FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT … Audit...1A-1 Findings and recommendations related to...

ICAO Universal Safety Oversight Audit Programme

FINAL REPORT

ON THE SAFETY OVERSIGHT AUDIT

OF THE

CIVIL AVIATION SYSTEM

OF

THE UNITED KINGDOM

(3 to 20 February 2009)

International Civil Aviation Organization

Final Safety Oversight Audit Report — United Kingdom March 2010

TABLE OF CONTENTS

Page

1. INTRODUCTION ........................................................................................................................ 1

1.1 Background ........................................................................................................................... 1

1.2 ICAO audit team composition ............................................................................................... 1

1.3 Acknowledgements ............................................................................................................... 2 2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION ............................................ 2 3. AUDIT RESULTS ....................................................................................................................... 3

3.1 The United Kingdom as an ICAO Contracting State — An Overview ........................... 3

3.2 The UK Main ........................................................................................................................ 4

3.2.1 Critical element 1 — Primary aviation legislation ...................................................... 4

3.2.2 Critical element 2 — Specific operating regulations .................................................. 8

3.2.3 Critical element 3 — State civil aviation system and safety oversight functions ...... 12

3.2.4 Critical element 4 — Technical personnel qualification and training ....................... 17

3.2.5 Critical element 5 — Technical guidance, tools and the provision of safety critical

information ............................................................................................................... 19

3.2.6 Critical element 6 — Licensing, certification, authorization and/or

approval obligations .................................................................................................. 21

3.2.7 Critical element 7 — Surveillance obligations ......................................................... 24

3.2.8 Critical element 8 — Resolution of safety concerns ................................................. 26

3.3 The UK Overseas Territories ........................................................................................... 28

3.3.1 Critical element 1 — Primary aviation legislation .................................................... 28

3.3.2 Critical element 2 — Specific operating regulations ................................................ 31



3.3.5 Critical element 5 — Technical guidance, tools and the provision of safety critical

information ............................................................................................................... 40





3.4 The UK Crown Dependencies ........................................................................................... 47

3.4.1 Critical element 1 — Primary aviation legislation .................................................... 47

3.4.2 Critical element 2 — Specific operating regulations ................................................ 50



3.4.5 Critical element 5 — Technical guidance, tools and the provision of

safety critical information ......................................................................................... 55



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4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS ....................................................... 59

5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ........................................ 60

6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ) ............................................. 60

7. COMPLIANCE CHECKLISTS (CCs) .................................................................................... 60

8. FOLLOW-UP ACTION ............................................................................................................ 60

APPENDICES

1 — Audit findings and recommendations

Part 1 A — The UK Main

1A-1 Findings and recommendations related to primary aviation legislation and civil aviation

regulations

1A-2 Findings and recommendations related to civil aviation organization

1A-3 Findings and recommendations related to personnel licensing and training

1A-4 Findings and recommendations related to aircraft operations certification and supervision

1A-5 Findings and recommendations related to airworthiness of aircraft

1A-6 Findings and recommendations related to aircraft accident and incident investigation

1A-7 Findings and recommendations related to air navigation services

1A-8 Findings and recommendations related to aerodromes

Part 1 B — The UK Overseas Territories — ASSI/Bermuda

1B-1 Findings and recommendations related to primary aviation legislation and civil aviation

regulations

1B-2 Findings and recommendations related to civil aviation organization

1B-3 Findings and recommendations related to personnel licensing and training

1B-4 Findings and recommendations related to aircraft operations certification and supervision

1B-5 Findings and recommendations related to airworthiness of aircraft

1B-6 Findings and recommendations related to aircraft accident and incident investigation

1B-7 Findings and recommendations related to air navigation services

1B-8 Findings and recommendations related to aerodromes

Part 1 C — Isle of Man — As an Example of a Crown Dependency

1C-1 Findings and recommendations related to primary aviation legislation and civil aviation

regulations

1C-2 Findings and recommendations related to civil aviation organization

1C-3 Findings and recommendations related to personnel licensing and training

1C-4 Findings and recommendations related to aircraft operations certification and supervision

1C-5 Findings and recommendations related to airworthiness of aircraft

1C-6 Findings and recommendations related to aircraft accident and incident investigation

1C-7 Findings and recommendations related to air navigation services

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1C-8 Findings and recommendations related to aerodromes

2 — Graphic representation of the lack of effective implementation of the critical elements

2 — The United Kingdom

2 A — The UK Main

2 B — The UK Overseas Territories — ASSI/Bermuda

2 C — Isle of Man — As an Example of a Crown Dependency

3 — Corrective action plan proposed for

3 A — The UK Main

3 B — The UK Overseas Territories

3 C — The UK Crown Dependencies and Gibraltar

— — — — — — — —


ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Final Report on the Safety Oversight Audit

of the Civil Aviation System of the United Kingdom

(3 to 20 February 2009)

1. INTRODUCTION

1.1 Background

1.1.1 The 32nd Session of the ICAO Assembly (Assembly Resolution A32-11 refers) resolved the

establishment of the ICAO Universal Safety Oversight Audit Programme (USOAP), comprising regular,

mandatory, systematic and harmonized safety audits of all Contracting States. The mandate for regular audits

foresaw the continuation of the Programme, and the term ―safety audits‖ suggested that all safety-related areas

should be audited. The expansion of the Programme ―at the appropriate time‖, as recommended by the 1997

Directors General of Civil Aviation Conference on a Global Strategy for Safety Oversight, had thus been

accepted as an integral part of the future of the Programme.

1.1.2 The 35th Session of the ICAO Assembly considered a proposal of the Council for the

continuation and expansion of the USOAP as of 2005 and resolved that the Programme be expanded to cover

all safety-related Annexes to the Convention on International Civil Aviation, hereinafter referred to as the

―Chicago Convention‖ (Assembly Resolution A35-6 refers). The Assembly also requested the

Secretary General to adopt a comprehensive systems approach for the conduct of safety oversight audits.

1.1.3 Assembly Resolution A35-6 further directed the Secretary General to ensure that the

comprehensive systems approach maintain as core elements the safety provisions contained in Annex 1 ―

Personnel Licensing, Annex 6 ― Operation of Aircraft, Annex 8 ― Airworthiness of Aircraft, Annex 11 ―

Air Traffic Services, Annex 13 ― Aircraft Accident and Incident Investigation and Annex 14 ― Aerodromes;

to make all aspects of the auditing process visible to Contracting States; to make the final safety oversight audit

reports available to all Contracting States; and also to provide access to all relevant information derived from

the Audit Findings and Differences Database (AFDD) through the secure website of ICAO.

1.1.4 In accordance with Assembly Resolution A35-6, safety oversight audit reports have been

restructured to reflect the critical elements of a safety oversight system, as presented in ICAO Doc 9734 —

Safety Oversight Manual, Part A — The Establishment and Management of a State’s Safety Oversight System.

ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need

to consider these critical elements.

1.2 ICAO audit team composition

1.2.1 The safety oversight audit team was composed of Mr. Nicolas Rallo, team leader, primary

aviation legislation (LEG)/civil aviation organization (ORG)/aircraft accident and incident investigation (AIG);

Ms. Elizabeth Gnehm, team member, LEG/ORG/ airworthiness of aircraft (AIR); Mr. Hatem Dibian, team

member, AIR; Mr. Cristian Olinescu, team member, personnel licensing (PEL)/aircraft operations (OPS);

Ms. Janet McLaughlin, team member, dangerous goods; Mr. Thierry Allain, team member, OPS;

Mr. Dhiraj Ramdoyal, team member, air navigation services (ANS); Ms. Siew Huang Tay, team member,

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ANS; Mr. Francesco Preti, team member, on-the-job training (OJT)/ANS; Mr. Wang Yong, team member,

aerodromes (AGA); and Mr. Egon Grösslein, team member, AGA.

1.3 Acknowledgements

1.3.1 ICAO expresses its sincere appreciation for the assistance provided to the audit team during

the preparation and conduct of the audit. The professionalism and enthusiasm of all personnel who interacted

with the audit team greatly contributed to the success of the audit mission.

2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION

2.1 The comprehensive systems approach for the conduct of safety oversight audits consists of

three phases. In the first phase, the level of implementation of Annex provisions is assessed and differences

from ICAO Standards and Recommended Practices (SARPs) are identified for each Contracting State through

a review of a duly completed State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs)

for all safety-related Annexes, as well as through a review of documents developed by the State to assist it in

implementing SARPs and in maintaining an effective safety oversight system. In the second phase, the State

being audited is visited by an ICAO audit team to validate the information provided by the State and to conduct

an on-site audit of the State’s overall capability for safety oversight. The third phase of the audit process

consists of the activities following the completion of the on-site audit.

2.2 The safety oversight audit of the United Kingdom of Great Britain and Northern Ireland

(hereafter referred to as the United Kingdom or UK) was carried out from 3 to 20 February 2009 in accordance

with the standard auditing procedures provided for in ICAO Doc 9735 — Safety Oversight Audit Manual and

the revised Memorandum of Understanding (MOU) as approved by the ICAO Council on 29 November 2006

(C-DEC 179/12 refers) and agreed to on 19 May 2008 between the United Kingdom and ICAO. The audit was

carried out with the objective of fulfilling the mandate given by the Assembly which requires ICAO to conduct

a safety oversight audit of all Contracting States (Assembly Resolutions A32-11 and A35-6 refer), reviewing a

State’s compliance with ICAO SARPs set out in all safety related Annexes and their associated guidance

material, as well as with related Procedures for Air Navigation Services (PANS). Furthermore, the objective

was also to offer advice, as applicable, to the United Kingdom in implementing these provisions.

2.3 The audit team reviewed the SAAQs and the CCs submitted by the United Kingdom prior to

the on-site audit in order to have a preliminary understanding of the civil aviation system established in the

State, to determine its various functions as well as to assess the status of implementation of relevant Annex

provisions. Information provided and assessed prior to the conduct of the audit was validated during the on-site

audit phase. In this regard, particular attention was given to the presence of an adequate organization,

processes, procedures and programmes established and maintained by the United Kingdom to assist it in

fulfilling its safety oversight obligations.

2.4 On 15 July 2002, the European Community adopted Regulation (EC) No 1592/2002 of the

European Parliament and of the Council on common rules in the field of civil aviation and establishing a

European Aviation Safety Agency (EASA). This regulation provides for the transfer of regulatory

competencies in the fields of airworthiness, continuing airworthiness and environmental certification from the

Member States of the European Union (EU) to EASA. On 10 March 2005, the United Kingdom advised ICAO

in writing of the transfer of such competencies to EASA.

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2.5 Since the transfer of competencies to EASA reflects on the scope of the ICAO safety oversight

audits under the comprehensive systems approach, ICAO performed an initial audit of EASA, from

29 November to 2 December 2005. On 20 February 2008, the European Community adopted Regulation (EC)

No 216/2008 of the European Parliament and of the Council, repealing Regulation (EC) No 1592/2002 of the

European Parliament and of the Council. Regulation (EC) No 216/2008 extends the scope of competence of

EASA to pilot licensing, aircraft operations and aircraft used by third-country operators. Taking into

consideration the extension of the scope of competence of EASA and additional changes within the

organization since the initial safety oversight audit of 2005 by ICAO, ICAO performed a second audit of

EASA from 23 to 25 April 2008. The EASA audit results are available to all Contracting States on the ICAO

USOAP secure website (http://www.icao.int/soa). It should be noted that the United Kingdom will always

maintain the responsibility for all audit results that are derived from the audits carried out on EASA from time

to time. As a result, the latest EASA safety oversight audit report should be reviewed together with this report.

2.6 The audit results including the findings and recommendations contained in this report reflect

the capabilities and limitations of the civil aviation system of the United Kingdom as assessed by the audit

team. They are thus based on evidence gathered during interviews by the audit team with the technical experts

of the United Kingdom and background information provided by such personnel, review and analysis of civil

aviation legislation, specific regulations, and related documentation and file records. Considering the time that

was available to conduct the audit and the fact that the safety oversight audit team members could only review

and analyse information and documentation made available by the State, it is possible that some safety

concerns may not have been identified during the audit. The findings and recommendations related to each

audit area are found in Appendix 1 to this report.

3. AUDIT RESULTS

3.1 The United Kingdom as an ICAO Contracting State — An Overview

3.1.1 The United Kingdom (UK), as an ICAO Contracting State, is made up of three ―components‖:

the UK Main (formed by the United Kingdom of Great Britain and Northern Ireland), the UK Overseas

Territories, and the Crown Dependencies. A constitutional monarchy, with the Queen as the Head of State, the

United Kingdom has 14 Overseas Territories under its sovereignty. In addition, the Crown Dependencies

comprising of the Isle of Man (IoM) and the Channel Island bailiwicks of Jersey and Guernsey are possessions

of The Crown in Right of the United Kingdom (as opposed to Overseas Territories or colonies of the United

Kingdom), which exercises sovereignty over them.

3.1.2 The UK Government remains responsible for the foreign affairs and defence of both the

Overseas Territories and the Crown Dependencies. The UK Department for Transport (DfT) is the primary

government body responsible for civil aviation in the United Kingdom and for upholding the United

Kingdom’s compliance with the Chicago Convention. As such, the DfT establishes the overall aviation policy

across all three components of the United Kingdom in cooperation with the Foreign and Commonwealth Office

(FCO) for the Overseas Territories and the Ministry of Justice for the Crown Dependencies.

3.1.3 Each Crown Dependency has a Chief Minister as Head of Government. However, as they are

possessions of the British Crown, they are not sovereign nations in their own right. The power to pass

legislation affecting the Crown Dependencies rests with their own legislative assemblies, but most ―local‖

legislation has to receive the approval of the ―Queen in Council,‖ in effect, the Privy Council in London, with a

UK minister acting as the Privy Counsellor with responsibility for the Crown Dependencies. In some cases, the

UK Parliament has the authority to legislate on behalf of the Crown Dependencies.

http://www.icao.int/soa

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3.1.4 The United Kingdom is a Member State of the EU, but the Crown Dependencies — which

decided not to join the European Community (EC) when the United Kingdom joined it — and the UK

Overseas Territories (except Gibraltar) are not part of the EU. An MOU has been concluded between the

United Kingdom and each Crown Dependency regarding aviation safety regulation and it outlines the

responsibilities of each party for meeting the United Kingdom’s international obligations as an ICAO

Contracting State to ensure that the provisions of the Chicago Convention and all ICAO SARPs are

implemented in each Crown Dependency.

3.1.5 The 14 UK Overseas Territories are: Anguilla, Bermuda, British Indian Ocean Territory,

British Antarctic Territory, British Virgin Islands, Cayman Islands, Falkland Islands, Gibraltar, Montserrat,

Pitcairn Islands, St Helena and its Dependencies (Ascension Island and Tristan da Cunha), South Georgia and

South Sandwich Islands, Sovereign Base Areas of Akrotiri and Dhekelia, and Turks and Caicos Islands. In the

main, the UK Overseas Territories have separate constitutions with elected governments which are responsible

for the day-to-day administration. External affairs, safety, defence, and aviation security are the responsibilities

of the British Government. Each Overseas Territory has its own legal system independent of the UK Main. The

Queen appoints a representative in each Overseas Territory to exercise her executive power. In territories with

a permanent population, a Governor is appointed by the Queen on the advice of the British Government. The

role of the Governor is to act as the de facto Head of State, and he or she is usually responsible for appointing

the Head of Government and senior political officials in the territory. The Governor is also responsible for

liaising with the UK Government.

3.1.6 To provide a cohesive system of civil aviation safety regulation in the UK Overseas

Territories, the United Kingdom established on 1 April 2003 Air Safety Support International Ltd (ASSI) as a

wholly owned subsidiary of the UK Civil Aviation Authority (UKCAA) and funded by the UK DfT. The

company’s remit, through Directions from the UK Secretary of State to the UKCAA, is:

a) to audit safety regulation in each Overseas Territory;

b) to provide assistance, training and advice to the Overseas Territories;

c) to carry out safety regulation where designated by the Governor;

d) to draft amendments to the Air Navigation (Overseas Territories) Order

(AN(OT)O) 2001 (currently the 2007 Order); and

e) to produce the means of compliance with the legislation.

3.2 The UK Main

3.2.1 Critical element 1 ─ Primary aviation legislation

―The provision of a comprehensive and effective aviation law consistent with the environment

and complexity of the State’s aviation activity, and compliant with the requirements contained

in the Convention on International Civil Aviation.‖

3.2.1.1 The principal sources of UK law are the UK national legislation, Crown prerogative powers,

and European legislation.

a) UK national legislation is composed of primary legislation enacted by Parliament and

secondary legislation made up of Orders or Regulations enacted under the enabling

powers provided by the primary legislation.

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b) The Crown retains certain prerogative powers that are, in practice, exercised through

Ministers on behalf of the Crown and which may be used in the absence of Statutory

Instruments.

c) EC legislation includes Regulations which, general in application, are binding in their

entirety and directly applicable in the United Kingdom, and Directives which must be

implemented in the national legislation but are binding in respect of the result to be

achieved.

3.2.1.2 Primary legislation in the United Kingdom is drafted and amended according to a procedure

involving substantial scrutiny by both Houses of Parliament in several stages. Typically, such procedure takes

several months, except in rare and exceptional cases. Many Acts of Parliament authorize the drafting of

secondary legislation (Statutory Instruments) addressing specific issues and outline the applicable procedure

for the promulgation of said legislation.

3.2.1.3 The primary aviation legislation in the United Kingdom is the Civil Aviation Act 1982, (or the

―Act‖), last amended by the Civil Aviation Act 2006. The Act has 110 sections divided into five parts:

1) Administration; 2) Aerodromes and Other Land; 3) Regulation of Civil Aviation; 4) Aircraft; and

5) Miscellaneous and General, along with 16 Schedules, each related to a specific Section. In addition, the

primary aviation legislation is supplemented by certain provisions in the Transport Act 2000.

3.2.1.4 Section 60 of the Act provides for the making of an Order in Council, referred to as an Air

Navigation Order (ANO), in order to carry out the Chicago Convention and its Annexes. An Order in Council

is made in the name of the Queen by the Privy Council (Queen-in-Council). When it establishes a legal

requirement, an Order in Council is considered another form of Statutory Instrument that is subject to UK

parliamentary scrutiny. An Order in Council is an important means of giving the force of law to more

significant executive orders. It is also used to extend civil aviation legislation to the Overseas Territories as

well as the Crown Dependencies. Under subsection (3) of Section 60, an ANO may contain provisions

stipulating, inter alia, the manner and conditions for the issuance, validation, renewal, extension or variation as

well as cancellation, suspension and surrender of certificates, licences and other required documents, and

―generally for securing the safety, efficiency and regularity of air navigation.‖

3.2.1.5 The Air Navigation Order 2005 (―ANO 2005‖), last amended in 2008, constitutes the highest

level of civil aviation regulation. Divided into 14 parts and 15 Schedules, it includes provisions on the

certification and supervision of commercial air transport operators, airworthiness and equipment of aircraft,

flight crew licensing, operation of aircraft, fatigue of air crew, aerodromes and air traffic services (ATS). As

specified in the Act, any ANO or amendment comes into force through the negative resolution procedure, i.e. a

draft legislation is presented to Parliament and in the absence of any objection, it comes into force after not less

than 21 days.

3.2.1.6 The UKCAA was established under Section 2 of the Act, and its functions are defined in

Section 3 of the same Act. The power to issue Directives is provided for in various articles of the ANO 2005

pertaining to each technical area. In addition, Article 167 of the ANO 2005 identifies the UKCAA as the

―national aviation authority‖ and the ―competent authority‖ of the United Kingdom for the purposes of

Regulation (EC) No. 216/2008 of the European Parliament and of the Council of 20 February 2008 on

common rules in the field of civil aviation and establishing a European Aviation Safety Agency (repealing

Regulation (EC) No 1592/2002 of the European Parliament and of the Council of 15 July 2002).

3.2.1.7 Pursuant to Section 60 of the Act and Articles 24, 90, 144 and 145 of the ANO 2005, persons

authorized by the UKCAA have the right of access to any aerodrome, ―any place where an aircraft has landed,‖

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―any building or place from which an air traffic control service is provided‖ or ―any factory‖ for the purpose of

inspecting the aerodrome, an aircraft or documents. Under Article 144 of the ANO 2005, the UKCAA may

detain an aircraft if it appears intended or likely to be flown in contravention of the specified safety

requirements or be ―in a condition unfit for flight.‖ Article 24 of the ANO 2005 grants further access and

inspection powers for airworthiness purposes by allowing an authorized person ―to go upon any aerodrome or

enter any aircraft factory.‖ Article 88 requires the operator or commander of an aircraft to present to an

authorized person relevant documents and records, while Article 90 grants an authorized person the power to

inspect and copy such documents and records.

3.2.1.8 Section 61 of the Act makes infringement of a provision of an ANO a criminal offence. In

addition, Article 148 and Schedule 14 of the ANO 2005 outline the enforcement actions and penalties to be

imposed on persons who contravene the ANO 2005 or regulations including the EC Regulations. The

responsibility for enforcement has been given to the UKCAA by the DfT. Additionally, Article 92 authorizes

the UKCAA to provisionally suspend or vary any certificate, licence or other document issued, granted or

having effect under ANO 2005.

3.2.1.9 The United Kingdom ratified Article 83 bis of the Chicago Convention on 16 March 1981 to

allow for the transfer of certain functions and duties from the State of Registry to the State of the Operator.

Articles 8(1), 20(1), 26(3) and 55(1) of the ANO 2005 establish the recognition of certificates and licences

issued by the State of Registry or the State of Operator. The definition for State of the Operator in the Order is

the same as the ICAO definition, with the added condition that the State of Registry has, by agreement with the

State of the Operator, agreed to transfer to it its functions and duties as State of Registry in respect of that

aircraft in relation to airworthiness, aircraft radio equipment, flight crew licensing, and radio licensing. UK-

registered aircraft are not permitted to have certificates of airworthiness, radio equipment approvals, flight crew

licences or radio licences issued by (another) State of Operator.

3.2.1.10 With respect to personnel licensing, the essential legal provisions are outlined in the

ANO 2005, Part 3 (―Airworthiness and equipment of the aircraft‖), Part 4 (―Aircraft crew and licensing‖), and

Part 10 (―Licensing of air traffic controllers‖). The ANO 2005 also requires licensed aviation personnel to be

medically fit and qualified according to the established aeronautical licensing requirements.

3.2.1.11 With respect to aircraft operations, Regulation (EC) No 1008/2008 of the European Parliament

and of the Council of 24 September 2008 on common rules for the operation of air services in the Community

requires that ―no undertaking established in the Community shall be permitted to carry by air passengers, mail

and/or cargo for remuneration and/or hire unless it has been granted the appropriate operating licence.‖ The

issuance and validity of an operating licence are dependent upon the possession of a valid air operator

certificate (AOC) issued in accordance with the applicable regulation.

a) For commercial air transport by aeroplane, the applicable regulation is the EU OPS (i.e.

Commission Regulation (EC) No 859/2008 of 20 August 2008 amending Council

Regulation (EEC) No 3922/91 of 16 December 1991).

b) For commercial air transport by helicopter, the legal basis is outlined in the ANO 2005.

c) With respect to the transport of dangerous goods by air, the ANO 2005 in Article 70(1)

authorizes the Secretary of State to make dangerous goods-related regulations.

3.2.1.12 With respect to airworthiness and maintenance of aircraft, the adoption on 15 July 2002 of

Regulation (EC) No 1592/2002 of the European Parliament and of the Council (recently replaced by

Regulation (EC) No 216/2008) paved the way for a centralized EC system of air safety and environment

regulations and for the establishment of EASA, which was launched in September 2003. (Note: More details

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on EASA and its areas of competence can be found in the ICAO final safety oversight audit report of EASA.)

In addition, subsection 3 of Section 60 of the Act provides for the making of an Air Navigation Order with

provisions on the registration of aircraft in the United Kingdom, prohibition for aircraft to fly without a valid

certificate of airworthiness and unless the maintenance and repair requirements specified in the Order have

been met, and prohibition for aircraft to take off or land in the United Kingdom without a valid noise

certificate.

3.2.1.13 In the field of air navigation services, the Transport Act 2000, in Schedule 8 (―Amendments

About Air Traffic‖), Part II (―Air Navigation Services‖), Chapter 8 amends Section 72 of the Act which puts

an end to the duty of the UKCAA to provide air navigation services. Accordingly, the National Air Traffic

Services Limited (NATS), formerly a wholly owned subsidiary of the UKCAA, was partially privatized in

2001 and given the sole responsibility to provide air navigation services for en-route purposes.

3.2.1.14 The UKCAA is given responsibility for the safety and economic regulation of NATS and

responsibility for the airspace policy of the United Kingdom as a whole. Under Part I, Section 2(1) of the

Transport Act 2000, the UKCAA must exercise its functions ―so as to maintain a high level of safety in the

provision of air traffic services.‖

3.2.1.15 Pursuant to Section 66(1) of the Transport Act 2000, the Secretary of State for the

Environment, Transport and the Regions assigned to the UKCAA, under the Civil Aviation Authority (Air

Navigation) Directions 2001 (as varied in 2004), the duty to ―discharge the responsibilities of the UK

Meteorological Authority‖ in accordance with Annex 3 to the Chicago Convention as well as to ―be

responsible for the form and content of the UK Aeronautical Information Publication (AIP) and ensure that an

Aeronautical Information Service (AIS) is provided in accordance with international obligations.‖ It is noted

however that the Directorate of Airspace Policy (DAP) of the UKCAA also ensures both regulatory/safety

oversight and service provision functions in the areas of PANS-OPS and Aeronautical Charts.

3.2.1.16 Parts 9 to 12 of the ANO 2005 govern ATS, the licensing of air traffic controllers (ATCOs),

flight information service (FIS) and the licensing of FIS Officers as well as ATS equipment. In particular,

Part 9, Article 100 states that the UKCAA ―shall grant an air traffic control approval if it is satisfied that the

applicant is competent, having regard to his organisation, staffing, equipment, maintenance and other

arrangements, to provide a service which is safe for use by aircraft.‖ Schedules 11 and 12 of the ANO 2005 lay

down details about the licensing of ATCOs and ATS equipment, respectively.

3.2.1.17 With respect to the provision of search and rescue (SAR) services, under the Crown’s

prerogative powers, the Secretary of State for Transport (DfT) is responsible for civil aeronautical SAR, and by

agreement, has delegated some responsibilities to the Ministry of Defense (MoD) under paragraph 5.2.1 of the

SAR Framework for the United Kingdom of Great Britain and Northern Ireland (April 2008). Similarly, under

the Crown’s prerogative powers, the Secretary of State for Defense arranges for the UK Royal Air Force (RAF)

to provide aeronautical SAR capability and establishes the Aeronautical Rescue Coordination Centre (ARCC)

at the RAF station in Kinloss.

