AUDIT SUMMARY REPORT OF THE DIRECTORATE GENERAL OF CIVIL AVIATION (DGCA) OF THE REPUBLIC OF CHILE

Transcription

1 ICAO Universal Safety Oversight Audit Programme AUDIT SUMMARY REPORT OF THE DIRECTORATE GENERAL OF CIVIL AVIATION (DGCA) OF THE REPUBLIC OF CHILE (Santiago, 9 to 18 August 2000) INTERNATIONAL CIVIL AVIATION ORGANIZATION

2 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Summary Report on the Safety Oversight Audit Mission to Chile (Santiago, 9 to 18 August 2000) 1. BACKGROUND 1.1 The Directorate General of Civil Aviation (DGCA) of Chile was audited from 9 to 18 August 2000 by an ICAO safety oversight audit team, in accordance with the Memorandum of Understanding (MOU) agreed to on 27 June 2000 between Chile and ICAO and included as Appendix A to the interim report forwarded to Chile on 19 September The audit was carried out pursuant to Assembly Resolution A32-11, with the objective of determining the safety oversight capability of the DGCA of Chile and to ensure that it is in conformity with the ICAO Standards and Recommended Practices (SARPs) contained in Annexes 1, 6 and 8 to the Chicago Convention and the associated provisions of other Annexes, the guidance material and relevant safety-related practices in general use in the aviation industry, as referred to in such material. 1.2 On 23 October 2000, Chile submitted an action plan addressing all the findings and recommendations contained in the audit interim report. The action plan was reviewed by the Safety Oversight Audit (SOA) Section and, through a communication dated 6 November 2000, Chile was requested to revise the proposed actions. On 15 December 2000, Chile submitted the revised action plan, which was found to be satisfactory. The comments and clarifications provided were, as appropriate, taken into account during the preparation of this summary report. 2. CIVIL AVIATION ACTIVITIES IN CHILE At the time of the audit, the civil aviation activities in Chile included: a) number of technical staff employed by the organization at Headquarters 264 b) number of active pilot licences c) number of active flight crew licences other than pilot licences d) number of active licences for personnel other than flight crew members e) number of commercial air transport operators 96 f) number of air operator certificates (AOCs) (technical and operational authorizations (ATOs)) issued 96 g) number of aircraft operations inspectors 19 h) number of aircraft registered in Chile i) number of certificates of airworthiness issued j) number of approved maintenance organizations (AMOs) 120

3 -2- k) number of aircraft maintenance workshops 26 l) number of aircraft parts or equipment manufacturing organizations 2 m) number of airworthiness inspectors SUMMARY OF FINDINGS 3.1 General Chile has established the necessary legal framework to implement the undertakings assumed by the State in ratifying the Chicago Convention. Chile s primary aviation legislation is the Air Code (hereinafter the Code ), which was approved in The Code contains provisions regarding the aeronautical infrastructure, aircraft, aviation personnel, air traffic, commercial and non-commercial aviation, air operators and aviation agreements, aviation liability and offences against the safety of civil aviation. However, Chile has not updated those provisions at the appropriate legal level in relation to the applicable Annexes to the Chicago Convention and has not notified the differences which might exist There are two bodies in Chile which could be considered as national aviation authority, namely, the DGCA and the Civil Aviation Board (CAB). However, each has a specific area of competence and specialty, defined by its respective organizational statutes. The DGCA is the body responsible for safety oversight and the certification and monitoring of technical aviation personnel, commercial air operators and aircraft. The CAB is responsible for the country s commercial aviation policy The DGCA has an organizational structure which enables it to discharge its duties. However, it does not establish the necessary relationship between tasks, responsibilities, functions and access to the different posts (initial requirements and training plans), so there is not an adequate delegation of powers. The DGCA also faces operational restrictions with regard to the administration of its resources which result in certain limitations on its supervisory activities The licensing system in Chile is considered basically appropriate in relation to the aviation activity in the State and is based on the powers conferred by the State's aviation legislation on the Director General of Civil Aviation. The structure which supports the system is based on a Licensing Department, which is satisfactorily performing its functions and is supported by technical personnel in the operations and airworthiness areas. However, the standards and procedures established for licensing are not in accordance with the SARPs, and the supervision of training activities is also not adequate The operations area is properly organized, but the number of its inspectors is not in keeping with the scale of the air operations carried out in Chile. The procedures used for certification and obtaining an ATO do not permit an assessment of the operator s prior financial and economic situation due to legislative limitations on DGCA s powers. In the assessments of technical capabilities, all that is done is a physical and administrative check of the documents, manuals, personnel and equipment that will be used by the applicant, without requiring a practical demonstration of the procedures stipulated in those manuals. The inspectors do not have an official inspector s guide or manual describing the functions of supervisors, or their powers, and detailing the procedures to be followed in inspections and the follow-up on the findings made and the shortcomings identified. Finally, the requirements for the preparation of the operations manual are not in accordance with Annex 6, Part I, Appendix 2.

