FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT OF THE CIVIL AVIATION SYSTEM OF BULGARIA

ICAO Universal Safety Oversight Audit Programme FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT OF THE CIVIL AVIATION SYSTEM OF BULGARIA (29 May to 8 June 2006) International Civil Aviation Organization

TABLE OF CONTENTS 1. INTRODUCTION... 1 1.1 Background... 1 1.2 ICAO audit team composition... 1 1.3 Acknowledgements... 2 2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION... 2 3. AUDIT RESULTS... 3 3.1 Critical element 1 Primary aviation legislation... 3 3.2 Critical element 2 Specific operating regulations... 5 3.3 Critical element 3 State civil aviation system and safety oversight functions... 7 3.4 Critical element 4 Technical personnel qualification and training... 10 3.5 Critical element 5 Technical guidance, tools and the provision of safety critical information... 11 3.6 Critical element 6 Licensing, certification, authorization and/or approval obligations. 12 3.7 Critical element 7 Surveillance obligations... 14 3.8 Critical element 8 Resolution of safety concerns... 16 4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS... 17 5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD)... 17 6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ)... 18 7. COMPLIANCE CHECKLISTS (CCs)... 18 8. FOLLOW-UP ACTION... 18 APPENDICES 1 Audit findings and recommendations 1-1 Findings and recommendations related to primary aviation legislation and civil aviation regulations 1-2 Findings and recommendations related to civil aviation organization 1-3 Findings and recommendations related to personnel licensing and training 1-4 Findings and recommendations related to aircraft operations certification and supervision 1-5 Findings and recommendations related to airworthiness of aircraft 1-6 Findings and recommendations related to aircraft accident and incident investigation 1-7 Findings and recommendations related to air navigation services 1-8 Findings and recommendations related to aerodromes 2 Graphic representation of the lack of effective implementation of the critical elements 3 Corrective action plan proposed by Bulgaria Page Final Safety Oversight Audit Report Bulgaria March 2007

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Final Report on the Safety Oversight Audit of the Civil Aviation System of Bulgaria (29 May to 8 June 2006) 1. INTRODUCTION 1.1 Background 1.1.1 The 32nd Session of the ICAO Assembly (Assembly Resolution A32-11 refers) resolved the establishment of the ICAO Universal Safety Oversight Audit Programme (USOAP), comprising regular, mandatory, systematic and harmonized safety audits of all Contracting States. The mandate for regular audits foresaw the continuation of the Programme, and the term safety audits suggested that all safety-related areas should be audited. The expansion of the Programme at the appropriate time, as recommended by the 1997 Directors General of Civil Aviation Conference on a Global Strategy for Safety Oversight, had thus been accepted as an integral part of the future of the Programme. 1.1.2 The 35th Session of the ICAO Assembly considered a proposal of the Council for the continuation and expansion of the USOAP as of 2005 and resolved that the Programme be expanded to cover all safety-related Annexes (Assembly Resolution A35-6 refers). The Assembly also requested the Secretary General to adopt a comprehensive systems approach for the conduct of safety oversight audits. 1.1.3 Assembly Resolution A35-6 further directed the Secretary General to ensure that the comprehensive systems approach maintain as core elements the safety provisions contained in Annex 1 Personnel Licensing, Annex 6 Operation of Aircraft, Annex 8 Airworthiness of Aircraft, Annex 11 Air Traffic Services, Annex 13 Aircraft Accident and Incident Investigation and Annex 14 Aerodromes; to make all aspects of the auditing process visible to Contracting States; to make the final safety oversight audit reports available to all Contracting States; and also to provide access to all relevant information derived from the Audit Findings and Differences Database (AFDD) through the secure website of ICAO. 1.1.4 In accordance with Assembly Resolution A35-6, safety oversight audit reports have been restructured to reflect the critical elements of a safety oversight system, as presented in ICAO Doc 9734 Safety Oversight Manual, Part A The Establishment and Management of a State s Safety Oversight System. ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need to consider these critical elements. 1.2 ICAO audit team composition 1.2.1 The safety oversight audit team was composed of: Mr. Geoff Caton, team leader, primary aviation legislation (LEG), civil aviation organization (ORG), and aerodromes (AGA); Mr. Aziz Boulmane, team member, personnel licensing (PEL) and aircraft operations (OPS); Mr. Hatem Dibian, team member, airworthiness of aircraft (AIR); Mr. Victor Kourenkov, team member, air navigation services (ANS); Mr. Kim Current, team member, on-the-job training (OJT/AGA); and Mr. Rennie van Zyl, team member, aircraft accident and incident investigation (AIG). Final Safety Oversight Audit Report Bulgaria March 2007

- 2-1.3 Acknowledgements 1.3.1 ICAO expresses its sincere appreciation for the assistance provided to the audit team during the preparation and conduct of the audit. The professionalism and enthusiasm of all personnel who interacted with the audit team greatly contributed to the success of the audit mission. 2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION 2.1 The comprehensive systems approach for the conduct of safety oversight audits consists of three phases. In the first phase, the level of implementation of Annex provisions is assessed and differences from ICAO Standards and Recommended Practices (SARPs) are identified for each Contracting State through a review of a duly completed State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs) for all safety-related Annexes, as well as through a review of documents developed by the State to assist it in implementing SARPs and in maintaining an effective safety oversight system. In the second phase, the State being audited is visited by an ICAO audit team to validate the information provided by the State and to conduct an on-site audit of the State s overall capability for safety oversight. The third phase of the audit process consists of the activities following the completion of the on-site audit. 