil (IAC) of Cape Verde, hereafter referred to as the Civil Aviation Authority (IAC) and formerly the Directorate General of Civil Aviation (DGCA), was initially assessed under the voluntary ICAO Safety Oversight Assessment Programme from 18 to 22 November 1996 by an ICAO assessment team. Subsequently, an audit was carried out from 1 to 5 March 1999 pursuant to Assembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU) agreed to on 10 February 1999 between Cape Verde and ICAO. The objectives of the audit were 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 (now IAC) of Cape Verde. The audit also aimed at ensuring that Cape Verde 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 16 April 1999, Cape Verde submitted a corrective action plan addressing all the findings and recommendations contained 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 provided was 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 19/1-99/87 in August 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 Cape Verde 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 CAPE VERDE At the time of the audit follow-up mission, civil aviation activities in Cape Verde included: a) number of technical staff employed by the organization at Headquarters 8 b) number of regional offices 0 c) number of technical staff employed at regional offices 0 d) number of active pilot licences 99 e) number of active flight crew licences other than pilot licences (flight engineer and flight navigator) 0 f) number of aviation training establishments 0 g) number of active licences other than flight crew licences 136 h) number of commercial air transport operators 2 i) number of air operator certificates (AOCs) issued 1 j) number of aircraft operations inspectors 2 k) number of aircraft registered in Cape Verde 8 l) number of currently valid certificates of airworthiness issued 8 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 4 3. EXECUTIVE SUMMARY 3.1 Since the ICAO safety oversight audit carried out in March 1999, Cape Verde has undertaken significant efforts to amend and upgrade its civil aviation regulatory framework and guidance material so as to allow it to comply with ICAO SARPs. At the legislative level several laws have been enacted and the most

4 - 3 - important are the new Aeronautical Code, the Código Aeronáutico de Cabo Verde and the law creating the new Civil Aviation Authority, the Instituto da Aeronáutica Civil (IAC), which has now a full autonomy to administer, regulate and supervise the aviation activities in Cape Verde and to enforce the application of the implemented regulations. The IAC has subsequently undertook an extensive effort to develop new regulations, the Cape Verde Civil Aviation Regulations (CV CARs), covering all aviation aspects. The IAC elected to adopt the model civil aviation regulations developed by ICAO as the baseline for its regulatory system and to adapt them to the environment of Cape Verde and also to its needs. The IAC has already launched the assessment of the recently adopted CV CARs in order to identify the differences from ICAO SARPs and to notify them to ICAO. 3.2 The IAC has gradually reinforced its safety oversight capabilities since its inception in June 2001 and has filled essential positions in its licensing, operations and maintenance divisions with qualified personnel. With the technical assistance of the United States Federal Aviation Administration (FAA), the IAC has undertaken the training of its staff. At the same time Cape Verde has established an agreement with the United States and with the technical support of the FAA, the IAC staff has developed extensive technical guidance material consisting of procedures, job aids and forms to support implementation of the newly established system for the certification and surveillance of aviation-related activities. The IAC has also strengthened its competency in the core functions by recruiting and appointing highly qualified personnel. The IAC has now the necessary financial resources to recruit, train and retain highly qualified staff and plans to hire additional inspectors and other staff to cover the full scope of its responsibilities. 3.3 The IAC has improved the licensing system by establishing new personnel licensing regulations, the CV CAR Part 2 effective since 9 December 2002, and procedures which clearly define and establish functions and responsibilities of the Personnel Licensing Office within the IAC. The IAC has also appointed a personnel licensing officer who has received formal training and extensive on-the-job training (OJT) in processing applications for issuing personnel licences. As part of the personnel licensing system developed by the IAC, application forms have been prepared and validation standards have been implemented. The IAC has also formally designated a medical centre in Portugal to carry out medical examinations for the Cape Verde licence holders. One qualified medical examiner was recruited in Cape Verde as IAC medical adviser. There is now a system for the certification and inspection of aviation training centres as well as an established system to ensure the qualification and competency of examiners and instructors providing training to Cape Verde licence holders. 3.4 In the field of aircraft operations, the IAC has considerably improved its safety oversight capabilities by adopting comprehensive and efficient regulations and substantial guidelines consisting of procedures, job aids and forms covering the entire process for the certification and surveillance of air operators. The IAC has also established an adequate system for the certification of air operators and the continued surveillance of AOC holders. It has strengthened its competency in the core functions related to aircraft operations by recruiting a highly qualified flight operations inspector. The IAC launched a progressive programme for the re-certification of the existing two operators who have been allowed a harmonization period until the end of June 2003 to fully comply with the new aircraft operations system. 3.5 In the area of airworthiness and maintenance of aircraft, the IAC has modernized drastically its system by adopting a set of regulations in the CV CARs and establishing an Inspector s Handbook covering the entire process relating to the issuance of a certificate of airworthiness and its validity. The IAC has also developed extensive guidance material in the airworthiness area and is acting in conformity with that