4 The airworthiness area has an internal organization which is adequate for the magnitude of the operations in Chile. However, the airworthiness regulations do not conform to the current requirements, and there are no detailed procedures in keeping with the new standards. Complete aircraft records are maintained, with information on oversight activities. The requirements for maintenance control manuals (aviation technical work and inspection manuals (ITTA)) are not in accordance with the SARPs, and no system has been established for exchanging airworthiness information among operators, the DGCA and other States. In addition, the format of the certificate of airworthiness does not conform to Annex 8 requirements. 3.2 Primary aviation legislation and civil aviation regulations in Chile Abstract of findings Chile s primary aviation legislation is the Air Code, which was approved in 1990 and replaced the former Air Navigation Act of The last partial amendment to the Code dates from May The Code contains provisions referring to aeronautical infrastructure, aircraft, aviation personnel, aviation liability and offences against the safety of civil aviation. The Commercial Aviation Act, for its part, establishes the country s commercial aviation policy. However, Chile has not updated those provisions at the appropriate legal level in relation to the applicable Annexes to the Chicago Convention and has not notified the differences which might exist. The procedures for amending the Code are contained in the Political Constitution of the Republic and require that the Executive Branch initiatives be submitted for study and approval by the two houses (senators and deputies) and that they be published in the Official Gazette The Code contains 203 articles organized in thirteen sections. Article 183 clearly indicates that the aviation authority referred to by the Code is the DGCA, unless the CAB is explicitly mentioned. Among the sections of the Code, mention should be made of Section VIII, which deals with aviation agreements and includes the concepts of the lease, charter and interchange of aircraft. Although Chile ratified Article 83 bis of the Chicago Convention on 28 June 1982, it has not incorporated into its legislation the transfer of functions and responsibilities covered by an agreement The Chilean aviation legislation is supplemented by various instruments, such as regulations, standards, procedures, circulars and operational or administrative regulations. It should be pointed out that a significant amount of the safety-related requirements applied in Chile to implement the SARPs were established through the issuance of resolutions by the Director General of Civil Aviation. However, since 1980 his regulatory capability has been limited, and decrees need to be promulgated at the presidential level. The regulations and standards themselves do not contain all the requirements in the SARPs and are, therefore, supplemented by procedures and circulars, such as the Aviation Regulations (DAR); Aviation Standards (DAN); Procedures governing the Aviation Regulations (DAP); Aeronautical Circulars (DAC); Organizational and Operational Regulations (ROF); Administrative Regulations (RAM); Procedures governing the Administrative and Organizational Operations Regulations (PRO); Service Orders (OS); and Resolutions. Many of these procedures are mandatory for users and operators, although they do not have that status in the standards Corrective action plan proposed/implemented by Chile With regard to the analysis of the current regulatory situation and the determination of the legal status required so that the safety-related regulations applied at present and the implementation of the SARPs had the proper legal effectiveness within the legal framework concerned, the DGCA indicated that,