3.2.1.18 With respect to AIS, ATS, CNS and MET, the United Kingdom is also directly legislated by

the four Single European Sky (SES) Regulations of the European Parliament and the Council promulgated on

10 March 2004. These are:

a) Regulation (EC) No 549/2004 of the European Parliament and of the Council of

10 March 2004, which laid down the framework of the creation of the Single European

Sky;

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b) Regulation (EC) No 550/2004 of the European Parliament and of the Council of

10 March 2004 on the provision of services in the Single European Sky;

c) Regulation (EC) No 551/2004 of the European Parliament and of the Council of

10 March 2004 on the organization and the use of the airspace in the Single European

Sky, and

d) Regulation (EC) No 552/2004 of the European Parliament and of the Council of

10 March 2004 on the interoperability of the European air traffic management network.

3.2.1.18.1 In addition, pursuant to Regulation (EC) No. 550/2004, the European Commission issued the

Commission Regulation (EC) No 1315/2007 of 8 November 2007 addressing the requirements for safety

oversight in air traffic management and amending Regulation (EC) No 2096/2005 of 20 December 2005.

3.2.1.19 With respect to aerodromes, the ANO 2005 in Part 13 lays down the basic legal provisions

regarding the establishment and operation of aerodromes. Article 126 of the ANO 2005 requires that in the

United Kingdom, specified flights for the purpose of public transport of passengers or of instruction in flying

take place only at a licensed aerodrome or a Government aerodrome. The issuance of an aerodrome licence,

including submission of an aerodrome manual, is addressed by Articles 128 and 166 of the ANO 2005.

Article 126 of the ANO 2005 requires that helicopter operations be conducted at, from or to a licensed facility

in accordance with Annex 14, Volume II to the Chicago Convention. Regarding the aerodrome manual, the

information and instructions to be included are described in Schedule 13 of the ANO 2005. Meanwhile,

Sections 45 and 46 of the Act empower the Secretary of State to impose prohibitions or restrictions on the use

of any area of land or water ―for purpose of securing safety at aerodromes‖ and ―to exercise control over land

in the interests of civil aviation.‖

3.2.1.20 With respect to aircraft accident and incident investigations, Section 75 of the Act authorizes

the Secretary of State to make regulations ―for the investigation of any accident arising out of or in the course

of air navigation and either occurring in the United Kingdom or occurring elsewhere to aircraft registered in the

United Kingdom.‖ It also provides for the implementation of the requirements and for the imposition of

penalties for non-compliance with the regulations. Meanwhile, Article 142 of the ANO 2005 addresses

mandatory and voluntary reporting of occurrences.

3.2.2 Critical element 2 ─ Specific operating regulations

―The provision of adequate regulations to address, at a minimum, national requirements

emanating from the primary aviation legislation and providing for standardized operational

procedures, equipment and infrastructures (including safety management and training

systems), in conformance with the Standards and Recommended Practices (SARPs) contained

in the Annexes to the Convention on International Civil Aviation.

Note.— The term ‘regulations’ is used in a generic sense to include instructions, rules, edicts,

directives, sets of laws, requirements, policies, orders, etc.”

3.2.2.1 The UKCAA develops and proposes changes to the ANO and regulations, but does not have

the power to actually amend the regulations or legislation. Promulgation and/or amendments of UK regulations

(including the ANO) are made by Order in Council authorized by the Act or any other enactment.

3.2.2.2 Under the ANO 2005, the UKCAA has discretionary powers to issue an approval only if it is

satisfied that the applicant is competent. To support the evaluation of an applicant’s competency, the UKCAA

has published requirements for the issuance of approvals in various Civil Aviation Publications (CAPs). When

- 9 -


a CAP contains requirements that are based on ICAO SARPs, an ICAO compliance statement is added to the

CAP to indicate that the UKCAA will use the document as a reference in exercising its discretionary powers to

ensure effective implementation of the international standards.

3.2.2.3 With respect to compliance with the Annexes to the Chicago Convention, specifically

Annexes 1, 2, 3, 4, 6, 7, 8, 10, 11, 14, 15 and 18 for which the UKCAA retains responsibility, the Secretary of

Transport has issued the Civil Aviation Authority (Chicago Convention) Directions 2007, which states that

―the CAA will consider whether it is necessary to amend United Kingdom aviation legislation to ensure

appropriate implementation of an ICAO provision,‖ or if appropriate, the notification of any differences.

Where the UKCAA considers an amendment to be necessary, the CAA Legal Services Directorate is instructed

to draft the relevant proposal for submission to the Secretary of State.

3.2.2.3.1 The Air Accidents Investigation Branch (AAIB) is responsible for Annex 13 to the Chicago

Convention and sends instructions directly to the Legal Branch at the DfT.

3.2.2.3.2 The responsibility for Annex 16 to the Chicago Convention lies with the Aviation

Environmental Policy Division under the DfT but implemented by EU Regulations.

3.2.2.3.3 The UK SAR Strategic Committee is responsible for Annex 12 to the Chicago Convention.

3.2.2.3.4 The United Kingdom has not established formal requirements about the specific units of

measurement to be used in air and ground operations in accordance with Annex 5 to the Chicago Convention.

3.2.2.3.5. Differences between the Annexes to the Chicago Convention and the regulations applicable in

the United Kingdom are published in the AIP under GEN 1.7.

3.2.2.4 The aviation legislation of the United Kingdom, including the Act, ANO 2005, and others, are

published on the UK Office of Public Sector Information website (http://www.opsi.gov.uk) or on the UK

Statute Law database (http://www.statutelaw.gov.uk). UKCAA publications are available from the UKCAA

website (http://www.caa.co.uk), and the European Regulations can be found on http://eur-

lex.europa.eu/en/index.htm.

3.2.2.5 With respect to personnel licensing, detailed requirements that applicants must meet in order

to obtain pilot licences are outlined in the UKCAA publication entitled LASORS, which is updated annually.

The LASORS elaborates on the European requirements for pilot licensing as set down in the Joint Aviation

Requirements — Flight Crew Licensing 1 (JAR-FCL 1) and JAR-FCL 2. Although the ANO 2005 makes

reference to JAR-FCL 1 Amendment 5 and JAR-FCL 2 Amendment 3, the latest amendments of JAR-FCL

were introduced through an Aeronautical Information Circular (AIC). There are however no regulatory

provisions addressing the latest amendments to Annex 1 to the Chicago Convention regarding language

proficiency for air traffic controllers.

3.2.2.6 The UKCAA has issued three CAPs on the licensing of ATCOs, namely:

1) CAP 744 (The UK Manual of Personnel Licensing— Air Traffic Controllers),

2) CAP 584 (Requirements of Initial Air Traffic Control Training), and

3) CAP 624 Parts A – O (Rating Requirements for Air Traffic Controllers).

3.2.2.6.1 For aircraft maintenance engineer licences, the provisions are found in EC legislation (i.e.

Commission Regulation (EC) No 2042/2003 of 20 November 2003). However, as EC legislation does not apply

http://www.opsi.gov.uk/

http://www.statutelaw.gov.uk/

http://www.caa.co.uk/

http://eur-lex.europa.eu/en/index.htm

http://eur-lex.europa.eu/en/index.htm

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to all aircraft, some maintenance engineers have retained their BCAR Section L National licences to carry out

their tasks on those aircraft.

3.2.2.7 The specific medical requirements for flight crew (except flight engineers) are described in

JAR-FCL 3 Amendment 5 (dated 1 December 2006). Meanwhile, medical standards for ATCOs are outlined

in the Civil Aviation Authority Guidance Notes for Authorized Medical Examiners (dated October 1997).

However, the content of this document does not constitute regulatory requirements and also does not reflect the

latest amendments to Annex 1 to the Chicago Convention.

3.2.2.8 With respect to aircraft operations, commercial aircraft operations with aeroplanes are

conducted in the UK Main in accordance with the EU-OPS, which is the transposition into EC law of

JAR-OPS 1 as specified by Commission Regulation (EC) No 859/2008 of 20 August 2008 amending Council

Regulation (EEC) No 3922/91 of 16 December 1991 as regards common technical requirements and

administrative procedures applicable to commercial transportation by aeroplane. The EU OPS entered into

force on 16 July 2008.

3.2.2.9 For commercial air transport with helicopter, EC legislation is not yet applicable and, while

the UKCAA encourages commercial helicopter operators to comply with the provisions of JAR-OPS 3,

JAR-OPS 3 has not been formally transposed into UK legislation. The national regulation in force in the

United Kingdom is the ANO 2005, but it has not been amended to incorporate the latest amendments of

Annex 6, Part III to the Chicago Convention. In addition, the list of differences with Annex 6, Part III as

notified by the United Kingdom does not refer to the least stringent requirements of ANO 2005 and of

JAR-OPS 3.

3.2.2.10 With respect to the transport of dangerous goods by air, the United Kingdom supplements the

ANO 2005 provisions with the Air Navigation (Dangerous Goods) Regulations 2002, which adopt ICAO’s

Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284). These regulations

require air operators to obtain approvals to carry dangerous goods from the UKCAA. Under the ANO 2005,

Article 70(2) provides for enforcement actions to be taken for failure to comply with the regulations regarding

transport of dangerous goods, while Article 148(6) defines the criminal penalties. Contravention of the

provisions of the dangerous goods regulation constitutes a criminal offence. In addition, the EU OPS, Subpart

R addresses the transport of dangerous goods by air. Additional requirements issued by the UKCAA include:

a) CAP 483 (Training in the Safe Transport of Dangerous Goods By Air),

b) CAP 668 (Transport by Air of Dangerous Goods, Munitions of War, Sporting Weapons

and Animals),

c) CAP 675 (Transport of Dangerous Goods by Air), and

d) CAP 768 (Guidance Material for Operators — these either impose requirements or

provide guidance to comply with requirements).

3.2.2.11 In the area of airworthiness, two sets of regulations prevail in the United Kingdom, each

addressing the different areas of competence as established in Regulation (EC) No 216/2008 of

20 February 2008. They are:

1) EC regulations issued by European Community bodies, for the certification and

continued airworthiness of aircraft which fall under the competence of EASA

(hereinafter referred to as EASA aircraft); and

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2) the ANO 2005, supported by the British Civil Airworthiness Requirements (BCARs)

and CAPs addressing the national requirements for aircraft (including their engines,

propellers and equipment) as described or listed in Annex II of Regulation

(EC) No 216/2008 of 20 February 2008 (hereinafter referred to as Annex II aircraft).

Note. —UK National Requirements also apply to non-military State aircraft

(e.g. police, coastguard, etc.)

3.2.2.12 Commission Regulation (EC) No 1702/2003 of 24 September 2003, Part 21 describes the

general requirements and procedures for the certification of aircraft and related products, parts and appliances,

and of the design and production organizations. For the certification of aeronautical products, the basis is laid

down by EASA in the form of EASA Certification Specifications (CS), including airworthiness codes outlined

in CS-23, CS-25, CS-27 and CS-29. Meanwhile, Commission Regulation (EC) No 2042/2003 of

20 November 2003 addresses maintenance organization approval in Part 145, and continuing airworthiness in

Part M. Although significant preparatory work has been carried out to implement a requirement for approved

maintenance organizations (as well as for air operators) to establish safety management systems (SMS), the

European Commission has not promulgated the legislation and means of compliance to address this ICAO

Standard which became applicable as of 1 January 2009. Requirements for observance of human factors

principles in the design and application of maintenance programmes and for maintenance control manuals have

also not been established at the European level, even though the UKCAA has published several CAPs (e.g.

CAP 715, ―An Introduction to Aircraft Maintenance Engineering Human Factors for JAR 66;‖ CAP 716,

―Aviation Maintenance Human Factors (EASA Part-145);‖ and CAP 718, ―Human Factors in Aircraft

Maintenance and Inspection‖) on this subject.

3.2.2.13 At the national level, the provisions of Annex 7 to the Chicago Convention are addressed in

the ANO 2005. An aircraft imported into the United Kingdom from another EU Member State is only required

to have a certificate of airworthiness and a valid airworthiness review certificate. All other aircraft must hold an

EASA type certificate and an export approval, although the type certificate from the State of Design is used as

the basis for importation. The operations-derived equipment requirements of Annex 6, Parts I, II and III to the

Chicago Convention have not been fully addressed by the applicable requirements in the United Kingdom,

including EU-OPS, the ANO 2005 and JAR-OPS 3.

3.2.2.14 The BCARs (published in CAP 553, ―BCAR Section A — Airworthiness Procedures where

the CAA has Primary Responsibility for Type‖ and CAP 554, ―BCAR Section B — Airworthiness Procedures

where the CAA does not have Primary Responsibility for Type Approval of the Product‖) outline the national

codes of airworthiness for aircraft categories not addressed by an EASA CS, along with the requirements for

the approval of design and production organizations for Annex II aircraft. BCAR A8-3 lays down the

requirements for the approval of maintenance organizations relating to the overhauls, repairs, modifications,

replacements, inspections and tests to aircraft and components. BCAR A8-15 describes the requirements for an

organization to obtain approval to conduct inspections associated with the renewal of a certificate of

airworthiness. Meanwhile, BCAR A8-21 is a mirror image of Part 21, Subpart G, Production Organization

Approval of the Commission Regulation (EC) No 1702/2003 of 24 September 2003. The standards on

environmental noise for Annex II aircraft as stipulated in Annex 16, Volume I to the Chicago Convention are

addressed by the Aeroplane Noise Regulations 1999. The Civil Aviation (Safety of Third Country Aircraft)

Regulations 2006 provide for the conduct of ramp inspections of foreign aircraft under the EC’s Safety

Assessment of Foreign Aircraft (SAFA) Programmes (in compliance with Directive 2004.36/CE of the

European Parliament and of the Council of 21 April 2004 on the safety of aircraft from outside the EC using

EC airports).

- 12 -


3.2.2.15 With respect to ANS, in addition to and based on the ANO and the applicable SES

regulations, the UKCAA has addressed the requirements of Annexes 2, 3, 4, 10, 11 and 15 to the Chicago

Convention through the issuance the ―ATS Safety Regulation Policy Paper, Rules of the Air Regulation 1996‖

as well as numerous CAPs such as the following:

a) CAP 746 (Meteorological Observations at Aerodromes) and CAP 782 (Regulation of

Aeronautical Meteorological Services) for Annex 3 to the Chicago Convention;

b) CAP 724 (Airspace Charter) for Annex 4 to the Chicago Convention;

c) CAP 779 (Regulation of Aeronautical Information Management Services) for Annex 15

to the Chicago Convention; and

d) CAP 493 (Manual of Air Traffic Services (MATS) Part 1) and CAP 670 (ATS Safety

Requirements) for Annexes 10 and 11 to the Chicago Convention.

3.2.2.15.1 In addition, through the UK SAR Strategic Committee, the DfT has developed the policy to

ensure that civilian SAR arrangements are in accordance with Annex 12 to the Chicago Convention.

3.2.2.16 With respect to aerodromes, the UKCAA has promulgated regulatory requirements covering

most of the topics addressed in Annex 14, Volumes I and II to the Chicago Convention and the related

manuals. These requirements are outlined in several CAPs. For example, CAP 168 (Licensing of Aerodromes)

addresses the certification and the planning of aerodromes and covers several Annex 14-related issues such as

licensing, aerodrome manual, aerodrome physical characteristics, obstacle control, obstacle limitation surfaces,

bird strike risk management, aerodrome ground lightings, signals, markings, rescue and fire fighting (RFF),

and emergency planning. In particular, Chapter 12 of CAP 168 applies to ―land-based heliports that wish to be

licensed.‖ In addition, provisions regarding obstacle control and protection against the bird strike hazards are

laid down in various other regulatory documents promulgated by the Office of the Deputy Prime Minister, the

DfT, the National Assembly for Wales (Circular 1/2003), and the Scottish Government (Circular 1/2002).

3.2.2.17 Aircraft accident and incident investigation in the United Kingdom is governed by the Civil

Aviation (Investigation of Air Accidents and Incidents) Regulations 1996, which came into force on

21 November 1996. Under these regulations, the Secretary of State shall appoint investigators (referred to as

―Inspectors of Air Accidents‖), including one of them as ―Chief Inspector of Air Accidents.‖ These

investigators form the AAIB. The Civil Aviation (Investigation of Air Accidents and Incidents)

Regulations 1996 address both the conduct of investigations which fall under the investigation responsibility of

the United Kingdom as well as the participation of the United Kingdom in investigations conducted by other

States. Specifically, it is stated in Article 4 of these regulations that the sole objective of the investigations is

the ―prevention of accidents and incidents.‖ Toward this end, they provide the AAIB and its investigators with

all the necessary legal powers and tools to conduct accident and incident investigations. Article 18 of the Civil

Aviation (Investigation of Air Accidents and Incidents) Regulations 1996 also provides for protection against

disclosure of the investigation records as listed in paragraph 5.12 of Annex 13 to the Chicago Convention and

contain other necessary provisions to enable the United Kingdom to comply with its obligations under

Annex 13 to the Chicago Convention.

3.2.3 Critical element 3 ─ State civil aviation system and safety oversight functions

―The establishment of a civil aviation authority (CAA) and/or other relevant authorities or

government agencies, headed by a Chief Executive Officer, supported by the appropriate and

adequate technical and non-technical staff and provided with adequate financial resources.

The State authority must have stated safety regulatory functions, objectives and safety

policies.

- 13 -


Note.— The term ‘State civil aviation system’ is used in a generic sense to include all

aviation-related authorities with aviation safety oversight responsibility which may be

established by the State as separate entities, such as: CAA, airport authorities, air traffic

service authorities, accident investigation authority, meteorological authority, etc.”

3.2.3.1 As head of the DfT, the Secretary of State has overall policy responsibility for civil aviation

matters and sponsors all civil aviation legislation. His functions and responsibilities are set out in the Civil

Aviation Act 1982 (or the Act), Section 1 and in the Transport Act 2000. The DfT is in charge of setting the

policy framework, conducting international negotiations, agreeing to priorities and objectives each year with

the UKCAA, monitoring the performance of the UKCAA, and appointing the Board members of the UKCAA.

Responsibility for Search and Rescue policy also rests with the DfT. Through the UK SAR Strategic

Committee, the DfT develops the criteria for, and assesses the effectiveness of the United Kingdom’s civil

aeronautical and maritime SAR resources, including their response and coordination. Within the DfT, civil

aviation-related issues are managed by the Aviation Directorate. The DfT’s International Aviation and Safety

Division (within the Aviation Directorate) is responsible for coordinating ICAO-related matters.

3.2.3.2 The UKCAA is a public corporation established by Parliament in 1972. It is in charge of the

regulation and oversight of civil aviation, and its activities include economic regulation, airspace policy, safety

regulation, and consumer protection. The responsibilities of the UKCAA are laid down in the Civil Aviation

Act 1982, the Airports Act 1986, the Transport Act 2000, as well as the Directions given under Section 6 of the

Civil Aviation Act 1982 and Section 66 of the Transport Act 2000, and its functions are described in detail in

the ANO 2005. The UKCAA is funded entirely through fees and charges from the regulated industry for its

statutory functions.

3.2.3.2.1 The UKCAA is accountable to Parliament through the Secretary of State. Among the duties of

the UKCAA is to advise Ministers on technical issues and policy development, particularly in relation to

regulatory policy. The UKCAA also has a role in drafting legislation.

3.2.3.3 The United Kingdom has established a State Safety Programme (SSP), published under

CAP 784 (State Safety Programme for the United Kingdom), in line with ICAO Standards. The UK SSP is

being implemented in a phases and covers the safety oversight arrangements for both civil and military aviation

in the United Kingdom. Specifically, the UK SSP addresses the following:

a) the UK safety oversight arrangements for UK Main, the Overseas Territories and the

Crown Dependencies;

b) UK aviation safety policy and objectives;

c) aviation safety risk management;

d) aviation safety assurance;

e) aviation safety promotion;

f) aviation safety legislative frameworks;

g) an acceptable level of safety, and

h) a safety risk management process.

3.2.3.4 The UKCAA has its headquarters located in two offices: Aviation House (next to London

Gatwick Airport) and CAA House (in Kingsway, Holborn, in central London). In addition, the UKCAA has

seven regional offices, namely: Luton, Manchester, North East and Midlands, Southern, Southwestern,

Stansted, and Stirling.

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3.2.3.5 Within the UKCAA, the Safety Regulation Group (SRG) carries out regulatory oversight

functions, and the Directorate of Airspace Policy (DAP) assumes the functions of both regulatory oversight and

service provision in some ANS areas (including PANS OPS and aeronautical charts).

3.2.3.6 The SRG is headed by a Group Director and has four divisions, namely: 1) Flight Operations,

2) Airworthiness, 3) Licensing, and 4) Air Traffic Standards. The SRG Regional Offices are multi-disciplinary,

although the common administration staff come under the Airworthiness Division. Regional office staff are

made up of airworthiness, flight operations, aerodrome, and air traffic inspectors as well as their respective

managers and support staff. Except for personnel licensing activities which are not conducted at any of the

regional offices, the regional offices undertake a wide range of tasks, including:

a) the inspection of aircraft;

b) the approval and ongoing oversight of AOC holders, maintenance organizations, and

production organizations;

c) the issuance and renewal of certificates of airworthiness and permits to fly;

d) the inspection and approval of aircraft modifications and repairs;

e) the investigation of Mandatory Occurrence Reports; and

f) the examination of aircraft maintenance engineers.

3.2.3.7 The UKCAA ensures coordination and standardization across the organization through various

means, including quarterly meetings between the regional managers and the headquarter staff and annual

quality audits.

3.2.3.8 All technical staff of the UKCAA are provided with job descriptions and issued the necessary

credentials (after the completion of their initial training) along with a document which details the extent of their

delegated authority. The UKCAA has full control over its staff recruitment process and is able to recruit and

keep highly qualified staff. Overall, the UKCAA is adequately funded and staffed.

3.2.3.9 With respect to personnel licensing, the UKCAA has sufficient and well-qualified technical

personnel. The responsibilities involved in all personnel licensing procedures are established and well

documented. None of the main personnel licensing functions is conducted at the regional offices. Activities

related to personnel licensing are shared among various entities. The Personnel Licensing Department,

established within the Licensing Division, is responsible for flight crew and aircraft maintenance engineer

licensing. The responsibility for ATCO licensing is shared between the Personnel Licensing Department and

the Air Traffic Standards Division. Flight examiners are designated by the UKCAA, based on JAR-FCL

requirements. All flight examiners have JAR-FCL licences, with the exception of some type rating or synthetic

flight examiners, who hold only US Federal Aviation Administration (FAA) licences.

3.2.3.10 As part of personnel licensing, medical assessments are conducted by aviation medicine

practitioners designated by the Medical Department within the Licensing Division. All designated aviation

medical examiners (AMEs), whether they are located in United Kingdom or abroad, have clearly defined duties

and responsibilities. The number of AMEs is controlled by the UKCAA and the selection criteria are clearly

established. All medical files are stored in secure conditions ensuring confidentiality of reports and records.

There is only one Aeromedical Center (AMC) in the United Kingdom, located at the UKCAA headquarters,

which works closely with the Medical Department.

3.2.3.11 With respect to aircraft operations, the Flight Operations Division (FOD) is responsible for the

supervision of aircraft operations activities. The FOD has sufficient staff to fulfil its responsibilities and is

divided in four departments:

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1) the Flight Operations Inspectorate (Aeroplanes) Department, which is in charge of

dangerous goods supervision, cabin safety and airplane commercial operators;

2) the Flight Operations Inspectorate (Helicopter, General Aviation, Training and

Simulators) Department, in charge of helicopter commercial operators, general aviation,

training and simulator standards;

3) the Flight Operations Strategy Department, in charge of European strategy, quality and

risk management; and

4) the Flight Operations Policy Department, in charge of policy for general and commercial

aviation.

3.2.3.12 With respect to airworthiness, related tasks are carried out by the UKCAA or EASA,

depending on the area of competence. The tasks transferred to EASA as of 28 September 2003 include type

certification and approval of design organizations, as well as the approval of manufacturing and maintenance

organizations outside the EC. Pursuant to Article 66 of Regulation (EC) No 216/2008 of 20 February 2008,

EASA and the United Kingdom have signed a service contract establishing the conditions under which the

UKCAA will assist EASA in the execution of certain tasks in the field of certification and standardization

inspections. The UKCAA is also delegated the task of performing technical airworthiness inspections for the

continuing airworthiness of products for which the United Kingdom is the Leading Authority. In addition, the

UKCAA is responsible for the approval and supervision of manufacturing and maintenance organizations in

the United Kingdom and for compliance with the State’s responsibilities as the State of Registry.

3.2.3.13 The Aircraft Registration Section of the UKCAA falls under the Corporate Centre which

reports directly to the UKCAA Board. The Airworthiness Division of the UKCAA is composed of:

1) the Airworthiness Strategy and Policy Department;

2) the Survey Department;

3) the Aircraft Certification Department; and

4) the Applications and Approvals Department

3.2.3.14 For activities or for type of aircraft (Annex II aircraft) for which competencies have not been

transferred to EASA, the related tasks (i.e. type certification, modification approvals, as well as design,

manufacturing and production approvals) are shared between the Survey Department and the Aircraft

Certification Department. There are Annex II aircraft on the UK aircraft register that participate in international

commercial aircraft operations. The Applications and Approvals Department handles the administrative

processes related to the issuance of airworthiness approvals, including receiving applications and tracking each

step until the final issuance. Airworthiness activities are also carried out by all seven regional offices of the

UKCAA, which submit the results of their activities to the Applications and Approvals Department for liaison

with the other concerned departments.

3.2.3.15 The Airworthiness Division has developed general job descriptions for surveyors, engineers

and management staff which identify key responsibilities, performance indicators, key competencies as well as

the required knowledge, skills and experience for each position. With each department, the duties and

responsibilities are more specific and customized to match its functions. The Airworthiness Division does not

delegate any of its tasks outside of the UKCAA.

3.2.3.16 With respect to ANS, safety oversight tasks are carried out by the Air Traffic Standards

Division (ATSD) of the SRG and by the DAP. However, the DAP also has service provider functions, and

while some separation between the regulatory and service provision functions has been achieved within the

DAP in the field of aeronautical charts, this is not the case for PANS OPS.

- 16 -


3.2.3.17 The main ATS provider is NATS, which is divided into two private companies: NATS En

Route Limited (NERL) (for en-route airspace, London Terminal Control Centre and the provision of AIS) and

NATS Services Limited (NSL). NATS/NERL manages three area control centres (ACCs) located within the

London and Scottish flight information regions (FIRs). The NATS/NSL operates air traffic control (ATC)

services in 18 airports in the United Kingdom. The Ministry of Defence's (MoD) en-route ATC units are co-

located with the NATS ACCs.

3.2.3.18 Within the United Kingdom, there are 69 certified ATS providers in 109 locations (including

MoD and NATS), 1 AIS provider, 24 MET providers, and 2 SAR providers (i.e. the RAF SAR Force

Aeronautical Rescue Coordination Centre and the Maritime and Coastguard Agency). The United Kingdom

has also delegated the provision of ATS to four adjacent States/centres in accordance to CAP 724 which

provides the framework for agreements on ATS safety oversight by the respective national supervisory

authorities (NSAs).

3.2.3.19 Both the DfT and the MoD are involved in the oversight of SAR services through the

Standards and Evaluation (STANEVAL) Team (RAF) and the Quality Management Branch of the Maritime

and Coastguard Agency of the DfT.

3.2.3.20 The distribution of the AIP, AICs, Notices to Airmen (NOTAMs), and Charts is the

responsibility of the NATS AIS Department. The AIP and AICs are produced using the publishing software

―Frame APS.‖ Meanwhile, the NOTAM Office has migrated to the European AIS database (EAD) since spring

of 2008. However, the United Kingdom has not established mechanism to ensure that aeronautical data quality

requirements related to charting resolution, publication resolution, and data integrity are in accordance with the

provisions of Annexes 4 and 15 to the Chicago Convention, respectively.

