AUDIT SUMMARY REPORT OF THE NATIONAL AVIATION ADMINISTRATION PALAU

Transcription

1 ICAO Universal Safety Oversight Audit Programme AUDIT SUMMARY REPORT OF THE NATIONAL AVIATION ADMINISTRATION OF PALAU (Koror, 4 to 8 December 2000) INTERNATIONAL CIVIL AVIATION ORGANIZATION

2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Audit Summary Report on the Safety Oversight Audit Mission to Palau (Koror, 4 to 8 December 2000) 1. BACKGROUND 1.1 The Palau National Aviation Administration (PNAA) was audited from 4 to 8 December 2000 by an ICAO safety oversight audit team in accordance with the Memorandum of Understanding (MOU) agreed on 4 December 2000 between Palau and ICAO. The audit was carried out pursuant to Assembly Resolution A32-11, with the objective of ascertaining the safety oversight capability of the PNAA and to ensure that it is in conformity with ICAO Standards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and 8 to the Chicago Convention and related provisions in other Annexes, guidance material and relevant safety-related practices in general use in the aviation industry. 1.2 In accordance with the MOU signed between Palau and ICAO, Palau was required to prepare and submit a corrective action plan to remedy the deficiencies identified during the audit mission. Several communications between the PNAA and ICAO Headquarters and the ICAO Regional Office in Bangkok were carried out to ensure compliance with this requirement; however, Palau, to date, has failed to submit an action plan to ICAO, as required and agreed upon. As a result, no review of a State corrective action plan has been included in this report. 2. CIVIL AVIATION ACTIVITIES IN PALAU At the time of the audit, civil aviation activities in Palau included: a) number of technical staff employed by the organization at Headquarters 4 b) number of active pilot licences 3 c) number of active licences other than flight crew licences 1 d) number of aircraft airworthiness inspectors 2 3. SUMMARY OF FINDINGS 3.1 General statement The primary aviation legislation in Palau is the Palau National Aviation Safety Act (the Act). Regulations applicable to civil aviation are contained in the Palau National Aviation Interim Regulations (PNIR) and various directives, which are not, however, readily available to users and the public. The PNIR are incomplete and do not enable the full implementation of the provisions of Annexes 1, 6 and 8. A draft revision is in development. There is no established procedure for implementing amendments to SARPs and Palau has not notified ICAO of differences between its national regulations and the SARPs relating to

3 - 2 - personnel licensing, aircraft operations and airworthiness of aircraft as set forth in Annexes 1, 6 and 8. Neither the Act nor the PNIR clearly grant to the Administrator, inspectors, officers or other authorized persons the right of access to, and inspection of, aviation documents such as manuals, certificates, programmes, files and licences The Act establishes the Palau National Aviation Administration (PNAA), under the direction of an Administrator, to be responsible for the regulation of civil aviation activities in the State. The staffing level of the PNAA is adequate for the current level of aviation activity. The PNAA has not established an adequate, formal, initial and recurrent training programme for its technical staff relating to personnel licensing, operations and airworthiness. PNAA staff are not provided with approved guidance materials, such as policies, procedures, manuals, handbooks and checklists, to assist them in the performance of their duties and responsibilities and up-to-date copies of relevant ICAO documentation are not available Functions related to personnel licensing matters are undertaken by the staff of the PNAA, including the Administrator. Licences are not issued in practice, but the PNAA validates certain licences. There are, however, no procedures established for validating licences and the files for the licences validated do not include the application form and supporting documentation. The licensing regulations provided in the PNIR do not specify requirements with respect to age, knowledge, experience, flight training, skill, class of medical and privileges, and do not conform with Annex 1. The PNAA has not established a system for designating medical examiners or procedures for the issuance of a medical assessment in cases when medical standards in Annex 1 have not been fully met. There are no aviation medicine training requirements established for medical examiners and no system for the supervision and control of designated medical examiners Palau has not established an organization capable of fulfilling its responsibilities for safety oversight of aircraft operations. Although there are currently no AOCs issued by Palau, AOCs had been issued during 2000 and it is expected that there will be future requests for AOCs. The lack of an operations inspectorate limits the PNAA s ability to carry out its responsibilities related to aircraft operations certification and supervision. The PNAA has not established an adequate system for the certification of commercial air operators including application forms, pre-certification procedures, required operations inspections and approvals of required manuals. The PNIR do not conform to the SARPs in Annex 6 with respect to items to be technically reviewed and approved prior to the issuance of an AOC, the content of operator operations manuals and safety-related items. There is no requirement for an operator to establish an accident prevention and flight safety programme and the PNAA has not addressed the issue of the safe transport of dangerous goods by air Palau has established a basic legal framework for continuing airworthiness inspection and surveillance. However, the system for these activities is still under development. The airworthiness code to be applied to aircraft registered in Palau has not been established. The PNIR are incomplete with regard to requirements for the approval of an AMO as stipulated in Annex 6. The PNAA lacks detailed requirements and procedures related to noise certification, the issuance of Certificates of Airworthiness and special flight permits, modifications, repairs and compliance data reporting, AD compliance, and maintenance activities, including maintenance personnel, facilities, programmes and maintenance control manuals.