5 -4- by 31 January 2002, it will publish the DAR-06 regulations relating to the operation of public transport aeroplanes, general aviation and the operation of helicopters In order to achieve a greater degree of uniformity in the regulations, standards and procedures and develop a detailed and comprehensive national code which would facilitate its mandatory application and its interpretation by users, the DGCA indicated that, by 31 December 2002, it will carry out the study concerned to assess the characteristics of the current regulatory arrangement, for the purpose of systematizing it and including it in a FAR-type model With regard to the need to establish a formal procedure for amending the primary aviation legislation and the technical regulations, in order to bring those provisions up to date and systematically notify the differences to ICAO, the DGCA indicated that, by 31 December 2000, it would establish a procedure for that purpose and that, by 31 December 2001, it will notify the differences to ICAO As to the transfer of functions and responsibilities under Article 83 bis to ensure that its legislation applies to aircraft registered in another State which are subject to a transfer agreement, the DGCA indicated that, by 31 March 2001, it would issue an appropriate procedure, establishing the basic premises for Chile to enter into an 83 bis Agreement. 3.3 Civil aviation organization system in Chile Abstract of findings Under the State s legal system, there are two bodies in Chile which could be considered as national aviation authority, namely, the CAB and the DGCA. However, each has a specific area of competence and specialty, defined by its respective organizational statutes The CAB is composed of seven members and a Secretariat. The members of the Board are: the Minister of Transport and Telecommunications, who presides over it; the Director General of Civil Aviation; the Deputy Secretary of the Ministry of Foreign Relations; the Deputy Director of the Regional Planning Office; and two representatives designated by the President of the Republic. The CAB s area of competence is confined to the establishment of the commercial aviation policy and the management of the country s traffic rights, as well as establishing and monitoring insurance requirements The DGCA is the body responsible for safety oversight and the certification and monitoring of technical aviation personnel, commercial air operators and aircraft. The DGCA Organizational Act (Act ) establishes the DGCA as an office which reports to the Commander in Chief of the Chilean Air Force and makes it functionally decentralized. The same Act also indicates that the duties of the Director General of Civil Aviation will be discharged by a General Officer of the Air Branch of the Chilean Air Force, in active service, who will be the Senior Chief of the Directorate and the holder of the privileges which the laws and regulations confer on the DGCA The DGCA is composed of a Secretariat, Auditor s Office, Inspectorate General and seven directorates: the Safety Directorate; the Aerodromes and Aeronautical Services Directorate; the Meteorology Directorate; the Logistics and Telecommunications Directorate; the Human Resources Directorate; the Financial Resources Directorate; and the Marketing and Business Directorate. The Technical Aviation School also comes under the DGCA.

6 Under Article 17 bis of Act No , the Director General of Civil Aviation may delegate one or more powers to regular DGCA personnel and Chilean Air Force officers assigned to it. In fact, some of the powers conferred on the Director General of Civil Aviation by the applicable legislation are delegated to specific individuals, regardless of the posts they occupy. This makes it impossible to establish the necessary correspondence between tasks, responsibilities, functions and conditions governing access to the different posts in the structure. In addition, the functions assigned to each particular task and post, as well as the conditions governing access to them, are not defined. Article 1 of the Organizational Act establishes that the DGCA is to be considered a functionally decentralized service, keeping its condition of centralized body for all other purposes, and therefore, subject to all legal provisions of a public service of the same nature In the financial area, the revenues generated by the DGCA from various sources are not remitted to the treasury but remain in the DGCA for its operation. However, the DGCA, like the rest of the public sector agencies, must annually submit its budget for approval by the financial authorities. In addition, in recent years, as a result of the concessions policy put into practice by the National Government, the DGCA has seen an increase in its financial burden, without a corresponding rise in its budget. For example, the construction and financing of airport projects, which were previously under the jurisdiction of the Ministry of Public Works, have become the DGCA responsibility, without the corresponding budgetary entries being transferred to it The DGCA has not officially established a policy for the initial and periodic training of its staff which covers the minimum requirements for them to carry out their functions in the licensing, operations and airworthiness areas The DGCA has equipment and facilities which are entirely adequate for it to carry out its functions Corrective action plan proposed/implemented by Chile With regard to the need to revise its resource allocation policy in order to be able to recruit, train and retain qualified personnel and revise its recruitment policies and conditions of service in order to be a more competitive employer in relation to the private aviation industry, the DGCA indicated that, by 31 March 2001, it would request increased resources for the purpose, among others, of adopting recruitment policies which made it possible to maintain the staff needed for safety purposes As to defining the functions allocated to each specific task and post, along with the conditions for entering them and the corresponding delegation of powers, the DGCA indicated that it would initiate the processing of a Supreme Decree approving the Organizational and Operational Regulations (ROF) by 31 December With regard to the official and effective establishment of initial and periodic training plans for its staff, covering the minimum requirements for them to carry out their functions in the licensing, operations and airworthiness areas, the DGCA indicated that, by 31 March 2001, it would develop a policy on the matter, and the Annual Training Directive would deal with its implementation Personnel licensing and training system in Chile Abstract of findings The personnel licensing system in Chile is based on the powers conferred on the Director

