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

ICAO Universal Safety Oversight Audit Programme SUMMARY REPORT ON THE SAFETY OVERSIGHT AUDIT FOLLOW-UP OF THE CIVIL AVIATION AUTHORITY OF SLOVENIA (Ljubljana, 7 to 8 March 2002) International Civil Aviation Organization

1. INTRODUCTION 1.1 Background ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Summary Report on the Safety Oversight Audit Follow-up of the Civil Aviation Authority of Slovenia (Ljubljana,7 to 8 March 2002) 1.1.1 The Civil Aviation Authority (CAA) of Slovenia was audited from 31 January to 7 February 2000 by an ICAO safety oversight audit team in accordance with the Memorandum of Understanding (MOU) agreed to on 12 August 1999 between Slovenia and ICAO. The audit was carried out pursuant to Assembly Resolution A32-11, with the objective of ascertaining the safety oversight capability of the CAA of Slovenia and to ensure that it 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. 1.1.2 On 20 April 2000, Slovenia submitted an 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 generally satisfactory. A request for further clarifications was forwarded to Slovenia on 8 May 2000, and additional information on Slovenia s action plan was received on 19 June 2000. The action plan and comments provided were taken into consideration in the preparation of the final and summary reports. The summary report was distributed to all Contracting States by State letter AN 19/1-0092 in September 2000. 1.2 Objectives and activities of the audit follow-up mission This audit follow-up mission was conducted in accordance with Article 18 of the MOU. 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 Slovenia through a non-confidential summary report. 2. CIVIL AVIATION ACTIVITIES IN SLOVENIA At the time of the audit follow-up mission, civil aviation activities in Slovenia included: a) number of technical staff employed by the organization at Headquarters 20 b) number of regional offices 0 c) number of technical staff employed at regional offices 0 d) number of active pilot licences 1 407

- 2 - e) number of active flight crew licences other than pilot licences (flight engineer and flight navigator) 0 f) number of aviation training establishments 3 g) number of active licences other than flight crew licences 349 h) number of commercial air transport operators 47 i) number of air operator certificates (AOCs) issued 28 j) number of aircraft operations inspectors 2 k) number of aircraft registered in Slovenia 198 l) number of currently valid certificates of airworthiness issued 175 m) number of approved maintenance organizations (AMOs) 5 n) number of non-approved aircraft maintenance organizations 6 o) number of design organizations 0 p) number of aircraft manufacturing organizations 3 q) number of aircraft parts or equipment manufacturing organizations 1 r) number of aircraft type certificates issued 0 s) number of type certificates other than aircraft issued 0 t) number of aircraft airworthiness inspectors 6 3. EXECUTIVE SUMMARY 3.1 The only one recommendation relating to primary aviation legislation and civil aviation regulations has been adequately addressed. The CAA has proceeded with the amendment and implementation of the relevant regulations (Official Gazette No. 72/23.10.98), which address the requirements in respect of inspector credentials. As of April 2001, new credentials have been issued to all CAA inspectors. 3.2 The CAA has made progress in addressing the ICAO recommendations related to civil aviation organization. The CAA has proceeded with a formal review of the functions of the several civil aviation bodies with the objective of integrating safety-related functions and consolidating safety oversight responsibilities under one office. The CAA has since developed a suitable solution, and a new article was promulgated as part of the Aviation Act, establishing the shared responsibilities and relation of all sections in the conduct of safety oversight functions. In addition, associated directives and procedures were implemented to clarify the responsibilities shared between the CAA and the Transport Inspectorate. A new training programme for the Transport Inspectorate staff has been implemented, as well as enhanced management principles and practices. Additional office equipment has been procured as required. The