2.2 The safety oversight audit of Bulgaria was carried out from 29 May to 8 June 2006 in accordance with the standard auditing procedures provided for in ICAO Doc 9735 Safety Oversight Audit Manual and the Memorandum of Understanding (MOU) agreed to on 11 January 2005 between Bulgaria and ICAO. The audit was carried out with the objective of fulfilling the mandate given by the Assembly which requires ICAO to conduct a safety oversight audit of all Contracting States (Assembly Resolutions A32-11 and A35-6 refer), reviewing a State s compliance with ICAO SARPs set out in all safety-related Annexes and their associated guidance material, as well as with related Procedures for Air Navigation Services (PANS). Furthermore, the objective was also to offer advice, as applicable, to Bulgaria in implementing these provisions. 2.3 The audit team reviewed the SAAQ and the CCs submitted by Bulgaria prior to the on-site audit in order to have a preliminary understanding of the civil aviation system established in the State, to determine its various functions as well as to assess the status of implementation of relevant Annex provisions. Information provided and assessed prior to the conduct of the audit was validated during the on-site audit phase. In this regard, particular attention was given to the presence of an adequate organization, processes, procedures and programmes established and maintained by Bulgaria to assist it in fulfilling its safety oversight obligations. 2.4 The audit results including the findings and recommendations contained in this report reflect the capabilities and limitations of the civil aviation system of Bulgaria as assessed by the audit team. They are thus based on evidence gathered during interviews conducted by the audit team with Bulgaria s technical experts and background information provided by such personnel, review and analysis of civil aviation legislation, specific regulations, related documentation and file records. Considering the time that was available to conduct the audit and the fact that the safety oversight audit team members could only review and analyse information and documentation made available by the State, it is possible that some safety concerns may not have been identified during the audit. The findings and recommendations related to each audit area are found in Appendix 1 to this report. Final Safety Oversight Audit Report Bulgaria March 2007

- 3-3. AUDIT RESULTS 3.1 Critical element 1 Primary aviation legislation The provision of a comprehensive and effective aviation law consistent with the environment and complexity of the State s aviation activity, and compliant with the requirements contained in the Convention on International Civil Aviation. 3.1.1 The primary aviation legislation in the Republic of Bulgaria is contained in the Civil Aviation Act (herein referred to as the Act), which was enacted by the National Assembly and promulgated in State Gazette (SG) No. 94/1972, and subsequently amended in 1990, 1997, 1998, 2000, 2004, 2005, and most recently through SG No. 37/5/2006. Paragraph 6 of the Transitional and Final Provisions of the Act (Preceding Article 153, amended through SG No. 85/1998) requires the rules, norms and standards under the Act to be in compliance with the respective requirements of the International Civil Aviation Organization and of the European Union; and the Minister of Transport is also required to issue regulations implementing the requirements of the Joint Aviation Authorities (JAA). With respect to ICAO Annex requirements, though no specific policy reference is made to the application of Recommended Practices, some of the implementing Ministry of Transport regulations require compliance only with the Annex Standards. All Convention Annexes are translated into Russian and English. 3.1.2 Bulgaria signed the Accession Treaty with the European Union on 25 April 2005 and is in the process of amending its legislation and regulations, as appropriate. The most recent amendment to the Act includes some provisions of the Single European Sky (SES) Regulations of the European Parliament and of the Council: specifically, Article 16c designates the Civil Aviation Administration (CAA) as a national oversight authority with respect to the air navigation services (ANS) provider. The amendment also facilitates the adoption, revision and implementation of the JAA Joint Aviation Requirements (JARs) and European Aviation Safety Authority (EASA) Implementing Rules. 3.1.3 Under Article 8 of the Act, the Minister of Transport is vested with the administration and supervision of civil air navigation, civil aircraft and aeronautical facilities within the Republic of Bulgaria, and discharges his functions through the Civil Aviation Administration (CAA). He is a juristic person budgeted by the Ministry of Transport, domiciled in the city of Sofia, and headed by a Director General. Article 8 also empowers the Minister of Transport to enact rules and regulations prescribing the structure, tasks and functions of the CAA: such structural regulations were promulgated through SG No. 37/72 of April 1999, and last amended and supplemented in September 2004. 3.1.4 Regulations issued by the Ministry of Transport allow for the issue of exemptions to certain safety requirements. However, the Director General of the CAA has not issued a formal policy stating the circumstances and rationale under which risk assessments may be used in support of an exemption to the requirements, and there is also no formal procedure for issuing and recording exemptions in a systematic manner, including mitigations, time limitations or follow-up actions, as applicable, when Standards in the Annexes are departed from. Moreover, there is no dedicated process to determine whether such exemption regimes could lead to non-compliance with applicable ICAO SARPs and, hence, to reportable differences. 3.1.5 The Act makes provision for the adoption, promulgation and enforcement of air navigation regulations. In particular, Article 16a of the Act empowers the Minister of Transport to direct and control civil aviation in Bulgaria by determining with orders the requirements and order for the issuance, amendment, limitation, termination, and suspension of certificates, approvals, permits and licences under the law. Final Safety Oversight Audit Report Bulgaria March 2007