4 Primary aviation legislation and civil aviation regulations in Palau Abstract of findings The Palau National Aviation Safety Act (The Act) came into force on 7 December 1998 and is the primary aviation legislation in Palau. The Act provides for the establishment of a State civil aviation organization which is called the PNAA. The duties and responsibilities of this organization are clearly defined. An Administrator serves as the chief executive officer of the civil aviation organization. The Administrator is responsible for all civil aviation activity in the State, including the promotion, encouragement and development of safety in civil aeronautics and in air commerce in the public interest Provisions are made for the appropriate delegation of authority to the Administrator to develop, issue and revise operating regulations. The Act, Chapter 4, grants the Administrator the right to promulgate and amend general and special regulations. The Minister of Commerce and Trade (the Minister) is responsible for certain civil aviation activities such as the regulation of airports and air navigational facilities and for the establishment of regulations for these activities The Act contains provisions regarding enforcement and penalties for contraventions of the Act and regulations. The Administrator is responsible for the enforcement programme. Specific guidelines and procedures to ensure a consistent and standardized approach to enforcement have not been established and compliance is not ensured. Penalties are established in the Act, Chapter 7, but there is no evidence of enforcement actions taken by the PNAA within the last year The Administrator or an authorized person has the right to detain aircraft or to prevent a person from exercising the privileges of a licence or certificate for just cause. However, neither the Act nor the regulations in Palau clearly grant to the Administrator, inspectors, officers or other authorized persons the right of access to, and inspection of, aviation documents such as manuals, certificates, programmes, files and licences. The Administrator may delegate authorization to any officer or employee, but the empowerment is limited. Furthermore, PNAA inspectors are not provided with credentials to facilitate access for inspections The Palau National Aviation Interim Regulations (the PNIR) were promulgated on 24 May 1999 by the Minister to implement the SARPs contained in the Annexes to the Chicago Convention. The PNIR were developed from sections of the Federal Aviation Regulations (FARs) of the United States and generally cover flight rules and the certification of air operators, airworthiness and airmen. The PNIR are incomplete and do not fully implement the provisions of Annexes 1, 6 and 8. A draft revision of the PNIR is in development There is no established procedure for implementing amendments to SARPs or for notifying differences, if any, to ICAO. Palau has not notified ICAO of any differences between its national regulations and the SARPs The legislation and regulations applicable to civil aviation activities in Palau are contained in the Act, the PNIR and various directives but they are not readily available to users and the public Palau has not ratified Article 83 bis to the Convention on International Civil Aviation Organization.