- 3 - Ministry of Transport and Communications has established a review process to enable the CAA and the Transport Inspectorate to recruit and retain adequately qualified and experienced staff. Although the last review process was carried out in September 2001, the Ministry of Transport and Communications still remains a non-competitive employer. 3.3 The CAA has made progress in addressing the ICAO recommendations pertaining to personal licensing and training. With respect to the adoption of all parts of the Joint Aviation Requirements-Flight Crew Licensing (JAR-FCL) in order to achieve a coherent code of flight crew licensing regulations, the CAA expects that all relevant JAR-FCL regulations will be promulgated and implemented by July 2002. In addition, the CAA has developed regulations on requirements for medical examiners and conditions under which medical examinations can be deferred. These regulations are presently in the final-approval stage and are expected to be promulgated no later than July 2002. 3.4 The CAA has complied with all the ICAO recommendations relating to aircraft operations certification and supervision. The CAA has amended the Flight Operations Inspecting Staff Manual to include the policy and procedures of enforcement to facilitate easy reference by inspectors. The manual is presently implemented and available to all inspectors. The CAA has developed a formal initial and recurrent training programme for the operations inspectors of the Transport Inspectorate, which includes a wide range of courses for flight operations, airworthiness of aircraft, and air traffic and airport inspectors. Furthermore, the CAA has ensured that adequate funds required for training of inspectors are secured. 3.5 The CAA has implemented all of the airworthiness corrective actions as proposed in its action plan. The CAA has acquired all the required manuals for its technical library and has established a procedure for the continuous monitoring of the status of airworthiness documentation. Furthermore, the CAA has provided operators and AMOs with guidance on the certification and acceptable standards required for the certification of aircraft welders, non-destructive testing and calibration standards for precision measurement equipment. Information and guidance material are distributed in the form of Airworthiness Technical Requirements (ATRs) bulletins, which are also posted and made available on the CAA web site. In addition, the CAA has issued requirements and guidance material in several other areas of responsibilities, such as subcontracted maintenance, airworthiness approval of Category II and Category III and extended range operations by twin-engined aeroplanes (ETOPS). 4. RESULTS OF THE AUDIT FOLLOW-UP MISSION 4.1 Primary aviation legislation and civil aviation regulations 4.1.1 a) Action proposed by State. With respect to the recommendation on the need to provide CAA inspectors with proper credentials to conduct their duties unrestricted, the CAA indicated that a revision was being undertaken to amend the relevant regulations (Official Gazette No. 72/23.10.98) and that a proposal for amendment will be presented for adoption by the Minister of Transport and Communications by June 2000. The proposed amendment is expected to be implemented by October 2000. An update on the CAA s action plan was received by ICAO in June 2000, which indicated that the drafting of the proposed amendment was progressing as planned.

- 4 - b) Validation of action proposed. The CAA has proceeded with the amendment and implementation of the relevant regulations (Official Gazette No. 72/23.10.98), which address the issue of inspector credentials. As of April 2001, new credentials have been issued to all CAA inspectors. The ICAO recommendation has been complied with. 4.2 Organization of civil aviation 4.2.1 a) Action proposed by State. With respect to the recommendation requiring the Ministry of Transport and Communications to review the functions of the several civil aviation bodies with a view to integrating safety-related functions and consolidate safety oversight responsibilities under one office, the CAA indicated that it had proposed to the State Secretary to nominate a working group to establish the framework for sharing the functions related to safety items between the civil aviation bodies. The working group is expected to be established by July 2000 and the procedures developed to be issued by December 2000. Responding to a request for the clarification of the proposed action plan, the CAA, on 19 June 2000, indicated that the recommended solution to integrate all safety-related functions into one department was legally impossible as it would contravene the requirements of other laws in the legislation system of Slovenia. The CAA further indicated that the draft aviation law had passed the second reading in Parliament but that the articles related to the organization of aviation authorities on execution of safety functions remained open. As a result, the Aviation Office was requested to prepare a suitable solution, and the proposed Article No. 163 will now be amended to clarify the responsibilities shared between the CAA and the Transport Inspectorate and to define the information transfer system between the two bodies. b) Validation of action proposed. In order to implement the ICAO recommendation and ensure that all safety-related functions are carried out to the acceptable level, a new article was promulgated as part of the Aviation Act, Article 166, dated 14 March 2001, establishing the shared responsibilities and relation of all sections in the conduct of safety oversight functions. In addition, associated directives and procedures were implemented to clarify the responsibilities shared by the CAA and the Transport Inspectorate and define the information transferred between the two bodies. The ICAO recommendation has been complied with. 4.2.2 a) Action proposed by State. Concerning the need to provide the Transport Inspectorate staff with adequate training, equipment and management to enable them to carry out their responsibilities effectively, the CAA indicated that a new Chief of the Aviation Inspectorate has been appointed as of 20 March 2000 and has been tasked with a specific duty to improve the current situation relating to the Transport Inspectorate staff. Accordingly, the Chief of the Aviation Inspectorate was expected to establish a plan for the training of the staff, procuring of equipment and implementing an effective management for implementation as of June 2000. b) Validation of action proposed. The CAA has amended and promulgated Article 167 of the Aviation Act, establishing training, recruitment policy and