- 4-3.1.6 Article 16b of the Act empowers the Director General of the CAA to control the actions of physical and legal bodies in connection with the safety and security of civil aviation. It also authorizes the control functions to be realized by aviation inspectors, who have the right of free access to the entities and matters they control, for the performance of aviation security and safety inspections. The inspectors also have the right to access documents, data and other information connected with the observance of legislation in the sphere of civil aviation. However, although Article 16d(3) empowers the Director General of the CAA to authorize officials for the issuance or suspension of permissions, certificates or approvals, no general delegation has been issued. Under the current regulations, as reflected in their credentials, the aviation inspectors have the authority to propose the suspension, termination, revocation and limitation of the rights under the issued licences, permissions, certificates and approvals, and to take immediate and independent action to address safety-critical findings. 3.1.7 Articles 143 to 148 of the Act outline the Administrative Punitive Rules, including fines and penalties, which can be imposed only by the Minister of Transport, for violations of the civil aviation legislation and regulations. The right to appeal is established in Article 149, with the terms and procedures for such contained in the Administrative Violations and Punishments Act, which is readily available to the industry. 3.1.8 The Republic of Bulgaria ratified Article 83 bis of the Chicago Convention through the deposit of instruments of ratification on 7 July 1981, and Regulation No. 83 focuses on the application of relevant provisions with respect to aircraft lease agreements. Bulgaria has signed agreements with the Republic of Iran and the Russian Federation. 3.1.9 With respect to personnel licensing activities, Article 32 of the Act stipulates that crew members of aircraft in the Republic of Bulgaria must have licences issued or recognized as valid by the Director General of the CAA. 3.1.10 According to Article 64, an air operator is an entity registered under the commercial act, with an air operator s licence which certifies that the operator has the professional suitability and organization for guaranteeing the safe operation of aircraft in performing the air activities inscribed in the licence. This article also empowers the Minister of Transport to prescribe the terms and procedures for issuance of the certificates and licences. 3.1.11 National provisions regarding the airworthiness and maintenance of aircraft are contained in Chapter 2 of the Act and cover the aircraft register, the approval of aeronautical products, and the general conditions related to the airworthiness of aircraft. Provisions related to aircraft leases have been taken into consideration and are contained in Article 10 of the Act, the right of access for inspectors to conduct airworthiness inspections is in Article 16b, and details regarding the issue and suspension of aviation documents are in Article 16d. 3.1.12 In respect of air navigation services, the Act empowers the Minister of Transport to promulgate aviation regulations, rules, instructions and procedures and gives the authority to the Director General of the CAA to prescribe and revise the necessary safety provisions for the air navigation services. The Act has designated the CAA as a national control authority with regard to the safe and effective operation of air navigation service providers. Provision of air navigation services is addressed under the Act and as per the meaning of Article 62, paragraph 3 of the Law on Commerce, which designated a State-owned enterprise Air Traffic Services Authority (ATSA) to perform the State functions for the provision of air navigation services in the controlled civil airspace of the Republic of Bulgaria. Final Safety Oversight Audit Report Bulgaria March 2007

- 5-3.1.13 Article 8 of the Act vests authority in the Minister of Transport for the administration and supervision of civil aeronautical facilities, including aerodromes, within Bulgaria and requires the Minister to discharge his responsibilities through the CAA. Article 16a of the Act also empowers the Minister, and hence the Director General of the CAA, to supervise the administration of airports open to public use that are not ceded to concessionaires. Under Article 43 of the Act, civil airports encompass airports for public use open, for compensation, to aircraft engaged in international and domestic air carriage, scheduled air services and non-scheduled flights; airports for service of flights for aviation services for payment, including for single flights for transportation services, performed with aircraft with maximum take-off mass up to 5 700 kg or with passenger capacity up to nineteen seats; and technological airports employed, without compensation, for the owners needs alone. Article 43 also requires the Council of Ministers, on a motion of the Minister of Transport, to designate the civil airports for public use in the Republic of Bulgaria, as well as those of them to serve international flights. In addition, Article 43a states that civil airports shall be public and private property, and that civil airports for public use shall be public State property. 3.1.14 Article 44 of the Act states that the Director General of the CAA shall certify the operability of civil airports; and Article 45 empowers the Director General of the CAA to restrict or disallow the operations of airports and airfields failing to comply with safety of flight requirements. Under Article 48a, the Minister of Transport has the right to lay down the standards, terms and regulations relative to securing safety of flight at airports, and the Director General of the CAA oversees the performance of all functions assumed by the government under the various international conventions on the adherence to existing safety standards, terms and regulations. Article 48c states that a licence is required to operate and manage an aerodrome, but while the specific requirements under Article 48d include the need for a management and operation manual approved by the Director General of the CAA, there is, as yet, no legal requirement for an approved safety management system (SMS) to be in operation. 