5 - 4 - guidance. The Airworthiness Division is adequately staffed with three full-time inspectors including the Head of the Department who has extensive experience in that field. The technical library of the IAC has been improved and supplemented with electronic resources. It now includes current copies of the maintenance control manuals, master minimum equipment lists (MMELs) and minimum equipment lists (MELs), as outlined in ICAO guidance material. 4. RESULTS OF THE AUDIT FOLLOW-UP MISSION 4.1 Primary aviation legislation and civil aviation regulations a) Action proposed by State. With respect to the need for Cape Verde to urgently promulgate a national primary aviation legislation to provide for the establishment of a civil aviation authority empowered, or appropriately delegated, to make and enforce rules and regulations with respect to civil aviation activities in the State, Cape Verde has proposed in its corrective action plan to start drafting a primary civil aviation legislation with the assistance of a legal consultant. Drafting of the legislation would start on 14 April 1999 and would be submitted to the Government and enacted by January b) Validation of action proposed. The Aeronautical Code of Cape Verde, the Código Aeronáutico de Cabo Verde, has been established by Legislative Decree No. 1/2001 dated 20 August The Aeronautical Code, which launches the modernization of the civil aviation sector and establishes an appropriate and comprehensive legal framework to administer the civil aviation sector, has been enacted by the Parliament under Law No. 2/VI/2001 dated 21 May 2001 and promulgated by a Presidential Decree. Regulatory Decree No. 02/2001 created the new Civil Aviation Authority of Cape Verde called the Instituto da Aeronáutica Civil (IAC). The IAC has administrative and financial autonomy and is the unique authority responsible for the administration, regulation and supervision of the entire civil aviation activities (Article 321 of the Code). The IAC is headed by a President and managed by a three-member Board of Directors proposed by the Minister of Transport and Infrastructure and appointed by a Prime Minister Decree. Articles 171 and 172 of the Aeronautical Code describe the general supervisory powers of the authority. Under Article 14 of the IAC s by-laws, the Board has the authority to issue the Cape Verde Civil Aviation Regulations (CV CARs) and amendments thereto. These regulations are issued by the Board and under the signature of the President. The Constitution of Cape Verde specifies the procedure for amendment of all laws. The IAC issues directly regulations applicable to all civil aviation matters and prepares draft amendments to the Aeronautical Code and submits them to the adoption channel through the Cabinet of the Minister. Concerning the enforcement aspects, several articles of the Aeronautical Code and CV CARs, such as Parts 6, 8 and 9, specify the role of the IAC. The ICAO recommendation has been complied with.

6 a) Action proposed by State. Concerning the need for the DGCA to urgently enact civil aviation regulations which will enable it to control and supervise aircraft operations in Cape Verde and thus fulfil its safety oversight obligations, the DGCA indicated that it will start the drafting of specific civil aviation regulations with the assistance of a legal consultant. The drafting of the regulations would start on 29 April 1999 and was expected to be completed by 11 May The action plan further indicated that the civil aviation regulations would be submitted to the Government as part of a package of civil aviation regulations on 9 November 1999, and it was expected that the package would be enacted into law on 24 January b) Validation of action proposed. The new Aeronautical Code recently promulgated by Cape Verde provides for the introduction of air navigation regulations and enables the IAC to issue them. Accordingly, the IAC has already published on 9 December 2002, with immediate effect, the CV CARs governing all civil aviation aspects. They are derived from the model regulations developed by ICAO and adapted to the need of Cape Verde. In addition to these regulations, the IAC has also developed comprehensive and adequate guidelines for its staff consisting in procedures, standards and job aids. The CV CARs are issued by the Board and under the signature of the President of the IAC. The IAC has also established a process for the implementation and revision of the national regulations and started recently an assessment of the regulatory framework in order to evaluate its compliance with ICAO provisions and to identify the potential differences. A first draft of differences has already been established. At the same time and with the technical support of the United States FAA, the IAC staff is also participating in the development of technical guidance material to support implementation of the new regulations. Operators are allowed a harmonization period lasting until 30 June 2003 to fully comply with the new provisions. The IAC has not yet developed a formal procedure for the amendment of CV CARs and has not yet identified all differences from ICAO SARPs in order to notify them to ICAO. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it has developed a procedure for the amendment of the CV CARs (Ref. IAC-CAR-001) and has now identified its differences to Annex 1 and Annex 6, Part I, SARPs and will publish its differences in the next issue of the AIP (1 August 2003). Differences from ICAO Annex 8 are in the revision process and an updated report of differences (Annexes 1, 6, Part I, and 8) will be submitted to ICAO by 31 July Differences from Annex 6, Parts II and III, will be notified to ICAO and will be published in the AIP by 1 August a) Action proposed by State. With respect to the need for the Government of Cape Verde to provide the DGCA and his inspectorate staff sufficient authority to have the right of access to all commercial civil aviation facilities in Cape Verde to carry out inspections or other control and supervision-related duties, the DGCA indicated that the draft primary aviation legislation will provide the necessary authority and it is expected to be promulgated by January 2000.