7 -6- General of Civil Aviation in the Code. The delegation of authority by the Director General to the Chief of the Licensing Department completes the hierarchical chain of responsibilities. The DAR-01, issued with the rank of Supreme Decree, contains the former provisions determining the requirements for obtaining, renewing and validating existing licences and ratings. However, that standard does not give such powers to the Chief of the Licensing Department. The DAP-01, which contain the procedural aspects, are issued by a Resolution of the Director General. The policies and procedures concerned with proving that the requirements for obtaining DGCA licences have been met are not complete or up to date in relation to the regulations which apply at present The current standards cover the acceptance of licences issued by another State for the purposes of compliance with the requirements for obtaining a licence or rating in Chile. However, they do not cover the possibility of accepting other aspects of training and qualifications for the purposes concerned The Licensing Department comes under the Deputy Directorate of Operations and basically consists of administrative staff and a chief who performs the licensing functions per se on the basis of the delegation of authority by the Director General. The department is well equipped in terms of equipment; however, it does not have the necessary full-time technical personnel and has not established a training programme in keeping with the functions performed The DGCA only issues validations for private flights and temporary flights, as appropriate, to act as advisory instructor. Licences of other States are accepted as proving that the requirements have been met and for issuing the corresponding licence in Chile, although a theoretical examination and tests are required. However, at the time of validating or issuing a licence on the basis of that of another State, the DGCA does not systematically contact the authority of the other State to verify the licence s validity. Furthermore, the requirements applying to the validation and issuance of licences and ratings based on those issued by another State have not been included in the Aeronautical Information Publication (AIP) Medical examination reports are issued by designated examiners and by the Aerospace Medicine Centre, which has also been designated and is operated by the State. The DGCA has established the Medical Board and the Joint Medical Operations Committee, whose functions are related to assessing reports and issuing accredited medical conclusions. However, its functions and composition have not been properly determined. In addition, there is no requirement that the designated doctors have training in aviation medicine The licences issued in Chile are temporary in nature, and the requirements for renewing them are established in the DAR-01. These requirements must be proved to the DGCA periodically for the corresponding validation The activities related to supervising training and approving the centres giving it are limited for the DGCA by a general State law. However, flight training-related centres are approved through the issuance of an ATO. The DGCA s activities with regard to these centres are limited to an inspection to renew the certificate and carry out examinations Corrective action plan proposed/implemented by Chile With regard to the need to amend the document legalizing the delegation of authority from the Director General of Civil Aviation to the current head of the Licensing Department, the DGCA indicated that, by 31 March 2001, it would amend the current delegation of authority to specify that the delegation of licensing-related authority is done in conformity with the provisions of Act No and not the DAR-01.

8 As to the recommendation that the legal system cover the specific nature of aviation training activities, the DGCA indicated that it would study that subject for the purpose of proposing a legislative initiative giving the Director General the authority to monitor and oversee civil aviation-related training activities or the promulgation of a Supreme Decree regulating such activities, with an implementation date of 31 December With regard to the need to amend the regulations applying to licensing, in order to accept different qualifications in a licence issued by another State, the DGCA indicated that, by 31 December 2000, it would amend the DAP to include contacting the State which issued the licence and the DAP to cover the acceptance of credits. As to the need for the AIP to include the procedures for validating licences issued by other States or accepting them for the issuance of the corresponding Chilean licence, including the examination procedures, the DGCA indicated that it would include the validation procedures in the AIP before 30 April With to the need to check the proficiency of flight instructors periodically and formalize a plan for the periodic supervision of their training activities, the DGCA indicated that it will establish a standard in that regard by 30 June In respect of the need to update and supplement the licensing criteria and procedures, the DGCA indicated that it will make various amendments to the DAR-01 regulations and associated procedures with different implementation dates between 31 May 2001 and 31 January With regard to the need for medical examiners to acquire practical knowledge and experience concerning the conditions under which the holders of licences and ratings carry out their functions, as well as the requirement that they have training in aviation medicine, the DGCA indicated that it will amend the DAR-01 regulations and establish the corresponding standards with an implementation date of 31 January Aircraft operations certification and supervision in Chile Abstract of findings The Public Transport Aircraft Operation regulations briefly establish that the ATO is the document by which an air operator proves that it has been certificated and authorized by the DGCA to begin its operations. In view of the characteristics of the process for obtaining it, the ATO is equivalent to the AOC stipulated by Annex 6. The Public Transport Aircraft Operation regulations were initially approved by DGCA Resolution No. 113-E of 3 August 1970 and have been amended by the DGCA thirteen times using a relatively speedy process. The latest existing revision of them dates from 22 October 1999 (Resolution No E). On 7 August 2000, the latest update to the regulations (Edition 3) was approved by Resolution No Exenta, incorporating the latest amendments to and provisions of ICAO Annex 6, Part I; however, this document has not yet entered into force since it has not been published in the Official Gazette The DAP Obtaining a Technical and Operational Authorization (ATO) is an information document for applicants which supplements the regulations and describes the requirements and procedures which all applicants must follow to obtain an ATO The Inspector s Manual is the guide which establishes the functions and powers of inspectors and establishes the procedures which they are to follow in certificating operators; however, this document