3.2.3.21 The UKCAA (the DAP) is the meteorological authority for the United Kingdom.

Meteorological forecasting and climatology services for civil aviation are provided by the UK MET Office,

which is an executive defence agency. Meanwhile, MET observations (i.e. METARs and other local MET

observations) are provided by 24 certified MET providers (including the UK MET Office). The UK MET

Office, whose operations centre is located at Exeter, acts as the Meteorological Watch Office (MWO) for the

London and Scottish FIR/upper flight information region (UIR) and the Shanwick FIR/oceanic control area

(OCA). It also operates one of the two World Area Forecast Centres (WAFCs) which is responsible for the

provision of global forecasts of significant weather global grid point data. The UK MET Office also operates

the regional Volcanic Ash Advisory Centre in London.

3.2.3.22 With respect to SAR, the Airports Policy Division (APD) under the Aviation Directorate of

the DfT has overall responsibility for the United Kingdom’s civil aviation SAR and assigns the operational and

administrative responsibilities of all SAR arrangements for military and civil aviation to the MoD. An inter-

agency national forum, the UK SAR Strategic Committee advises on the structure, scope and framework of UK

SAR as a whole.

3.2.3.23 Under an agreement dating back to 1947, the MoD, through the RAF, is responsible for

coordinating civil aeronautical SAR on behalf of the DfT. It also establishes and maintains the UK

Aeronautical Rescue Co-ordination Centre (ARCC) for the operation and coordination of both civil and

military aeronautical SAR.

3.2.3.24 The ARCC, located in Kinloss, Scotland, is staffed by a team of trained SAR officers who

provide aeronautical SAR service coverage on a 24-hour basis, with close coordination and cooperation with

Maritime and Coastguard Agency, police, ambulance authorities, voluntary organizations and other entities

- 17 -


assisting in SAR operations within the UK SAR Region (SRR) which spans approximately a million square

miles. The ARCC is the central coordination unit for all SAR helicopters throughout the United Kingdom and

also home to the UK Mission Control Centre (UKMCC) where the United Kingdom operates one ground

receiving station (Combe Martin) and a mission control centre in Kinloss for Cospas-Sarsat satellite distress

beacon system.

3.2.3.25 With respect to aerodromes, the Aerodrome Standards Department (ASD) under the Licensing

Division carries out all certification, surveillance and standards activities for aerodromes and heliports. Job

descriptions have been developed for all the staff members. Aerodrome inspectors are supported by other

regulatory staff personnel for specific inspections. The staffing level of the ASD is sufficient to ensure that all

oversight tasks are performed in an effective and timely manner.

3.2.3.26 The AAIB is the United Kingdom’s independent air accident and incident investigation

authority. It is headed by a Chief Inspector, who reports directly to the Secretary of State and is assisted by a

Deputy Chief Inspector. The AAIB is funded entirely by the DfT. It is located in Farnborough and does not

have regional offices. The investigators of the AAIB have a variety of backgrounds and their number is

sufficient to enable the AAIB to fulfil its responsibilities as far as the UK Main is concerned. The organization

of the AAIB is defined in Part A of the AAIB Operating Manual. This part of the manual also contains detailed

job descriptions for all positions within the AAIB, including the various categories of investigators (i.e.

―principal inspectors of air accidents,‖ the ―senior inspectors of air accidents,‖ and the ―inspectors of air

accidents‖). Although the AAIB’s principal mission is to investigate accidents and incidents to civil aircraft, it

also provides assistance to military aircraft accident investigations in the United Kingdom.

3.2.3.27 The United Kingdom has established mandatory occurrence reporting system that is managed

by the Safety Investigation and Data Department (SIDD) under the Licensing Division of the UKCAA.

3.2.4 Critical element 4 ─ Technical personnel qualification and training

―The establishment of minimum requirements for knowledge and experience of the technical

personnel performing safety oversight functions and the provision of appropriate training to

maintain and enhance their competence at the desired level. The training should include initial

and recurrent (periodic) training.‖

3.2.4.1 The UKCAA has laid down qualification and experience requirements for the recruitment of

its technical staff. Training programmes have been established for all technical staff. Upon recruitment, all

technical staff have to complete an initial training followed by a period of on-the-job training. Annually, the

training needs are evaluated for each staff member and a training plan is developed based on the business

needs of each department. The implementation of the training programme is monitored and recorded through a

computerized system.

3.2.4.2 With respect to personnel licensing, the concerned technical and administrative staff of the

Licensing Division as well as the staff of the Medical Department are provided with recurrent and refresher

training courses to maintain and enhance their knowledge and competency. Training records of these two units

are maintained by the respective unit managers.

3.2.4.3 Aside from its own examiners, the UKCAA also appoints designated flight examiners from

the industry to perform examinations on its behalf. These designated flight examiners are appointed for a three-

year period following completion of a flight examiner seminar and a successful acceptance flight test. The

designation can be renewed for another three years on condition that the flight examiner performs at least ten

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examinations per year, attends a flight examiner seminar, and passes an acceptance flight test. Special attention

is paid to flight examiners for commercial pilot licences and flight instructor examiners for whom the UKCAA

organizes a special seminar every two years.

3.2.4.4 The UKCAA appoints designated medical examiners based on a procedure which requires

special training and adequate experience in aviation medicine, including attendance of a JAR course before

their appointment. Examiners are appointed to a three-year term and have to undergo sufficient refresher

training. Class 1 medical examiners can issue certificates equivalent to ICAO’s class 1 and class 3 as described

in Annex 1 to the Chicago Convention, while Class 2 medical examiners can only issue the equivalent to

ICAO’s class 2 in Annex 1 to the Chicago Convention.

3.2.4.5 With respect to flight operations, the UKCAA is able to hire and keep qualified and

experienced staff. As required by EU OPS, proficiency checks are carried out by type rating examiners. The

selection, standardization and supervision of type rating examiners is adequately performed and documented.

The dangerous goods inspector’s training syllabus is comprehensive and well implemented.

3.2.4.6 With respect to airworthiness, the Airworthiness Division’s Learning and Development

Handbook outlines the training programme for surveyors and engineers. After completion of a ten-week initial

training course, the surveyors or engineers are assigned to a department or regional office where they undergo

on-the-job training under the supervision of a senior technical staff member. As each required competency for

the position is completed, it is recorded on a matrix and kept as part of the individual’s training records. The

Standardization Manager of the Airworthiness Strategy and Policy Department is responsible for managing the

annual training plan, including updating and revising the training programme as necessary and determining the

options to address the training needs identified.

3.2.4.7 With respect to implementation of SMS in aircraft maintenance organizations, the UKCAA

has provided training and seminars on the subject for both its inspectorate staff and the aviation industry in

anticipation of the promulgation of this new requirement. A review of the training plan for fiscal year

2008/2009 indicated that the training plan was mostly implemented as planned, with a few revisions to fine-

tune the Airworthiness Division’s business plan in response to budget cuts. The UKCAA’s participation in

certification and standardization projects under the EASA service contract also helps to maintain its

competence in the areas that are now under the competence of EASA.

3.2.4.8 With respect to ANS, the minimum knowledge and experience requirements of the regulatory

staff performing safety oversight functions have been developed for the concerned staff of the ATSD and the

DAP. The training required (including initial, on-the-job, recurrent and specialized training) has been planned

and delivered effectively. Regarding SAR, the STANEVAL team members are selected on recommendation

and agreement by senior SAR Executives based on their practical skills, which are documented in their

personal training folders and formal assessment folders. The requirements and training criteria for the Maritime

and Coastguard Agency are specified in its Operations Advice Note (OAN) 579: Operational Standards and

Training Audits (OSTA).

3.2.4.9 With respect to aerodromes, the modules of the ASD inspectors’ training courses cover all

safety-related aspects, including SMS and the use and evaluation aeronautical studies and risk assessments.

The training programme in place is well implemented.

3.2.4.10 With respect to accident and incident investigation, the AAIB has established minimum

qualification and experience requirements for the recruitment of its investigators. Investigators are provided

with the relevant initial, on-the-job, and specialized training, and a formal training programme has been

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developed. However, this training programme does not contain details of the initial/basic, on-the-job, recurrent,

and advanced or specialized training. Furthermore, training records are not kept in a comprehensive manner

and the on-the-job training provided to the investigators is not fully documented.

3.2.5 Critical element 5 ─ Technical guidance, tools and the provision of

safety critical information

―The provision of technical guidance (including processes and procedures), tools (including

facilities and equipment) and safety critical information, as applicable, to the technical

personnel to enable them to perform their safety oversight functions in accordance with

established requirements and in a standardized manner. In addition, this includes the

provision of technical guidance by the oversight authority to the aviation industry on the

implementation of applicable regulations and instructions.‖

3.2.5.1 The UKCAA staff are provided with adequate facilities and equipment. The UKCAA has a

technical library which provides the staff with all necessary and up-to-date documents, in electronic format or

in hard copy, as applicable.

3.2.5.2 With respect to personnel licensing, the UKCAA has properly documented all its personnel

licensing processes and procedures. Forms have been developed for the various licences and are available on

the UKCAA website (http://www.caa.co.uk). A flight examiner manual is also available. The licensing and

training records related to personnel licences and approvals of training organizations issued by the UKCAA are

maintained in a computerized database, with controlled access rights. Personnel licensing records are kept in

hard copy for three months, in case of an appeal. After this period, the hard copies are destroyed. Medical files

are kept in a locked area until destroyed, under strict control of access.

3.2.5.3 With respect to flight operations, all guidance material related to certification and surveillance

activities of air operators are compiled into the Management System Manual (MSM) which is available on the

UKCAA Intranet. Version 2 of the MSM (MSM2) was introduced in January 2009. This manual contains

policies, procedures and guidelines covering all relevant aspects, including:

a) AOC oversight, application, administration, variations and decisions;

b) general aviation;

c) simulators;

d) training standards administration and inspectorate;

e) permissions, approvals, variations and exemptions;

f) accidents, incidents and mandatory occurrence reports; and

g) aircraft leasing.

3.2.5.4 While the manual MSM2 is, generally speaking, comprehensive and sufficiently detailed,

there is no procedure in place regarding the assessment of personnel involved in flight operations dispatch and

of cabin crew instructors and cabin crew examiners.

3.2.5.5 With respect to the transport of dangerous goods by air, Part B, Section 6, of the MSM

outlines the policies and procedures for the granting by the dangerous goods technical staff of authorizations to

carry, or prohibition against carrying dangerous goods. The guidance is detailed and covers the necessary

technical aspects and processes. In addition, CAP 483 lays down detailed guidance and information on how

training on the safe transport of dangerous goods can be managed. This guidance material is used to train staff

involved in the transport of dangerous goods by air and those dealing with the carriage of passengers or cargo.


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Part A of CAP 483 applies to training programmes that are not subject to approval by the UKCAA, while

Part B applies to those training providers whose training is subject to UKCAA approval. Guidance information

for the regulated parties is available on the UKCAA website, such as information for passengers, training

checklists, presentations, application forms, CAPs, warning notices, and upcoming changes. A checklist and a

sample template for developing dangerous goods training programmes are available to air operators applying

for an EU OPS dangerous goods approval to carry dangerous goods.

3.2.5.6 With respect to airworthiness, the Airworthiness Division has developed comprehensive

procedures, forms and checklists for the approvals for which it is responsible, and they are available on the

UKCAA Intranet, including: certificates of registration, noise certificates, approvals of modifications and

repairs, certificates of airworthiness, special flight permits, continuing airworthiness maintenance organization

(CAME) approvals, maintenance programme approvals, minimum equipment list (MEL) approvals, reduced

vertical separation minimum (RVSM) approvals, approvals of aircraft leasing agreements, maintenance

organization approvals, type certificates, amended/supplemental type certificates, design organization and

production organization approvals. Although no requirement for maintenance organizations to implement SMS

has been established, the UKCAA has developed extensive procedures and made available guidance material

on this subject to the industry.

3.2.5.7 Procedures and guidance for the issuance of approvals related to Annex II aircraft can also be

found in some BCARs and CAPs. Guidance on the issuance of permits to fly is covered in CAP 733 (Permit to

Fly Aircraft). The Airworthiness Notices currently published in CAP 455 (Airworthiness Notices) are being

transferred to CAP 562 (Civil Airworthiness Information and Procedures). For the issuance of aircraft

approvals related to EASA aircraft, as well as for Part-M, Part-145 and Part-21 Subpart G approvals, the

Airworthiness Division’s internal procedures make reference to the procedures, forms and checklists developed

by EASA. EASA procedures are applicable for any work conducted by UKCAA specialists under the

established service contract. A collection of aircraft- and engine-related technical documentation related to the

aircraft found on the UK aircraft registry is maintained and available either via the UKCAA Intranet or in hard

copy from the library. Flight manuals are maintained in the Flight Manual Section and airworthiness directives

can be found either on the UKCAA or the EASA websites.

3.2.5.8 In the ANS area, the UKCAA has developed comprehensive documentation and tools for the

conduct of regulatory duties by the ANS inspectors, including Intranet and Internet systems (for the

dissemination of safety-critical information to their users) and the Electronic Records Management system. To

prepare for audits, the ANS providers which already implement SMS can use the ―SMS Checklist gap

analyses‖ published on the UKCAA website. Other ANS providers, still to implement SMS, can use CAP 730

(Safety Management Systems for Air Traffic Management) as implementation guide or CAP 728 (The

Management of Safety: Guidance to Aerodromes and Air Traffic Service Units on the Development of Safety

Management Systems). ATS providers have also developed guidance material (Manual of Air Traffic Services

Part 2) in response to the UKCAA-SRG requirements (CAP 493, ―Manual of Air Traffic Services (MATS)

Part 1‖).

3.2.5.9 With respect to SAR, both the RAF and Maritime and Coastguard Agency have developed

Standard Operating Procedures for both their evaluation/audit teams and the operational units that provide the

services. In addition to the UK AIP, which is published and updated under the authority of the UKCAA, the

European Aeronautical Database (EAD) also offers standard aeronautical data reports, Pre-flight Information

Bulletins (PIBs), and AIPs, all of which are available on the Internet.

3.2.5.10 With respect to aerodromes, the UKCAA has issued several publications to address various

aspects of Annex 14, Volumes I and II to the Chicago Convention, such as:

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• obstacle control (CAP 232, ―Aerodrome Survey Information‖),

• visual aids (CAP 637, ―Visual Aids Handbook‖),

• vehicle operation and emergencies/airside safety management (CAP 642, ―Airside

Safety Management‖),

• aeronautical ground lighting (CAP 655, ―Aeronautical Ground Lighting‖),

• RFF personal training and competence (CAP 699, ―Standards for the competence of

Rescue and Firefighting Service (RFFS) Personnel employed at United Kingdom

licensed aerodromes‖),

• hazard identification and risk assessment (CAP 760, ―Guidance on the Conduct of

Hazard Identification, Risk Assessment and the Production of Safety Cases: For

Aerodrome Operators and Air Traffic Service Providers‖),

• bird strike risk management (CAP 772, ―Birdstrike Risk Management for

Aerodromes‖), and

• off-shore helicopter landing areas (CAP 437, ―Offshore Helicopter Landing Areas —

Guidance on Standards‖).

3.2.5.10.1 In addition, a comprehensive set of procedures has been developed and is readily available to

the inspectors and the regulatory staff on the Intranet of the UKCAA.

3.2.5.11 The procedures ASD-004, ASD-008, ASD-010 address certification- and surveillance-related

tasks, including the issuance and renewal of aerodrome certificates, the issuance of exemption, and the review

and approval of the aerodrome manual. For surveillance activities, several procedures, called ASD-OPS

procedures, have been developed to support all related safety oversight tasks for the core areas concerned (e.g.

RFF; operations; emergency exercises; and safety reports).

3.2.5.12 The AAIB staff are provided with adequate facilities, equipment, documentation,

transportation and communication means to perform their activities. The AAIB has large hangars to store

wreckage as well as its own cockpit voice recorder and flight data recorder read out facilities. The AAIB

Operating Manual, issued under the authority of the Chief Inspector of Air Accidents, outlines all the policies,

procedures, guidelines, checklists and forms that were developed to assist the AAIB personnel in carrying out

their functions. The AAIB addresses both the conduct of investigations by the AAIB as well as the

participation of the AAIB in investigations conducted by other States. However, some parts of the AAIB

Operating Manual have not yet been finalized. The scope and depth of the investigations carried out by the

AAIB are determined by the type of occurrence and the potential benefit that may be gained to enhance

aviation safety. Accordingly, different types of investigation reports are produced, depending on the type of

investigation conducted. The AAIB publishes all completed reports as well as bulletins and special bulletins on

its website (http://www.aaib.gov.uk).

3.2.6 Critical element 6 ─ Licensing, certification, authorization and/or

approval obligations

―The implementation of processes and procedures to ensure that personnel and organizations

performing an aviation activity meet the established requirements before they are allowed to

exercise the privileges of a licence, certificate, authorization and/or approval to conduct the

relevant aviation activity.‖

3.2.6.1 With respect to personnel licensing, licences and ratings for pilots and aircraft maintenance

engineers are of the expiring type, with various periods of validity. For ATCOs, the licences are of the

continuing type. Renewals of ratings require flight checks or recent proof of experience. All applications are

http://www.aaib.gov.uk/

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sent to the Personnel Licensing Department in hard copy, where they are subsequently digitalized and stored.

All data about licence holders are stored in the UKCAA’s electronic database with controlled rights of access.

3.2.6.2 Theoretical examinations for flight crew and aircraft maintenance personnel are organized by

the UKCAA in its Theory Examinations Centres, located mainly in the United Kingdom. For aircraft

maintenance engineers, theoretical examinations can also be organized by approved Part-147 training

organizations. For pilots, theoretical tests are prepared by the UKCAA, using the JAA Central Questions Bank.

For other types of licences, the UKCAA has developed its own databases, which are continuously updated. All

examinations are paper-based and monitored by invigilators approved by the UKCAA.

3.2.6.3 Flight examinations are performed either by the UKCAA flight inspectors or by designated

flight examiners. The UKCAA has established five Regional Flight Test Centres located in the United

Kingdom.

3.2.6.3.1 To obtain authorization or designation, flight examiners, who are assigned by the Personnel

Licensing Department, are required to comply with JAR-FCL provisions and to hold the required

class/type/simulator instructor/examiner ratings. They are also provided with standardization courses before

authorization is granted. Applications for authorization as flight examiners are made by the flight training

organizations and type rating training organizations and airlines.

3.2.6.3.2 Aircraft maintenance engineers are tested in accordance with Part-66 and/or Part-147

requirements. ATCO licences are processed using procedure ATS-LIC 001, which was developed by the Air

Traffic Standards Division of the UKCAA. While the UKCAA validates about 100 foreign licences each year,

based on JAR-FCL provisions, the State issuing the original licence has not been contacted systematically to

ensure the validity and authenticity of the original licence.

3.2.6.4 Training organizations are certified according to existing procedures for each type of training.

The certification process includes the approval of training manuals as well as an on-site audit performed by the

technical staff from the Personnel Licensing Department for flight crew and aircraft maintenance staff and by

the Air Traffic Standards Divisions for ATCOs. Medical assessments are provided by the aeromedical

examiners appointed by the UKCAA. Designated medical examiners sign the certificate for all classes of

medical assessment, except for the initial issue of class 1 medical certificates, which is signed by one of the

Medical Assessors. Medical examination of aeronautical personnel cannot be deferred.

3.2.6.5 With respect to flight operations, the procedures for issuance of AOCs and special approvals

(such as RVSM or extended range operations by aeroplanes with two turbine-power-units (ETOPS)) are

outlined in the MSM and are well implemented in practice. AOCs are issued according to EU OPS or

JAR-OPS 3 (except for those issued according to ANO 2005) and contain operations specifications (such as

RVSM, CAT II or III, and approvals for the transport of dangerous goods by air). Initially issued for a one-year

period, AOCs may then be renewed for an unlimited period.

3.2.6.5.1 With respect to the transport of dangerous goods by air, approvals and exemptions are issued

by the UKCAA in compliance with the Air Navigation (Dangerous Goods) Regulations and ICAO Doc 9284.

The Dangerous Goods Office approves the dangerous goods training programmes and manuals for operators

that are approved to carry dangerous goods, while the Flight Operations Inspectorate approves the dangerous

goods training programmes and manuals for operators that are prohibited from carrying dangerous goods, in

coordination with the Dangerous Goods Office, when needed. The United Kingdom also approves training

companies providing training to shippers, packers and acceptance staff.

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3.2.6.6 With respect to airworthiness, the procedures established by the Airworthiness Division are

fully implemented and, with the exception of the provisions not addressed in the regulations applicable in the

United Kingdom, these procedures fully conform to the SARPs of the Annexes to the Chicago Convention and

ICAO guidance material. Applications for the issuance and renewal of certificates of airworthiness for all

aircraft (including Annex II aircraft); approvals of national maintenance organizations; approvals of

maintenance organizations under Part-145; approvals of continuing airworthiness maintenance organizations

(CAMOs) under Part-M; BCAR A8-15 approvals; as well as production organization approvals under Part-21

and BCAR A8-21 are received by the Applications and Approvals Department under the Airworthiness

Division. Any work to be conducted in support of these applications is assigned to surveyors in the appropriate

regional office of the UKCAA, which completes the task using the established procedures and forms and

submits the required paperwork to the Applications and Approvals Department for the issuance of the final

approval.

3.2.6.7 The UKCAA has not issued any approvals under Part-21, Subpart F, Production Without

Production Organization Approval. Currently, there are only a few approvals for BCAR A8-3 organizations

and no new approvals have been issued under these requirements. Most Annex II aircraft are being maintained

under a Part-145 approval. With respect to SMS, 16 maintenance organizations in the United Kingdom have

begun implementing this, even in the absence of a specific requirement. Specific operational approvals (such as

ETOPS, RVSM, minimum navigation performance specifications, and MEL) are issued by the Flight

Operations Division, with participation in the relevant aspects by airworthiness surveyors. Although the Flight

Operations Division is responsible for ensuring compliance with the established aircraft operations-derived

equipment requirements, the current system in place does not effectively ensure compliance for aircraft

operated under an AOC, and there is no system to address aircraft which are not operated under an AOC.

3.2.6.8 Design organization approvals issued under BCAR A8-1 and BCAR A8-8 are being

transitioned to BCAR A8-21 approvals. Type certification projects (including the issuance of an initial type

certificate, amendment of type certificates and supplemental type certificates for Annex II aircraft) are managed

by the Aircraft Certification Department through a certification team including a project manager and the

required specialists. Once all certification requirements have been met, a type certificate with accompanying

type certificate data sheet is issued.

3.2.6.9 With respect to ANS, in line with Regulation (EC) No 550/200 of 10 March 2004, the

European Commission issued the common requirements for the certification of providers of ATS, PANS-OPS,

CNS, MET, AIS and Aeronautical Charts in the Commission Regulation (EC) No 2096/2005 of

20 December 2005. Accordingly the UKCAA has issued CAP 670, CAP 779 and CAP 782 which formed the

basis for the certification of all ATS, CNS, AIS, and MET providers. A similar process is applied to certify the

MoD’s ATS units. The PANS-OPS and Aeronautical Charts services have not yet been certified as they are

managed directly by the UKCAA. A quality assurance system is nevertheless in place. For the certification of

ANS providers with significant activities, the process uses a compliance metrics which incorporates both the

corporate aspects (e.g. the safety policy developed by the NATS HQ), and the situation at the local units (e.g.

the SMS at Swanwick).

3.2.6.10 The licensing of ATCOs is carried out by the ATSD. The process includes the ATC rating

examinations conducted by a UKCAA Inspector of ATS and a local ATC examiner, while the annual

competence assessments for the renewal of unit licence endorsements are carried out by local competence

examiners.

3.2.6.11 Flight inspections for navigation aids and surveillance equipment are carried out by private

companies. MET tools and systems are calibrated and certified by the UK MET Office, under the supervision

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of the DAP.

3.2.6.12 With respect to aerodromes, certificates have been issued by the ASD to all aerodromes open

for public use, including heliports. Some certificates are issued as temporary aerodrome certificates (licences)

for a specific period and vary depending on the type of aerodromes. Other aerodrome certificates remain in

force until they are amended, suspended or revoked. The certification process is carried out in accordance with

the relevant ICAO SARPs, the established requirements (e.g. CAP 168) and the procedures in place (i.e.

procedures ASD-008, ASD-009, ASD-010). All safety aspects are addressed, including the review of physical

facilities, obstacle limitation assessments, aerodrome manuals, and SMS. However, the certification process

does not include military aerodromes used for international civil operations. The UKCAA maintains a proper

filing system, with up-to date copies of all aerodrome certificates and approved aerodrome manuals, and all

correspondence related to the application, revocation and cancellation of aerodrome certificates.

3.2.7 Critical element 7 ─ Surveillance obligations

―The implementation of processes, such as inspections and audits, to proactively ensure that

aviation licence, certificate, authorization and/or approval holders continue to meet the

established requirements and function at the level of competency and safety required by the

State to undertake an aviation-related activity for which they have been licensed, certified,

authorized and/or approved to perform. This includes the surveillance of designated personnel

who perform safety oversight functions on behalf of the CAA.‖

3.2.7.1 With respect to personnel licensing, the UKCAA has established a system for the supervision

of personnel licensing training and examination activities as well as for the continued surveillance of training

organizations. The oversight of examiners is coordinated by the Chief Flight Examiners from the Personal

Licensing Department. Licences issued to flight crew members are of the expiring type, and their renewal

requires a medical assessment and a proof of competence. Flight training organizations, maintenance

organizations, ATCO training organizations, and training device operators are required to maintain a quality

system, to appoint a quality manager, and to designate a person responsible for initiating corrective actions

when deficiencies are identified. Approved training organizations and designated medical examiners are

inspected based on a surveillance plan. Various audits and inspections are carried out periodically, requiring

training units to establish and submit corrective actions, and reports are appropriately documented. The

performance of all flight examiners are monitored based on an established procedure (i.e. PLD-APS 021:

Oversight Procedure of Flight Examiners).

3.2.7.2 With respect to aircraft operations, the UKCAA implements a surveillance programme that is

based on an annual audit and an annual oversight programme. The annual audit aims to confirm that the

organizational structure and the competence of its management team remain appropriate for the type of

operation. The annual oversight programme is decided after an annual review by the flight operations inspector

and the regional manager, and includes a sufficient number of audits and specific checks (e.g. flight, ground,

cabin, manual, quality, and training). Once the annual oversight programme is established, its implementation

is supervised by an operations support officer, who ensures that the scheduled audits or checks are effectively

completed. In addition, the UKCAA also implements a programme of supervision of type rating examiners,

which includes sampling supervision of competency checks to ensure that type rating examiners carry out their

functions in a consistent manner.