7 - 6 - b) Validation of action proposed. The inspectorate staff of the IAC has been empowered by the by-laws of the IAC (Regulatory Decree No. 02/2001, Article 28, paragraph 1a)) to unlimited access, without any prior notification, to operators and organizations facilities, equipment, documents, etc. In addition, an aviation law, specifically detailing their prerogatives, and Articles 28 and 29 of the by-laws also specify that IAC inspectors may detain an aircraft for safety reason. Several sections of the CV CARs also provide for free access for inspection purposes and for credentials and badges to be issued to the inspectorate staff. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to establish a system for the certification, approval and supervision of operators and organizations within Cape Verde, the DGCA indicated that, once the regulations are in place, it will establish the necessary system to carry out the certification activities for operators and maintenance organizations by January b) Validation of action proposed. The IAC has established a system for the certification and continued surveillance of air operators, training centres and maintenance organizations requiring them a prior authorization/approval in conformance with ICAO provisions. The system includes appropriate regulations, adequately trained staff, job aids, procedures and several guidelines specifying the role and responsibilities of the IAC Aircraft Operations, Airworthiness and Personnel Licensing Divisions in the process of certification and surveillance of aviation-related activities. An enforcement system has been developed and is functioning well. Existing operators are required to harmonize their systems with the new certification requirements by 30 June The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to develop a comprehensive airworthiness code, the DGCA indicated that it would draft the airworthiness regulations by May The action plan further indicated that the civil aviation regulations would be submitted to the Government and it was expected that it would be enacted into law on 24 January b) Validation of action proposed. The IAC has established regulations applicable to airworthiness of aircraft under the registry of Cape Verde. The State does not issue aircraft type certificates and does not validate type certificates issued by other States. Cape Verde accepts the airworthiness code of the State of Design. The applicable regulations make mandatory the airworthiness directives (ADs) issued by the State of Design as well as prior approval of major modifications or any aircraft design engineering aspects. The ICAO recommendation has been complied with. 4.2 Organization of civil aviation a) Action proposed by State. Concerning the need for the Government of Cape Verde to establish an appropriate civil aviation organization in order to undertake its safety

8 - 7 - oversight obligations, Cape Verde provided for the establishment of the Personnel Licensing and Aircraft Operations Divisions and for the strengthening of the Airworthiness Division. The establishment and strengthening programme was scheduled to start in May 1999 and to be completed by 18 July b) Validation of action proposed. Cape Verde has reviewed its civil aviation organization system and created a new organization, the IAC. The IAC is an autonomous public enterprise created by law and managed by a Board of Directors headed by a President. All the Board members, including the President, are appointed by the Prime Minister. The Government of Cape Verde has established the mission and objectives of the IAC. The IAC has the full authority on its income generated by its revenues already fixed by law and by a Ministerial Order. The Board of Directors has established an efficient organizational structure adapted to the Cape Verde needs and the new organizational structure has already been transmitted to ICAO. The IAC has not established regional offices and all tasks including inspections are carried out from Praia. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to be provided with sufficient human resources including financial support to accomplish its safety oversight obligations, the DGCA indicated that it will recruit the necessary experts in licensing, operations and airworthiness and provide the necessary training to these experts by December b) Validation of action proposed. The IAC is presently well staffed and all aviation technical areas of expertise are presently covered by highly-qualified managers assisted by well-trained staff. The IAC has sufficient resources to recruit and train its staff and the Board has the full authority to establish and organize the IAC in the most efficient manner. The management has developed a policy for the establishment of terms of references for all technical positions, which is also mandatory by Government Directives in all sectors, as well as a policy to sustain each process by regulations, guidance material and procedures. A Ministerial Order specifies the minimum qualification and basic education requirements to be employed by the IAC in managerial or technical level. In case of recruitment, the IAC has to advertise the potential post specifying the terms of references, the basic education requirements and any additional qualification needed and has to proceed for the recruitment in accordance with the Government Directives. The IAC has the full authority on the entire recruitment process including the determination and application of any additional training needed. The level of remuneration of the IAC is now comparable to the one of the industry, which also favours the recruitment of highly-qualified staff. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to appropriately staff the Personnel Licensing Division, the DGCA indicated that it will recruit a personnel licensing expert by December 1999 and provide the necessary training and development to the staff in the division by September 2000.