9 -8- does not have official status, its contents do not correspond to the index of chapters, it lacks a list of effective pages and does not describe the functions of the air operations inspector supervisor (AOS), whose responsibilities in this process are important The Deputy Directorate of Operations, which reports to the Safety Directorate, is the body responsible for initiating the processes related to certificating ATO applicants; its basic function is to supervise the air operations carried out in the country and verify that the aviation personnel participating in them meet its licensing requirements with regard to medical fitness and knowledge The Public Transport Department s check pilots are pilots with a great deal of experience who are qualified on the equipment which they supervise, are periodically trained by the DGCA on the different simulators and are potentially qualified on the new aircraft being incorporated into the air fleet. Simulator flight training is the only training scheduled periodically for transport inspectors taken on by the DGCA. Except for the flight training of transport inspectors, the DGCA has no initial and periodic training programmes, and its inspectors therefore engage in self-taught training supplemented by on-the-job training in the basic inspection tasks, mainly due to the difficulty in having sufficient inspector personnel The procedure established by the DGCA to assess ATO applications does not include prior determination of the operator s financial capability or an assessment of the applicant s technical and operational fitness by means of an effective demonstration of the procedures established in its operations manuals Article 83 of the Code establishes that the aviation authority has the power to inspect aircraft and their crews and the persons and things transported on board. Article 3 j) of Act grants the power to supervise civil aviation activities, in order to safeguard flight safety, while subparagraph z) makes a general to supervising compliance with the legal and regulatory provisions related to air navigation. Paragraph of the Public Transport Aircraft Operation regulations indicates that the DGCA will establish and maintain supervision of flight operations by means of official inspections The organization and personnel of the system for supervising operations is the same as that described for certification. Air operation supervision in Chile is carried out in accordance with two procedures approved by the DGCA. However, the DGCA has not established procedures for supervising general aviation through any official document, as it has for transport aviation inspections with Resolutions 048-E and 049-E. Both Resolutions 048-E and 049-E refer the inspectors to the Inspector s Manual, which has not been officially approved by the DGCA. The compliance index of the inspection programme in the general aviation area does not show the shortcomings identified in transport aviation Corrective action plan proposed/implemented by Chile With regard to the need to establish procedures for determining an applicant s financial capability, as part of the process of issuing an ATO, and in order to determine an applicant s technical fitness, verifying, both on ground and in flight, the procedures, practices and methods contained in the operator s different manuals, the DGCA indicated that, by 31 July 2001, it will establish a commission to study that subject, defining the airlines means of controlling the financial situation, the legal tools and the standards which would need to be amended to optimize control As to formalizing the Inspector s Manual and ensuring that its contents are clearly described in the index concerned, in addition to describing the functions of the AOS, the DGCA indicated that, by 31 May 2001, it will make the corrections to the Inspector s Manual referred to in the index, adding the texts

10 -9- that are missing and the functions of the AOS, and make the manual official by means of an appropriate resolution. By 31 June 2001, the DGCA will develop procedures for following up on shortcomings identified during the inspections With regard to the revision of the applicable regulations to require that the operator s operations manual fully comply with the contents of Annex 6, Part I, Appendix 2, the DGCA indicated that it will amend the DAP regulations in that regard by 31 May As to the requirements that commercial air operators develop and implement programmes for the joint training of flight and cabin crews, the DGCA indicated that, by 31 May 2001, it will amend the DAP to establish that requirement. The DGCA also indicated that, by 31 January 2002, it will amend the DAR-06 to introduce the requirement for the existence on board aircraft of a checklist with bomb-search procedures in case of suspected sabotage. 3.6 Inspection and supervision of continuing airworthiness in Chile Abstract of findings The basic requirements for monitoring and overseeing airworthiness are in the Code. Other publications such as the DAR, the DAN, the DAP and the DAC supplement the Code, forming the set of material used for the certification and supervision of airworthiness. The PRO are used internally by the Deputy Directorate of Airworthiness to administer and manage the requirements The DAR 08 airworthiness regulations, issued by Supreme Decree in 1996, establish national airworthiness specifications. To varying degrees of depth, they describe such aspects as type and supplementary type certificates, classification, issuance and validity of certificates of airworthiness, modifications and mandatory inspections, continuing airworthiness of aircraft, commercial air navigation enterprises and aviation technical entities (maintenance organizations) With the intention of covering all airworthiness-related aspects, the DAR-08 refer directly to the Federal Aviation Regulations (FAR) of the United States in respect of certification standards for, among others, aeroplanes, helicopters, engines and propellers and certification procedures for those products and parts. Their text is a synthesis of certain parts of the FAR 21, 43 and 91. The public transport aircraft operation regulations contain the requirements of ICAO Annex 6, Part I, Chapters 8 and 11. The DAR-08 were originally issued by a DGCA resolution in 1970 and have been amended thirteen times, although according to the record of the affected parts of the document, none of the amendments has modified the chapters relating to maintenance. The regulations for authorizing the operation of national repair centres or workshops date from 1962 and establish standards for AMOs Chile has not established a detailed and comprehensive national code which would facilitate its mandatory application and its interpretation by users and other Contracting States, and which would also contribute to the overall standardization of the safety requirements. In addition, the terminology used does not correspond to that of the regulations of the leading States in the aviation industry. There are no provisions derived from the terms of of the Code by which a DAP or DAC must be implemented by users and operators. However, there is a proposal from the year 1999, which the DGCA has not yet implemented, for the amendment of the regulatory structure, entitled Project to Modernize and Globalize DGCA s Regulations, which recognizes the obsolescence and shortcomings of the current regulatory system The Deputy Directorate of Airworthiness comes directly under the Safety Directorate. It is