3.1.15 The obligation to investigate aircraft accidents and incidents is addressed in Articles 16e and 142 of the Act. The Law enables the creation of a Special Unit within the Ministry of Transport, the Aircraft Accident Investigation Unit (AAIU), to organize and control the investigation of accidents and serious incidents. These investigations are to be conducted by a commission appointed by the Minister of Transport, and the Act provides the proper authority and legal tools to conduct accident and serious incident investigations effectively and in compliance with Annex 13. The investigation of all other incidents remains the responsibility of the CAA. 3.2 Critical element 2 Specific operating regulations The provision of adequate regulations to address, at a minimum, national requirements emanating from the primary aviation legislation and providing for standardized operational procedures, equipment and infrastructures (including safety management and training systems), in conformance with the Standards and Recommended Practices (SARPs) contained in the Annexes to the Convention on International Civil Aviation. Note. The term regulations is used in a generic sense to include instructions, rules, edicts, directives, sets of laws, requirements, policies, orders, etc. 3.2.1 Article 8 and paragraph 6 of the Transitional and Final Provisions of the Act vest the authority to enact and amend civil aviation rules and regulations in the Minister of Transport. Under Article 16 of the Act and Article 6 of the structural regulations, the Director General of the CAA is empowered to issue administrative acts, obligatory guidelines and orders in correspondence with active legislation. Final Safety Oversight Audit Report Bulgaria March 2007

- 6-3.2.2 Across the various State authorities that are involved in the civil aviation system in Bulgaria, there is no clear allocation of responsibility or a formal systematic process and procedures to ensure the effective coordination and implementation of all ICAO-related matters, in particular the enactment of relevant Annexes and amendment of existing national regulations, subsequent to amendments to SARPs. Although a basic internal procedure exists to notify ICAO of differences from the SARPs, there is no established procedure to identify any such differences. Significant differences between the national regulations and practices of the State and the related ICAO SARPs have not been published in the Aeronautical Information Publication (AIP), as per the requirements of Annex 15. 3.2.3 Personnel licensing activities are regulated through a series of ordinances promulgated by the Director General of the CAA: a) Ordinance No. 1, dated 16 January 2003, concerning flight crew licences; b) Ordinance No. 21, dated 20 April 1999, which refers to the rules of certification for determination of medical fitness for flying and other types of aviation activities; and c) Ordinance No. 27, dated 31 March 2000, concerning aviation training centres. 3.2.4 The provisions of Regulation No. 1, related to language proficiency, are not in full compliance with the corresponding ICAO Annex 1 SARPs and there is no formal system or plan established to ensure effective implementation of these requirements. 3.2.5 The regulations for aircraft operations comprise Ordinance Nos. 6, 24, 27 and 83. In addition, in order to ensure harmonization with European States, the Director General of the CAA has recently adopted JAR-OPS 1 and 3. Existing differences between these regulations and the provisions of ICAO Annexes have yet to be identified. With particular respect to ICAO Annex 18, the Director General of the CAA has in force Regulation No. 18, dated 4 March 1999, but has drafted a new regulation which has yet to be officially promulgated. Although the CAA has adopted JAR-OPS 1 and 3, of which subpart R deals with dangerous goods provisions, there is a lack of clarity as to which regulations with respect to dangerous goods currently apply in Bulgaria. 3.2.6 Bulgaria has developed and promulgated airworthiness regulations to enable it to implement the airworthiness-related provisions of ICAO Annexes 6, 7, 8, and 16 by issuing a national code of airworthiness and adopting JARs-23, 25, 27, E, P, APU, and VLA. However, in practice the Director General of the CAA accepts aircraft under other airworthiness codes without describing any detail for the certification and acceptance of these aircraft. 3.2.7 Airworthiness activities are regulated through the Ministry of Transport Regulation No. 7 which describes the requirements for the registration of civil aircraft in the Republic of Bulgaria, while Regulation No. 8 focuses on the airworthiness of aircraft, and in particular the issue and renewal of certificates of airworthiness. In addition, Regulation No. 16 contains requirements concerning environmental aspects (noise and gas emissions from aviation engines). The requirements for the approval of maintenance organizations in Bulgaria are based on JAR-145, as referenced in Regulation No. 145, whereby all commercial operators must maintain and release to service their aircraft through the services of an approved maintenance organization (AMO). The Director General of the CAA has promulgated Regulation AN-8 which focuses on aircraft maintenance and the requirements related to the manufacture and certification of aeronautical products. 3.2.8 With respect to air navigation services, Bulgaria has promulgated a set of national regulations which, with a few exceptions (Annexes 4 and 10), generally reflect the associated ICAO provisions. The two national regulations related to the provisions of Annexes 4 and 10 are in the process of final coordination with the State agencies involved and their formal adoption is anticipated by the end of 2006. Specific regulations Final Safety Oversight Audit Report Bulgaria March 2007