9 - 8 - b) Validation of action proposed. The IAC has established a Personnel Licensing Division within the organization. The terms of references as well as job descriptions clearly specify the responsibility of the Personnel Licensing Division and its involvement in safety oversight processes in order to administer the licensing system in coordination with the Aircraft Operations and Airworthiness Divisions. Among its terms of references, the Personnel Licensing Division is responsible for the preparation and amendment of CV CARs and procedures applicable to the personnel licensing system. The ICAO recommendation has been complied with. 4.3 Personnel licensing and training a) Action proposed by State. With respect to the need for the DGCA to establish an adequately organized Personnel Licensing Division, the DGCA indicated in its action plan that implementation would start as early as January 1999 with the recruitment of a licensing expert and would be completed by October 2000 with the establishment of the Personnel Licensing Division. b) Validation of action proposed. The IAC has assigned a full-time licensing officer as responsible for the Personnel Licensing Division. This officer has over six years of experience in the performance of licensing duties and has received a formal on-the-job training (OJT) under an agreement between the IAC and the FAA. This officer is assisted by an administrative staff and also substantively supported by qualified airworthiness and operations inspectors in their core functions and areas of responsibilities. Two computers with access to the local network and access to facsimile and international communications have been provided to the division. In addition, the IAC is presently moving the management of its licensing database to a full electronic system. The IAC mainly issues licences on the basis of licences issued by other Contracting States and develops and conducts its own written examinations for licensing and aircraft type ratings. Directive PCL-009 has been developed by the IAC to that effect. The IAC inspectors and technical staff are considered the main examiners for practical tests but some examinations are carried out by designated examiners under the supervision of IAC inspectors. The IAC has established a system for the designation of these examiners including their surveillance, and they are appointed for one year. The IAC has not yet established an adequate system for the approval and continuing surveillance of training centres and has not yet published in the national Aeronautical Information Publication (AIP) the examination requirements for validation of licences and ratings. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that there are no training centres in Cape Verde. Persons qualified in foreign training centres are examined in Cape Verde for the purpose of issuance of licences and ratings. The IAC will develop a procedure for the approval and continuing surveillance of training centres providing flight simulator training, by 1 August The IAC will publish the examination requirements for validation of licences and ratings in the national AIP by 1 August 2003.

10 a) Action proposed by State. Concerning the need for the DGCA to promulgate national personnel licensing regulations and also develop the necessary procedures and requirements for initiating the licensing process, the DGCA indicated that the regulations will be promulgated by December 1999 and the necessary procedures will be developed by January b) Validation of action proposed. The IAC has developed and published CV CARs Part 2 and guidance documents, procedures and job aids related to personnel licensing. In addition, application forms for various licences and ratings, containing all the required information, have been established by the IAC. The personnel licensing officer is responsible for the assessment of the applications and the established procedures require coordination with the Aircraft Operations and Airworthiness Divisions for their area of responsibilities. IAC Directive IAC-AMD 001 establishes the system for the designation of aviation medical examiners and specifies the requirements as well the training in aviation medicine. A law in Cape Verde requires that each public administration or enterprise establish procedures for appealing its administrative decisions, and the IAC has established a system according to which the applicant may appeal first to the President of the IAC then the hierarchy (Minister, Prime Minister, etc.). The licences issued by Cape Verde are of a continuing type except the student pilot licence for which the medical certificate is required to be carried with the licence. Concerning the maintenance of competency of flight crew members, the CV CARs require an instrument flight rules (IFR) check once a year and a proficiency check twice a year, within a period not exceeding thirteen months. However, the physical aspect of these licences does not conform with the provisions of ICAO Annex 1, Chapter 5, and the requirements relating to the validation of licences are not published in the AIP. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it has adopted new licence formats in accordance with the provisions of Annex 1, Chapter 5. The new formats will be implemented by 30 June The requirements relating to the validation of licences will be published in the next revision of the AIP by 1 August a) Action proposed by State. Concerning the need for the DGCA to develop detailed procedures on how it will implement and maintain personnel licensing regulations which are adopted from other Contracting States, the DGCA indicated that it will develop its own comprehensive regulations by December b) Validation of action proposed. The IAC has developed and implemented its own personnel licensing regulations and related procedures. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to recruit an appropriately qualified and experienced personnel licensing expert to undertake personnel licensing functions and provide OJT to the newly appointed officer, the