3.2.7.3 With respect to the transport of dangerous goods by air, inspections are conducted at least once

a year for operators authorized to carry dangerous goods by the Dangerous Goods Office in coordination with

the flight operations inspectors. For operators not authorized to transport dangerous goods, the dangerous

- 25 -


goods inspection are conducted by flight operations inspectors. However, the inspection programme does not

include the continuous surveillance of handling agents, freight forwarders or shippers. Moreover, the current

resource level requires dangerous goods inspectors to assist in administrative tasks and limits the surveillance

of handling agents, freight forwarders and shippers in coordination with flight operations inspectors.

3.2.7.4 With respect to airworthiness, the validity of the certificates of airworthiness is based on the

airworthiness review certificates which must be completed by a duly authorized organization every year. The

responsibility for managing the SAFA programme lies with the Secretary of State, who determines the number

of foreign aircraft ramp inspections to be conducted per airport. Effective 1 April 2008, the UKCAA was

tasked to conduct 600 SAFA inspections for the financial year ending 31 March 2009. The conduct of the

inspections is delegated to the UKCAA head office, which assigns them to the appropriate regional office of

the UKCAA. In addition, each regional office is responsible for conducting two ramp inspections of UK-

registered aircraft per year. Under the Aircraft Continuing Airworthiness Maintenance (ACAM) programme,

UK-registered aircraft chosen through sampling based on the aircraft type are subject to inspections, including

review of their installed equipment.

3.2.7.5 For organizational approvals issued under the EC Regulations, all aspects covered by the

approvals have to be reviewed within a 24-month period under a continuous inspection programme. For EASA

production organization approvals issued by the UKCAA, all aspects covered by the surveillance have to be

reviewed within a 24-month period. Random inspections are also required for EASA Part-145 approval of

maintenance organizations. The development of a surveillance programme for each organization is assigned to

an airworthiness surveyor, and the implementation is monitored by the Airworthiness Manager in each regional

office using the Airworthiness Surveillance Planning Application (ASPA) and the Office Tracking Information

System (OTIS) of the Airworthiness Division. Together, ASPA and OTIS provide transparency in the planning

and implementation of the surveillance programme. Issuance of national organizational approvals is managed

in the same way.

3.2.7.6 With respect to ANS, the UKCAA performs formal, scheduled audits of the ANS providers

(ANSPs) based on an annual surveillance plan. With a view to standardizing the conduct of the safety

oversight activity, the audit plan outlines general and specific requirements in the numerous checklists

(including a Compliance Matrix). Audit Reports and audit observations are fully documented and filed in the

Electronic Records Management system and the ANSP Tracking Monitor system. Surveillance of SAR

services follows a similar process, but also includes surveillance of SAR exercises of different dimensions and

durations. Post-surveillance assessment of each completed exercise is documented, and a follow up is carried

out in case deficiencies are identified.

3.2.7.7 With respect to aerodromes, the regulatory staff and the inspectors of the ASD use the

established guidance material and tools to plan, prioritize and conduct continuing surveillance of aerodromes.

Within the surveillance process, the frequency, scope and depth of the inspections may be adjusted by the ASD

according to the outcome of previous inspections. Surveillance activities may take the form of desktop

inspections, comprehensive (major) inspections, focused inspections on pre-selected aerodrome facilities

and/or operational items, random (spot) inspections and analyses of the outcome of the SMS reports.

Aerodrome manuals provided by aerodrome operators include the requirements for a comprehensive SMS and

are used as a key safety assurance document to assess both initial and continuing organizational competence.

The regulatory staff and the inspectors use aeronautical studies and/or risk assessments (following the

provisions of CAP 760) to assess whether exemptions or exceptions are to be granted and published in the AIP.

As part of the surveillance programme, the ASD inspectors take steps to ensure that aerodrome operators meet

the requirements about surveillance of objects according to the obstacle limitation surfaces at and around

aerodromes.

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3.2.8 Critical element 8 ─ Resolution of safety concerns

―The implementation of processes and procedures to resolve identified deficiencies impacting

aviation safety, which may have been residing in the aviation system and have been detected

by the regulatory authority or other appropriate bodies.

Note.— This would include the ability to analyse safety deficiencies, forward

recommendations, support the resolution of identified deficiencies as well as take

enforcement action, when appropriate.”

3.2.8.1 With respect to personnel licensing, disciplinary actions are taken against

flight/ground/synthetic examiners who fail to maintain the standards of conduct required by the Personnel

Licensing Department, and such actions are carried out in accordance with the established procedure (i.e.

PLD-APS-020: Procedure for Examiner’s Alleged Misconduct). Appeals can be made through the procedure

established in Regulation 6 as outlined in the Civil Aviation Authority Regulations 1991. An appeal made by

an applicant or holder has to be reviewed by a panel of members of the UKCAA, who are appointed by the

Secretary of State for Transport, before a decision can be rendered. A guide to the appeal process is available

in a document issued by the SRG, entitled Guidance on Requesting a Review of Adverse Decisions.

3.2.8.2 With respect to aircraft operations, the operations support officer is responsible for ensuring

that corrective actions requested by the UKCAA inspectors are taken in a timely manner. If a corrective action

is not implemented according to the timeframe agreed between the air operator and the inspector, the

operations support officer will inform the inspector and if necessary, the air operator. In that case, enforcement

action (which includes possible suspension or revocation of the AOC) may be taken by the UKCAA, unless an

extension of the deadline is agreed upon between the air operator and UKCAA. This system is well

implemented in practice.

3.2.8.3 With respect to the transport of dangerous goods by air, the UKCAA may take all necessary

enforcement actions for failures to comply with the established requirements in this area. Such failures are

considered to be criminal offences subject to corresponding penalties. Investigation procedures — clearly

outlined in the MSM Part 2, Section 6, Chapter 3 — start with a formal investigation by the Air Regulation

Enforcement Department of the UKCAA. Non-compliance with related regulations may lead to a warning

letter sent or a formal caution issued by the UKCAA, a hearing at Magistrate’s Court (with a financial penalty),

or even a hearing at the Crown Court if the magistrate believes his/her sentencing powers are insufficient. The

UKCAA has established a database of all reported occurrences regarding dangerous goods, and all reports are

analyzed to identify hazards and assess the associated risk.

3.2.8.4 With respect to airworthiness, deficiencies identified during inspections are documented in the

appropriate forms, with deadlines laid down for action to be taken by the operators. The OTIS is used to track

the resolution of deficiencies. Examples of inspection reports reviewed show that deficiencies are resolved in a

timely manner and that enforcement action is rarely required. Requirements for the reporting of faults,

malfunctions and defects are stated in the EU Regulations for each organizational approval as well as for type

certificate and supplemental type certificate holders, and for Annex II or non-EASA aircraft, they are contained

in the ANO supported by CAP 553 (BCAR Section A). The regional office’s airworthiness surveyors have

confirmed the submission of mandatory occurrence reports as part of the initial organization approvals as well

as during the continuing surveillance conducted. Design organizations have to have a system for receiving and

assessing continuing airworthiness information and for providing the necessary guidance. Airworthiness

surveyors attend continuous airworthiness review meetings held by design organizations to determine if and

when to conduct any mandatory airworthiness action.

- 27 -


3.2.8.5 Where a SAFA inspection reveals significant safety deficiencies, the Secretary of State is

responsible for informing the operator of the aircraft, the competent authority of the State of the Operator and,

where necessary, the State where the aircraft is registered. Where a safety report indicates that there is a

potential safety threat or a ramp inspection report states that an aircraft does not comply with international

safety standards and may pose a potential safety threat, the Secretary of State shall without delay send a copy of

the report to the competent authority in each member State and to the European Commission. Serious

deficiencies identified during domestic or foreign aircraft ramp inspections have to be resolved prior to further

flight.

3.2.8.6 Airworthiness directives (ADs) related to Annex II aircraft in the United Kingdom can be

found on the UKCAA website under CAP 747 (Mandatory Requirements for Airworthiness), with Emergency

ADs published separately on the website and then added to CAP 747 after two months. Under Part M, ADs

from the State of Design as well as EASA ADs are considered mandatory. The ―Flexibility Provisions‖

provided in Article 14 of Regulation (EC) No 216/2008 of 20 February 2008 allow EASA Member States to

react immediately to a safety concern involving a product, person or organization subject to the provisions of

the regulation. In these cases, the Member State must immediately notify EASA, the European Commission

and other Member States of the measure taken and the reason thereof. Within one month, EASA must evaluate

the situation and decide to mandate the action for all Member States or, if EASA finds that the action is not

justified, the initiating Member State must revoke its action. The United Kingdom forwards the ADs for

Annex II aircraft for which it is the State of Design to all Contracting States. The UKCAA also has an

emergency AD e-mail subscription service.

3.2.8.7 With respect to ANS, audit findings identified by the UKCAA as part of the annual

surveillance plan are submitted to the ANSPs for their timely resolution. When safety concerns are raised, the

findings are monitored until the correction plan is finally implemented. In case of serious safety concerns,

inspectors are authorized to suspend operations or to put in place other measures like increased number of

audits or unplanned audits. Possible enforcement measures include suspension and withdrawal of licences and

certificates. In addition, all ANS technical staff employed in the areas of service provision (e.g. ATCOs,

meteorologists, AIS personnel, and flight crew) are obliged to report any safety occurrences through the

MORS. The taxonomy of events to be reported is clearly defined, and operations staff are trained to recognize

the events to be reported. The MORS reports are investigated by the UKCAA headquarters or by the ANS

provider, which sends the final report to the UKCAA for further action. A MORS report can also trigger an

unplanned audit of the concerned unit.

3.2.8.8 With respect to aerodromes, the ASD has a system in place to track deficiencies found during

inspections. Bird strike reports are collected and forwarded to ICAO, and the exchange of safety information

across the aerodrome industry is ensured by the ASD through safety reports, safety bulletins and seminars.

3.2.8.9 With respect to accident and incident investigation, the AAIB has a system in place for the

issuance of safety recommendations in the course or after the completion of its investigations as well as for

follow-up on these safety recommendations issued. In addition, the SIDD of the UKCAA ensures follow-up on

safety recommendations issued to the United Kingdom by other Contacting States. The AAIB is also

responsible for forwarding preliminary reports and accident/incident data reports to ICAO and to the entitled

States, as per Chapter 7 of Annex 13 to the Chicago Convention. However, preliminary reports and data

reports have not been systematically forwarded by the AAIB to the States concerned and/or ICAO as required.

3.2.8.10 The United Kingdom has put in place a mandatory occurrence reporting system (i.e. the

MORS) based on Article 142 of the ANO 2005. This same article also calls on the UKCAA to set up a system

of voluntary reporting. Guidance for both the mandatory and the voluntary reporting of occurrences has been

- 28 -


issued by the UKCAA in CAP 382. The MORS addresses all types of occurrence, including accidents, aircraft

operational incidents, air traffic incidents, airfield incidents, and aircraft technical defects. The SIDD under the

SRG is responsible for receipt, evaluation, and monitoring of follow up action, as well as dissemination,

storage and analysis of information from occurrence reports and any associated data. Reportable occurrences

have to be notified to the UKCAA within 96 hours.

3.2.8.11 The UKCAA encourages voluntary reporting of occurrences across the whole spectrum of the

United Kingdom’s civil aviation operations. The ANO 2005 imposes certain requirements on the UKCAA

with respect to the handling and processing of voluntary MORS reports. Therefore, voluntary reports are

published in a limited format in which information and data which are likely to identify the reporter are

removed. Reporters may request that their reports be kept confidential, and in that case, the report would not be

the subject of a publication, even after removal of the reporters’ identities. Internal procedures for managing

the MORS are outlined in the SIDD Procedures Manual. All occurrences received by the UKCAA are stored

in the MORS database. Recently, the UKCAA has started to maintain a second database which uses the

ECCAIRS (European Co-ordination Centre for Aviation Incident Reporting Systems) software. Based on the

analysis of the data collected, the UKCAA produces statistics and analyses, some of which are shared with the

industry and the public.

3.2.8.12 An additional reporting scheme has been in place in the United Kingdom since 1982, namely,

the Confidential Human Factors Incident Reporting Programme (CHIRP), a non-profit organization which is

partially funded by the UKCAA and established to provide a totally independent confidential reporting system

for all individuals employed in or associated with the transport industries, including civil aviation. CHIRP

welcomes safety-related reports from flight crew, air traffic control officers, licensed aircraft maintenance

engineers, cabin crew, and the general aviation community. The reporters’ identities are kept confidential.

Personal details are not retained and are returned to the reporters or destroyed on closure of their reports.

CHIRP publishes four quarterly newsletters entitled ―Feedback‖ (for general aviation, air transport, cabin crew,

and maritime transport). The newsletters publish statistics about reports received as well as a selection of

reports (with the reporters’ consent) along with CHIRP’s response in order to inform a wider audience of

relevant situations. These newsletters are published on the CHIRP website (http://www.chirp.co.uk).

3.3 The UK Overseas Territories





3.3.1.1 The Civil Aviation Act 1949 (Overseas Territories) Order 1969 forms the primary aviation

legislation applicable in the Overseas Territories of the United Kingdom. Through this order, relevant

provisions of the Civil Aviation Act 1949 (which was subsequently replaced in the UK Main by the Civil

Aviation Act 1982) were extended to and made applicable in the Overseas Territories. In addition, parts of

United Kingdom’s Civil Aviation Act 1982 are extended to the Overseas Territories by the Civil Aviation

Act 1982 (Overseas Territories) Order 2001. These parts are Section 61, which is related to offences and

penalties, and Section 75, related to the investigation of accidents.

3.3.1.2 The Civil Aviation Act 1949 (Overseas Territories) Order 1969 provides for the making of

secondary legislation. The Air Navigation (Overseas Territories) Order 2007 (hereinafter referred to as the

AN(OT)O) is the highest level of civil aviation regulation applicable in the Overseas Territories. Last amended

http://www.chirp.co.uk/

- 29 -


on 9 January 2008, it encompasses all civil aviation-related fields and introduces detailed provisions to enable

the implementation of the ICAO SARPs in the Overseas Territories. In particular, Article 152 of the AN(OT)O

provides that before granting a certificate, licence or other document, the Governor of each Overseas Territory

may publish ―the requirements which he considers relevant to determining his satisfaction in respect of those

matters in the publication issued in the Territory concerned known as ―OTARs (Overseas Territories Aviation

Requirements).‖ Articles 125 to 133 define the offences under AN(OT)O, while Article 134 describing the

related penalties expands the scope of infraction to include contravention of ―provisions of regulations made or

instructions given‖ under AN(OT)O. Article 153 states that the Governor may designate ―a person‖ to carry

out his functions on the regulation and safety oversight of civil aviation in its Overseas Territory, and that

before making, revoking or varying a designation, he shall ―consult with, and take into account any advice

given by ASSI.‖

3.3.1.3 According to the Civil Aviation Authority (Overseas Territories) Directions 2003, as amended,

of the UK Secretary of State, Air Safety Support International Ltd (ASSI) is responsible for drafting

amendments of the AN(OT)O. Accordingly, ASSI has established internal procedures (in particular, the

Company Operating Procedure 37) in its Company and Regulatory Management System to outline the steps for

amending the AN(OT)O, including measures to ensure that relevant responses and views are solicited from

technical specialists and the Overseas Territories’ industry.

3.3.1.3.1 Amendments to the AN(OT)O are mostly driven by amendments to the Annexes to the

Chicago Convention. The amendment process begins with preparation of the draft amendment of the

AN(OT)O by ASSI. The draft legislation is then examined and adopted by the Foreign and Commonwealth

Office (FCO) of the UK Government and presented to the Privy Council for signature and subsequent

placement in the Houses of Parliament. It becomes effective 21 days after signature. Normally, the amendment

process takes several months depending on the complexity and scope of the draft legislation, but in urgent

cases, an amendment can be adopted within a few weeks.

3.3.1.4 The amended AN(OT)O is published by the Office of Public Sector Information (OPSI), and

is also available on the OPSI website (http://www.opsi.gov.uk) as well as on the ASSI website

(http://www.airsafety.aero).

3.3.1.5 Articles 19, 117 and 142 of the AN(OT)O, inter alia, grant the authorized personnel of the

regulatory authority in each Overseas Territory all the necessary access and inspection powers. ASSI inspectors

are provided with detailed credentials, which make reference to the empowering legislation. In addition,

various articles of the AN(OT)O provide for enforcement actions to be taken in the Overseas Territories, with

the related policies and procedures put in place by ASSI for this purpose.

3.3.1.6 The designated regulator in each Overseas Territory may grant an exemption against specific

provisions of the AN(OT)O. To apply for an exemption, an applicant should provide an appropriate risk

assessment relevant to the situation for which the exemption is sought and a description of the manner in which

the risks will be mitigated in accordance with its safety management system (SMS), where applicable.

Exemptions issued by ASSI are published on its website. In addition, it is the policy of Governors of Overseas

Territories, on behalf of the United Kingdom, to make reference to the OTARs when exercising their

discretionary powers. In particular, Governors and those designated by them will normally exercise these

powers to ensure the effective implementation of ICAO SARPs.

3.3.1.7 Overseas Territories may enter into agreements with ICAO Contracting States under the

provisions of Article 83 bis of the Chicago Convention if so authorized by the UK Government. This

authorization takes the form of an ―entrustment‖ issued by the UK FCO. Through Article 7(1) (for

http://www.opsi.gov.uk/

http://www.airsafety.aero/

- 30 -


airworthiness), Article 16(1) (for aircraft radio equipment), and Article 21(3) (for flight crew licences), as well

as the definition of ―State of the Operator‖ in Article 156, the AN(OT)O provides for the recognition of the

licences and certificates issued by the State of the Operator under an Article 83 bis agreement.

3.3.1.7.1 The AN(OT)O’s definition for State of the Operator is the same as the ICAO definition, with

the additional stipulation that the State of Registry has, by agreement with the State of the Operator, ―agreed to

transfer to it its functions and duties as State of registry in respect of that aircraft in relation to, in the case of

article 7(1) airworthiness, in the case of article 16(1), aircraft radio equipment, in the case of article 21(3),

flight crew licensing or in the case of article 49(1) radio licensing.‖

3.3.1.8 Overseas Territories may adopt additional legislation, without prejudice to the AN(OT)O. For

instance, in Bermuda, the local legislature promulgated the Civil Airports Act 1949 (last amended in 1989), to

establish the Bermuda Department of Civil Aviation (BDCA), as the entity in charge of the regulatory

oversight of civil aviation activities in Bermuda, and the Department of Airport Operations, which assumes

functions as aerodrome operator and ANS provider. The act also defines the powers and functions of the

Minister in charge of civil aviation within the Bermudian Government. Under Article 11 of the Civil Airports

Act 1949, enforcement actions may be taken for contravention of ―any provision of any regulations made under

this Act or any order, direction or requirement lawfully made, given or imposed by any person under the

authority of those regulations.‖ The Director of the BDCA is also authorized to issue exemptions to the

established requirements according to established procedures. A list of such exemptions granted can be found

on the BDCA website (http://www.dca.gov.bm).

3.3.1.9 With respect to personnel licensing, the essential legislative provisions are outlined in the

AN(OT)O, specifically Part II, ―Airworthiness and Equipment of Aircraft,‖ Part III, ―Aircraft Crew and

Licensing,‖ and Part XI, ―Licensing of Air Traffic Controllers.‖ The AN(OT)O also lays down the

requirements for the validation of foreign licences, for exemptions, and for the suspension and revocation of

licences and certificates.

3.3.1.10 With respect to aircraft operations, the legal framework is provided by the AN(OT)O,

specifically Part VI, ―Operation of Aircraft,‖ Part VII, ―Air operator certification and commercial air transport

operations,‖ Part VIII, ―Aerial Work,‖ and Part IX, ―General Aviation.‖ The AN(OT)O also outlines the duties

and responsibilities of the pilot-in-command, the requirements for the issuance and renewal of an aviation

document as well as the criteria for suspension or revocation of an aviation document. The AN(OT)O also lays

down requirements for the inspection and surveillance of air operators as well as the enforcement of rules

relating to the operation of aircraft. For commercial air transport operations, an approval is necessary and an air

operator certificate (AOC) issued after requirements are met. To conduct aerial work operations, air operators

need specific aerial work certificates, while for general aviation activities, a specific approval is requested only

for specific categories of aircraft or if more than three aircraft are used. Exemptions are granted based on

Article 146 of the AN(OT)O.

3.3.1.11 Requirements for the transport of dangerous goods by air are outlined in the AN(OT)O,

notably Article 58 and Schedule 10, ―The Air Navigation (Dangerous Goods) Regulations.‖ In this Order, the

ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284) referred to and

applied by ASSI and in relation to the concerned OTARs is the 2007-2008 English language edition. Under

Article 58 of the AN(OT)O, contravention or failure to comply with the provisions in Schedule 10 constitutes

an ―offence.‖ Enforcement rests with the authority designated by the Governor.

3.3.1.12 With respect to airworthiness, the AN(OT)O outlines provisions on the registration and

marking of aircraft (Part I), the airworthiness and equipment of aircraft (Part II), air operator certification and

http://www.dca.gov.bm/

- 31 -


commercial air transport (Part VII), documents and records (Part XIV), power to prevent aircraft from flying

(Part XVII, Article 141) and right to access to aerodromes and other places (Part XVII, Article 142). In

addition, the Air Navigation (Overseas Territories) (Environmental Standards) Order 2004 lays down the

requirements addressing the provisions of Annex 16 to the Chicago Convention.

3.3.1.13 With respect to ANS, the legal framework for the Overseas Territories is laid down in the

AN(OT)O and more specifically in the following Parts:

a) Part X, ―Air Traffic Services,‖ Articles 86-90;

b) Part XI, ―Licensing of Air Traffic Controllers,‖ Articles 91-100;

c) Part XII, ―Aeronautical Telecommunications Service,‖ Articles 101 and 102; and

d) Schedule 8, ―Rules of the Air.‖

3.3.1.14 The legislative framework for the provision of air traffic services and aeronautical

telecommunication services is laid down in Articles 86 and 101 of the AN(OT)O, which stipulate the

requirement of approval granted by the Governor for the provision of these services.

3.3.1.15 To ensure implementation of the Chicago Convention and its Annexes, Article 155 of the

AN(OT)O requires the Governor to issue instructions or publish requirements or make arrangements ―as are

necessary, requisite or expedient‖ for the purpose of ―regulating and securing the safety of international air

navigation‖ in accordance with the provisions of section 8(1) of the Civil Aviation Act 1949. In particular,

Article 155(2) stipulates that the Governor shall ensure the provision of meteorological services, availability of

aeronautical charts, establishment and provision of search and rescue (SAR) services, as well as the provision

of aeronautical information service either through joint service or delegation to a non-governmental agency.

Under the same article, the details of such services and arrangements are to be included in the Aeronautical

Information Publication (AIP) relating to the relevant Territory.

3.3.1.16 With respect to aerodromes, the AN(OT)O provides the legal basis for the certification of

aerodromes in the Overseas Territories. Article 103 of the Order requires air operators to use certificated or

notified aerodromes, while Article 105 outlines the requirement and criteria for the certification of aerodromes

and also authorizes the Governor to grant an aerodrome certificate. Articles 121 and 122 of the Order prescribe

the validity of aerodrome certificate and other documents as well as the conditions for their variation,

suspension or revocation.

3.3.1.17 With respect to accident and incident investigations, the legal framework stems from the Civil

Aviation Act 1982 of the UK Main, specifically Section 75 which is extended to the Overseas Territories under

the Civil Aviation Act 1982 (Overseas Territories) Order 2001. According to Schedule 1(2) of the Order, the

Governor may make regulations for the investigation of accidents ―occurring in or over the Territory or

elsewhere to an aircraft registered in the Territory.‖ The issue of occurrence reporting of accidents and

incidents is addressed by Article 139 of the AN(OT)O, which requires various parties to report occurrences (as

defined in paragraph (4) of Article 139) to the Governors of the Overseas Territories.







- 32 -




3.3.2.1 Most civil aviation requirements applicable in the Overseas Territories are issued in the form

of OTARs, which are developed and published by ASSI on behalf of the Governors of the Overseas Territories

in support of the Governor’s powers outlined in the AN(OT)O. The first batch of OTARs addressed the

provisions of Annexes 1, 6 and 8 to the Chicago Convention, while the second batch addressed the provisions

of Annexes 2, 7, 10, 11, 13 (part), 14, 16 and 18 to the Chicago Convention. All OTARs are available on the

ASSI website (http://www.airsafety.aero).

3.3.2.1 Most civil aviation requirements applicable in the Overseas Territories are issued in the form

of OTARs, which are developed and published by ASSI on behalf of the Governors of the Overseas Territories

in support of the Governor’s powers outlined in the AN(OT)O. The first batch of OTARs addressed the

provisions of Annexes 1, 6 and 8 to the Chicago Convention, while the second batch addressed the provisions

of Annexes 2, 4, 7, 10, 11, 13, 14, 15, 16 and 18 to the Chicago Convention. All OTARs are available on the

ASSI website.

3.3.2.2 OTARs provide details of means of compliance with the AN(OT)O which are acceptable to

the Governors, ASSI and the UK Government. Established as part of the regulatory structure according to

Article 152 of the AN(OT)O, the OTARs describe the way in which aircraft operators, aviation personnel and

providers of services can obtain approvals and licences, and the process through which these are maintained to

ensure adequate levels of safety and internationally-agreed standards are met. They are not intended to

supersede or conflict with statutory requirements, and so the obligation to comply with statutory requirements

remains. The appropriate authority may accept an alternative means of compliance, provided that the applicant

can show that the level of safety will not be reduced below that intended by the requirement.

3.3.2.3 OTARs come into force in an Overseas Territory once they have been ―gazetted‖ (i.e. formally

notified as ―means of compliance‖) by the Governor. The designated regulator in each Overseas Territory

specifies the date at which particular elements of the OTARs become effective, together with any changeover

period. The process for amending OTARs includes consultation with the Overseas Territory Aviation

Authorities (OTAAs) and the civil aviation industry concerned. The method and responsibilities for the

amendment of the OTARs are described in ASSI’s Company Operating Procedure 23.

3.3.2.4 ASSI is responsible for identifying differences between the legislation, regulations and the

ICAO SARPs in the Overseas Territories and has developed Company Operating Procedure 29 for that

purpose. This procedure explains how ASSI produces the list of significant differences with the ICAO SARPs,

which are to be published subsequently in the Overseas Territories’ AIPs. However, such a list has not been

published in the AIPs of the Overseas Territories.

3.3.2.5 While all published OTARs have been gazetted in the Overseas Territories, not all are

applicable as yet. Some other requirements that were in place even before the OTARs had been developed are

still in use in some of the Overseas Territories. However, all Overseas Territories are required to draw up a

transition plan to eventually make the OTARs the only requirements applicable in the Overseas Territories, in

addition to the AN(OT)O.

3.3.2.6 A safety programme has been developed for the Overseas Territories as part of the UK State

Safety Programme (SSP). First issued on 7 April 2008, this SSP for the Overseas Territories has two parts:


- 33 -


1) Part 1 provides an overview of the legislative and regulatory arrangements that are

applicable to the Overseas Territories, and

2) Part 2, the ―All-OT Safety Plan,‖ focuses on operations and provides linkage between

the national regulatory planning system and the regulated organizations by outlining

safety objectives suitable for adoption in the SMS of the operators and service

providers.