5 Specific findings and recommendations During the audit and in line with the procedures established on the basis of the MOU signed between Palau and ICAO, four (4) findings relating to the primary aviation legislation and civil aviation regulations in Palau were identified as items of concern requiring the State to develop and implement an action plan for their resolution. In this respect, four (4) recommendations have been developed to assist Palau in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to the primary aviation legislation and civil aviation regulations are found in Appendix 1 of the audit interim report forwarded to Palau on 30 January Corrective action proposed/implemented by Palau No corrective action plan was submitted by Palau to implement the recommendations found in Appendix 1 of the audit interim report forwarded to Palau on 30 January Civil aviation organization system in Palau Abstract of findings The Palau National Aviation Administration (PNAA) is headed by an Administrator who is appointed by the President for a five-year term. The PNAA is composed of six employees, including the Administrator, a Deputy Administrator, two Flight Standard Safety Inspectors (airworthiness), one Aviation Security Inspector and one Administrative Assistant. Only the two Flight Standard Safety Inspectors and the Deputy Administrator have flight operations expertise. There are no regional offices In addition to the PNAA, the Ministry of Trade and Commerce is responsible for the oversight of airports and navigational facilities. Responsibilities for safety oversight are divided according to subject areas and are clearly delineated Procedures and criteria have been established for the recruitment of technical personnel and terms of reference and minimum qualifications have been established for each technical post. The Administrator directs the recruitment and selection process. Although there is very little aviation activity within Palau with which to compare, the PNAA is considered to be a competitive employer. The PNAA has not designated other organizations or individuals to conduct examinations, tests or inspections on its behalf The PNAA receives an annual budget from the Government and the level of funding received is considered adequate for the PNAA to effectively conduct its duties and responsibilities The PNAA has not established an adequate, formal, initial and recurrent training programme for its technical staff relating to personnel licensing, operations and airworthiness activities. Some training, such as hazardous materials recognition training, has been received. Training records are maintained for the technical staff Technical staff of the PNAA are not provided with approved guidance materials, such as policies, procedures, manuals, handbooks and checklists, to assist them in the performance of their duties and responsibilities.

6 The PNAA has adequate office space and technical staff are provided with the necessary equipment to satisfactorily undertake their duties and responsibilities. However, relevant ICAO documentation and other technical documents are not readily available to the technical and administrative staff of the PNAA. The PNAA does not have a current set of Annexes to the Chicago Convention. There is no system in place to ensure that amendments to the Annexes are received and incorporated. There is no central technical library Specific findings and recommendations During the audit and in line with the procedures established on the basis of the MOU signed between Palau and ICAO, three (3) findings relating to the civil aviation organization in Palau were identified as items of concern requiring the State to develop and implement an action plan for their resolution. In this respect, three (3) recommendations have been developed to assist Palau in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to the civil aviation organization are found in Appendix 2 of the interim report forwarded to Palau on 30 January Corrective action proposed/implemented by Palau No corrective action plan was submitted by Palau to implement the recommendations found in Appendix 2 of the audit interim report forwarded to Palau on 30 January Personnel licensing and training in Palau Abstract of findings The PNIR do not specify requirements, such as age, knowledge, experience, flight training, skill, class of medical and privileges, for the types of personnel licences issued in Palau. In addition, there are no requirements established for category and class ratings for pilot licences There is no personnel licensing office in the PNAA because of the limited aviation activities. Functions related to personnel licensing are undertaken by the six members of the PNAA including the Administrator. Should the level of aviation activities increase there will be a need to establish an organizational structure for personnel licensing The PNAA does not, in practice, issue personnel licences. PNIR No. 61 and No. 65 allow the Administrator to validate pilot, mechanic and repairman certificates and ratings issued by other States. The PNAA has not established formal, written procedures for the validation of these licences. The PNAA maintains files for validated licences but the files do not include the application form and supporting documentation The PNAA does not convert licences issued by other States nor does it recognize military qualifications for civilian licences and ratings PNIR No. 61.3(c) allows the Administrator to accept current and appropriate medical documentation. The PNAA has not established a system for designating medical examiners or procedures for the issuance of a medical assessment in cases when medical Standards in Annex 1 have not been fully met.