11 DGCA indicated that it plans to recruit an international licensing expert by December 1999 and begin personnel licensing development training by March b) Validation of action proposed. The IAC has assigned an officer in charge of the Personnel Licensing Division and recruited an administrative assistant. Both of them have received an adequate OJT to undertake personnel licensing functions, provided under an agreement between the IAC and the FAA. Among his terms of references, the division manager is tasked to develop and amend national personnel licensing regulations, procedures and requirements leading to the issuance of national licences/ratings and all licensing matters in general. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to immediately stop the deferral of medical fitness re-examination as the conditions for deferral fail to meet the Standards provided in Annex 1, the DGCA indicated that it will ensure that this is reflected in its regulations and procedures by January b) Validation of action proposed. CV CARs Part 2 does not allow for the deferral of medical examinations. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to appropriately designate qualified medical examiners to conduct medical fitness examinations of applicants for the issue or renewal of licences or ratings on its behalf in accordance with Annex 1, the DGCA indicated that it will establish a system for the assessment of medical fitness of licence holders and designated medical examiners by January b) Validation of action proposed. The IAC has established a system for the assessment of medical fitness of licence holders and designated medical examiners in Cape Verde and also designated a medical centre in Portugal belonging to the local CAA to carry out these examinations for professional flight crew members. False declaration is considered as criminal offence and the Law as well as CV CARs provide for enforcement actions to be taken in case of false declaration by an applicant. The IAC has not established procedures or a system allowing additional advice and assessment for a possible issuance of a medical fitness certificate when the established medical standards are not fully met by an applicant. The IAC is arranging for the establishment of a Medical Council. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that, by 30 August 2003, it will establish a Medical Council allowing additional advice and assessment for a possible issuance of a medical fitness certificate when the established medical standards are not fully met by an applicant.

12 Aircraft operations certification and supervision a) Action proposed by State. With respect to the need for the DGCA to urgently enact adequate aircraft operations regulations in compliance with ICAO Annex 6, Parts I and III, and to establish a system for the certification and supervision of the operator, the DGCA indicated that the corrective action plan provided for the development and promulgation of the required laws and regulations and the establishment of an Aircraft Operations Division. The drafting of the primary aviation legislation and the establishment of the Aircraft Operations Division would start as early as 14 April 1999 and would be completed by 17 July b) Validation of action proposed. The IAC has developed in CV CARs Parts 6, 8 and 9 regulations applicable to aircraft operations and to the certification and surveillance of AOC holders, supported by guidance material, a comprehensive set of procedures, standards and job aids. CV CARs Part 8 Aircraft Operations contains provisions implementing ICAO Annex 6, Part I and paragraph of this chapter establishes a 60-minute threshold time for extended range operations by aeroplanes with two turbine power-units (ETOPS). Requirements relating to air operators are contained in Chapter 9 which requires the operator to be in possession of a valid AOC and also to prepare an operations manual in conformance with Annex 6, Part I. The IAC has established a compliance statement which is provided to the operator to indicate the means of compliance of its manual and procedures with the applicable regulations. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need to urgently establish a system for the certification and supervision of operators in conformance with Annex 6, paragraph , the DGCA indicated that implementation would start as early as 14 April 1999 and would be completed by 17 July b) Validation of action proposed. Since its inception, the IAC has established a system for the certification of air operators. Flight operations oversight has been highly improved by the adoption of the new regulations and extensive technical guidance material consisting of procedures for certification and surveillance of air operators in addition to job aids and checklists to be used during inspections. The IAC has thence established a formal Inspector s Handbook both for the certification and surveillance of aircraft operations in addition of application forms containing all information relating to these processes. The post of the principal flight operations inspector has been filled in 2002 by a highly-qualified pilot, instructor and flight examiner, having more than hours of flying time and still current, with aircraft type ratings comparable to those used by the existing operators. The CV CARs require that the operator be in possession of a valid AOC and the IAC has established a certification process divided in five steps where both operations and airworthiness inspectors are involved in the acceptance, assessment and approval of operators procedures and manuals, such as the operations manual, MELs, training programme and training manual, maintenance manual, etc. The established system also provides for continuing surveillance of the authorized operators including the