- 5 - standards. Furthermore, the CAA has completed implementation of the initial training syllabus. The ICAO recommendation has been complied with. 4.2.3 a) Action proposed by State. No proposal has been forwarded addressing a recommendation requiring the Ministry of Transport and Communications to review the recruitment policy including the remuneration of technical staff to enable the CAA and the Transport Inspectorate to recruit and retain adequately qualified and experienced staff. b) Validation of action proposed. The Ministry of Transport and Communications has established a review process of the recruitment policy, including the remuneration of technical staff, to enable the CAA and the Transport Inspectorate to recruit and retain adequately qualified and experienced staff. Although the last review process was carried out in September 2001, the Ministry of Transport and Communications still remains a non-competitive employer. The CAA expects to comply with the ICAO recommendation by 29 August 2002. 4.3 Personnel licensing and training 4.3.1 a) Action proposed by State. With respect to the need to expedite the adoption of all parts of JAR-FCL in order to achieve a coherent code of flight crew licensing regulations, the CAA indicated that all relevant JAR-FCL regulations will be adopted and implemented by November 2000. b) Validation of action proposed. The CAA has made significant progress with respect to the adoption of all parts of JAR-FCL. All applicable requirements have been translated in accordance with the Aviation Act requirements and are presently in the final-approval stage. It is expected that final promulgation will be achieved by July 2002. 4.3.2 a) Action proposed by State. Concerning the need to establish a requirement for medical examiners to acquire practical knowledge of the working conditions of licence holders who require medical assessment, the CAA indicated that it was requested by the Ministry to develop regulations on requirements for medical examiners and conditions under which medical examinations can be deferred by May 2000. In its letter of 19 June 2000, the CAA indicated that development of the required regulations were under development and are expected to be adopted and implemented by October 2000. b) Validation of action proposed. The CAA has made progress in the development of regulations on requirements for medical examiners and conditions under which medical examinations can be deferred. Regulations are presently in the final-approval stage and official promulgation is expected by July 2002. 4.4 Aircraft operations certification and supervision

- 6-4.4.1 a) Action proposed by State. With respect to the need to amend the Flight Operations Inspecting Staff Manual to include the policy and procedures of enforcement to facilitate easy reference by inspectors, the CAA indicated that the manual is being revised and the amended version will be available by 30 October 2000. b) Validation of action proposed. The CAA has proceeded with the amendment of the Flight Operations Inspecting Staff Manual to incorporate applicable policy and procedures related to enforcement standards and procedures. The ICAO recommendation has been complied with. 4.4.2 a) Action proposed by State. Concerning the need to develop a formal initial and recurrent training programme for the operations inspectors of the Transport Inspectorate, the CAA indicated that a new chief has been appointed and is tasked to develop the necessary programme. In this respect, Slovenia submitted, on 19 June 2000, a tentative training programme for the Transport Inspectorate staff starting as of September 2000. The training programme has been designed to cover a wide range of courses for flight operations, aircraft airworthiness, air traffic and airport inspectors. Furthermore, the CAA indicated that they have included a provision for budgetary funds required for professional training of inspectors and for maintaining their professional qualifications in the latest amended Aviation Act (Article 163, paragraph 3), which is due shortly for its third reading in Parliament and is then expected to be passed. b) Validation of action proposed. The CAA has established and implemented a formal initial and recurrent training programme for the operations inspectors of the Transport Inspectorate. The revised training programme includes a wide range of courses for flight operations, aircraft airworthiness, air traffic and airport inspectors. Furthermore, funds required for training of inspectors have been secured. The ICAO recommendation has been complied with. 4.5 Airworthiness of aircraft 4.5.1 a) Action proposed by State. With respect to the need for the CAA to maintain all the necessary airworthiness documents on the aircraft types placed in its register, the CAA indicated that it has already ordered and received the required manuals for the Airbus A320 and LET 410 aircraft on 12 March 2000. It has also established and inserted a procedure (Procedure No. 2.1.3 Continuous Monitoring of Airworthiness Documentation Status) in the CAA Organization and Inspection Manual. b) Validation of action proposed. The CAA has ordered and received the required manuals for its technical library. It has also established Procedure No. 2.1.3 Continuous Monitoring of Airworthiness Documentation Status). The new procedure has been incorporated in the CAA Organization and Inspection Manual. The ICAO recommendation has been complied with.