3.3.2.7 In Bermuda, aside from the OTARs, other ―means of compliance‖ that are still in place

include the Bermuda Airworthiness Requirements (BARs), the UKCAA Civil Aviation Publications (CAPs),

as well as some EU legislation (such as EASA Part-145 for maintenance organization approvals). The BDCA

has posted on its website (http://www.dca.gov.bm) a ―Transition Plan‖ which provides the dates of

implementation of the OTARs. As per this transition plan, all OTARs will become the only applicable

requirements by April 2010.

3.3.2.8 With respect to personnel licensing, ASSI has developed requirements to implement the

provisions of Annex 1 to the Chicago Convention, with the entire set made available to the public on the ASSI

website (http://www.airsafety.aero):

a) OTAR Part 61 — Pilot Licences and Ratings;

b) OTAR Part 63 — Flight Engineer Licences and Ratings;

c) OTAR Part 65 — Air Traffic Service Personnel Licences and Ratings;

d) OTAR Part 66 — Aircraft Maintenance Personnel Licensing; and

e) OTAR Part 67 — Medical Standards and Recognition of Medical Examiners.

3.3.2.9 With respect to approval of training organizations and language proficiency evaluation, no

requirements have been developed or implemented in the Overseas Territories. ASSI has however developed a

draft plan to implement language proficiency requirements in the Overseas Territories.

3.3.2.10 With respect to aircraft operations, a comprehensive set of requirements has been developed in

the form of OTARs, including:

a) OTAR Part 91 — General Operating Instructions;

b) OTAR Part 92 — Carriage of Dangerous Goods;

c) OTAR Part 119 — Air Operator Certification;

d) OTAR Part 121 — Commercial Air Transport Operations — Large Aeroplanes;

e) OTAR Part 125 — Complex General Aviation Including Corporate Operations; and

f) OTAR Part 135 — Commercial Air Transport Operations — Helicopters and Small

Aeroplanes.

3.3.2.10.1 However, for Annex 6, Part I, to the Chicago Convention, the new standards that were adopted

on 3 March 2008 and included in Amendment 32 have not been addressed by ASSI. The OTARs also do not

include requirements regarding the carriage on board of a true copy of the AOC and corresponding operations

specifications, including leased aircraft.

3.3.2.11 With respect to airworthiness, ASSI has developed and outlined the relevant requirements in

various OTARs, including the following:

http://www.dca.gov.bm/


- 34 -


a) OTAR Part 21 — Certification of Products;

b) OTAR Part 36 — Aircraft Environmental Standards;

c) OTAR Part 39 — Continued Airworthiness Requirements;

d) OTAR Part 43 — General Maintenance Requirements;

e) OTAR Part 47 — Aircraft Registration and Markings; and

f) OTAR Part 145 — Aircraft Maintenance Organization Approval.

3.3.2.11.1 In particular, OTAR Part 21 provides for acceptance of type certificates issued by the Federal

Aviation Administration (FAA) of the United States, Transport Canada, a Full Member State of the Joint

Aviation Authorities (JAA) or EASA in the Overseas Territories. Overall, the OTARs provide a

comprehensive regulatory basis for aircraft airworthiness.

3.3.2.12 In Bermuda, during the transition period, requirements other than the OTARs are in place and

are used as acceptable means of compliance, including the BARs and EASA Part-21 and Part-145. Until the

transition to OTAR is complete, the co-existence of these various means of compliance does not provide for a

consistent regulatory basis. In addition, there are no requirements in place for the implementation of the

provisions of Annex 6 to the Chicago Convention regarding the contents of the maintenance control manual,

the observation of human factors principles in the design and application of maintenance programmes, the

contents of the maintenance programme, extended twin-engine operations (ETOPS) approvals, and for the

release to service by an approved maintenance organization of aircraft operating under an AOC.

3.3.2.13 With respect to ANS, ASSI has developed and outlined requirements in various OTARs to

enable the implementation in the Overseas Territories of the provisions of the Annexes to the Chicago

Convention, with a view to meeting the certification requirements of the service providers in conformance with

Article 155 of the AN(OT)O. Whilst guidance material in the form of OTACs is in place, requirements with

respect to compliance with Annexes 3, 4, 12 and 15 to the Chicago Convention have not been developed and

promulgated.

3.3.2.13.1 OTAR Part 171 — Aeronautical Telecommunication Services prescribes the requirements

governing the approval of aeronautical telecommunications services in relation to their performance, provision,

and safety management. The requirements are the means by which the applicant will be able to satisfy the

Governor as to the fulfilment of their legal obligations in respect of the design, commissioning and operation of

aeronautical telecommunication services.

3.3.2.13.2 OTAR Part 172 — Air Traffic Service Organization Approval prescribes the requirements

governing the provision of air traffic services within the sovereign airspace of the Overseas Territories and for

the approval and operation of organizations providing air traffic services in the sovereign airspace of the

Overseas Territories excluding those portions of airspace that are:

a) within the flight information region (FIR) administered by another ICAO Contracting

State in accordance with the terms of Regional Air Navigation Agreements, or

b) the subject of a written agreement between an organization responsible for the provision

of ATS in adjacent airspace which delegates the provision of ATS to that organization.

3.3.2.13.3 OTAR Part 173 — Flight Checking Organisation Approval outlines requirements regarding

flight calibration organizations in relation to their organization, equipment maintenance and safety

management.

- 35 -


3.3.2.13.4 OTAR Part 176 — Instrument Approach Procedure Approval addresses the requirements with

respect to approval, maintenance, operating chartage, promulgation and maintenance of instrument approach

procedures.

3.3.2.14 With respect to aerodromes, OTAR Part 139 — Certification of Aerodromes, first developed

by ASSI in July 2005 and last amended in September 2007, lays down the detailed regulatory requirements

governing the certification, management, operation and maintenance of aerodromes in the Overseas Territories.

It also sets out technical standards consistent with Annex 14, Volumes I and II, to the Chicago Convention,

except for those on rescue and fire fighting which are described in OTAR Part 140 — Rescue and Fire

Fighting Services (RFFS) Approval.

3.3.2.15 With respect to accident and incident investigations, the Governors in all of the Overseas

Territories have drawn up the relevant regulations pursuant to the provisions of the Civil Aviation Act 1982

(Overseas Territories) Order 2001. For example, in Bermuda, the applicable regulation is the Civil Aviation

(Investigation of Air Accidents and Incidents) Regulations 2001, which entered into force on 1 June 2001. All

of the regulations in the Overseas Territories contain provisions on the appointment of Inspectors of Air

Accidents. While the actual wording of the applicable regulations varies slightly from territory to territory, in

general terms they all provide as follows: ―For the purpose of carrying out investigations into accidents and

incidents to which these Regulations apply, the Governor shall appoint persons as Inspectors of Air

Accidents.‖

3.3.2.16 The regulations further provide that the investigators (referred to as ―inspectors‖) may seek

such advice or assistance as they may deem necessary and, without prejudice thereto, the Governor may

appoint persons to assist any investigator in a particular investigation. However, while the investigation

regulations promulgated in the Overseas Territories contain all essential provisions to enable the conduct of

investigations, they have not been reviewed and updated to reflect the fact that the Air Accident Investigation

Branch (AAIB) has been formally designated as the entity responsible for all accident and incident

investigations in the Overseas Territories. Consequently, these investigation regulations include a number of

provisions on the notification and investigation of accidents and incidents which no longer correspond to the

arrangements in place.

3.3.2.17 With respect to occurrence reporting, the applicable requirements are outlined in OTAR

Part 13 — Occurrence Reporting, which gives effect to the legal obligations laid down in the AN(OT)O

regarding the reporting of occurrences.




adequate technical and non-technical staff and provided with adequate financial resources.

The State authority must have stated safety regulatory functions, objectives and safety

policies.





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3.3.3.1 ASSI was formally established on 1 April 2003 and is funded by the UK Department for

Transport (DfT). The Civil Aviation Authority (Overseas Territories) Directions 2003, which came into force

on 2 January 2003 and has been amended since, states that ASSI has the following functions:

―a) regularly to audit aviation safety regulation in each Overseas Territory and to advise the

Secretary of State, the Governor of that Territory and those responsible for aviation

safety regulation in that Territory on whether that Territory is complying with the United

Kingdoms obligations under the Chicago Convention, on the standard of aviation safety

regulation in that Territory, on the adequacy of the resources employed in that Territory

on such regulation and on any remedial measures that may be necessary;‖

―b) to produce, in respect of each function of each Governor of an Overseas Territory under

the Air Navigation (Overseas Territories) Order 2001 (which was amended since)

which provides for him to issue a certificate, licence or other document if he is satisfied

as to specified matters, the means of compliance which will enable that Governor to be

and remain satisfied as to those matters;‖

―c) to produce and submit to the Secretary of State draft amendments to the Air Navigation

(Overseas Territories) Order 2001 as and when necessary and, in particular, so as to

enable timely effect to be given to Standards and Recommended Practices contained in

Annexes to the Chicago Convention;‖

―d) to provide assistance, training and advice to those responsible for aviation safety

regulation in each Overseas Territory;‖ and

―e) to carry out aviation safety regulation functions in an Overseas Territory:

(i) when so designated by the Governor of that Territory under the powers granted to

him by the Air Navigation (Overseas Territories) Order 2001; or

(ii) where no other person has been designated by the Governor to carry out those

functions.‖

3.3.3.1.1 The Civil Aviation Authority (Overseas Territories) Directions 2003, as amended, also

mandates the UKCAA to undertake at least annually an audit of the activities of ASSI and to submit a report

thereon to the Secretary of State.

3.3.3.2 ASSI is managed by a Chief Executive Officer (CEO), who reports to the ASSI Board. ASSI

has its headquarter office in Crawley, near Gatwick Airport, and a regional office in the British Virgin Islands

(BVI). Procedures have been established for coordination and standardization between the Crawley and the

BVI offices of ASSI, and regular meetings are held both within ASSI, and between ASSI, the DfT, the

UKCAA and the OTAAs.

3.3.3.3 The duties and responsibilities of the ASSI inspectors are documented as part of ASSI’s

Company and Regulatory Management System, and these Inspectors have been issued credentials to provide

access to aircraft and all relevant facilities. ASSI is able to recruit and retain qualified and experienced staff,

and the organization plays an active role in the recruitment process. However, the current number of technical

staff is insufficient and does not enable the organization to fulfil all its responsibilities, both as direct regulator

and as the entity in charge of overseeing compliance with the ICAO SARPs across the Overseas Territories.

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3.3.3.4 The capability and competence of all of the Overseas Territories were initially assessed in

2003/2004 and it was based on these assessments that the Governors made the initial designations of functions

under Article 153(1) of the AN(OT)O. In accordance with Directions from the UK Secretary of State, ASSI

continues to assess the oversight systems established in the Overseas Territories where OTAAs have been

designated to carry out regulatory activities. In Bermuda, the Governor has designated the BDCA as both the

regulatory and the safety oversight authorities for all civil aviation activities in Bermuda and for Bermuda-

registered aircraft.

3.3.3.5 Established as a department under the Ministry of Tourism and Transport of Bermuda, the

BDCA is wholly funded by the Bermudian Government. Job descriptions have been developed and credentials

issued for all technical staff of the BDCA. The organization and internal processes of the BDCA are

documented in the Quality Assurance Manual of the BDCA, which was first issued by the Director of the

BDCA on 1 April 2007 and last amended on 1 February 2009. The recruitment of the BDCA staff is managed

by the Department of Human Resources of the Bermudian Government, but the BDCA plays an active role in

the recruitment process. The BDCA has highly qualified and experienced staff. However, with an increased

workload, mainly due to a rapidly expanding aircraft register (the aircraft register has more than doubled over

the last three years), the number of technical staff within the BDCA is insufficient to enable it to effectively

fulfil all its responsibilities.

3.3.3.6 With respect to personnel licensing, ASSI employs a specialist who shares licensing

responsibilities with the other inspectors involved in operations, airworthiness and ATS. In Bermuda, licensing

responsibilities are divided between several inspectors and officers who are also involved in operations,

airworthiness and ATS.

3.3.3.6.1 No flight examiners and no medical examiners have been designated yet in any of the

Overseas Territories. Flight checks and medical certificates are recognized if issued by flight examiners and

designated medical examiners approved by an ICAO Contracting State. Given the workload of the BDCA, it

does not have sufficient human resources in the field of personnel licensing to carry out its functions in an

effective and timely manner.

3.3.3.7 With respect to aircraft operations, ASSI does not have sufficient staff, with only one flight

operations inspector who is responsible for safety oversight tasks and for drafting regulatory requirements. In

addition, this inspector is also responsible for the safety oversight of foreign air operators (including the

conduct of ramp checks). While check airmen are used occasionally, there is no procedure in place for the

delegation of any of the inspection or supervision responsibilities. ASSI also employs a dangerous goods

inspector.

3.3.3.7.1 With respect to Bermuda, there is only one flight operations inspector performing all the tasks

related to regulatory and surveillance work. Given the level of work involved, this is insufficient for the

effective performance of the duties. According to the established job descriptions, dangerous goods

responsibilities are carried out by the Flight Operations Inspector and one of the Operations Officers. There are

two Operations Officers, one handling dangerous goods and one handling ANS and AGA.

3.3.3.8 With respect to airworthiness, ASSI is designated as the direct regulator for the airworthiness

area in six Overseas Territories and related activities are assigned to its Airworthiness Section. ASSI inspectors

are responsible for providing assistance and training to the OTAAs’ airworthiness inspectors for the

implementation of the OTARs. ASSI does not however delegate any airworthiness tasks.

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3.3.3.8.1 Regarding Bermuda, the BDCA has a team of airworthiness inspectors which reports directly

to the director of the BDCA. The BDCA has also delegated airworthiness-related tasks to a number of

designated airworthiness inspectors. However, the current number of airworthiness inspectors is insufficient to

support the approvals issued by the BDCA.

3.3.3.9 With respect to ANS, full-time inspectors are employed both by ASSI and the BDCA.

However, ASSI has a shortage of qualified inspectors, in particular, in the fields of AIS, MET and SAR. As for

the BDCA, it has only one officer responsible for the oversight of both ANS and aerodromes.

3.3.3.10 The Overseas Territories are located within the FIRs of Miami, New York, Kingston

(Jamaica), Piarco (Trinidad and Tobago) and San Juan (Puerto Rico). The Falklands Islands have their own

FIR/UIR GND/FL500 with a radius of 150 NM. Provision of ANS is ensured by ANS providers which are

approved by the regulatory body designated by the Governor. The Governors of Bermuda and the Cayman

Islands have designated their respective responsibilities to the local OTAAs.

3.3.3.11 The provision of ATS in the Overseas Territories is limited to aerodrome control service only,

and in some cases, approach control service. ATS in the wider terminal control areas and control zones are

provided by the parent area control centre/approach control service. PANS-OPS services are normally

contracted out and the service providers are certified by ASSI.

3.3.3.12 For the Overseas Territories, SMS guidance is laid down in two Overseas Territory Aviation

Circulars (OTACs), namely ―Safety Management Systems‖ and ―Documenting the SMS.‖ An SMS evaluation

policy has been developed, and the SMS evaluation plan provides for implementation by stages.

Comprehensive and stage-by-stage SMS evaluation procedures have also been developed and these are in use

and also available on the ASSI website. The designated regulator will, in the context of SMS evaluations,

consider the acceptability of the safety objectives and activities set by the regulated organization, including the

degree of measurability that has been provided (i.e. safety performance indicators (SPI) and safety performance

targets (SPT)) before agreeing to the acceptable level of safety performance. All the information described

above is also posted on the ASSI website.

3.3.3.13 The AIS Unit at Piarco Airport, Trinidad, operated by Trinidad and Tobago Civil Aviation

Authority, is charged with the production of the AIPs for the Eastern Caribbean region (including Anguilla,

BVI and Montserrat). However, the AIS does not have a quality system in place. For Bermuda, the production

of the Bermuda AIP has been contracted out to the United States firm, Jeppesen Sanderson.

3.3.3.14 The ANS Telecommunications and Navigation Section based in Antigua provides CNS to

Anguilla, Montserrat and BVI. For Bermuda, CNS is provided by BAS Serco on behalf of the Department of

Airport Operations (DAO). The aeronautical telecommunications service in the Cayman Islands and Turks and

Caicos Islands is provided by the Cayman Islands Airports Authority and the Turks and Caicos Islands

Airports Authority, respectively, while the Falkland Islands’ telecommunications service is provided by Stanley

Airport. All providers hold current approvals issued by ASSI or the designated OTAA in line with the

requirements of OTAR Part 171.

3.3.3.15 The provision of meteorological services in the Overseas Territories is usually contracted out.

However, both ASSI and the BDCA do not ensure that an agreement has been established between ATS and

MET authorities for the provision of MET services.

3.3.3.16 Regarding SAR, the United Kingdom has signed an MOU with the United States and Canada

regarding the provision of SAR services as well as the establishment of cooperative arrangements among the

- 39 -


three States in accordance with their assumed responsibilities under the Chicago Convention and the

International Convention on Maritime Search and Rescue 1979 and in accordance with Annex 12 to the

Chicago Convention. The MOU states that the subordinate elements of each State may engage in further

coordination and cooperation through the establishment of operational MOUs and procedures. As the MOU

covers all of the United Kingdom’s Overseas Territories in the North Atlantic and Caribbean Regions, these

Overseas Territories fall within the SAR regions for which the United States has responsibility (except for

Montserrat which is a signatory to the Eastern Caribbean SAR Agreement). However, neither ASSI nor any of

the Overseas Territories has concluded formal written agreements for the coordination of the provision of SAR

services with neighbouring States at the operational level.

3.3.3.17 With respect to aerodromes, ASSI employs full-time aerodrome inspectors, who are

responsible for the development of aerodrome regulations and standards for the Overseas Territories as well as

for the certification and surveillance of aerodromes in those Overseas Territories where ASSI is the designated

regulator for aerodromes. In most Overseas Territories, the local Government is involved in the provision of

aerodrome facilities and operations, but there is a distinct separation between the aerodrome operator and the

regulatory authority. In Bermuda, the BDCA has one aerodrome inspector, who reports directly to Director of

the BDCA.

3.3.3.18 With respect to accident and incident investigations, the AAIB is designated by each Governor

of the Overseas Territories as the entity responsible for all aircraft accident and incident investigations in a

letter appointing the Chief Inspector of the AAIB as the Chief Inspector of Air Accidents in the concerned

Overseas Territory. These letters of appointment also acknowledge the intention of the Chief Inspector of the

AAIB to appoint one or more investigators from within the AAIB to undertake an investigation in any specific

case and confirm the Governor’s agreement to such appointment. Prior to this designation, however, the

Governors of the Overseas Territories had signed agreements with the AAIB to ensure the provision of

necessary assistance by the AAIB. These agreements have remained in place even as the AAIB is now formally

in charge of investigations in the Overseas Territories.

3.3.3.19 As part of the current arrangements, an Accident Investigation Manager (AIM) may be

appointed by the Governor to assist the AAIB in the conduct of investigations. In particular, in cases where the

AAIB decides to deploy a team on the site of the accident, the AIM is responsible for managing the

investigation and preserving all relevant evidence pending the arrival of the AAIB investigators. In Bermuda,

two inspectors of the BDCA have been appointed as authorized persons to carry out investigation-related tasks.

However, as the AAIB has been formally designated as the entity responsible for all aircraft accident and

incident investigations in the Overseas Territories (the Governor appointed the Chief Inspector of the AAIB on

25 September 2008), these inspectors thus carry out the functions of the AIM, but their job descriptions have

not been updated to reflect their current functions and responsibilities, and they have not been provided with

the proper credentials to perform their investigation-related functions.






3.3.4.1 ASSI has established minimum experience and knowledge requirements for the recruitment of

its technical staff, and it has qualified staff. Regarding training, ASSI has two part-time training staff including

a training manager, who plays a central role in coordinating, planning and monitoring the training to be

- 40 -


provided to the staff. Comprehensive training records of the ASSI staff are maintained by the training manager.

Formal training programmes have been established for all technical job positions within ASSI, and training

plans are drawn up regularly, with training needs assessed every six months. The training programmes and

training plans are well implemented.

3.3.4.2 Concerning the BDCA, it adheres to the personnel recruitment, selection and hiring policies of

the Government of Bermuda in accordance with the procedures established by the Bermuda Department of

Human Resources. The BDCA plays an active role in the selection of its staff and has been able to recruit

qualified staff. However, minimum qualification requirements have not yet been formally established for all

technical staff positions within the BDCA. As for training policy, the BDCA has developed one which is

documented in its Quality Assurance Manual. As part of this policy, training needs are identified for all

employees of the BDCA, and the training to be provided is planned accordingly. However, formal and

comprehensive training programmes detailing the type of training to be provided have not been developed for

the various technical staff positions of the BDCA. In addition, the BDCA does not systematically keep

comprehensive training records of all technical staff (including records of their on the job training).

3.3.4.3 With respect to accident and incident investigations, a training programme was recently

established describing the type of training to be provided to the AIMs designated in the Overseas Territories.

However, this training programme is not yet fully implemented. In addition, no mechanism is in place to ensure

that the AIMs have undergone on-the-job training before being assigned investigation-related tasks.









3.3.5.1 Both ASSI and BDCA staff are provided with all the necessary facilities, tools as well as

transportation and communications means (including access to Internet) for them to perform their tasks

effectively. ASSI and the BDCA have also established technical libraries stocked with the necessary and up-to-

date technical documentation. However, it was noted that the airworthiness inspectors of the BDCA do not

have access to the relevant documents from the organizations responsible for the type design needed to support

the approvals for aircraft on the Bermudian register.

3.3.5.2 To provide additional information and guidance on how to meet the requirements established

under the AN(OT)O and the OTARs, ASSI has issued a set of OTACs. It has also developed guidance material

for its staff and the staff of the OTAAs through its Company Regulatory and Management System, in which

Company Procedures and Technical Procedures are described in the Policy and Co-ordination Manual

(PacMan). All documentation is available on the ASSI website.

3.3.5.3 With respect to personnel licensing, ASSI has developed detailed technical procedures for the

issuance of personnel licences. These procedures are contained in PacMan, Part 4 ―Technical Procedures,‖

Section 4 ―Personnel Licensing‖ and are available on the ASSI website. Licensing records related to personnel

licences issued by ASSI are maintained in hard copy under strict access control. Medical files are kept by the

medical examiners.

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3.3.5.3.1 In Bermuda, the BDCA has developed a Personnel Licensing Manual, which spells out the

specific procedures for the validation of flight crew and aircraft maintenance engineer licences and for the

issuance of air traffic controller licences. Medical files for the air traffic controllers are kept in the Bermuda

office of the medical examiner.

3.3.5.4 With respect to aircraft operations, ASSI has issued technical guidance material in PacMan.

However, the available procedures and checklists do not cover all the activities performed by ASSI and the

OTAAs. Guidance material has also been issued for the use of the industry, and several OTACs related to

aircraft operations are available on the ASSI website. With respect to dangerous goods, OTAC 91-3/92-1

(―Carriage of Dangerous Goods‖) provides detailed guidance on the training of staff involved in the safe

transport of dangerous goods by air as well as the staff involved in the carriage of passengers or cargo.

3.3.5.4.1 Regarding Bermuda, the Flight Operations Inspector Manual issued by the BDCA outlines all

the applicable procedures for the issuance of certificates and approvals as well as for the conduct of inspections

of AOC holders and foreign air operators. Detailed checklists have also been developed for the flight

operations inspector. Procedures related to dangerous goods have been developed, but they are not sufficiently

detailed.

3.3.5.5 With respect to airworthiness, ASSI inspectors have access to all design organization

documentation and continuing airworthiness information (in both soft and hard copies) through the UKCAA

library. They are also provided with guidance material to carry out their duties and responsibilities in all areas

ranging from aircraft airworthiness certification to inspections of approved maintenance organizations (AMOs)

and of AOCs. However, some procedures are still missing, including those for the approval of repairs,

approvals of minimum equipment list (MEL), ETOPS and reduced vertical separation minimum (RVSM) as

well as inspections of AOC holders, foreign operators and AMOs.

3.3.5.5.1 For Bermuda, the BDCA has developed an airworthiness handbook which outlines procedures

for its airworthiness inspectors. However, some procedures are missing, including those for developing

mandatory airworthiness action on a product for which it is not the State of Design, export of aeronautical

products, review and approval of maintenance control manual, special operations approval, review of the

maintenance procedures manual, and policy to conduct inspections of AOC holders and foreign air operators.

In addition, although more than 250 Bermuda-registered aircraft are operated by foreign operators under the

provisions of Article 83 bis of the Chicago Convention, there are no procedures in place regarding the transfer

of the State of Registry’s responsibility for the issuance of flight crew licences to the State of the Operator.

Moreover, the BDCA has not developed industry guidelines with regard to the authenticity and serviceability

of aircraft parts. Guidelines on the identification of acceptable international standards for specialized

maintenance activities (such as welding of aeronautical products and non-destructive testing) are also

unavailable.

3.3.5.6 In the area of ANS, guidance material has been issued by ASSI and the BDCA. In particular,

ASSI has published procedures to assist the inspectors in their ATS and CNS-related tasks as well as

procedures for the licensing and continuing competence assessment of ATS staff. OTACs dealing with

competence assessments have been developed by ASSI to provide guidance to the industry.

3.3.5.7 With respect to aerodromes, guidance material and technical procedures are outlined in several

OTACs and in PacMan. Presently, ASSI is in the process of finalizing an aerodrome inspector’s manual to

consolidate the existing technical procedures with some new procedures still under development. The technical

procedures provide guidance to aerodrome inspectors for the initial certification of aerodromes, continuing

surveillance of aerodrome operations and enforcement measures. Safety critical information is disseminated in

- 42 -


various ways, including publication in the AIP and Notices to Airmen (NOTAMs). Regarding Bermuda, the

BDCA has developed the Safety Oversight Operations Manual, which outlines procedures for aerodrome

certification and surveillance.

3.3.5.8 With respect to accident and incident investigations, the AAIB has developed some guidance

material which is found mostly in the AAIB Operations Manual and consists of procedures and guidelines for

the notification and investigation of aircraft accidents and incidents. However, these procedures have not yet

been disseminated to the concerned OTAAs. In the current system, each Overseas Territory is responsible for

providing the necessary equipment and tools to the staff which will be responsible for the first response after an

accident (in particular, the collection and preservation of all relevant evidence). In Bermuda, while two

inspectors of the BDCA have been named for the task and have received some training to carry out the

functions of AIMs, the equipment that was provided to them (i.e. investigation equipment and protective

equipment) is still insufficient. Procedures and guidelines for managing aircraft accident and incident

investigations are outlined in the BDCA’s Air Accident and Serious Incident Investigation Manual, which was

first issued on 10 June 2005 and last amended on 8 January 2009. The manual however has not been reviewed

and updated to reflect the fact that the AAIB has since been formally designated as the body responsible for all

aircraft accident and incident investigations in Bermuda.

3.3.5.9 With respect to occurrence reporting, ASSI has issued OTAC 13-1 (―Occurrence Reporting‖)

to provide detailed guidance to the industry on how to submit occurrence reports, including bird strike reports.

In addition, ASSI has issued PacMan Procedure 8, which details the process for the receipt, storage,

investigation and analysis of occurrence reports by ASSI and the OTAAs.







