Aerodrome Best Practice

(RERR 2nd edition - Issued 2011)

International Civil Aviation Organization

CAA Self-Audit Checklist (RERR 2nd edition - Issued 2011)

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 2

ICAO Self Audit Checklist for CAAs 2 27/01/11

Runway Excursion Risk Reduction CAA Self Audit Checklist Purpose Runway excursion risk factors can be clearly related to airport design, operation and maintenance practices and procedures. ICAO Annex 14 Aerodromes, Volume1 Aerodrome Design and Operations contains extensive specifications which are intended to enhance safety, and many of the Standards and Recommended Practices in the Annex, when properly implemented, will provide strong defences against runway excursion risks. While an aerodrome operator has direct responsibility for many factors that may contribute to runway excursion risks, the Civil Aviation Authority also has a major role to play particularly regarding safety oversight. Although a robust system of safety oversight is important for improving safety, results from the ICAO Universal Safety Oversight Audit Programme have indicated that not all States yet have adequate certification and surveillance activities in place for effective safety oversight of aerodrome operator activity. This self audit checklist is provided as a tool for CAAs to examine and assess their own requirements, organisational and operational policies, procedures and programs so as to better assist aerodrome operators to identify current and potential problems and to plan appropriate corrective actions so as to remove or at least minimize runway excursion risks. The items in the checklist focus on CAA responsibilities and arrangements. When an aerodrome operator is granted a certificate through an effective and transparent safety oversight mechanism, then other organizations operating at the aerodrome can have confidence that, at the time of certification, the aerodrome complies with mandatory requirements regarding the facility and the operator has in place satisfactory procedures and staffing for its operation. Further, an effective safety oversight system, in addition to providing for initial certification, will ensure continued monitoring by the CAA for on-going compliance by the aerodrome operator. This self audit checklist is not intended to comprehensively cover every conceivable risk factor that may contribute to a runway excursion, nor is it intended to over-ride sovereign regulatory requirements. CAAs are encouraged to review this checklist to suit their own particular airports and to modify or enhance it, as necessary, to be relevant and useful to their own particular situations. Readers and users of the guidance material should act on it only after consideration of national safety regulations and requirements, as it is not possible to provide material which will be completely applicable to all situations. It is recommended that action be taken in respect of the material provided only in conjunction with appropriate technical advice. Although ICAO has made every effort to ensure accuracy, it shall not be held responsible for any loss or damage caused by errors, omissions, misprints, or misinterpretation of the contents hereof. Readers are invited to give their views, comments and suggestions about the contents of this document. These should be directed to the Secretary General of ICAO.

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 3

Section 1 CERTIFICATION AND SURVEILLANCE

ICAO Self Audit Checklist for CAAs 3 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

Does the CAA have regulations detailing

the criteria to determine if an aerodrome should be certified?

Does the CAA have legislation or regulations for the certification of aerodromes?

if yes, are copies of aerodrome

enabling regulations (including directives, orders, circulars, publications, etc.), readily available to the public?

Does the CAA certify aerodromes where international operations are conducted?

Does the CAA certify other aerodromes open for public use?

if not, does the CAA have another

effective means to assure compliance with safety requirements?

If the CAA is involved in the provision of

aerodrome facilities and services, is there a clear separation of authority between service provision and safety oversight?

.

Are aerodromes certified by the CAA: in accordance with the specifications

of ICAO Annex 14; and

other relevant ICAO specifications; and

through an appropriate regulatory framework which includes certification criteria and procedures?

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 4

Section 1 CERTIFICATION AND SURVEILLANCE

ICAO Self Audit Checklist for CAAs 4 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

Does the CAA require an acceptable/

approved Aerodrome Manual to be submitted prior to granting of an aerodrome certificate?

Does the CAA conduct continuing oversight of aerodrome operators and associated service providers? If yes,

is a formal inspection program for

continuing surveillance established; and

is a formal audit/inspection procedure

used; and

are procedures implemented to deal with deficiencies found during surveillance activity; and

is action taken if deficiencies are not

rectified within an agreed time?

Does the CAA have the ability to impose operating restrictions and/or sanctions at an aerodrome:

in the event of non-conformance with

certification requirements or mandatory standards ; or

due to an unresolved safety

concern?

For a certified aerodrome does the CAA require the operator to implement a SMS acceptable to the CAA?

Does an acceptable SMS for a certified SMS at least:

identify safety hazards;

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 5

Section 1 CERTIFICATION AND SURVEILLANCE

ICAO Self Audit Checklist for CAAs 5 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

implement necessary remedial actions to maintain safety;

provide for continuous monitoring and regular assessment of safety; and

aim for continuous improvement of the SMS?

Does the SMS clearly define lines of

accountability for safety on the part of senior management?

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 6

Section 2 CAA ORGANIZATION

ICAO Self Audit Checklist for CAAs 6 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

Does the CAA have an organizational

structure, for example a Directorate of Aerodromes Safety and Standards (DASS), for airport certification and surveillance activities?

Have job descriptions been developed for technical staff and key management personnel of the DASS?

Does the CAA have sufficient human resources, (including an appropriate mix of technical disciplines given the size and scope of all the aerodrome operations in the State) to carry out its functions and mandate?

Has the CAA developed and implemented formal training arrangements to provide all necessary training to aerodrome regulatory staff?

Have guidance material and procedures been developed for each technical specialist area?

Are the relevant ICAO documents and

other technical publications up-to-date and readily available to the technical and administrative staff of the DASS?