7 - 6 - There are no aviation medicine training requirements established for medical examiners and no system for the supervision and control of designated medical examiners All applicants for validation of personnel licences are required to present a foreign licence with aircraft ratings and appropriate medical documentation. The PNAA then issues the license without checking the validity of the foreign license There are no aviation training schools in Palau Specific findings and recommendations During the audit and in line with the procedures established on the basis of the MOU signed between Palau and ICAO, four (4) findings relating to personnel licensing and training in Palau were identified as items of concern requiring the State to develop and implement an action plan for their resolution. In this respect, four (4) recommendations have been developed to assist Palau in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to personnel licensing and training are found in Appendix 3 of the audit interim report forwarded to Palau on 30 January Corrective action proposed/implemented by Palau No corrective action plan was submitted by Palau to implement the recommendations found in Appendix 3 of the audit interim report forwarded to Palau on 30 January Aircraft operations certification and supervision in Palau Abstract of findings Many of the SARPs contained in Annex 6 are not addressed by the Act or the PNIR, including but not limited to, safety-related items such as the use of checklists, threshold crossing height, fuel records, crew member flight and duty time limitations, extended-range operations, flight currency requirements and emergency procedures testing. The audit team was advised that the PNAA plans to conduct a thorough review of the PNIR and that a draft revision is in progress The PNAA has not addressed the issue of the safe transport of dangerous goods by air. The provisions of Annex 18 and the ICAO Technical Instructions have not been incorporated into the national legislation. The regulations do not require dangerous goods training programmes to be technically reviewed and approved by the State The PNIR include regulations related to aircraft operations certification, however, they are not in conformance with the relevant Annex Standards. Items such as minimum equipment lists, flight crew training programmes, cabin crew training programmes and dangerous goods training programmes are not required to be technically reviewed and approved by the PNAA prior to the issuance or renewal of an air operator certificate (AOC). Furthermore, the PNIR do not require an air operator s operations manual to contain all the items listed in Annex 6, Part I, Appendix 2. In addition, there is no requirement for an air operator to establish an accident prevention and flight safety programme.

8 The Deputy Administrator is assigned to review applications for AOCs. Although there are currently no AOCs issued by Palau, AOCs had been issued during the year 2000 and it is expected that there will be future requests for AOCs. The lack of an operations inspectorate limits the PNAA s ability to carry out its responsibilities related to aircraft operations certification and supervision The PNAA has not established an adequate system for the certification of commercial air operators, including application forms, pre-certification procedures, required operations inspections and approvals of required manuals. The format of the AOCs which had been issued in the past conforms to Annex 6 Standards and were issued with operations specifications. However, the AOCs were issued without pre-certification inspections and required approvals The PNAA has not established an organization, as a whole, capable of fulfilling Palau s responsibility for safety oversight of aircraft operations. As there are no operations inspectors, there is no one within the PNAA to maintain technical control over check pilots or examiners. Former AOC holders operated without flight check approval or required flight currency checks. There are no procedures established for control and supervision of air operators and no procedures for creating an annual surveillance programme There is no trained personnel assigned to perform dangerous goods inspections, review dangerous goods training programmes or respond to queries from airlines and shippers, and there is no regulatory requirement that an operator s dangerous goods training programme be technically reviewed and approved by the State Specific findings and recommendations During the audit and in line with the procedures established on the basis of the MOU signed between Palau and ICAO, six (6) findings relating to aircraft operations certification and supervision in Palau were identified as items of concern requiring the State to develop and implement an action plan for their resolution. In this respect, six (6) recommendations have been developed to assist Palau in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to aircraft operations certification and supervision are found in Appendix 4 of the interim report forwarded to Palau on 30 January Corrective action proposed/implemented by Palau No corrective action plan was submitted by Palau to implement the recommendations found in Appendix 4 of the audit interim report forwarded to Palau on 30 January Continuing airworthiness inspection and surveillance in Palau Abstract of findings Activities related to continuing airworthiness are very limited in Palau. There are presently no aircraft registered, no commercial operators and no maintenance organizations in the State. The last AOC holder, operating a Cessna 206 aircraft, ceased operations in the second quarter of 2000 due to bankruptcy. Foreign airlines, however, continue to operate into Palau. The system for continuing airworthiness inspection and surveillance, which has not been adequately established, is considered to be still under development.