3.3.6.1 With respect to personnel licensing, pilot, flight engineer and aircraft maintenance engineer

licences are of the expiring type, with different validity periods, while air traffic controller licences are of the

continuing type. Renewals of licences require flight checks or recent proof of experience. All applications, in

hard copy format, are sent to the personnel licensing specialist at ASSI. All documentation is stored in a file for

each licence holder. Conversion and validation of foreign licences are applicable only for pilot, flight engineer

and aircraft maintenance engineer licences. In case of validation, ASSI systematically verifies the validity of

the licences with the issuing authority. Theoretical examinations are prepared and organized by ASSI

according to established procedure. ATS inspectors assess the competency of air traffic controllers, while flight

examiners carry out flight examinations. However, no designations are issued by ASSI or the BDCA. The

results of flight checks are automatically recognized by ASSI, or the OTAAs, as applicable. ASSI has not

approved any training organization.

3.3.6.2 Medical assessments are provided by the aeromedical examiners. However, no designation is

issued by ASSI or OTAAs, as applicable. Medical certificates are recognized directly.

3.3.6.3 For Bermuda, the BDCA issues validations for all flight crew and aircraft maintenance

engineer licences, and licences for air traffic controllers. In validating foreign licences, the BDCA does not

systematically contact the issuing State to ensure the validity and the authenticity of the original licence or its

- 43 -


full compliance with Annex 1 to the Chicago Convention. In case of Article 83 bis agreements, block

validations are issued based only on the list of licence holders presented by the concerned air operator.

Theoretical examinations on air law are organized by the BDCA. Regarding training organizations, the BDCA

has approved several training organizations for air traffic controllers based on authorizations issued by other

ICAO Contracting States.

3.3.6.4 With respect to aircraft operations, ASSI implements certification, approval and authorization

processes in accordance with established legislation, requirements and procedures. The certification process, as

outlined in OTAR Part 119 and described in PacMan Technical Procedure TP 2-3 — Air Operators

Certificate, includes a standard application form, review of operations manual, and inspections of the

operator’s facilities and organization by the ASSI operations inspector. Coordination is carried out with the

airworthiness inspectors. A flight inspection may be required depending on the complexity of the operations

and the experience of the crews and usually takes the form of a non-revenue proving flight, with a view to

verifying that the operating procedures are satisfactory. Upon successful completion of the certification

process, the applicant is issued an AOC and a set of operations specifications; the document remains valid until

it is suspended or revoked. However, ASSI has not yet issued a standard application form for an AOC

applicant.

3.3.6.5 Regarding the approval of aircraft leasing, a circular entitled ―Aircraft Lease‖ was issued for

ASSI staff and the OTAAs. However, in the case of the transfer of oversight responsibilities in accordance

with Article 83 bis of the Chicago Convention, the OTARs do not require a certified true copy of the transfer

agreement to be carried on board at all times. With respect to dangerous goods, ASSI has not issued any

authorization to carry dangerous goods to AOC holders which are under its oversight responsibility.

3.3.6.6 Regarding Bermuda, the BDCA has issued one AOC. It has also issued five authorizations for

carriage of dangerous goods, but only for foreign air operators. While the BDCA follows the established

requirements and procedures in issuing the AOC, there is insufficient coordination between the operations and

airworthiness inspectors in the certification and approval processes.

3.3.6.7 With respect to airworthiness, ASSI maintains an electronic database recording information

from the certificates of registration of all aircraft registered in the Overseas Territories and updates it with

information received from the OTAAs. The certificates of registration, certificates of airworthiness, special

flight permits, and export certificates of airworthiness issued by ASSI include all the required information. In

each Overseas Territory where ASSI is the designated regulator for airworthiness, ASSI keeps comprehensive

records for each registered aircraft.

3.3.6.8 Airworthiness approvals and certificates are issued by the ASSI airworthiness inspectors in

accordance with established legislation, requirements and procedures. However, as some procedures and

guidelines have not been established, certain aspects of the approval or certification process are not covered.

3.3.6.9 For Bermuda, the BDCA maintains an accurate and up-to-date aircraft register (in electronic

format as well as in hard copy) which shows the information recorded on the certificates of registration. The

certificates of registration, certificates of airworthiness, special flight permits, noise certificates, and export

certificates of airworthiness issued by BDCA contain the necessary information, and the BDCA also keeps

comprehensive records for each registered aircraft. However, in practice, various airworthiness requirements

are not met due to a lack of requirements and/ or procedures.

3.3.6.10 With respect to ANS, where ASSI is designated as regulator, all ATS and aeronautical

telecommunication service providers hold current ASSI approvals which are issued according to the

- 44 -


requirements of the applicable OTARs. PANS-OPS service providers are also approved by ASSI in accordance

with the requirements of OTARs Part 173 and Part 176. Navigation aids in the Overseas Territories are

regularly flight checked, with the process monitored by either ASSI, where they have regulatory

responsibilities, or by the respective departments of civil aviation.

3.3.6.11 With respect to aerodromes, all those which have to be certified have been effectively certified

in accordance with OTAR Part 139, with the exception of two (i.e. Anegada Airport in the BVI and Little

Cayman Airport in the Cayman Islands). The aerodrome certificate is valid for five years or until it is

suspended or revoked. ASSI or, as applicable, the concerned OTAA reviews the relevant documents (including

the aerodrome manual) and performs inspections of the aerodrome facilities and operating conditions before

issuing the aerodrome certificate. Copies of aerodrome manuals, certificates and files containing

correspondence between ASSI (or, as applicable, the concerned OTAA) and the aerodrome operators are kept

by the respective aerodrome inspectors.








3.3.7.1 With respect to personnel licensing, ASSI does not carry out inspections, as there are no

approved training organizations, flight examiners or designated medical examiners in the Overseas Territories.

For Bermuda, the BDCA does not have a surveillance programme for the approved training organizations of

air traffic controllers.

3.3.7.2 With respect to aircraft operations, ASSI implements a surveillance programme for the air

operators under its direct oversight responsibility, which is based on specific procedures (including PacMan

Technical Procedure TP 2-7 — Surveillance of Operators and PacMan Procedure 14 — Ramp Checking of

Foreign Aircraft). Surveillance is carried out by means of audits, ramp checks, and flight checks as well as

through the review of Safety Assessment of Foreign Aircraft (SAFA) reports and other inspection reports from

foreign authorities. However, the surveillance programme does not cover the designated individuals who

conduct tasks (such as flight proficiency checks) on behalf of the designated regulator. In addition, ASSI has

not implemented a surveillance programme regarding the transport of dangerous goods by air. The dangerous

goods inspector of ASSI does not carry out regular and random inspections to verify compliance with the

established requirements and the provisions of Annex 18 to the Chicago Convention.

3.3.7.3 For Bermuda, the BDCA has established a surveillance programme of the AOC holders and

foreign air operators. However, some inspections have not been completed. Regarding the transfer of oversight

responsibilities in accordance with Article 83 bis of the Chicago Convention, BDCA has established an

inspection programme of the aviation authorities of the State of the Operator based on specific agreements.

However, the inspections schedule is not followed. The BDCA conducts inspections regarding the transport of

dangerous goods by air.

3.3.7.4 With respect to airworthiness, ASSI has performed a few audits of local and foreign AMOs

and AOC holders. It also requires periodic mass and balance reports for all aircraft and the Airworthiness

Section checks these reports during the renewal of the certificates of airworthiness. However, ASSI has not

- 45 -


developed a comprehensive surveillance programme to cover all airworthiness activities and thereby ensure

that all aircraft, maintenance facilities and air operators comply with the airworthiness requirements in place.

3.3.7.5 Regarding Bermuda, the BDCA’s airworthiness inspectors conduct inspections on Bermuda-

registered aircraft only for the renewal of certificates of airworthiness. The foreign AMOs are audited as part of

the process for the issuance or the renewal of their certificates. No formal surveillance programme has been

established to verify that all air operators and AMO comply with the established requirements. Furthermore,

although the BDCA has delegated some of its airworthiness-related duties to a private agency and to

13 independent airworthiness designators, the BDCA does not conduct oversight of these delegated tasks.

Concerning Bermuda-registered aircraft which are operated commercially by foreign operators under

Article 83 bis of the Chicago Convention, the BDCA inspectors do not participate in the operators’ reliability

meetings in order to monitor the reliability programmes and be able to initiate special evaluations and/or

impose special operational restrictions in case the information obtained indicates degraded level of safety.

3.3.7.6 With respect to ANS, ASSI has developed a surveillance programme with a view to providing

continuous surveillance of all relevant organizations and individuals. ASSI carries out regular oversight of

ANS providers, except for those in the AIS, cartography, MET and SAR fields. Where the OTAAs have been

assigned regulatory responsibility for ANS, they have established their own surveillance mechanisms.

Regarding Bermuda, the BDCA normally contracts out the surveillance of ATS and CNS providers to private

organizations. However, no mechanism has been established for the continuous surveillance of AIS,

Cartography, MET and SAR service providers.

3.3.7.7 With respect to aerodromes, ASSI has developed and implements a surveillance programme

for the continuing oversight of all certified aerodromes. ASSI aerodrome inspectors inspect all the aerodromes

under their oversight responsibility at least once a year. In Bermuda, the BDCA has a surveillance programme

in place for the safety oversight of the Department of the Airport Operations, which is the operator of the L. F.

Wade International Airport. The BDCA also contracts private consultant companies to conduct comprehensive

aerodrome inspections every 18 to 24 months or as necessary. An inspection checklist is available and used by

the aerodrome inspectors of ASSI and the OTAAS for the conduct of inspections.








3.3.8.1 With respect to personnel licensing, ASSI and the OTAAs are authorized by the AN(OT)O to

suspend, limit, vary or revoke any certificate, licence, approval, permission, exemption, authorization or other

document ―issued, granted or having effect‖ under the AN(OT)O. Penalties may be prescribed for the offences

described in the AN(OT)O, such as false declarations.

3.3.8.2 With respect to aircraft operations, enforcement actions are carried out in accordance with the

guidance outlined in the established procedure (i.e. PacMan Technical Procedure TP 1-4 — Enforcement).

Non-conformities identified during audits and inspections are tracked according to PacMan Procedure 10 —

Regulatory Non-conformity Reporting (RNR) Procedure. Inspectors of ASSI and the OTAAs can take action to

- 46 -


ensure enforcement of the established requirements. In case of non-compliance or violation, enforcement

actions can take the form of administrative actions (including the suspension or revocation of the AOC) or

sanctions, as applicable. The AN(OT)O, Schedule 10, ―The Air Navigation (Dangerous Goods) Regulations,‖

grants specific enforcement authority for failure to comply with any regulation on the carriage of dangerous

goods. However, the associated procedures have not been established as no dangerous goods inspections are

performed.

3.3.8.3 Regarding Bermuda, the BDCA has put in place a system to track deficiencies and remedial

actions based on specific procedures developed by ASSI and documented accordingly in the Flight Operations

Inspector Manual. For the transport of dangerous goods by air, no enforcement process has been implemented.

3.3.8.4 With respect to airworthiness, ASSI and the BDCA have implemented procedures to track and

follow up on deficiencies identified during inspections of air operators and AMOs. Inspectors can take

appropriate actions when necessary, including enforcement measures. However, ASSI and the BDCA have not

instituted a system to ensure the effective reporting of faults, malfunctions and defects to the organization

responsible for the type design of the aircraft registered, operated or receiving maintenance under an approval

issued by the State. Mandatory continuing airworthiness actions issued by the State of Design are reviewed

periodically by the airworthiness inspectors for the renewal of certificates of airworthiness.

3.3.8.5 With respect to ANS, ASSI has implemented a system to track deficiencies identified and

ensure their timely resolution. In the Overseas Territories where the OTAAs assume the regulatory

responsibilities, the OTAAs have set up their own mechanisms. The ANS inspectorate of the BDCA has

developed a documented process for the identification, follow-up and resolution of deficiencies identified in

the ATS and CNS fields only, as no oversight of the AIS, Cartography, MET and SAR service providers is

carried out.

3.3.8.6 With respect to aerodromes, ASSI has established a regulatory non-conformity reporting

system to deal with deficiencies found during aerodrome inspections. Warning letters may be issued to the

aerodrome operator, if necessary. Follow-up inspections are conducted and enforcement action can be taken,

including imposition of limitations on aerodrome operations or suspension of the aerodrome certificate.

Exchange of safety information takes place through regular monthly telephone meetings between the ASSI

COO and the Directors of the OTAAs as well as annual conferences. In Bermuda, regular safety meetings are

held between the BDCA and the aerodrome operator. In accordance with ASSI guidance, reports on bird

strikes occurring in the Overseas Territories are forwarded and stored in the UK database before they are sent

to the IBIS database.

3.3.8.7 With respect to accident and incident investigations, both ASSI and the BDCA have

implemented procedures to act on safety recommendations presented to them as a result of an investigation.

Regarding occurrence reporting, ASSI is involved both directly as a designated regulator and indirectly as a

coordinator. As the designated regulator, ASSI receives occurrence reports and coordinates follow-up actions

(e.g. database management, investigation, and trend analysis). When it acts as coordinator, the regulatory

responsibility lies with the concerned OTAA. ASSI operates a paper-based database system to record

occurrences and has not yet established an electronic accident and incident database. Regarding Bermuda,

mandatory occurrence reports (MORs) are reviewed and analyzed by the BDCA. One of the BDCA inspectors

is tasked with receiving, analyzing and storing data in an Excel database. All MORs received in Bermuda are

also forwarded to ASSI. No voluntary incident reporting system has been set up in the Overseas Territories to

facilitate the collection of safety information that may not otherwise be captured by established mandatory

incident reporting system.

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3.4 The UK Crown Dependencies





3.4.1.1 The primary legislation applicable in the Isle of Man (IoM) is made by either the Parliament of

the United Kingdom or the local IoM legislature (known as Tynwald), which share equal competence. Her

Majesty the Queen as Lord of Mann is the Head of State for the IoM. Her personal representative on the Island

is the Lieutenant Governor, who is appointed by the Crown for a five-year term. Tynwald has two chambers:

the House of Keys and the Legislative Council. The Legislative Council generally acts as a revising chamber

for Bills which are usually introduced in the House of Keys. The Royal Assent to Tynwald Bills is given by the

Queen or, now more commonly, by the Lieutenant Governor.

3.4.1.2 Acts of the UK Parliament do not extend to the IoM unless expressly so provided. Where they

are extended, they are usually modified for their application in the IoM. European legislation related to aviation

does not automatically extend to the IoM. An MOU regarding aviation safety regulation was signed between

the United Kingdom (International Aviation and Safety Division of the UK Department for Transport or DfT)

and the IoM (IoM Department of Transport or IoM DoT) on 12 March 2008. Under this MOU, the United

Kingdom has to the following responsibilities:

a) to consult the IoM in a timely manner prior to international negotiations and discussions

in relevant international forums, and to take account of its interests in those negotiations

and discussions;

b) to facilitate participation by the IoM in any relevant international forum or negotiations;

c) to provide timely advice to the IoM of any changes to relevant technical requirements

established under the Chicago Convention; and

d) to ensure that the IoM is advised in a timely manner:

i) of any proposals to amend, in its application to the United Kingdom, civil aviation

legislation which has been extended to the IoM’s territory, and

ii) upon request, of any amendments to the UK domestic legislation upon which the

IoM’s local legislation may be based;

iii) in accordance with any agreed timetables, provide timely advice to the IoM on any

proposed aviation legislation that they may have drafted;

iv) facilitate the provision of assistance and advice from the UKCAA to the IoM

under section 16(1) of the Civil Aviation Act 1982 (Parliament);

v) inform the IoM of any EU legislation dealing with the implementation of ICAO

SARPs; and

vi) act on behalf of the IoM to withdraw or amend an existing difference filed by the

United Kingdom or provide for a new difference in respect of a SARP, except

where, notwithstanding that there may be practical points of distinction to be

drawn between the circumstances of the United Kingdom and the special

circumstances of the IoM, a fundamental risk to aviation safety would arise from

the withdrawal, amendment or filing.

- 48 -


3.4.1.3 In the MOU, the IoM agrees not to place the United Kingdom in breach of its international

obligations and in particular will:

a) establish and maintain a civil aviation safety regulator separate from any aviation service

provider;

b) ensure that the civil aviation safety regulator is competent and is provided with

sufficient resources to allow it to carry out its functions effectively;

c) contract in, as may be required, any expert services which cannot be provided in house;

d) take steps to ensure or promote, as the case may be, the timely enactment of relevant

civil aviation legislation;

e) agree with the United Kingdom a regular schedule of independent reviews/audits of the

safety regulatory system and advise the United Kingdom of the outcome;

f) provide the United Kingdom’s National Safety Oversight Coordinator (NSOC) with all

the relevant information required under ICAO’s USOAP and cooperate with any audit

conducted by ICAO.

3.4.1.4 Sections 60 and 61 of United Kingdom’s Civil Aviation Act 1982 (Parliament) which provide

for the power to make and enforce Air Navigation Orders (ANOs) have been extended to the IoM by the Civil

Aviation (IoM) Order 2007, an Order in Council approved by the Queen. In exercise of that power, the Air

Navigation (IoM) Order 2007 (hereinafter referred to as the ANO (IoM) 2007) was promulgated.

3.4.1.5 The Airports and Civil Aviation Act 1987 (an Act of Tynwald) confers on the Department of

Transport of the IoM (referred to in this act as ―the Department‖) the power to make application orders

effectively by applying UK Acts and secondary legislation as well as EC aviation legislation (at present there is

no EC aviation legislation related to aviation safety that applies to the IoM directly) to the IoM as part of the

law of the Island. The necessary modifications are specified in the application orders to allow for effective

implementation (i.e. substitution of names or departments as appropriate). Once approved by the Tynwald, the

application orders have the force of law. Other provisions of the Civil Aviation Act 1982 (Parliament) are

applied to the IoM by the Civil Aviation Acts (Application) Order 2006, as modified/specified. In addition,

another application order, the Civil Aviation (Subordinate Legislation) (Application) Order 2006, provides for

the application of the following UK secondary legislation relating to aviation safety to the IoM:

a) Air Navigation Order 2005;

b) Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996;

c) Aeroplane Noise Regulations, 1999;

d) Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996;

e) Air Navigation (Dangerous Goods) Regulations 2002;

f) Air Navigation (General) Regulations 2006;

g) Civil Aviation (Safety of Third Country Aircraft) Regulations 2006; and

h) Rules of the Air Regulations 2007.

3.4.1.6 The ANO (IoM) 2007 represents the highest level of civil aviation regulation in the IoM. It has

nine parts and nine schedules, including provisions on registration and marking of aircraft, airworthiness and

equipment of aircraft, aircraft crew and licensing, operation of aircraft, fatigue and cosmic radiation,

documents and records, movement of aircraft, and others.

3.4.1.7 Pursuant to Section 60 of the Civil Aviation Act 1982 (Parliament) and Articles 19, 51, and 59

of the ANO (IoM) 2007, persons authorized by the Department have the right of access to ―any aerodrome,‖

―any place where an aircraft has landed,‖ any document or any factory for the purpose of inspecting the

- 49 -


aerodrome, an aircraft or documents, or for the purpose of detaining an aircraft. Both Articles 58 and 59 of the

ANO (IoM) 2007 specifically provide that the Department may detain an aircraft when it is considered likely to

fly in contravention of the specified safety requirements or be ―in a condition unfit for flight.‖

3.4.1.8 Under the Sections 61 and 99 of the Civil Aviation Act 1982 (Parliament), infringement of

ANO requirements constitutes a criminal offence, and the maximum penalty is imposed depending on the

nature and circumstances of their infringement. Enforcement of the air navigation regulations and associated

operating regulations is further boosted by the ANO 2005 of the United Kingdom, specifically Article 148 and

Schedule 14 which lay down enforcement action and penalties to be imposed for the contravention of the

ANO.

3.4.1.9 Article 34 of the Chicago Convention requires the maintenance of a journey log book for every

aircraft engaged in international air navigation. However, the applicable regulations in the IoM only require

that the journey log book be maintained for aeroplanes engaged in commercial air transport. In addition, the

IoM does not require the carriage on board an aircraft of the journey log book, the passenger manifest or the

cargo manifest as stipulated in Article 29 of the Chicago Convention.

3.4.1.10 The IoM consented to have the ratification of Article 83 bis of the Chicago Convention by the

United Kingdom apply to the IoM. In this connection, Article 5 of the ANO (IoM) 2007 provides that ―save in

the case of a transfer of functions under Article 83 bis of the Chicago Convention,‖ IoM-registered aircraft may

not fly for the purpose of commercial air transport. The IoM however does not have any aircraft being operated

under an agreement made pursuant to Article 83 bis. In so far as certificates and licences are concerned, the

ANO (IoM) 2007 has provisions for the recognition of those issued by the State of Registry or the State of

Operator. Under the ANO (IoM) 2007, the definition for State of the Operator is the same as the ICAO

definition, but with the added condition that the State of Registry has, ―by agreement‖ with the State of the

Operator agreed ―to transfer to it its functions and duties as State of registry in respect of that aircraft‖ in

relation to airworthiness, aircraft radio equipment, flight crew licensing or radio licensing.

3.4.1.11 With respect to airworthiness, the ANO (IoM) 2007 repeats the relevant provisions of the

ANO 2005 of the United Kingdom in relation to the aircraft register (airworthiness, licensing and aircraft

operations). Articles 7, 9, 10, 13, and 22 of the ANO (IoM) 2007 specify that the Department can issue, renew

or validate certificates of airworthiness, national permits to fly or equivalent documents, certificates of

validation of aircraft maintenance engineers’ licences, as well as certificates of validation and re-validation of

flight crew licences. In addition, Article 53 authorizes the Department to revoke, suspend and vary certificates,

licences and other documents that it has issued, granted or given effect to under the ANO (IoM) 2007.

3.4.1.12 With respect to ANS, the relevant provisions (i.e. Articles 100 to 126) of the ANO 2005 of the

United Kingdom are applicable to IoM, without modifications to the organization and approval of the provision

of ATS and Flight Information Services (FIS) (including details on the licensing of air traffic controllers, FIS

Officers, and ATS equipment). In addition, Article 55 of the ANO (IoM) 2007 stipulates compliance by

aircraft within the IoM with the requirements of the ―Rules of Air‖ which refers to the regulations made ―under

article 95 of Air Navigation Order 2005 and applied to the Isle of Man under section 11 of the Airports and

Civil Aviation Act 1987 (an Act of Tynwald).‖

3.4.1.13 With respect to aerodromes, Sections 6 and 8 of the Airports and Civil Aviation Act 1987

empowers the Department to obtain rights over land in order ―to secure the safe and efficient use for civil

aviation purposes of land‖ and to exercise control over land in the interests of civil aviation, including

requirements for ―the total or partial demolition of any building or structure‖ and/or ―for restricting the height

of trees upon any land within the area, or for requiring any tree upon any such land to be cut down or reduced

- 50 -


in height,‖ ―for extinguishing any private right of way over land within the area,‖ and ―for restricting the

installation of cables, mains, wires or other apparatus upon, across, under or over any land within the area‖ in

order to ensure safe operation of aircraft in the vicinity of an aerodrome. Furthermore, according to

Schedule 1 (3) and Schedule 2 (c) of the Airports and Civil Aviation Act 1987, the IoM Civil Aviation

Administration (IoM CAA) may carry out obstacle control in the interest of civil aviation safety as authorized

under the Transfer of Functions (Civil Aviation) Order 2008, while the Town and Country Planning Act 1999

(of Tynwald) lays down provisions related to aerodrome development plan.

3.4.1.14 The regulatory framework for the licensing and certification of aerodromes is laid down by the

ANO (IoM) 2007 and by Articles 126 and 128 of the ANO 2005 of the United Kingdom which have effect

within the IoM. Aerodrome operating minima are addressed in Article 24 (public transport aircraft) and

Article 25 (non-public transport aircraft) of the ANO (IoM) 2007. Article 53 of the ANO (IoM) 2007

authorizes the Department to revoke, suspend or vary aerodrome certificates/licences, while Article 59 grants

the Department and any authorized person the right of access to any aerodrome for the purpose of inspection.









3.4.2.1 The Director of Civil Aviation (DCA), as the Head of the IoM CAA (website:

http://www.gov.im/dti/isleofmancivilaviationadministrationcaa.xml), is responsible for ensuring compliance

with all international requirements. Specifically, he is responsible for monitoring and reviewing developments

in international civil aviation law, regulations and standards and for maintaining the Island’s civil aviation

regulatory framework in compliance with these standards. The responsibility of the DCA thus includes the

development and proposal of appropriate changes to the Island’s civil aviation legislation.

3.4.2.2 Under the ANO (IoM) 2007, the IoM’s Department of Trade and Industry (IoM DTI) has

discretionary powers to grant certificates, licences and approvals if the applicant is deemed competent. The

IoM CAA has adopted a limited number of the UKCAA Civil Aviation Publications (CAPs) as a means of

compliance for receiving approvals issued by the IoM CAA. Registry Publications (RPs) are supporting

documents published by the IoM Aircraft Registry (IoMAR), which is a section of the IoM CAA, to provide

information on the applicable administrative processes and the standards used to assess competence as part of

the process to grant a permission, approval, variation, exemption and certificate. While the CAPs and RPs do

not constitute legislation, non-compliance with the CAPs or RPs may however result in the DCA’s revocation

of a licence, certificate or approval, refusal to grant a licence, certificate or approval, or granting of a licence,

certificate or approval with conditions.

3.4.2.3 Under Article 66 of the ANO (IoM) 2007, the IoMAR may issue a permission, approval,

variation or exemption (PAVE) from certain requirements of the ANO. A Minimum Equipment List

Permission is a normal procedure which enables efficient operation of an aircraft without reduced level of

safety. An Approval can be used to modify part of an aircraft. A Variation can provide an alternative but

equivalent level of safety. An Exemption granted in relation to Rule 5 (―Low flying prohibitions‖) of the Rules

http://www.gov.im/dti/isleofmancivilaviationadministrationcaa.xml

- 51 -


of the Air Regulations 2007, allows an aircraft to fly closer to objects or people in controlled conditions for

aerial photography. Additionally, the IoMAR Policy and Procedures Manual requires a full review of

proposals and conditions whenever a request is received for a PAVE, including the use of external expert

advice and legal advice, if necessary, to ensure that no reduction in safety level occurs and that any aircraft

limitations, validity time scales and environmental restrictions are duly imposed.

3.4.2.4 The IoMAR website (at http://www.gov.im/dti/Aircraft) makes available the applicable

aviation legislation (including a list of the UKCAA CAPs adopted by the IoM CAA) and the relevant RPs.

Also found on the website are the IoM CAA publications, Safety Matters, which provide safety information for

owners, operators, flight crew and maintenance organizations of IoM-registered aircraft. Certificate holders are

asked to ensure that these online documents are disseminated to their contracted maintenance organizations as

well as to all their staff members who could have an interest in the information or who may need to take

appropriate action in response to the information.