- 7 - related to the provision of the air navigation services are contained in the Ministry of Transport regulations and instructions. For the most part, they provide standardized operational procedures, equipment and infrastructure. However, they are also promulgated on the basis of European Union and Eurocontrol Safety Regulatory Requirements, and there is a need for existing differences to ICAO SARPs to be identified, notified to ICAO and published in the national AIP. 3.2.9 Bulgaria has not established criteria for monitoring safety performance and the safety assessment of new systems and procedures within the air traffic services (ATS) system, but in accord with Eurocontrol requirements has established and implemented a runway safety programme for its international airports. Where there are no specific operating regulations, many ICAO-related provisions are enabled through the use of manuals, guidelines, Ministry of Transport decrees and Director General of the CAA orders and other administrative procedures. 3.2.10 For aerodromes, there are three main regulations currently in force to implement and supplement the provisions of ICAO Annex 14: Ministry of Transport Regulation No. 14, entitled On the Airports and Airports Provisions and promulgated in SG Nos. 103 and 104/16.12.2000, is the primary regulatory document concerning aerodromes. It is currently being reviewed to incorporate a number of amendments, including the requirement for certified aerodromes to develop and implement a SMS. Regulation No. 20, promulgated on 7 April 1999, determines the conditions and procedures for issuing certificates for operational fitness of airports, airfields and navigational facilities, and for licensing airport enterprises and airport handling operators. It also specifies airport types from the perspective of operational fitness certification and states that a certificate of operational fitness shall be issued for a period of five years. Regulation No. 3, promulgated in SG No. 57/1996, details the provision of rescue and fire fighting (RFF) facilities at aerodromes. 3.2.11 Regulations in respect of the investigation of civil aviation aircraft accidents and incidents in the territory of the Republic of Bulgaria have been issued in terms of Article 142, paragraph 4 of the Act. The relevant requirements are contained in Regulation No. 13 dated 27 January 1999, and last amended by SG No. 83/24 of September 2004, including the terms and procedures for the investigation of civil aviation aircraft accidents and incidents in the territory of the Republic of Bulgaria, its territorial waters and Bulgarian allocated and controlled airspace irrespective of the State of registration of the aircraft. The requirements include an obligation for the Investigating Commissioner to prepare a final report for every investigation conducted. While the requirements and procedures described are comprehensive and provide for the sole purpose and objective of the investigation to be the prevention of accidents and incidents, the provisions in Article 10(3) of Regulation No. 13 do not reflect fully the corresponding Standard in ICAO Annex 13. 3.3 Critical element 3 State civil aviation system and safety oversight functions The establishment of a civil aviation authority (CAA) and/or other relevant authorities or government agencies, headed by a Chief Executive Officer, supported by the appropriate and adequate technical and non-technical staff and provided with adequate financial resources. The State authority must have stated safety regulatory functions, objectives and safety policies. Note. The term State civil aviation system is used in a generic sense to include all aviation-related authorities with aviation safety oversight responsibility which may be established by the State as separate entities, such as: CAA, airport authorities, air traffic service authorities, accident investigation authority, meteorological authority, etc. Final Safety Oversight Audit Report Bulgaria March 2007

- 8-3.3.1 Article 7(2) of the CAA structural regulations authorizes a total number of seventy-four staff payroll positions within the CAA, and an increase of eight positions has recently been agreed to, though yet to be filled. The current staffing level is, however, not sufficient to exercise effective safety oversight in all areas of aviation activity. Moreover, CAA staff are employed under civil service general conditions and employment procedures, which currently do not create the competitive environment necessary to attract and retain the qualified and experienced staff essential to perform the safety oversight function in accord with the expansion of aviation activities in Bulgaria. 3.3.2 The CAA is organized into three directorates: a) the Financial and Administrative, Legal and Information Directorate; b) the Airports, ANS, International and Economic Regulations Directorate; and c) the Aviation Safety Directorate which encompasses personnel licensing, air operations and airworthiness activities. 3.3.3 The CAA revenue derives from a portion of ANS charges, airport charges, and the provision of a range of administrative services, all of which are paid into the Treasury. As a secondary budget distributor under the Ministry of Transport, the CAA then receives an annual budget allotment from the State to cover its expenses, which for financial year 2005 represented approximately 40% of the income stream, though no breakdown of the proportions required for regulatory oversight and service provision activities was available. The remuneration scheme within the CAA is less attractive than that offered by the industry and is not consistent with their education, experience and responsibilities, which results in high staff turnover in the past four years in critical areas such as airworthiness. 3.3.4 Within the Aviation Safety Directorate of the CAA, the responsibilities of the Director General in respect of safety certification and inspection tasks are delegated to the Manager of the Flight Operations Department, which is further divided into two sectors: personnel licensing, and flight permissions. 