9 The PNIR provide for the implementation of the provisions of Annexes 6 (Chapters 8 and 11) and Annex 8. However, these regulations were established to deal with the aviation activities which existed at the time of promulgation of the Act in 1998, as evidenced by their title, Palau National Aviation Interim Regulations. The scope of the PNIR is limited to the registration of aircraft, Certificates of Airworthiness, maintenance release, commuter and on-demand operations, and so on Annex 8, Part II, paragraph 2.2 requires aircraft to comply with a comprehensive and detailed airworthiness code. However, the PNAA has not developed a national airworthiness code or adopted the airworthiness code of another State The Act, paragraph 604 (b), authorizes the Administrator to issue a certificate for a repair station. However, the PNIR are incomplete in this regard and do not meet all the requirements for the approval of approved maintenance organizations as stipulated in Annex 6, Part I, Chapters 8 and The PNAA has not established requirements for all aircraft to comply with the noise Standards contained in Annex 16 or for a document attesting to noise certification to be carried on board. There are no procedures for airworthiness inspectors to follow when granting or validating noise certifications The two Flight Standard Safety Inspectors of the PNAA are assigned to conduct continuing airworthiness inspection and surveillance and are also responsible for personnel licensing. The duties and responsibilities of airworthiness inspectors are not clearly established. PNAA airworthiness inspectors do not have credentials to facilitate access for inspections The quality and consistency of the oversight on maintenance activities in the State have not been adequately established due to the lack of a training programme, guidance materials and checklists for airworthiness inspectors The Act, paragraph 603 and PNIR No. 21 provide the legal basis for issuing Certificates of Airworthiness and special flight permits to aircraft registered in Palau. However, the PNAA has not developed detailed requirements, including import and type design requirements, and procedures to be followed by airworthiness inspectors for the issuance of Certificates of Airworthiness and special flight permits PNIR No. 43 establishes the requirement for the approval of modifications and major repairs. However, detailed procedures have not been established for requiring compliance data reporting, the necessity for substantiating data, and so on The PNAA does not require an operator to comply with relevant airworthiness directives (ADs). In addition, there is no established system for receiving, reviewing and adopting ADs, or for monitoring AD compliance AOC holders maintenance activities are required to be conducted in accordance with the Act, paragraph 604 and with PNIR No The PNAA did not appropriately conduct the inspection and surveillance of aircraft maintenance, including maintenance personnel and facilities, in the past. There are no requirements and procedures established for airworthiness inspections and surveillance.

10 The PNAA requires an air operator to develop a maintenance control manual which is subject to its approval in accordance with PNIR No However, requirements and procedures for this approval have not been established. In addition, operator maintenance programmes and minimum equipment lists are not required to be approved by the PNAA There is no framework for issuing an export Certificate of Airworthiness, no requirements for a periodic mass and balance report and no system for mandatory reporting of aircraft defects to the PNAA Specific findings and recommendations During the audit and in line with the procedures established on the basis of the MOU signed between Palau and ICAO, eight (8) findings relating to airworthiness of aircraft in Palau were identified as items of concern requiring the State to develop and implement an action plan for their resolution. In this respect, eight (8) recommendations have been developed to assist Palau in formulating and developing its action plan. The specific findings and recommendations resulting from the audit conducted and relating to airworthiness of aircraft are found in Appendix 5 of the interim report forwarded to Palau on 30 January Corrective action proposed/implemented by Palau No corrective action plan was submitted by Palau to implement the recommendations found in Appendix 5 of the audit interim report forwarded to Palau on 30 January COMMENTS The main objective of conducting an ICAO safety oversight audit is to assist States in the identification of deficiencies and shortcomings and to recommend action to be taken in order to enable the State to implement international SARPs and also to implement a viable safety oversight system. The signing of the MOU before conducting an audit commits a State to at least develop a State corrective action plan to rectify the identified problems. Palau, by not developing and submitting an action plan to remedy the deficiencies which were identified by the audit, has failed to meet the terms of the MOU although several requests and reminders were forwarded to the State. 5. STATUS OF IMPLEMENTATION AND DIFFERENCES FROM THE ICAO SARPS Differences identified during the audit are found in Appendices A and B to this summary report and differences vis-à-vis Standards will be included in the relevant Annex Supplement in line with Article 17 of the MOU signed between Palau and ICAO. Although Palau was provided with a pre-audit questionnaire to assist it in identifying differences between its national regulations and ICAO SARPs and/or SARPs not implemented, a list of such differences was not submitted to the audit team. As such, the list of differences may not be exhaustive and Palau is urged to conduct a thorough review of its national legislation and regulations and to notify ICAO of any further differences as required under Article 38 of the Chicago Convention.