3.4.2.5 With respect to airworthiness, the related requirements in the IoM are laid down primarily in

the ANO (IoM) 2007, the Civil Aviation (Subordinate Legislation) (Application) Order 2006, and the RPs. In

line with the policy of the IoMAR to only register aircraft that have already been type certificated by EASA,

the IoMAR accepts aircraft based on the Type Certification Standard of the State of Design for aircraft from

the United States, Canada, Brazil and the States represented by EASA. With respect to the continuing

airworthiness of aircraft registered in the IoM, the IoMAR requires owners, their contracted organizations, and

staff to abide by the instructions for continued airworthiness issued by the aircraft, engine, propeller (if

appropriate) and equipment designers. The certification of maintenance must be carried out by an approved

maintenance organization or a licensed aircraft maintenance engineer whose qualification have been validated

by the IoMAR for release to service under the ANO (IoM) 2007.

3.4.2.6 Where the regulations and the instructions for continued airworthiness are insufficient, the

IoMAR has adopted UKCAA CAPs (available on the UKCAA website http://www.caa.co.uk), subject to any

necessary modifications. In particular, references to any provision of the ANO 2005 of the United Kingdom are

to be taken as references to the corresponding provision of the ANO (IoM) 2007. Presently, the UKCAA CAPs

adopted in the IoM include CAP 455 (Airworthiness Notices) and CAP 562 (Civil Aviation Airworthiness

Information and Procedures (CAAIP)). However, the operations-derived equipment requirements of Annex 6,

Parts II and III to the Chicago Convention are not fully addressed by the applicable regulations in the IoM. In

addition, the IoM has not established requirements for human factors principles to be observed in the design

and application of maintenance programmes for aircraft and helicopters engaged in international operations in

accordance with Annex 6, Parts II and III.

3.4.2.7 With respect to ANS, the IoM CAA addresses the related provisions of the Annexes to the

Chicago Convention through the ATS Safety Regulation Policy Paper, the Rules of the Air Regulations 2007

and numerous ANS-related CAPs. The list of ANS-related CAPs, as applicable to the IoM, is published in the

Aerodrome Regulatory Manual. However, the IoM has not established formal requirements with respect to the

specific units of measurement to be used in air and ground operations in accordance with Annex 5 to the

Chicago Convention.

3.4.2.8 With respect to aerodrome, the IoM CAA has adopted several regulatory requirements from

the UKCAA and has incorporated them into its Aerodrome Regulatory Manual. According to Article 59 of the

ANO (IoM) 2007, the aerodrome regulatory authority is authorized to carry out safety oversight responsibilities

while inspectors are appropriately delegated the corresponding authority. Up-to date copies of aerodrome-

related regulations are available to the public on the IoM CAA’s website. The Strategic Plan approved in 2007

through the Town and Country Planning (Isle of Man Strategic Plan) Order 2007 establishes an objective to

http://www.gov.im/dti/Aircraft


- 52 -


provide sufficient space for the efficient operation of Ronaldsway International Airport and to safeguard the

approach and departure routes and the Public Safety Zone, in accordance with international operating standards

and without compromising environmental objectives.




adequate technical and non-technical staff and provided with adequate financial resources. The

State authority must have stated safety regulatory functions, objectives and safety policies.





3.4.3.1 The Government of the IoM is made up of a Council of Ministers (headed by a Chief Minister)

and nine Departments (each headed by a Minister). As a legal entity, each Department has its powers and

duties exercised on its behalf by its Minister or by officers delegated by the Ministers. The Government

Departments Act 1987 provides for nine Departments, including the Department of Trade and Industry and the

Department of Transport.

3.4.3.2 Under the ANO (IoM) 2007, the aircraft registration and regulatory functions were initially

entrusted to the Department of Transport (DOT), but pursuant to the latest amendment of the

ANO (IoM) 2007, these functions were transferred to the Department of Trade and Industry (DTI) effective

1 July 2008. However, according to the Airports and Civil Aviation Act 1987, the operation of the IoM Airport

and the provision of ANS inside IoM airspace remain the responsibility of the DOT.

3.4.3.3 The IoM Civil Aviation Administration (IoM CAA) is a division of the DTI that is responsible

for regulating aviation in the IoM. Under Section 3(2) of the Government Departments Act 1987, the Minister

of Trade and Industry assigned the aviation-related functions of the DTI to the Director of Civil Aviation

(DCA) who heads the IoM CAA. The CAA’s role is to administer the IoM Aircraft Registry (IoMAR) and

regulate the IoM Airport. In addition to its responsibility of ensuring compliance of the Island's aviation

legislation with ICAO SARPs and other relevant European aviation standards, the IoM CAA is also charged

with regulation of aerodrome and air traffic services in the IoM.

3.4.3.4 Presently, the IoM CAA is funded under the Civil Aviation (Charges) Scheme 2007 but the

eventual the objective is to become self-financing. Certain functions of the IoM CAA are funded by the DTI.

The incomes derived from the IoM CAA’s charges and expenditures are reviewed annually by the DTI Finance

Director. Adjustments to the Scheme of Charges of the IoM CAA are then made as required upon the advice of

the Finance Director and the DCA.

3.4.3.5 The primary responsibility of the DCA is to establish a civil aircraft register in the IoM and act

as the Civil Aviation Regulator for the Island. Accordingly, the DCA ensures that IoM-registered aircraft are

properly designed, manufactured, operated and maintained. In specific terms, it means ensuring that operators

are competent; that the flight crew, air traffic controllers, aircraft maintenance engineers and relevant

organizations are licensed and competent; that licensed aerodromes are safe to use; and that air traffic services

and general aviation activities meet required safety standards. While the DCA may contract out

professional/technical oversight for these functions, he retains full regulatory responsibility and accountability.

- 53 -


3.4.3.6 As a section under the IoM CAA, the IoMAR, established on 1 May 2007, has a Chief

Surveyor and, depending upon the fleet size, may hire a limited number of airworthiness surveyors. Most of the

airworthiness surveys are conducted by staff supplied by a long-term partner, namely, Baines Simmons

Limited. Surveyors are selected for their qualifications, experience and suitability to support the IoMAR in

fulfilling its responsibility as a State of Registry. The Chief Surveyor is also the Deputy Director of Civil

Aviation (DDCA) and assists the DCA in his function as the Civil Aviation Regulator in the IoM.

3.4.3.7 The primary responsibility of the Chief Surveyor is to ensure that IoM-registered aircraft

conform to international airworthiness, certification and maintenance standards, including the installation of

operational and emergency equipment. Specifically, it requires surveys of aircraft and supporting

documentation in order to verify their compliance with acceptable standards and with the appropriate

certification basis for the issue of certificates of airworthiness. The Chief Surveyor is also responsible for the

continuing airworthiness of the aircraft whilst on the register, including the approval of maintenance

programmes, the acceptance of Minimum Equipment Lists (MELs), the renewal of certificates of

airworthiness, the approval of modifications and repairs, the investigation of occurrence reports, and the

validation of aircraft maintenance engineer’s licences.

3.4.3.8 Once qualified, airworthiness surveyors are issued Certificates of Authorisation to enable them

to carry out work under the ANO (IoM) 2007, Aeroplane Noise Regulations, and the Civil Aviation Act 1982

(Parliament). A copy of the certificate is kept in the individual’s file. Additionally, airworthiness surveyors are

issued stamps engraved with the Authorisation Numbers from their Certificates of Authorization; the stamps

are used on official documents. Baines Simmons Limited is also authorized by the Minister of Trade and

Industry, under Section 3 of the Government Departments Act 1987, to exercise the functions of the DTI in

relation to Article 11 (approval of maintenance schedule) of the ANO (IoM) 2007. Other approvals are also

issued by the IoM CAA based on recommendations by Baines Simmons-contracted surveyors.

3.4.3.9 Within the IoM CAA, the Operations Officer is the primary source for information and advice

to the general public and customers with respect to the registration of aircraft and personnel licensing matters.

The Operations Officer is responsible for ensuring that all applications comply with the relevant aviation

legislation for aircraft registration, for managing the IoMAR, and for the acceptance, authorizations and

issuance of validations for flight crew licence. In addition, the Operations Officer is in charge of the monitoring

of the IoM CAA’s budget, the management of its income, and expenditure of all monies in accordance with

IoM Government Financial Regulations.

3.4.3.10 The DTI recently concluded a Framework Agreement with UK CAA International (CAAI) (a

wholly owned subsidiary of the UKCAA) for the conduct of safety oversight tasks related to ATS, CNS, MET,

AIS, PANS-OPS and Charts by competent UKCAA technical staff on behalf of the IoM CAA.

3.4.3.11 At the Ronaldsway Airport, ANS (such as ATS, CNS and MET services) are provided by the

IoM’s DOT, while an unmanned self-briefing facility is provided to pilots in the airport terminal building.

PANS-OPS and aeronautical charts services are provided by the Directorate of Airspace Policy (DAP) of

UKCAA. The provision of SAR services has been formalized in an agreement between the governments of the

IoM and the United Kingdom, and includes the Maritime and Coastguard Agency (MCA), Joint Emergency

Service Control Room (JESCR), ARCC Kinloss, and various local SAR supporting agencies. The IoM

Government is also represented on the UK SAR Operators’ Group Maritime and Aviation Consultative

Committee.

3.4.3.12 The ATS-DOT handles an average of 100 movements daily (with peaks of 200 movements

daily during the two busiest week of the year when the Tourist Trophy event takes place) within a control

- 54 -


traffic zone that extends up to 6 500 feet in an approximate radius of 12 miles in Class D airspace. Aerodrome

and approach surveillance services are provided on a daily 16-hour basis.

3.4.3.13 With respect to aerodromes, the airport regulation section of the IoM CAA carries out all

regulatory activities, including certification and surveillance of the certified aerodrome of the IoM. Under the

Framework Agreement between the DTI and the CAAI, competent UKCAA aerodrome standards staff perform

the certification and inspection tasks allocated to them by the IoM CAA. The staffing level provided to the IoM

CAA through the Framework Agreement and its Appendix (Framework 4492, Revision 1, Appendix 4) is

sufficient to ensure that all oversight tasks related to aerodromes are performed in an effective and timely

manner. For the DCA, his duties and responsibilities as they relate to aerodromes as well as his delegated tasks

under the Framework Agreement are well defined. However, the aviation agencies, aerodrome regulatory

authority and airport operators have not made coordinated arrangements in order to optimize civil aviation

security measures within the IoM.






3.4.4.1 The IoMAR has developed a training policy which is fully supported by the DTI CEO, DTI

Minister, and the IoM Government. When a deficiency in knowledge is identified from industry developments

or legislation changes, suitable training for the most appropriate staff member is planned and provided. Each

staff member has a personal file which records the courses attended as well as planned future development

courses. These development opportunities are discussed at the regular Government Personal Development

Review meetings between the line manager and staff member, but may be raised anytime a potential

improvement opportunity is identified.

3.4.4.2 When recruiting an airworthiness surveyor, the first preference is that the person should

already have appropriate regulatory experience with a National Aviation Authority (NAA). As all IoMAR

procedures are based on the UKCAA procedures, additional training is required for a candidate from a

different NAA. When an experienced surveyor is not identified, then an experienced engineer who meets the

maximum qualification, experience and competency requirements is selected and given formal surveyor’s

training followed by on-the-job training. A final review and acceptance of the trainee will be conducted by the

Chief Surveyor or a nominated person.

3.4.4.3 Continuation training sessions for surveyors are held twice a year at Baines Simmons offices

to ensure standardization and to review changes. The Chief Surveyor represents the IoMAR at these training

sessions. Baines Simmons retains training records of the surveyors whom they contract to work for the IoMAR,

while the IoMAR retains the training records of the Chief Surveyor and the Operations Officer.

3.4.4.4 In the areas of ANS and aerodromes, the Framework Agreement between the DTI and the

CAAI states that any inspector contracted to perform tasks related to aerodrome certification and inspection or

the safety oversight of ANS providers is expected to meet the same qualification and training requirements as

those established by the UKCAA for its own technical staff.

- 55 -










3.4.5.1 The regulatory and technical staff of the IoM CAA are provided with adequate facilities, tools

and equipment to enable them to discharge their responsibilities in an effective manner. Through the Internet,

they have access to all relevant ICAO documents, along with other regulatory and technical information,

including the UKCAA CAPs.

3.4.5.2 Policies applicable to aviation safety oversight in the IoM are generally based on best industry

practice and agreed upon following discussions with industry experts and the technical experts in the IoM

CAA, with input also coming from contracted technical advisors. The resulting policies and procedures are

published in RPs.

3.4.5.3 With respect to airworthiness, the IoMAR has developed a set of technical procedures

(published as RP 23) to provide a mechanism for airworthiness surveyors to make an objective assessment of

compliance while maintaining the safety objectives of the IoM CAA. The Technical Procedures address the

following subjects:

• Checklist for registering aircraft,

• Issue of a certificate of airworthiness,

• Aircraft flight manual acceptance,

• MEL permission,

• Aircraft weight schedule,

• Aircraft radio installation acceptance,

• Airworthiness assessment for the grant of airspace approvals,

• Noise certificates,

• Renewal of a certificate of airworthiness,

• Certificate of airworthiness for export,

• Modification and repair approvals,

• Approval of maintenance programmes,

• Maintenance arrangements,

• Airworthiness Directives,

• Authorizations and validations,

• Mandatory occurrence reporting (MOR),

• Mandatory markings and placards,

• Acceptance of type certificates,

• Permit to fly, and

• Generic aircraft survey risk assessment.

3.4.5.3.1 All airworthiness surveyors are required to conduct their tasks in accordance with the Policy

and Procedures Manual (PPM) and the Technical Procedures Manual (TPM).

- 56 -


3.4.5.4 In the ANS area, the IoM State Safety Programme describes the acceptable levels of safety in

aviation operation to be achieved by the IoM, in accordance with ICAO Doc 9859 — Safety Management

Manual.

3.4.5.5 With respect to aerodromes, guidance material on the various technical areas is available

through the ANO (IoM) 2007 (e.g. Articles 24, 25 and 55); the ANO 2005 of the United Kingdom (i.e.

Article 95), and specific publications (e.g. CAP 168, ―Licensing of Aerodromes‖). In addition, a

comprehensive set of aerodrome-related procedures developed by the UK CAA has been implemented by the

IoM CAA through the Framework Agreement and are readily available to the inspectors and the regulatory

staff. However, there is no quality system in place to ensure that the accuracy, integrity and protection

requirements for aeronautical data reported by the aerodrome operator are met throughout the data transfer

process.







3.4.6.1 With respect to airworthiness, the procedures established by the IoM CAA are fully

implemented and, with the exception of the provisions that have not been addressed in the regulations

applicable in the IoM, they fully conform to the ICAO SARPs and guidance material. It is a normal practice to

receive an Export Certificate of Airworthiness from either the current registry or the manufacturer of a new

aircraft confirming that the aircraft meets all the requirements and standards of the State of Manufacture or

existing registry. For a used aircraft imported from an EU Member State, a valid EASA Airworthiness Review

Certificate or certificate of airworthiness may be acceptable. Before an aircraft can be accepted for registration,

an airworthiness survey is conducted by an authorized surveyor to ensure that the aircraft and the relevant

documents submitted meet the established requirements. The aircraft owner/operator must request the

acceptance/validation of the organization and/or individual to certify for work on their aircraft by declaring

their maintenance intentions on the Aircraft Maintenance Information Form.

3.4.6.2 The IoMAR also issues the following approvals in support of the aircraft on its registry:

maintenance programmes; noise certificates; RVSM, RNAV and CAT II/III Airspace Approvals; and MELs.

All modifications and repairs to aircraft not classified as minor require design approval from the State whose

design code was used as the basis for the acceptance of the aircraft. The IoMAR also issues permits to fly with

suitable limitations applied, in the event that an aircraft has temporarily lost the validity of its certificate of

airworthiness and has to be flown to a location where maintenance work can be carried out. An Export

Certificate of Airworthiness may be issued upon request by the owner prior to de-registration.

3.4.6.3 With respect to ANS, the IoM CAA has not formally accepted the ATS safety management

system (SMS) implemented by the DOT ATS provider, as documented in the ATS Safety Case (dated

July 2006). For the licensing of air traffic controllers, the IoM implements CAP 744 (United Kingdom Manual

of Personnel Licensing — Air Traffic Controllers) which requires the air traffic controllers to hold a UK air

traffic controller’s licence. Under the Air Traffic Control (ATC) Licensing Scheme, ATC rating examinations

are conducted by an UKCAA inspector of ATS and a local ATC examiner, while the annual competence

assessments for the renewal of unit licence endorsements are carried out by local competence examiners, who

are appointed by the UKCAA, in accordance with the IoM Airport Air Traffic Control Unit Training Plan. The

- 57 -


air traffic engineers who are responsible for the operation of the engineering facilities used in the provision of

ATS are required to hold and maintain CAA SRG Personal Technical Certificates in accordance with CAP 670

(ATS Safety Programme). MET tools and systems are calibrated and certified by the UK MET Office. As for

flight inspection, the DOT has contracted Cobham plc, a private company, to perform the required tasks.

3.4.6.4 An aerodrome certificate (licence) in conformance with the national requirements and the

relevant ICAO SARPs was issued by the DOT to the Ronaldsway International Airport, the only aerodrome

open for public use, when the aerodrome regulatory functions were still under its responsibility.

3.4.6.5 With respect to aerodromes, the certification of Ronaldsway International Airport was carried

out in accordance with the national requirements (CAP 168), the IoM CAA procedures, and the UKCAA

procedures (i.e. ASD-008, ASD-009, ASD-010). All safety aspects are covered in the certification process,

including review of physical facilities, obstacle limitation assessments, aerodrome manuals and SMS. The IoM

CAA keeps up-to-date copies of the certificate and the approved aerodrome manual, and files them with all

correspondence related to the application. The aerodrome certificate remains in force until it is varied,

suspended or revoked. However, the IoM CAA has not integrated the international security measures into the

design and construction of the aerodrome and does not ensure that the aerodrome operator complies with

regulatory requirements about providing an illuminated fence or suitable barriers to aerodrome and off-

aerodrome ground installations and facilities.








3.4.7.1 With respect to airworthiness, certificates of airworthiness are issued for a validity period of

only 12 months, after which a full survey is conducted by either the Chief Surveyor or a Baines Simmons-

contracted airworthiness surveyor. Because of the high level of visibility of IoM-registered aircraft, there is no

programme for the conduct of ramp inspections for domestic aircraft. In accordance with Article 8 of the

ANO (IoM) 2007, no aircraft registered in the IoM may fly unless it is airworthy and the certificate of

airworthiness remains valid.

3.4.7.2 The UK DfT is responsible for the oversight of the Safety Assessment of Foreign Aircraft

(SAFA) Programme for the United Kingdom and as such, it may request the IoM CAA to conduct ramp

inspections of foreign-registered aircraft. Procedures for the conduct of SAFA inspections are available and the

IoM has enforcement provisions for the resolution of safety concerns identified during an aircraft inspection.

However, to date, the UK DfT has not requested the IoM CAA to conduct any inspections under the SAFA

Programme; the IoM CAA however does conduct ramp inspections of foreign aircraft as part of its own

surveillance activities.

3.4.7.3 Oversight of the work conducted by the surveyors contracted under Baines Simmons is carried

out by the Chief Surveyor or his nominated deputy who goes on an aircraft survey and evaluates the surveyor’s

performance. Baines Simmons also conducts a quality review of all work packages before they are sent to the

IoMAR to ensure that the work has been completed to a high standard and spot checks are also carried out by

the Chief Surveyor. Any issues identified are promptly addressed.

- 58 -


3.4.7.4 In the ANS area, the last audit of the ANS Providers (ANSPs) in the IoM was conducted in

October 2005 by inspectors from the UKCAA Manchester Regional Office to provide a CAP 670 ATC and

Engineering Compliance Audit and ATC competency checks. Since then, no other surveillance activities have

been conducted on the ANSPs on the IoM. In addition, the IoM CAA has not carried out oversight of the ATS

SMS implemented by the DOT ATS provider (including establishing the acceptable level of safety to be

achieved, and conducting post-implementation monitoring to verify that the defined level of safety continues to

be met). At the Ronaldsway International Airport, a Local Runway Safety Team consisting of ATS-CNS

providers, the aerodrome operator, and airline representatives has been formed in order to mitigate the risk of

runway incursions. A Safety Management Administrator is employed by the DOT to manage the IoM Airport’s

SMS to ensure that effective reporting systems and safety monitoring systems are in place at the aerodrome.

3.4.7.5 With respect to aerodromes, the IoM CAA’s regulatory staff and the CAAI-contracted

aerodrome inspectors follow the guidance material, tools, procedures and checklists provided by the IoM CAA

and the UKCAA to plan, prioritize and conduct continuing surveillance of the aerodrome. Under the

surveillance process, the frequency, scope and depth of the inspections can be adjusted according to the

outcomes of previous inspections. Overall, the aerodrome surveillance process implemented (including the

number and type of inspections conducted) has enabled the IoM CAA to ensure compliance with Annex 14,

Volume I to the Chicago Convention, and the related guidance material.








3.4.8.1 With respect to airworthiness, if during an airworthiness survey, an aircraft fails to meet the

standards required to hold a certificate of airworthiness, the certificate is retained by the airworthiness surveyor

and the operator informed that the certificate can only be issued when all the defects have been corrected to the

satisfaction of the IoMAR. If there are only minor defects, the airworthiness surveyor may leave the certificate

of airworthiness with the aircraft and ask for proof of defect correction before the next flight. Written

acceptance of the corrections has to be provided by the IoMAR to the operator before the next flight. Where it

appears to an authorized person that an aircraft is unfit for flight or a source of danger, the authorized person

has the power to detain the aircraft under Article 58 of the ANO (IoM) 2007.

3.4.8.2 The ANO (IoM) 2007 requires operators to report occurrences to the IoMAR. The IoMAR in

turn will collect, evaluate, process and store occurrences reported, and use the information to improve air

safety. When the content relates to the airworthiness of aircraft, the airworthiness surveyor will forward the

information to the aircraft type certificate holder.

3.4.8.3 When an aircraft type is first accepted on the IoM aircraft register, the Civil Aviation

Authority of the State of Design is notified and asked to provide future copies of mandatory continued

airworthiness instructions (e.g. Airworthiness Directives). The IoMAR will follow the aircraft type certificate

holder’s airworthiness limitations and the State of Design’s mandatory airworthiness instructions. In

exceptional circumstances, the IoMAR may mandate actions on IoM-registered aircraft to address an unsafe

condition which has become apparent to the IoMAR. The airworthiness surveyor will conduct random

- 59 -


sampling checks to verify compliance with airworthiness limitations and mandatory airworthiness instructions

(usually identified as Airworthiness Directives) during the issuance and renewal process of the certificates of

airworthiness.

3.4.8.4 With respect to ANS, as the Framework Agreement was only concluded on 13 February 2009,

the audit activities related to ANS have not yet commenced and there is no established mechanism (including

timeframes) for the elimination of deficiencies to be identified in the areas of ATS, PANS-OPS, AIS, Charts,

CNS and MET. In the meantime, the DTI has established a system to track deficiencies and safety concerns

from audit reports for their resolution. CAP 382 (Mandatory Occurrence Reporting System) is implemented by

the DOT ATS provider in the investigation of reported ATC incidents.

3.4.8.5 With respect to aerodrome, the IoM CAA tracks the deficiencies found during the inspections,

and the continuing validity of the aerodrome certificate depends on the satisfactory outcome of the inspections.

Bird strike reports are collected and forwarded to ICAO (through the system and procedures established by the

UKCAA) and the exchange of safety information across the industry is ensured through safety reports, safety

bulletins, training courses and seminars, and other means.

4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS

4.1 Accompanied by staff members of the State’s civil aviation system, the audit teams visit

aviation service providers, operations and maintenance departments of operators and maintenance

organizations, aeronautical product/equipment manufacturers, aviation training institutes, etc. The objective of

the visits is to validate the capability of the State to supervise the activities of these service providers, airlines

and organizations.

4.2 In the case of UK Main, the audit team visited the following organizations:

a) London Helicopter Centres (approved training organization) (PEL);

b) Aestraeus (OPS);

c) BA City Flyer (OPS);

d) Virgin Atlantic Airlines (Dangerous Goods/OPS);

e) ServisAir Handling Agents (Dangerous Goods/OPS);

f) APPH Ltd. Landing Gears (Part 21 Subpart G) (AIR);

g) Titan Airways (Part 145 and CAMO) (AIR);

h) Manchester Airport: NATS Engineering (ANS);

i) Manchester airport: ACC ATC Training and Ops areas (ANS);

j) Manchester airport ATC (ANS);

k) London En-route and Terminal Control Area at Swanwick (ANS);

l) The Aeronautical Information Management Division of NATS NSL at the Heathrow

House (ANS);

m) Manchester Airport (AGA); and

n) Gatwick Airport (AGA).

4.3 In the case of the UK Overseas Territories, the audit team visited the following organizations:

a) Wade International Airport, Bermuda: control tower (ANS);

b) Wade International Airport, Bermuda: MET office (ANS);

c) Wade International Airport, Bermuda: CNS facilities (ANS); and

- 60 -


d) Wade International Airport, Bermuda (AGA).

4.4 In the case of the Isle of Man, the audit team visited the following organizations:

a) Ronaldsway International Airport, Isle of Man: air traffic control tower (ANS);

b) Ronaldsway International Airport, Isle of Man: approach control unit (ANS);

c) Ronaldsway International Airport, Isle of Man: MET office (ANS);

d) Ronaldsway International Airport, Isle of Man: AIS pilot self-briefing facility (ANS);

and

e) Ronaldsway International Airport, Isle of Man (AGA).

5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD)

5.1 The general objective of the AFDD is to assist States in identifying the elements that need

attention in the implementation of the proposed corrective action plan. The information is also intended to

assist States in establishing a priority of actions to be taken to resolve safety concerns identified by the audits.

Appendix 2 to this report contains graphic representations of the lack of effective implementation of the critical

elements of the safety oversight system (ICAO Doc 9734, Part A refers) in the United Kingdom as a whole and

the three audited entities individually, reflecting as well the results of the latest audit carried out on EASA at

the time of the audit of the United Kingdom. The graphic representations enable the audited State to prioritize

the necessary corrective actions and to identify assistance requirements based on its personnel, technical and

financial capabilities in consideration of its safety oversight obligations.

6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ)

6.1 The SAAQ is one of the major tools required for conducting a comprehensive systems

approach-based safety oversight audit. As such, all Contracting States are required to complete the SAAQ and

submit it to ICAO for proper evaluation and recording. The submitted information enables ICAO to maintain

an up-to-date database on the State’s activities. The United Kingdom has submitted its SAAQs to ICAO, which

can be found at http://www.icao.int/soa.

7. COMPLIANCE CHECKLISTS (CCs)

7.1 The CCs are one of the main tools used in the conduct of safety oversight audits under the

comprehensive systems approach. As such, all Contracting States are required to complete the CCs and submit

them to ICAO for evaluation and recording. The submitted information enables ICAO to maintain an

up-to-date database on the State’s level of compliance to the ICAO SARPs and assist in facilitating the conduct

of a standardized audit of all Contracting States. As a result, States will be enabled to have a clear picture of

the implementation status of the relevant SARPs. The United Kingdom has submitted its CCs to ICAO, which

can be found at http://www.icao.int/soa.