3.3.5 Medical examinations for all licensed personnel are provided by the Commission of Aviation Medical Certification (CMAC), which is part of the Transport Hospital of the Ministry of Transport and is independent of the CAA. The appointment of medical examiners is delegated to the Director of CMAC by the Minister of Transport, in accordance with Regulation No. 21/1999 relating to the rules of certification for determination of medical fitness for flight activity and other aviation activities. 3.3.6 Together with the Flight Operations Department, the Airworthiness Department falls under the Aviation Safety Directorate. No regional offices have been established and no airworthiness functions have been delegated to third parties, besides minor tasks carried out by the operators. As an Airworthiness Engineering Division (AED) has not been established, engineering functions are assigned to inspectors within the Airworthiness Inspection Division (AID). Staff duties and responsibilities are listed in Chapter 25 of the Inspector s Handbook, and individual job descriptions are part of an order issued by the Director General in 2004. However, the order indicates thirteen authorized staff positions, whereas the Director General of the CAA currently employs only nine inspectors in the AID, including the Head of Division. Their work involves the oversight of 383 registered aircraft, including seventy-five wide-bodied aircraft and ninety-six large rotorcraft with a valid certificate of airworthiness, fifty-one air operator certificate (AOC) holders, and forty-eight AMOs. 3.3.7 Within the CAA, responsibility for the State s ANS operational functions rests with the airports and the Air Traffic Management (ATM)/Communication, Navigation and Surveillance (CNS) Department, but no safety management policy and programme has been developed and implemented by the Director General of the CAA in respect of ANS. Also, although this department is responsible for the safety, Final Safety Oversight Audit Report Bulgaria March 2007

- 9 - regulatory and technical supervision of the ANS provider, these functions have not been incorporated into the relevant document entitled Functions of the Airports and ATM/CNS Department, and staff job descriptions do not reflect their safety oversight role. Moreover, the department does not employ sufficient technical and clerical staff to carry out its safety oversight function adequately. 3.3.8 ATSA is an autonomous organization established for the provision and operation of air navigation services. The bodies associated with the management of the air navigation services provider, ATSA, include the Minister of Transport, the Management Board and the Director General, and there is a clear separation between the service provision function of ATSA and that of its regulation by the Director General of the CAA, up to but not including the Minister of Transport. The remit of ATSA includes provision of ATS, aeronautical information services (AIS), CNS services, aeronautical meteorological services (MET), and information services for aircraft search and rescue (SAR). The authority for the provision and coordination of SAR is given by the Act to the Situation Center of the Ministry of Transport. As the training provider in the field of air navigation in Bulgaria, the ATSA Training Centre is responsible for the training of all ANS operational staff. 3.3.9 Currently, there are five State-owned and operated international airports and eight privately-owned, public use aerodromes, the latter mainly being used for flight training, sport and recreation by aircraft which are under 5 700 kg, all of which have been certified under the published criteria. The Director General of the CAA has both the regulatory function and control function, which includes the concept of service provision, with regard to the State-owned airports, in accordance with the provisions of Article 16b and the Civil Aviation Act, thereby generating the potential for conflict of interest in the provision of safety oversight. Although legislated for, but not yet formed, there is to be a regional centre at each of these airports to enhance safety and security oversight, post privatization. In the meantime, there is no clear separation of responsibilities for regulatory safety oversight and service provision, thereby generating the potential for conflict of interest. 3.3.10 Certification and surveillance activities are undertaken by the Airports Department, within the Airports, ANS, International and Economic Regulations Directorate. Although job descriptions have been developed for department staff, its functions and responsibilities are not clearly defined. The current staff of five inspectors, including the Head of Department, are insufficient to effectively carry out the necessary and diverse range of regulatory, administrative and training activities, and there is also no dedicated administrative support available to the department. The effectiveness of the safety oversight function is further diminished by a lack of staff with wider professional and operational backgrounds and competences, most notably in the highly specialized RFF function. In addition, the regulatory staff rely extensively on prescriptive checklist methodology and have not yet embraced and introduced the broader regulatory audit regime, and concepts such as SMS, including risk assessment. 3.3.11 RFF services at the thirteen certified aerodromes in Bulgaria which accept public transport air operations are provided by the National Fire Brigade, which is an entity of the Ministry of the Interior Affairs. The fire fighters at the international airports are under the operational control of the airport managers, under a contract between the Ministry of Interior Affairs and the Ministry of Transport, while all the fire fighting equipment and personal protective equipment are provided by the CAA. Initial and periodic training for the fire fighters is conducted at the National Academy in Varga, under the auspices of the National Fire Brigade, and the CAA has no input to or safety oversight of such training and the associated training facilities. The CAA does, however, conduct regular prescriptive inspections of the training and fire fighting equipment at the international airports, though on-site training facilities are limited. At the other public-use aerodromes, where the fire fighters are employed under contract, the CAA carries out limited surveillance of the fire fighting equipment though not surveillance of training. Overall, the CAA lacks the specialist technical expertise to ensure the effective safety oversight of aerodrome RFF services. Final Safety Oversight Audit Report Bulgaria March 2007