11 -10- composed of two departments: the Certification Department and the Airworthiness Department. A programming and monitoring office and a technical regulation office, which report directly to the Deputy Director of Airworthiness, complete the structure. Although the Code and the DAR-08 give the DGCA the authority to supervise civil aviation activities and inspect aircraft to determine their condition, such authority has not yet been formally delegated to the inspectors for the performance of their duties. The basic objective of the Airworthiness Department is to monitor continuing airworthiness and approve associated agencies. However, the current requirements for the preparation of maintenance and training programmes do not establish human factors principles The Deputy Directorate of Airworthiness is mainly composed of personnel who have graduated in aeronautical engineering and personnel with degrees related to aircraft maintenance, which ensures that they are competent and have the requisite knowledge. However, in cases where recruitment of non-aeronautical specialties is permitted, the procedure used to select airworthiness inspection personnel does not establish requirements with regard to professional aviation-related degrees or diplomas. The technical documentation needed for consultation by the inspectors is supervised by specialized personnel and kept current with the basic documents, such as mandatory airworthiness information from design organizations and States The original type certification of aircraft is only recognized by the DAR-08 regulations if it meets the FAR code of certification standards for aviation products. However, a Chilean type certificate has been issued to validate that of the other State. The lack of procedures has resulted in a type certificate which does not conform to the airworthiness code adopted by Chile. The Chilean type certificate reflects different standards from those applied by the primary certification authority The DGCA has not established a system for exchanging information on continuing airworthiness between air operators, the DGCA, States and aircraft design organizations For the first airworthiness certificate and its subsequent renewal, the DAP determine the steps to be followed to obtain a certificate of airworthiness. The DGCA verifies the contents of the aircraft s records to ensure that the documents and checklists have been prepared and maintained in a special file for that purpose. However, the DGCA s regulations do not require that operators keep detailed maintenance records for the periods stipulated in Annex 6, Part I, paragraph Air operator certification is done by verifying the steps required in the procedures to obtain an ATO, as determined in a procedure published for that purpose. The check on the company is done subsequent to the presentation of the ITTA manual for inspecting maintenance control activities. In case the company carries out its own maintenance, an ITTA manual with other contents must be prepared. It is mandatory in Chile that all aircraft be maintained by an authorized maintenance organization like ETEA. The procedures manual is also an ITTA manual for which the authority has established minimum contents The DGCA has also issued the PRO, which determine the procedures for issuing airworthiness directives, using inspection report forms, administering examinations, inspection guidelines, frequency of inspections and review of documentation The DGCA has prepared standards and procedures for certificating flight simulators, which are still at the development stage and have not yet been implemented. Requirements have not been established for informing operators that special flight authorizations are not valid in foreign airspace or for the periodic determination of aircraft mass and balance.