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12 APPENDIX A STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 1 PERSONNEL LICENSING) ICAO Standard reference and Chapter 6 Palau s regulation reference PNIR No (c) Differences between the national regulations of Palau and ICAO Standards No requirements for medical fitness and no classes of medical standards have been established There is no requirement to prohibit the holder of pilot licences to act as pilot-in-command of an aircraft engaged in scheduled international air service or non-scheduled international air transport operations for remuneration or hire if the licence holders have attained their 60th birthday. Chapter 2 PNIR No. 61 There are no requirements specified for age, knowledge, experience, flight instruction, skill, class of medical or privileges, for pilot licences. Chapters 2, 3 and 4 Glider pilot, free balloon pilot, flight navigator, flight engineer and flight operations officer/flight dispatcher licences are not issued by Palau. 4.2 PNIR No. 65 There are no requirements specified for age, knowledge, experience, skill and privileges, for mechanic and repairmen certificates.

13 A-2 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 6 OPERATION OF AIRCRAFT) (PART I International Commercial Air Transport Aeroplanes) ICAO Standard reference Palau s regulation reference Differences between the national regulations of Palau and ICAO Standards The system for continued surveillance is not established Partially implemented Not approved or accepted by the State MEL is not approved by the State of the Operator No requirement exists The maintenance programme is not approved by the State of the Operator. 8.6 The airworthiness requirements and procedures are not established. 8.7 The requirements are not established. 9.3 Not required to be approved by the State No requirements for maintenance programmes exist No requirements for maintenance procedures manuals exist Not required to be approved by the State. Appendix 2 Partially implemented. The following Annex 6, Part I provisions are not implemented in Palau: 3.6, 3.7, 4.2.5, 4.2.8, 4.2.9, , 4.7, 6.1.3, , 9.4.1, 9.4.4, 9.6, 12.5 and Appendix 2.

14 A-3 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 8 AIRWORTHINESS OF AIRCRAFT) ICAO Standard reference Part II, 2.2 Part II, Part II, 5.1 Part II, Palau s regulation reference Not implemented. Differences between the national regulations of Palau and ICAO Standards A system for adopting ADs has not been established. Partially implemented. Partially implemented.

15 APPENDIX B STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO RECOMMENDED PRACTICES (ANNEX 6 OPERATION OF AIRCRAFT) (PART I International Commercial Air Transport Aeroplanes) Note: The Chicago Convention requires that a Contracting State file differences existing between its regulations and ICAO Annex Standards. However, due to the specific mandate given to ICAO for the implementation of the ICAO Universal Safety Oversight Audit Programme, it is necessary to include differences existing between the national regulations and ICAO Annex Recommended Practices, including Annex definitions, to encourage implementation and for inclusion in the summary report. ICAO Rec. Practice Attachment E Palau s regulation reference Not implemented. Differences between the national regulations of Palau and ICAO Recommended Practices END

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