- 10-3.3.12 Responsibility for the investigation of aircraft accidents and serious incidents is vested in a specialized unit, the AAIU, created within the Ministry of Transport, thereby ensuring a distinct separation of the function from the CAA. Following a report of an aircraft accident or serious incident, the AAIU is responsible for the organization and the start of the investigation until the appointment of an Investigation Commission, chaired by an Investigating Commissioner, by the Minister of Transport. These appointments are made on the advice of the AAIU, and in practice a member of the AAIU acts as the Investigator-in-Charge and Chairman. The number of Commission members is not prescribed or limited, and funding for investigation activities is allocated from the budget of the Ministry of Transport. The credentials issued to investigators are currently signed by the Director General of the CAA, who is not the appropriate designated officer for this function. The AAIU is also tasked to support the work of the Commissions, to organize and technically control the investigations, to maintain a system for mandatory and voluntary reporting of aviation occurrences and the associated database, and to analyse trends and prepare and distribute preventative information and bulletins. There is also an obligation for the AAIU and the CAA to share information received. However, the level of staffing for investigation officers is insufficient to enable Bulgaria to meet, in full, its national and international obligations with respect to ICAO Annex 13 provisions. 3.4 Critical element 4 Technical personnel qualification and training The establishment of minimum requirements for knowledge and experience of the technical personnel performing safety oversight functions and the provision of appropriate training to maintain and enhance their competence at the desired level. The training should include initial and recurrent (periodic) training. 3.4.1 The Director General of the CAA has published a policy commitment to provide an appropriate level of training to its staff. 3.4.2 The terms of reference and the qualifications and criteria to be met by examiners involved in flight crew licensing and flight operations duties are clearly outlined in the Inspector s Handbook. Candidates for the post of operations inspector are required to hold an air transport pilot licence (ATPL), with a minimum five years experience as a captain. The training requirements for flight operations inspectors/examiners with respect to initial, enhancement, recurrent and flight currency training are also contained in the Inspector s Handbook. After the initial training course and appropriate OJT, a new inspector is nominated to an authorized post through a Director General of the CAA Order which specifies the assigned duties and responsibilities. Individual training records are available and contain training received. 3.4.3 The Director General of the CAA has established minimum qualifications and experience for the technical personnel in the Aviation Safety Directorate, requiring each inspector to have a high educational background and a minimum of five years experience, to be comparable with the average experience and qualifications of the maintenance personnel they will inspect or regulate. In addition, the inspectors must have knowledge and skills in human performance and its limitations, and a broad knowledge of national and JAA regulations and ICAO SARPs. The Director General of the CAA has also developed a training programme for all inspectors in the Airworthiness Division which includes initial, OJT, recurrent and specialized training, but this programme does not have the foundation of a formal training policy and plan. While the Airworthiness Division maintains records for its technical staff, the CAA does not have a system for the maintenance of training records, and a review of personnel training files showed that some of their OJT was not documented. 3.4.4 The CAA has established a procedure for the recruitment of qualified ANS technical personnel. However, the training provided to the Airports and ATM/CNS Department staff in charge of air navigation is limited, and recurrent training to maintain and enhance their competence is required. Final Safety Oversight Audit Report Bulgaria March 2007

- 11-3.4.5 The Airports Department has benefited from stability of staff, though they are primarily from a civil engineering background with relatively limited industry experience in airport operations. Although the Director General of the CAA has published a policy commitment to training, the current level of duties and responsibilities of the Airports Department staff leaves limited time available for essential training, which tends to be of an ad hoc nature and has taken place mainly at foreign institutions. There is no formal training syllabus or training programme and individual requirements have not been assessed and prioritized against a training needs analysis. 3.4.6 There is no standardization of training for all aerodrome inspectors carrying out similar functions. The scope of the training to date does not cover the evolving responsibilities and skills necessary for the effective safety oversight of aerodrome certification in accordance with ICAO provisions. That said, department staff are seeking to develop a wider expertise, particularly in SMS and risk assessment, though appropriate time and budgetary provision will have to be made available. During the industry visit, the ICAO audit team noted that the airport management has been proactive in training staff and developing and implementing SMS and in liaising with CAA colleagues. 3.4.7 The AAIU has its own dedicated staff, reporting to the Head of the unit, with experience in the investigation of accidents and incidents. Investigators are trained and are given further recurrent and specialized training based on an annual training plan. Minimum qualifications for all staff within the AAIU are defined. 