12 Corrective action plan proposed/implemented by Chile With regard to the need to establish entrance requirements similar to those for obtaining a mechanic or maintenance technician licence, for cases where personnel not having an aviation-related university degree or diploma are recruited, the DGCA indicated that, by 31 March 2001, it would establish the minimum requirements that personnel must meet to join the Deputy Directorate of Airworthiness As to the recommendation to revise the applicable regulations and standards in order to require operators to produce a maintenance control manual containing all the requirements established in Annex 6, Chapters 8 and 11, the DGCA indicated that, by 31 January 2002, it will incorporate the ITTA Manual and the Operator Maintenance Control Manual requirement in the DAR-06 regulations With regard to establishing the requirement that maintenance organizations maintenance programmes and training programmes cover human factors principles, the DGCA indicated that, by 31 January 2002, it will incorporate that requirement into the DAR-06 and DAR-08 regulations As to the establishment of a system for exchanging continuing airworthiness information between air operators, the DGCA, States of Manufacture or Design and design organizations, in accordance with Annex 8, Part II, paragraph 4.2 and Annex 6, Part I, paragraphs and 11.2, the DGCA indicated that, by 31 January 2002, it will incorporate that requirement into the DAR-06 and DAR-08 regulations With regard to the need for air operators to keep detailed maintenance records for at least one year after the signing of a maintenance release, the DGCA indicated that, by 31 January 2002, it will incorporate that requirement into the DAR-06 regulations In respect of the need to amend the contents and format of the certificate of airworthiness to make it similar to the requirements of Annex 8, Part II, Chapter 7, the DGCA indicated that, by 15 June 2001, it will review the current format of the certificate of airworthiness and decide on the advisability of replacing it by the one indicated in Annex 8; in case it decides to maintain the certificate of airworthiness which is currently in effect, the DGCA will notify the difference to ICAO As to the need to establish requirements for special flight authorizations in foreign airspace and for the periodic determination of aircraft mass and balance, the DGCA indicated that, before 15 June 2001, it will study and define the most appropriate means of notifying operators that special flights authorized by the DGCA were not valid in foreign airspace and establish regulations for the physical monitoring of aircraft mass and balance and the frequency thereof With regard to the procedures for recognizing and validating type certificates to ensure that the suitability of the original type certificate had been assessed in relation to the airworthiness code recognized by Chile in the DAR 08, the DGCA indicated that it will study the DAP before 30 July 2001 for the purpose of analysing those aspects in greater depth and detail. 4. COMMENTS The corrective action plan submitted by Chile as a result of this audit is considered satisfactory. If the action plan submitted on 23 October 2000 and revised on 15 December 2000 is executed as indicated, Chile will be in a position to fulfil its safety oversight obligations effectively. The DGCA should keep ICAO regularly informed with regard to the implementation of the proposed action plan and the progress

13 -12- made in accordance with the schedule established. 5. STATUS OF IMPLEMENTATION AND DIFFERENCES FROM THE ICAO SARPs Various differences between ICAO Annexes 1, 6 and 8 and the national regulations of Chile identified during the audit still existed upon completion and presentation of the final report. In accordance with Article 17 of the MOU signed between Chile and ICAO, the differences with regard to international Standards not implemented and the Chilean national regulations will be included in the Supplements to the respective Annexes. The differences concerned are incorporated in Appendices A and B to this summary report.

14 APPENDIX A STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO SARPs (ANNEX 1 PERSONNEL LICENSING) ICAO Standard Chile's regulation DAR/DAP 01 Not covered in full DAR/DAP 01 Not covered in full. Differences between the national regulations of Chile and the ICAO Standards DAR/DAP 01 The licence issued is for lighter-than-air aircraft rather than free balloons DAR/DAP 01 Subparagraph c) is not covered DAR/DAP 01 Covered in relation to the licence and not the rating DAR/DAP 01 Partially covered. 2.6 DAR/DAP 01 The requirements are covered with the rank of a procedure DAR/DAP 01 Subparagraph c) is not covered DAR/DAP 01 The requirements are covered with the rank of a procedure DAR/DAP 01 Commercial pilot knowledge is not required DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered DAR/DAP 01 Called lighter-than-air aircraft pilot licence. 3.3 DAR/DAP 01 Called systems operator licence. 4.2 DAR/DAP 01 Five types of licences are issued DAR/DAP 01 Human performance and limitations are not covered.

15 ICAO Standard Chile's regulation DAR/DAP 01 A DAR/DAP 01 Age 18 years. Differences between the national regulations of Chile and the ICAO Standards Partially covered for licences issued with privileges in accordance with DAR/DAP 01 Covered with the rank of a procedure DAR/DAP 01 Subparagraph d) is not covered DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered DAR/DAP 01 Age 18 years DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered DAR/DAP 01 Partially covered. 4.6 DAR/DAP 01 The licence issued is for flight services operators rather than aeronautical station operators DAR/DAP 01 Partially covered DAR/DAP 01 No date of birth in IV a) DAR/DAP 01 Partially covered. Note. See paragraph 5 of this report. The Chilean national regulations do not cover the following provisions of Annex 1: ; ; ; ; ; ; ; ; ; ; ; ; and