13 monitoring of their financial conditions. The surveillance system consists of comprehensive follow-up scheduled and random inspections of air operator facilities, station facilities, base of operations, aircraft files and documentation, crew scheduling, flight planning and dispatching, and records of training carried out by crew members employed by AOC holders. The IAC has launched the re-certification of the two existing air operators, the national airline (TACV) and Cabo Verde Express. The two operators were given a harmonization period, lasting until the end of June 2003, to comply with the new regulations. A compliance programme has been initiated and is closely monitored by the IAC through the compliance statement checklist provided to these operators. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to establish an adequately staffed and equipped Aircraft Operations Division within the Directorate to effectively undertake the responsibilities associated with aircraft operations in Cape Verde, the DGCA indicated in its action plan that the division would be established by 17 July b) Validation of action proposed. The IAC has established a well-staffed Aircraft Operations Division headed by an experienced captain and flight examiner, seconded by an aeronautical engineer. The IAC has established the required minimum qualifications to be designated as a flight or ground operations inspector, in addition to a Ministerial Order defining requirements concerning basic education. The IAC has also established a training programme for its inspectors, and their personnel files contain the relevant information to determine their competency. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to urgently enact the relevant regulations covering aircraft leasing and that such regulations cover all aspects of aircraft leasing and responsibilities of its operators concerning crew training, operational control, maintenance and continuing airworthiness of aircraft involved, the DGCA indicated in its action plan that the relevant regulations would be enacted by 17 July b) Validation of action proposed. The Cape Verde has not yet ratified Article 83 bis to the Chicago Convention and the decision of the ratification is already under consideration. Expecting the imminent ratification of Article 83 bis by the Parliament, the IAC has already introduced in the aviation law provisions allowing the transfer and acceptance of tasks and functions relating to arrangements under Article 83 bis. Concerning other leasing arrangements, the CV CARs impose the prior approval by the IAC of any aircraft leasing in or out, with or without crew, and an IAC directive specifies the conditions relating to the approval by the IAC. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need to urgently enact the relevant regulations and appropriate procedures concerning the safe transport of dangerous

14 goods by air, the DGCA indicated in its action plan that the relevant regulations would be enacted by 17 July b) Validation of action proposed. The IAC has implemented regulations concerning the transportation of dangerous goods by air in Chapter 9 of the CV CARs. However, the provisions of this chapter are only binding to air operators and they only cover ICAO provisions contained in Annex 6, Part I. The ICAO recommendation remains open. 4.5 Airworthiness of aircraft Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it has revised the CV CARs to include required regulations to comply with the provisions of Annex a) Action proposed by State. With respect to the need for the DGCA to update its aircraft registry and ensure that a proper registry is kept in accordance with the requirements of Annex 7, the DGCA indicated that this will be carried out by September b) Validation of action proposed. The new Aeronautical Code contains provisions relating to the establishment by the IAC of a National Aeronautical Registry and specifies that this registry shall be governed by a regulatory decree. In addition, section of the CV CARs also contains the requirements for a certificate of registry and its contents actually are in conformance with ICAO Annex 7. The IAC has updated its aircraft registry which now reflects the current status of aircraft registered in Cape Verde. Nevertheless the decree setting the administration of the aircraft registry has been drafted but not yet issued. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it will issue the decree setting the administration of the aircraft registry by 30 November a) Action proposed by State. With respect to the need for the DGCA to develop a comprehensive airworthiness handbook, the DGCA indicated that it will develop the handbook by November b) Validation of action proposed. The IAC has developed to the attention of its technical personnel comprehensive guidance material called the Inspector s Handbook. It includes procedures, checklists, job aids and forms related to certification, surveillance and enforcement. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to develop a system for monitoring repetitive ADs applicable to the aircraft on its register, the DGCA indicated that it will develop the necessary regulations requiring operators