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 7

Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 7 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

Does the CAA ensure that aerodrome

operators employ competent personnel to perform all critical activities for aerodrome operations and maintenance?

Does the CAA safety oversight process explicitly include coordination with elements of air traffic service (ATS) for the local airspace of an aerodrome?

Does the CAA safety oversight process ensure coordination between aerodrome operator and ATM to ensure up-to-date safety-related information about aerodrome conditions is promulgated?

Does the CAA safety oversight process include procedures for accepting a non-compliance with established requirements, including a risk assessment mechanism and notification procedure?

As part of the certification process, does the CAA use the aerodrome manual as a key safety assurance document to assess both initial and continuing operator competence?

Are aerodrome manuals reviewed periodically to check their amendment status and that the information contained in the manual is correct?

Does the CAA provide guidance for calculating the declared distances for runways?

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Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 8 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

Does the CAA safety oversight process assess how aerodrome operators: monitor and report the condition of

the movement areas and related facilities; and

assess water coverage on runway

surfaces, taking account of the need for aircraft crews to make operational adjustments in accordance with performance requirements in some flight manuals?

Does the CAA safety oversight process ensure aerodrome operators have a process for determining and providing relevant information that a runway, or part of, may be slippery when wet, including:

the minimum friction level for

reporting of slippery runway conditions; and

the type of friction measuring device

used?

Does the CAA require and ensure that aerodromes have plans for the removal of disabled aircraft in compliance with Annex 14?

If yes, do plans for removal of

disabled aircraft contain the aerodrome operators contact information?

Has the CAA established a requirement

for the provision of runway end safety areas (RESA) at aerodromes?

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 9

Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 9 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

If the requirement for RESA has not been implemented at all aerodromes open to public use, can the CAA be satisfied that the runway surroundings are safe for use by aircraft in case of a runway excursion?

Does the CAA permit runway end arresting systems as an adjunct to RESA?

If yes, does CAA provide a specification for such arresting systems?

Has the CAA established a requirement

to prohibit equipment or installations, other than those used for navigation purposes, being located on a runway strip, clearway or obstacle free zone for a precision approach runway?

Does the CAA ensure that aerodrome operators comply with the frangibility and height restriction requirements for equipment or installations located near or on a runway

Does the CAA safety oversight activity include an assessment of the aerodrome visual aids for compliance with specifications for application, location and characteristics of:

indicators; and markings; and markers; and signs; and

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 10

Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 10 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

PAPI or VASIS; and approach and runway lighting?

Does the CAA ensure radio navigation aid and visual aid flight checks are conducted as required when such facilities belong to an aerodrome operator?

Does the CAA ensure that aerodrome operators have a method to monitor lighting system reliability and indicate any fault, appropriate to the type and level of operations?

Does the CAA ensure that aerodrome operators have procedures to remove markings and decommission aeronautical lighting associated with closed runways and taxiways?

Does the CAA ensure that aerodrome operators have procedures to mark all runway closures in accordance with specifications?

Has the CAA assessed the need for, and effectiveness of, aerodrome information markings with its aerodrome operators?

Does the CAA require aerodrome

operators to have preventative and corrective maintenance programmes to ensure runway cleanliness, such programmes to include:

pavement inspections: and

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 11

Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 11 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

regular monitoring to eliminate loose

objects/debris

Does the CAA ensure that aerodrome

operators have defined maintenance performance level objectives for visual aids as part of their preventive maintenance programme?

Does the CAA have regulations

restricting construction or maintenance activities in the proximity of aerodrome electrical systems during low visibility operations?

Does the CAA have regulations for the

measurement of runway friction characteristics including the definition of the minimum maintenance level?

Does the CAA require and ensure that

aerodrome operators establish procedures for the timely removal of snow, slush and ice?

Does the CAA ensure that aerodrome

operators implement the restrictions about objects on runway strips?

Does the CAA ensure routine flight

inspections of radio and visual approach aids by:

using its own equipment and

resources; or by arrangement with one or more

other Contracting States; or

Runway Excursion Risk Reduction Toolkit – CAA Self-Audit Checklist RERR 2nd edition 12

Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 12 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

delegation of the service provision to a non-governmental agency?

Does the CAA have regulations for

operators to develop, implement and periodically test aerodrome emergency plans?

Does the CAA ensure the

implementation of requirements for the availability and coordination of specialist rescue services to be included in the emergency plans of aerodromes close to water, swampy areas or difficult terrain?

Does the CAA require and ensure the

implementation of requirements for RFFS, including at least:

the determination of RFF services to

be provided at an aerodrome;

RFF extinguishing agent specifications;

the minimum number of RFF

vehicles, together with the associated building facilities and their location;

a discrete communication system

and an alerting system among vehicles, fire stations and aerodrome control towers;

emergency access roads;

training for fire fighting personnel, including live fire drills;

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Section 3 CAA SAFETY OVERSIGHT

ICAO Self Audit Checklist for CAAs 13 27/01/11

TOPIC

RESPONSE

YES NO

REMARKS /ACTION

REQUIRED

responding fire fighting personnel to

be equipped with the necessary protective and respiratory equipment; and

sufficient trained personnel to

operate all the necessary RFF equipment at maximum capacity, meet the minimum response times and maintain continuous agent application at the appropriate rate?

Whenever a change to the aerodrome

physical characteristics, facilities or equipment is proposed, does the CAA ensure that the aerodrome operator has a procedure for evaluating the impact of this change on the safety of the existing operation?