16 A-3 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 Chile's regulation Chapter 5 Res. No. 113 Operation of Public Transport Aircraft, Chapter Res. No. 113, Differences between the national regulations of Chile and the ICAO Standards The aeroplane performance operating limitations are not in conformance with the Annex. The medical supplies are not in conformance with the Annex. 6.3 Res. No. 113, 5.3 Not in conformance with the Annex. 6.9 Res. No. 113, 5.8 Not in conformance with the Annex Res. No. 113, 5.9 Not in conformance with the Annex DAN Not in conformance with the Annex DAN Not in conformance with the Annex Res. No. 113, Not in conformance with the Annex. 7.2 Res. No. 113, 6.2 Not in conformance with the Annex. Chapter 8 Res. No. 113, Not in conformance with the Annex. Chapter N/A Human factors principles are not covered N/A Air operators are not required to keep detailed maintenance records. N/A No system has been established for exchanging information N/A Human factors principles are not covered N/A No system has been established for exchanging information.

17 A-4 ICAO Standard Chile's regulation Differences between the national regulations of Chile and the ICAO Standards The following provisions of Annex 6, Part I are not implemented in Chile: 3.6; 4.8; 6.13; 6.14; 6.16; 6.18; and Note. See paragraph 5 of this report.

18 A-5 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 6 OPERATION OF AIRCRAFT) (PART II International General Aviation Aeroplanes) ICAO Standard Chile's regulation Res. No General Aviation, Res. No General Aviation, 6.5 Differences between the national regulations of Chile and the ICAO Standards The instruments and equipment are not in conformance with the Annex. Not in conformance with the Annex. 6.9 DAN Not in conformance with the Annex DAN Not in conformance with the Annex. 7.1 Res. No General Aviation, Res. No General Aviation, Res. No General Aviation, 8.3 Not in conformance with the Annex. Not in conformance with the Annex. Not in conformance with the Annex. The following provisions of Annex 6, Part II are not implemented in Chile: ; ; 6.5.2; 6.5.3; 6.8; 6.11; and Note. See paragraph 5 of this report.

19 A-6 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 6 OPERATION OF AIRCRAFT) (PART III International Operations Helicopters) ICAO Standard Chile's regulation Differences between the national regulations of Chile and the ICAO Standards Part III N/A Chile has not implemented Annex 6, Part III in its regulations. Note. See paragraph 5 of this report.

20 A-7 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO STANDARDS (ANNEX 8 AIRWORTHINESS OF AIRCRAFT) ICAO Standard Part II Chile's regulation Differences between the national regulations of Chile and the ICAO Standards No system has been established to inform the State of Design when an aircraft is registered in Chile Chile does not have a system to inform the State of Design of information originating in Chile Chile has not established a system for transmitting information on faults, malfunctions, defects and other occurrences. 7 The format of the certificate of airworthiness differs from that required by ICAO. Note. See paragraph 5 of this report.

21 APPENDIX B STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO RECOMMENDED PRACTICES (ANNEX 1 PERSONNEL LICENSING) 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. Differences with Annex Recommended Practices will be included in the Supplement to the relevant Annex if they should remain unimplemented by the time the final report is published. ICAO RPs Chile's regulation DAR/DAP 01 Differences between the national regulations of Chile and the ICAO Recommended Practices The Chilean national regulations do not cover the following provisions of Annex 1: ; ; and Note. See paragraph 5 of this report.

22 B-2 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. Differences with Annex Recommended Practices will be included in the Supplement to the relevant Annex if they should remain unimplemented by the time the final report is published. ICAO RPs Chile's regulation Res. No Operation of Public Transport Aircraft, Res. No. 113, Res. No. 113, 5.6 DAN Differences between the national regulations of Chile and the ICAO Recommended Practices The medical supplies are not in conformance with the Annex. Not in conformance with the Annex. Not in conformance with the Annex. Not in conformance with the Annex DAN Not in conformance with the Annex. The following provisions of Annex 6, Part I are not implemented in Chile: ; ; 6.21; ; ; and Note. See paragraph 5 of this report.

23 B-3 STATUS OF IMPLEMENTATION AND LIST OF DIFFERENCES FROM THE ICAO RECOMMENDED PRACTICES (ANNEX 6 OPERATION OF AIRCRAFT) (PART II International General Aviation 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. Differences with Annex Recommended Practices will be included in the Supplement to the relevant Annex if they should remain unimplemented by the time the final report is published. ICAO RPs Chile's regulation Differences between the national regulations of Chile and the ICAO Recommended Practices 5.1 Res. No Not in conformance with the Annex. General Aviation, DAN Not in conformance with the Annex DAN Not in conformance with the Annex. The following provisions of Annex 6, Part II are not implemented in Chile: 4.4.2; ; ; ; ; ; 6.2.2; and Note. See paragraph 5 of this report. END