15 to comply with ADs from the State of Registry and will develop a system within the DGCA to monitor repetitive inspections outlined in many ADs by September b) Validation of action proposed. The IAC has established a system for the monitoring of repetitive ADs consisting in regulations under section of the CV CARs which require operators to comply with ADs issued by the State of Design or State of Manufacture. In addition, a directive requires the operator to subscribe to airworthiness information issued by the State of Design and aircraft manufacturers. Section of the CV CARs also requires operators not to use an aircraft unless it is in airworthy condition. As part of the certification process, operators are required to show compliance to ADs implementation through the AD status and to establish a system in their maintenance control manuals for the prompt compliance with ADs including procedures for tracking their implementation. The IAC has established a method for monitoring the implementation of repetitive ADs. Airworthiness inspectors are required to establish a list of effectivity of ADs before conducting inspections of aircraft and operators, and a guidance document on this topic has been established by the IAC. Certificates of airworthiness are renewed periodically (each six months); this gives an additional opportunity for a periodic surveillance of the system. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to acquire the necessary resources and authority to conduct inspection visits to foreign maintenance organizations as required, the DGCA indicated that this would be accomplished by November b) Validation of action proposed. The IAC does not systematically validate approvals granted to AMOs by other States and section 9.4 of the CV CARs specifies provisions for the AMOs approval or acceptance of an equivalent system. Subcontracted repair stations already approved under JAR-145, FAA 145 or Canadian system are presently accepted as an equivalent system. The IAC has its own and independent budget to carry out all necessary inspections to local and foreign maintenance organizations and has appropriate legal and regulatory authority to conduct such visits. The IAC accepts foreign AMOs and approves maintenance arrangements concluded by its operators. Access to the contractors premises by IAC inspectors is required to be included in the acceptance package, and the continuing surveillance of these AMOs located abroad is carried out through the quality assurance system of the AOC holder. The IAC has developed new regulations, and a harmonization period is presently given to the AOC holders and AMOs to comply with the CV CARs. The ICAO recommendation has been complied with a) Action proposed by State. Concerning the need for the DGCA to develop a programme of continuing training for its airworthiness inspectors and maintain a record of all training received, the DGCA indicated that this would be accomplished by November 1999.

16 b) Validation of action proposed. The Aeronautical Code of Cape Verde as well as a Ministerial Order specify the education, experience and minimum qualifications requirements to be appointed as an airworthiness inspector. The IAC has also established a comprehensive training programme including initial and recurrent extensive OJT in the performance of inspector duties. The ICAO recommendation has been complied with a) Action proposed by State. Concerning the need for the DGCA to promulgate airworthiness regulations at the earliest possible date in accordance with Annexes 6 and 8, the DGCA indicated that it will start drafting its technical regulations by September 1999 and will have all the regulations completed by May b) Validation of action proposed. The IAC has developed and promulgated regulations applicable to airworthiness and maintenance of aircraft under CV CARs Parts 5 to 9. Copies of these regulations are available to all technical staff as well as in the technical library established by the IAC. Airworthiness inspectors have also access to all necessary documentation issued by ICAO or by aircraft design organizations and manufacturers, in hard copies or via Internet. The existing regulations require the operators and aircraft owners to obtain a prior approval for major aircraft modifications, and the IAC has established procedures as well as job aids for the approval of modifications and repairs. The IAC requires prior approval of the authority responsible for the aircraft type design before granting such approvals. The certificate of airworthiness is issued for a maximum of one year and the operator/aircraft owner is required to provide a proof of compliance to the appropriate airworthiness requirements. Section of the CV CARs contains provisions relating to ferry flight of an aircraft when it is not in full airworthy conditions and needs to be transferred to a repair station. However, the form of ferry permit does not specify all the usual limitations such as its restriction to non-revenue flights and prior authorization of other States for international operations. Section of the CV CARs requires an operator to operate an aircraft only if it is maintained and released to service by an AMO and specifies requirements relating to the operator maintenance programme, including the establishment of a continuing structural integrity programme. However, the recent ICAO amendments to Annexes 6 and 8 related to the airworthiness and maintenance of aircraft and requirements concerning noise certification have not yet been introduced in these regulations. The ICAO recommendation remains open. Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it has revised the flight permit form to incorporate all limitations and restrictions concerning non-revenue flights and prior authorization from other States. The IAC also indicated that it has revised CV CARs to incorporate all recent amendments to Annexes 6 and 8 related to the airworthiness of aircraft and requirements for noise certification a) Action proposed by State. Concerning the need for the DGCA to develop a system to ensure that all international commercial operators submit reliability programmes