- 7-4.5.2 a) Action proposed by State. Concerning the need for providing operators and AMOs with guidance on the certification and acceptable standards required for the certification of aircraft welders, non-destructive testing and calibration standards for precision measurement equipment, the CAA, on 15 April 2000, prepared and provided the required guidance through relevant ATRs. The CAA, on 19 June 2000, submitted to ICAO a copy of the published and implemented ATRs. b) Validation of action proposed. The CAA has proceeded with the establishment of several ATRs concerning acceptable standards required for the certification of aircraft welders, non-destructive testing and calibration standards for precision measurement equipment. The ICAO recommendation has been complied with. 4.5.3 a) Action proposed by State. With regard to the need to establish a methodology and adequate guidance for authorizing subcontract maintenance, the CAA, on 30 April 2000, prepared and provided the required guidance through a specific ATR. The CAA, on 19 June 2000, submitted to ICAO a copy of the published and implemented ATRs. b) Validation of action proposed. The CAA has established procedures, which are complemented with adequate guidance material, for authorizing subcontracted maintenance. Required guidance has been issued through a specific ATR. The ICAO recommendation has been complied with. 4.5.4 a) Action proposed by State. With respect to the need for the CAA to provide guidance to its operators on the airworthiness approval of Category II and Category III airborne systems, the CAA indicated that guidance relating to airworthiness approval of Category II and Category III airborne systems were prepared and provided to operators on 30 April 2000 through appropriate ATRs. A copy of the relevant ATRs was submitted to ICAO on 19 June 2000. b) Validation of action proposed. The CAA has established a methodology and adequate guidance material relating to airworthiness matters in association with the approval of Category II and Category III operations. All weather operations maintenance requirements are provided to operators through the issue of appropriate ATRs standards. The ICAO recommendation has been complied with. 4.5.5 a) Action proposed by State. With respect to the need for the CAA to develop airworthiness guidance to its operators on approvals of ETOPS, the CAA indicated that guidance relating to airworthiness approval of ETOPS maintenance was prepared and provided to operators on 30 April 2000 through appropriate ATRs. A copy of the relevant ATRs was submitted to ICAO on 19 June 2000. b) Validation of action proposed. The CAA has prepared and issued adequate guidance material relating to airworthiness matters in association with approval of ETOPS. Applicable maintenance requirements are provided to operators through the issue of appropriate ATRs standards. The ICAO recommendation has been complied with.

- 8-5. UPDATE ON DEPARTURES FROM ICAO SARPs During the audit follow-up mission, an updated list on the status of implementation and differences existing between the national regulations and Annexes 1, 6 and 8 SARPs and/or SARPs not implemented was provided to the audit follow-up team. The differences provided will be included in the relevant Annex supplement in line with Article 17 of the MOU signed between Slovenia and ICAO and in accordance with Article 38 of the Chicago Convention. 6. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) 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 (Doc 9734 refers) in Slovenia 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 Slovenia 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.