3.5 Critical element 5 Technical guidance, tools and the provision of safety critical information The provision of technical guidance (including processes and procedures), tools (including facilities and equipment) and safety critical information, as applicable, to the technical personnel to enable them to perform their safety oversight functions in accordance with established requirements and in a standardized manner. In addition, this includes the provision of technical guidance by the oversight authority to the aviation industry on the implementation of applicable regulations and instructions. 3.5.1 To provide information to the industry and the public, both the Ministry of Transport and the CAA have developed websites which are found at www.mt.government.bg and www.caa.bg respectively. 3.5.2 Application forms are available for all aviation personnel licences and the applicable ordinances comprise detailed processes for their issue and renewal. Relevant regulations and guidance are also available through the CAA website and in the library located in the CAA public area within the Ministry of Transport. 3.5.3 The Director General of the CAA has developed and issued a formal Inspector s Handbook as a primary tool to guide operations inspectors and personnel licensing personnel. The handbook consists of two volumes, encompassing subjects from general concepts, direction and guidance to detailed procedures for personnel licensing and activities involving the operation of aircraft. Ordinance No. 24 also describes in detail the process for the certification and surveillance of an air operator. 3.5.4 Updated copies of the regulations applicable to airworthiness are available to the public on the CAA website. In addition, ICAO documentation and design organizations documents are available for all inspectors on the CAA Intranet technical library. Approved air operators and AMOs manuals and documentation are distributed between the AID inspectors offices; however, no control or method to determine their currency has been implemented. Final Safety Oversight Audit Report Bulgaria March 2007

- 12-3.5.5 The Airworthiness Inspector s Handbook serves as a formal policy for the continuing supervision of the operations conducted by AOC holders and AMOs. It also contains the duties and responsibilities of the inspectors in the areas related to their assigned tasks, ranging from aircraft airworthiness certification to AMO and AOC audit procedures. A review of the handbook revealed that the Director General of the CAA has not developed and implemented procedures for all airworthiness activities and has also not developed guidelines for non-destructive testing (NDT) specialized personnel. However, airworthiness inspectors have sufficient office equipment and are provided with acceptable means of transportation to facilitate their AMO and AOC inspections. 3.5.6 The Director General of the CAA has recently developed and published a set of air navigationrelated documents and publications to enable the accomplishment of its functions and responsibilities. However, currently there is no appropriate manual or handbook to incorporate the applicable procedures across all functional areas to be covered within the framework of its safety oversight system and to guide the conduct of ANS inspections. All available air navigation-related ICAO publications and other technical documents are available in the Airports and ATM/CNS Department, updated, and accessible to all ANS personnel. 3.5.7 Legislative instruments concerning aerodrome certification and some technical guidance to assist in the certification process are provided through ICAO documents and relevant CAA publications, some of which are available to aerodrome operators and regulatory staff through the CAA s website. Regulatory staff also benefit from a technical library and Intranet site. The CAA also enables the exchange of safety information across the aerodrome industry through the use of Internet bulletins, information letters and an annual safety seminar. 3.5.8 However, in several areas there is no specialist technical guidance material available to regulatory and airport staffs; for example, there are no documented procedures or guidelines concerning the use of a pavement by an aircraft with an aircraft classification number higher than the reported pavement classification number. Also, there are no formal processes, procedures, programmes or plans established related to the functions of the Airports Department, and regulatory staff and aerodrome operators would therefore benefit from the development and publishing of appropriate procedures manuals. While the Airports Department staff have, in general, the facilities and equipment to perform their duties, there are not enough laptop computers to enable all inspectors to have ready access to one when performing their inspections. 3.5.9 The AAIU has compiled in a draft format a manual titled as Aircraft Accident Investigation Unit Procedures on Aviation Occurrences Investigation. This manual contains policies and procedures related to the responsibilities and functions of the AAIU during the conduct of investigations and reporting of all civil aircraft accidents and incidents involving the interests of Bulgaria. The purpose of the manual is to establish a methodical implementation of activities for occurrence investigations, as laid down in Regulation No. 13 and ICAO Doc 9756 Manual of Aircraft Accident and Incident Investigation and it includes the experiences gained through aviation occurrence investigations. The manual, however, requires further development to enable comprehensive coverage of all the required procedures. In addition, there is no established formal process to enable appropriate coordination between the AAIU and other entities involved in the investigative process in Bulgaria. 3.6 Critical element 6 Licensing, certification, authorization and/or approval obligations The implementation of processes and procedures to ensure that personnel and organizations performing an aviation activity meet the established requirements before they are allowed to exercise the privileges of a licence, certificate, authorization and/or approval to conduct the relevant aviation activity. Final Safety Oversight Audit Report Bulgaria March 2007