17 as part of their overall maintenance programme to the DGCA for their approval, the DGCA indicated that this would be accomplished by May b) Validation of action proposed. The IAC has promulgated regulations requiring operators to develop maintenance reliability programmes as applicable. In addition, operators are required to establish in their maintenance control manuals methods for determining condition monitoring for aircraft components as well as for assessing maintenance actions carried out on their fleet. None of the AOC holders has presently developed and submitted a reliability programme for approval due to the small size and low complexity of their fleet. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to establish a system to receive information on faults, malfunctions, defects and other occurrences as outlined in Annex 8, the DGCA indicated that the necessary regulations and procedures will be established by May b) Validation of action proposed. The IAC has established a system for the exchange of mandatory information related to airworthiness of aircraft for the receipt, adoption and action of continuing airworthiness information. Operators are required to obtain mandatory information and to subscribe to the usual channels. In addition, a system for reporting of faults, malfunctions, defects and other occurrences has been established, including regulations, guidance material and approved operators procedures. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to develop a system to ensure that AMOs are approved and certified and meet the requirements of Annex 6, Part I, Chapters 8 and 11, the DGCA indicated that it will develop the regulations and establish the necessary procedures by May b) Validation of action proposed. The IAC has established a system for the approval of maintenance organizations comprising regulations (CV CARs, Parts 6 and 9), extensive guidance material and a surveillance and enforcement system. The system recently established by the IAC requires a prior approval of the AMOs and specifies the conditions related to this approval such as the establishment of maintenance procedures manual, requirements relating to the training of AMOs technical staff and working conditions. In addition, the system requires the approval of operators maintenance control manuals and the establishment of a maintenance quality control system. The former DGCA has issued approvals to the maintenance organizations of TACV, the national carrier, and Cabo Verde Express, which are not presently able to comply with the new requirements and are allowed a harmonization period through the end of June 2003 to achieve compliance. The IAC also monitors outside contractors of TACV through oversight of TACV s quality system. However, the implementation of this system is still ongoing and guidelines concerning the approval of specialized maintenance activities have not yet been adopted. The ICAO recommendation remains open.

18 Note. Subsequent to the audit follow-up mission, the IAC submitted an update on 6 May 2003 indicating that it will develop guidelines for the approval of specialized maintenance activities by 30 July a) Action proposed by State. Concerning the need for the DGCA to develop a comprehensive surveillance system to perform the necessary inspections or surveillance of its air operators on an ongoing basis as outlined in ICAO guidance material, the DGCA indicated that, once its regulations and procedures are in place, it will strengthen its airworthiness certification activities and carry out the necessary inspections starting January b) Validation of action proposed. The IAC has developed an inspection programme and an inspection plan for the continuous surveillance of AOC holders including subcontractors and facilities outside its domestic jurisdiction. In addition, AOC holders are required to develop their own surveillance plan as part of their quality assurance system and to report to IAC accordingly. The IAC has also developed a surveillance and reporting system to document and track the inspection and surveillance activities and results. The ICAO recommendation has been complied with a) Action proposed by State. Concerning the need for the DGCA to develop a programme for required navigation performance (RNP) airworthiness approval for air navigation equipment on board aircraft, the DGCA indicated that such a programme will be developed by August b) Validation of action proposed. The IAC has developed and published regulations and guidance material concerning the approval of derived equipment and specific operations such as CAT II and CAT III, ETOPS, reduced vertical separation minimum (RVSM), etc. Guidance material and procedures prepared by the IAC specify the role of airworthiness inspectors while processing these approvals and also for the continuing surveillance of operators. The IAC has already issued approvals to TACV for RVSM and basic area navigation (B-RNAV), which has been done adequately and according to the established procedures. The ICAO recommendation has been complied with a) Action proposed by State. With respect to the need for the DGCA to establish requirements and procedures to ensure that operators provide it with information on how maintenance discrepancies will be deferred and cleared, the DGCA indicated that the necessary requirements will be developed and implemented by May b) Validation of action proposed. CV CARs Parts 5 to 9 establish the requirements for aircraft equipment and maintenance release, and Part 9 defines the requirements for an operator to develop and submit its MEL for approval in accordance with the MMEL. The operators maintenance control manual and operations manual contain approved procedures for the use of MELs, and operators are required to define the

19 procedures on how maintenance discrepancies will be deferred and cleared according to the usual categorization of the deferred items (categories A, B, C and D). The IAC holds both approved MELs and current MMELs for the aircraft registered in Cape Verde. 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 not provided to the audit follow-up team. As such, Cape Verde 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 Cape Verde 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 Cape Verde 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.

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