8. FOLLOW-UP ACTION

8.1 In accordance with the MOU agreed to between the United Kingdom and ICAO, the United

Kingdom submitted corrective action plans for the UK Main, the Overseas Territories, and the Crown



- 61 -


Dependencies and Gibraltar on 16 September 2009 and updates to the action plans on 9 February and

26 March 2010. The action plans submitted were reviewed by the Safety Oversight Audit (SOA) Section and

were found to fully address all of the findings and recommendations contained in this report. The proposed

action plans, including comments and clarifications provided by the State, are attached as Appendix 3 to this

report. Comments by ICAO on each corrective action are found in Appendix 1 to this report.

— — — — — — — —

APPENDIX 1 A:

THE UK MAIN

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APPENDIX 2

APPENDIX 2

The United Kingdom

— — — — — — — —

24.62

38.07

44.70

60.42

41.93

34.02

43.87

49.77

6.00

21.21

29.71

33.65

27.59 26.40

30.1131.34

0

10

20

30

40

50

60

70

80

90

100

Primary Aviation Legislation Specific Operating Regulations

Civil Aviation System and Safety Oversight Functions

Qualification and Training of Technical Staff

Procedures and Technical Guidance

Licensing and Certification Obligations

Surveillance Obligations Resolution of Safety Concerns

CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEMLACK OF EFFECTIVE IMPLEMENTATION (%)

Global: (149) Audited States: 42.17% UNITED KINGDOM 25.75%

Note.— The results of the audit of the United Kingdom also include the results of the latest audit conducted on EASA.

APPENDIX 2 A

The UK Main

— — — — — — — —

24.62

38.07

44.70

60.42

41.93

34.02

43.87

49.77

5.88

12.34

4.55 4.656.92

4.57 3.665.88

0

10

20

30

40

50

60

70

80

90

100








Global: (149) Audited States: 42.17% UK MAIN 6.05%

APPENDIX 2 B

The UK Overseas Territories — ASSI/Bermuda

— — — — — — — —

24.62

38.07

44.70

60.42

41.93

34.02

43.87

49.77

6.25

23.74

27.78

39.51

33.11

25.3728.40 28.89

0

10

20

30

40

50

60

70

80

90

100








Global: (149) Audited States: 42.17% UK-ASSI/BERMUDA 26.62%

APPENDIX 2 C

Isle of Man — As an Example of a Crown Dependency

— — — — — — — —

24.62

38.07

44.70

60.42

41.93

34.02

43.87

49.77

7.419.76

4.23

0.00

6.06 4.95

17.65

23.81

0

10

20

30

40

50

60

70

80

90

100








Global: (149) Audited States: 42.17% UK-ISLE OF MAN 9.23%

APPENDIX 3 A:

THE UK MAIN

GLOSSARY

AAIB UK Department for Transport – Air Accidents Investigation Branch

CAA ASD UK Civil Aviation Authority – Aerodrome Standards

CAA ATSD UK Civil Aviation Authority – Air Traffic Standards

CAA AWD UK Civil Aviation Authority – Airworthiness

CAA DAP UK Civil Aviation Authority – Directorate of Airspace Policy

CAA EIS UK Civil Aviation Authority – European & International Strategy

CAA FOD UK Civil Aviation Authority – Flight Operations

CAA GSS UK Civil Aviation Authority – Safety Regulation Group - Group Safety

Services

CAA MED UK Civil Aviation Authority – Medical

CAA PLD UK Civil Aviation Authority – Personnel Licensing

DfT AD UK Department for Transport - Aviation Directorate

DfT TRANSEC UK Department for Transport - Transport Security and Contingencies

Directorate

HQ Air Cmd SO2 UK Ministry of Defence – HQ Air Command SO2 Aerodrome Infrastructure

MoD DE UK Ministry of Defence – Defence Estates

APPENDIX 3A-1-1

CORRECTIVE ACTION PLAN PROPOSED BY THE UNITED KINGDOM

RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/01

Please refer to Appendix 1A-1-01 of this report for the text of the finding and recommendations along

with the related protocol questions which should be considered in order to fully address this audit

finding.

STATE’S COMMENTS AND OBSERVATIONS

The UK partially agrees with the finding and recommendation of the ICAO audit team.

With reference to the last sentence of the Finding, the units of measurement used in the UK are

actually set out in GEN 2.1 but it is true that the text under GEN 1.7 does not describe the

―differences‖ from Annex 5 but simply repeats the text contained in GEN 2.1. This will be addressed

in the actions below.

With reference to the last sentence of the Recommendation, as demonstrated to the ICAO Audit

Team, the UK already has procedures for dealing with amendments to ICAO Annexes, for the

identification and notification of differences to ICAO and for the publication of significant differences

in the AIP. These procedures will automatically come into play once it has been agreed which entity

should have the responsibility for Annex 5.

The Corrective Actions below are predicated on the assumption that the full implementation of

Annex 5 in the UK will involve three elements:

1. establish a policy as to the Units of Measurement to be used in ―air and ground operations‖.

2. ensure all legislation, regulations and regulatory requirements (ANO, CAPs, JARs, etc.) relevant

to ―air and ground operations‖ conform to the agreed policy on units to be used, and

3. ensure all relevant regulated organisations apply the agreed units

Unfortunately, ICAO has not defined the scope of ―air and ground operations‖ and the UK therefore

formally requests that this be considered by ICAO.

As regulatory requirements increasingly come under the auspices of the EU, any policy that the UK

would establish under 1. above would be unenforceable unless it coincided with EU Policy. The UK

therefore has limited scope to develop and implement its own policy on units of measurement.

The Corrective Actions below are therefore in two parts: ―long term‖ to request the EU to develop a

European solution to implementing ICAO Annex 5 and ―short term‖ to direct the CAA to implement

Annex 5 in so far as its legal competence will allow.

Text reproduced as submitted by the United Kingdom.

APPENDIX 3A-1-1 (CONT.)




CORRECTIVE ACTION(S) PROPOSED

ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Advise EASA and the European Commission of the

audit findings and request both bodies to consider an

EU-wide solution to implementing ICAO Annex 5.

DfT AD Completed January 2010

Request, through AGNA, the development of an

EASA Policy on Units of Measurement, consistent

with ICAO Annex 5 and permitted non-SI alternative

units, to be used in Implementing Rules.

CAA GSS By end March 2010

Amend CAA (Chicago Convention) Directions to

require the CAA –

• to establish a policy on units of measurement to

be used in the UK in all areas within its

responsibility to which ICAO Annex 5 applies;

• to review all relevant Civil Aviation Publications

(CAPs) and other documents for conformance

with the agreed policy;

• in so far as consistent with EASA and SES

Regulations or EU OPS to amend CAPs etc, if

necessary, at the earliest opportunity;

• to arrange for the UK AIP to be amended to

identify units of measurement used in the UK and

to identify any differences to ICAO Annex 5;

• in so far as consistent with EASA and SES

Regulations or EU OPS, use its discretionary

powers where appropriate to ensure regulated

organisations use the units of measurement

established by the policy.

DfT AD By end March 2010

Fully implement amendment to CAA (Chicago

Convention) Directions on Units of Measurement. CAA GSS By end June 2012


APPENDIX 3A-1-2







finding.


The UK agrees with the finding and recommendation of the ICAO audit team.

CAA has reviewed draft EU legislation for aircraft operations and confirmed that a requirement for all

aircraft engaged in international air navigation to maintain a journey log book and to carry it on board

the aircraft is included. However, a requirement for the carriage on board of passenger and cargo

manifests is not included and UK will advise EASA accordingly.

In the short term, CAA will amend its requirements published in support of its discretionary powers

under the ANO to incorporate these requirements.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Recommend, through the NPA comment process, the

inclusion in EU draft legislation for aircraft

operations of a requirement for all aircraft engaged in

international air navigation to carry on board copies

of passenger and cargo manifests as appropriate.

CAA FOD Completed 3 July 2009

UK will work with the European Commission‘s

EASA Committee to ensure prompt adoption of the

forthcoming EU legislation on aircraft operations.

DfT AD April 2012

Amend CAP 768 (to be republished as CAP 789,

Requirements and Guidance Material for Operators,

published in support of the CAA's discretionary

powers contained in the Air Navigation Order) to

include requirements for all aircraft engaged in

international air navigation to:

CAA FOD By end February 2010

• maintain and carry on board a journey log book.

• carry on board a copy of passenger and cargo

manifests as appropriate


APPENDIX 3A-1-3







finding.


The UK agrees that the EU needs to adopt rules requiring AOC holders and maintenance

organisations to establish safety management systems.

EC Regulation 216/2008 already recognises the need for such safety management systems in the

Essential Requirements established in the Annexes to the Basic Regulation. EASA has now published

its proposed rules regarding SMS in NPA 2008-22. They may be found in Organisation

Requirements, paragraph OR.GEN.200 and related acceptable means of compliance and guidance

material. The comments made during the consultation period will be reviewed and EASA will send an

opinion to the European Commission, for adoption of the relevant implementing rule before

8 April 2012. When published by the European Commission, these rules will be applicable to air

operators.

For continuing airworthiness and maintenance organisations (Part M Sub part G and Part 145), it is

planned to make the same rules applicable (Rulemaking task MDM.055) although, at the moment, no

timescales have been published for their applicability.

The United Kingdom, being an EASA Member State, is associated with this rulemaking process at all

stages (through participation in AGNA in particular) and will work closely with the European

Commission and EASA to ensure that the implementing rules are adopted as soon as practicable.

The CAA has already strongly recommended that all Operators and maintenance organisations

implement SMS through FODCOM 34/2008. It has produced guidance material for industry that

reflects the ICAO requirements in Annex 6 Part 1 and 3. It has provided SMS training to all Flight

Operations Inspectors and Airworthiness Surveyors that reflect the ICAO requirements. It has

procedures in place for the oversight of an SMS and is actively assessing implementation plans and

SMS components within its regulated organisations.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In responding to EASA consultations the UK will

support the need for SMS requirements.

DfT AD Completed 28 May 2009

To assist EASA and the Commission with the

development of SMS requirements for Continuing

Airworthiness and Maintenance Organisations

through active participation in AGNA and the

European HF Advisory Group.

CAA GSS By end April 2012

Work with the European Commission‘s EASA

Committee to ensure prompt adoption of the

Implementing Rules on SMS.

DfT AD By end April 2012


APPENDIX 3A-2-1


RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/01



finding.


The UK agrees with this finding and recommendation.

For the Aeronautical Charts and Data service delivery function, this task was passed to NATS on

1 July 2009 under the auspices of the NATS (En-Route) Ltd Licence awarded under the Transport

Act 2000.

For Instrument Flight Procedure (IFP) Design, an amendment to the Air Navigation Order is required

to allow the CAA to approve 3rd party procedure designers and to make it a requirement to have

instrument flight procedures approved by the CAA. To coincide with the ANO amendment coming

into force, the CAA will publish the necessary process and requirements in CAP 785, PANS-OPS

Design Requirements and CAP778, SID Policy Document (these CAPs already exist and are just

awaiting publication). In accordance with extant quality management systems, the internal process for

auditing 3rd party IFP designers will be contained in the DAP Directorate Manual. Those personnel

already identified as needing to take on an auditing role have received the required training.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Transfer of Maps and Charts function from DAP to

NATS.

CAA DAP Completed 30 June 2009

Bring into force the ANO Amendment required to

enable 3rd party IFP designers to be approved by

CAA.

DfT AD By 1 April 2010

Publish CAP 785, PANS-OPS Design Requirements

and CAP 778 SID Policy Document.

CAA DAP By 1 April 2010

Bring into force auditing process for 3rd party IFP

designs

CAA DAP By 1 April 2010


APPENDIX 3A-3-1


RELATED TO PERSONNEL LICENSING AND TRAINING

AUDIT FINDING PEL/01



finding.



Language Proficiency requirements for air traffic controllers is being implemented through an ANO

amendment, which was being finalised at the time of the audit. The amendment implements the EU

Air Traffic Control Licence Directive (Directive 2006/23/EC), Article 8 of which mirrors the

language requirements of ICAO Annex 1.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Adopt legislation (SI 2009 No 1742) implementing

Directive 2006/23/EC

DfT AD Completed 8 July 2009

(SI 2009 No 1742 came

into force

1 September 2009)

Re-Issue all Air Traffic Controller licences in

accordance with the amended legislation, indicating

language proficiency.

CAA PLD By end December 2010


APPENDIX 3A-3-2






finding.



Legislation implementing the EU Air Traffic Control Licence Directive (Directive 2006/23/EC) was

being finalised at the time of the audit. Article 12 of the Directive requires that medical certificates

shall be consistent with the provisions of Annex I to the Chicago Convention on International Civil

Aviation and the Requirements for European Class 3 Medical Certification of Air Traffic Controllers

laid down by Eurocontrol [http://www.eurocontrol.int/safety/gallery/content/public/library/L4.pdf]


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Adopt legislation (SI 2009 No 1742) implementing

Directive 2006/23/EC

DfT AD Completed 8 July 2009

(SI 2009 No 1742 came

into force

1 September 2009)

Issue guidance to Aeromedical Examiners on

European Class 3 medical certification for Air Traffic

Control Officers (ATCOs) for implementation on 1

September 2009.

CAA MED Completed

1 September 2009.

NOTE: From 1 September the medical fitness

assessment of ATCOs is in accordance with the EC

Directive 2006/23 and in compliance with the latest

amendments to ICAO Annex 1.


APPENDIX 3A-4-1


RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/01



finding.



CAA has reviewed draft EU legislation for aircraft operations and confirmed that the latest

amendments of ICAO Annex 6 Part III are included.


under the ANO to incorporate these requirements.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




DfT AD April 2012





incorporate the latest amendments of ICAO Annex 6

Part III.


Review the UK Main ICAO Annex 6 Part III

Compliance Checklist and amend as necessary to

accurately reflect all applicable requirements.

[Awaiting updated Compliance Checklist from

ICAO]

CAA FOD By end April 2010

Notify to ICAO any revised differences to ICAO

Annex 6 Part III and arrange for their publication in

the UK AIP.

CAA EIS By end May 2010


APPENDIX 3A-4-2






finding.


The UK agrees with the finding of the ICAO audit team.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct a review of operator oversight compliance

monitoring processes and amend the Management

System Manual (MSM) as required to include

procedures that ensure that operations manuals are

accurate and contain all the required information.


Review the MSM procedures for handling operations

manuals and amend as required to ensure that, for all

air operators under its oversight responsibility, the

CAA keeps copies of the latest amendments of the

operations manuals.



APPENDIX 3A-4-3






finding.



CAA has reviewed draft EU legislation for aircraft operations and confirmed that requirements for

personnel engaged in the control and supervision of flight operations are properly instructed and have

demonstrated their abilities in their particular duties are included.


under the ANO to incorporate these procedures.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




DfT AD April 2012





include requirements that personnel engaged in the

control and supervision of flight operations are

properly instructed and have demonstrated their

abilities in their particular duties.


Establish specific procedures for inclusion in the

Management System Manual (MSM) to ensure

operators are complying with the requirements that

flight dispatchers are properly instructed and have

demonstrated their abilities in their particular duties.

CAA FOD Completed January 2010

Incorporate new MSM procedures into the annual

operator inspection programme.

CAA FOD By end December 2010


APPENDIX 3A-4-4






finding.



It is recognised, however, that there are other ICAO Annexes where a clarification of respective

responsibilities would be beneficial and therefore the corrective actions below have been developed

accordingly. Timescales to implement any changes to regulations/requirements following the review

at 4 below cannot be given at this stage as it will depend on who has the legal competence to effect

those changes.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Form small working group of experts from CAA and

TRANSEC to review security-related provisions in

ICAO Annexes other than Annex 17.

CAA EIS By end March 2010

CAA-TRANSEC working group to review security-

related provisions in ICAO Annexes other than

Annex 17 and determine most appropriate body to be

responsible for each provision or group of provisions.

CAA EIS

(coordinator)

By end March 2011

Coordinate the drafting and publication of a suitable

document to formally describe the respective

responsibilities of the two entities with respect to the

security-related provisions in Annexes other than

Annex 17.

CAA EIS By end June 2011

Determine any gaps in regulations / requirements

and/or oversight processes and produce action plan

for rectification.

CAA/DfT

TRANSEC

(as appropriate)

By end December 2011


APPENDIX 3A-4-5






finding.



Inspections of handling agents were carried out by the CAA for many years, but were suspended

shortly before the ICAO audit, due to resource issues, but these have now been resumed.

Furthermore, during inspections of operators and handlings agents, shippers of dangerous goods will

be required, on a random basis, to provide evidence of how they ensure compliance with the

Technical Instructions, including details of training programmes. Should the response from the

shipper be inadequate further action will be taken. In addition, if a dangerous goods incident

investigation highlights areas of non-compliance by a shipper, a full audit of the shipper will be

carried out as and when appropriate.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

The CAA will resume its programme of inspections

of handling agents.

CAA FOD Completed

December 2009

The CAA will require shippers of dangerous goods,

on a random basis, to provide evidence of how they

ensure compliance with the Technical

Instructions.

CAA FOD By end March 2010

Review and amend the Management System Manual

(MSM), as necessary, to ensure that a policy and

procedures are in place for the auditing of freight

agents and shippers.

CAA FOD By end March 2010


APPENDIX 3A-4-6






finding.


The UK agrees with the finding and recommendation of the ICAO audit team with regard to

dangerous goods training for security staff. This issue will be addressed by the CAA/TRANSEC

working group which is to be formed to review all security-related provisions in ICAO Annexes other

than Annex 17, in response to finding OPS/04. For corrective actions proposed, please see

Appendix 3A-4-4.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Form small working group of experts from CAA and

TRANSEC to review security-related provisions in

ICAO Annexes other than Annex 17.


CAA-TRANSEC working group to review security-

related provisions in ICAO Annexes other than

Annex 17 and determine most appropriate body to be

responsible for each provision or group of provisions.

CAA EIS

(coordinator)

By end March 2011

Coordinate the drafting and publication of a suitable

document to formally describe the respective

responsibilities of the two entities with respect to the

security-related provisions in Annexes other than

Annex 17.

CAA EIS By end June 2011

Determine any gaps in regulations / requirements

and/or oversight processes and produce action plan

for rectification.

CAA/DfT

TRANSEC

(as appropriate)

By end December 2011


APPENDIX 3A-4-7






finding.



Although the UK does not believe that there is any safety benefit to be had from certifying copies of

the AOC the UK has already pointed out to the European Commission and EASA the need for

European legislation to require aircraft involved in commercial air transportation to carry a certified

true copy of the AOC (including the operations specifications) in order to comply with Annex 6.

CAA has reviewed draft EU legislation for aircraft operations and confirmed that requirements for

aircraft involved in commercial air transportation to carry a certified true copy of the AOC (including

the corresponding operations specifications) are included. The UK will work closely with the

European Commission and EASA to ensure that the implementing rules are adopted as soon as

practicable.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




DfT AD April 2012


APPENDIX 3A-5-1


RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/01



finding.



The UK does not agree with the finding that, for operations-derived equipment, it ―does not

effectively ensure compliance for aircraft being operated under an AOC‖. An AOC holder is approved

and the equipment fit for each fleet of aircraft, and any particular variation in aircraft configuration if

applicable, is determined by inspection as part of that approval. This establishes a defined ‗approved‘

configuration for the operator and the aircraft type, in accordance with the relevant requirements of

EU-OPS, JAR-OPS 3 or the Air Navigation Order as appropriate. The operator is required to confirm

to the CAA that any additional aircraft that are subsequently added to the approved fleet are compliant

with the agreed standard, thereby discharging the requirements of Annex 6, Part 1 and 3, for AOC

related operations.

The UK partially agrees with the finding that there is currently no system in place to routinely check

compliance with the aircraft operations-derived equipment standards of ICAO Annex 6 Part II or

Part III, section 3, for aircraft that are not operated under an AOC.

The transition from the UK National Certificate of Airworthiness (CofA), having defined Transport,

Aerial Work or Private Categories to the European EASA ‗Standard‘ CofA separated the assessment

of operational compliance from the C of A investigation process. The Standard CofA establishes

compliance with the minimum equipment standard required under the type certificate. It does not

establish the fitment of equipment to meet a particular operational requirement. EASA has not yet

implemented a corresponding operational requirement to address the issue of fitment of operational

equipment for a specific role but the CAA has reviewed draft EU legislation for aircraft operations

and confirmed that the aircraft operations-derived equipment standards of ICAO Annex 6 Part 1 and 3

related to EASA aircraft used for commercial air transport are included.

The CAA does not know for what purpose an aircraft is to be used on a particular flight. An aircraft

with a Standard CofA can be used for private flights, aerial work purposes (including flying training)

and public transport flights that do not require an AOC. Article 86 of the Air Navigation Order

(ANO) 2009 therefore prescribes that the aircraft commander shall satisfy himself that the aircraft is

fitted with the equipment required under the ANO (schedules 4 and 5) for the particular flight.

Therefore no action is proposed to establish requirements in respect of non-AOC operations.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Work with the European Commission‘s EASA

Committee to ensure prompt adoption of the


DfT AD April 2012

CAA will review the means by which it ensures that

the aircraft operations-derived equipment standards of

ICAO Annex 6, Part II or Part III, section 3 are

addressed for EASA and non-EASA aircraft.

CAA AWD By end March 2010

CAA will conduct a review of its AOC operator

oversight compliance monitoring processes, and the

Management System Manual (MSM) will be

amended, as required, to ensure procedures exist that

ensure operators are complying with the applicable

aircraft operations-derived equipment requirements


Review the relevant Flight Operations procedures

and, where necessary, amend these to ensure that any

required co-operation with Airworthiness is achieved.


Review the relevant Airworthiness procedures and,

where necessary, amend these to ensure that any

required co-operation with Flight Operations is

achieved.

CAA AWD Completed January 2010

Develop procedures to ensure that the aircraft

operations-derived minimum equipment fit of aircraft

is assessed and sampled as part of its continued

airworthiness oversight programme for aircraft on the

UK register.

CAA AWD By end March 2010


APPENDIX 3A-5-2






finding.


The UK agrees with the finding of the ICAO audit team but has reservations about the

recommendation.

The protocol questions referenced in the audit finding, AIR.5.283 and 5.535 refer to Annex 6 Part 1

Chapter 1Para 11.2 and Annex 6 Part 1 Para 8.3 respectively. Annex 6 refers to guidance material in

the form of Doc 9683. Doc 9683, which provides guidance on Human Factors, does not provide any

substantive guidance on what has to be addressed to meet the requirement for ‗observing human

factors principles‘ under Annex 6 Part 1 paras 8.2 or 8.3. This was discussed with and acknowledged

by the ICAO team. The UK is concerned that, in the absence of definitive guidance from ICAO,

States seeking to comply with this requirement would potentially adopt a unilateral interpretation. The

UK therefore formally requests ICAO to provide clarification on guidance relating to this subject in

order to assist Contracting States to address the issue.

It should be noted that it is CAA Airworthiness Policy to develop National requirements for non-

EASA aircraft that reflect the intent of EASA‘s requirements to ensure standardised regulation within

the UK. The ICAO Recommendation, which covers both EASA and non-EASA aircraft, will

therefore be addressed in essentially the same timeframe for both types of aircraft.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Recommend to EASA that the Terms of Reference

for the MDM.035 working group, reference

‗Grouping of Various Human Factors (HF) Related

Issues‘, be amended to include the following:

CAA AWD Completed July 2009

• HF principles for the Continuing Airworthiness

Management Exposition in Part M subpart G (this

is the equivalent to the Annex 6 requirements for

an MCM).






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

• HF principles for the Maintenance Programmes

in Part M.

• HF related training required in Part M subpart F

(non-commercial air transport maintenance) and

subpart G (continuing airworthiness management

organisations). (Part 145 already addresses this

requirement.)

To assist EASA with the development of HF

requirements for Continuing Airworthiness and

Maintenance Organisations through active

participation in AGNA and, if invited, through the

following rulemaking tasks:

CAA GSS By end 2012

• MDM.055 which will include the new structure

for regulation 2042/ 2003 and the embodiment of

SMS. The opinion is planed for the first quarter

2012. A ―policy statement‖ will be included into

the TOR to be issued in 2010.

• MDM.056: Instruction for Continuing

Airworthiness. The deliverables are planed for the

first quarter 2012.

• MDM.035 is also relevant but will lead to a

decision issuing an agency plan for human factors

for design and maintenance early 2011.

To monitor the outcomes of the work being carried

out by EASA in respect of developing HF principles

for the Maintenance Programmes through MDM.055,

MDM.056 and MDM 035 and develop similar

requirements for the Maintenance Programmes of non

EASA aircraft within the UK.

CAA AWD By end 2012


APPENDIX 3A-6-1


RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/01



finding.


The UK partially agrees with the finding of the ICAO audit team.

The AAIB detail the essential qualifications and specialised criteria that has to be met for new recruits

to be considered for training as inspectors of air accidents. All new recruits attend a 6 week accident

investigation course at Cranfield University that satisfies, in part, the requirements for an MSc

qualification. OJT, under supervision, and specific training modules are delivered to the individual in

the following 2 years qualifying them as ‗Senior Inspectors‘. Continued professional development

training, identified by the individual or their line manager, is then provided on an on-going basis. This

training is recorded, however, the AAIB agree that the training in some areas has not been formalised

and inspectors are not provided with individual training plans (except for those agreed during their

annual reporting process) and their training records are not fully documented. A Training and

Development section of AAIB Operating manual will be developed to document and record the

training requirements and processes.

The AAIB will form a working group to address the establishment of a formal Training Programme

based on the existing training package that includes initial/basic training, OJT and continued

professional development. Training plans will be established for individual investigators and Line

Managers will monitor the effectiveness of each plan and review individual requirements during the

annual Personnel Management Reporting process. Individuals will be issued with their own Training,

Development and Achievement file. These records will also be held centrally and electronically.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. To establish and implement a formal training

programme and document it in the AAIB

Operating Manual.

AAIB By end June 2010.

b. To establish individual training plans for each

inspector.

AAIB By end June 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

c. To establish a system to monitor the effective

implementation of individual training plans.


d. To establish and maintain comprehensive training

records



APPENDIX 3A-6-2






finding.



Investigators are required to carry with them current hard copies of ICAO Annex 13 and the UK

Accident and Incident Investigation Regulations.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. To issue all AAIB investigators with a current

amended copy of ICAO Annex 13 and the UK

Regulations.

AAIB Completed May 2009

b. To introduce a process whereby the currency of

official documents carried by investigators is

monitored.


c. To ensure that Electronic copies of all ICAO

Annexes, including Annex 13, are available to

investigators both at AAIB HQ and in the ―Field‖

via remote electronic access facilities.



APPENDIX 3A-6-3






finding.



AAIB policies and procedures have been in existence for many years however their migration into the

AAIB Operating Manual (AAIBOM), a more comprehensive document, is not totally complete.

The Manual (4 Parts) is a controlled document approved by the Chief Inspector: Part A (General) —

covers daily administrative operations and health & safety ; Part B1 (Accident Investigation — the

Field Phase) — covers deployments and the 'Field' phase of accident investigation; Part B2 (Accident

Investigation — Investigation Management — covers the post 'Field' phase accident management

through to publication of reports; Part C (Training and Development) — describes the formal training

programme for AAIB staff.

Parts A, B1 and are complete. Parts B2 and C are under development. All sections of the AAIBOM

are automatically downloaded to inspector's laptop computers such that they have the most up to date

copy available 'in the field'. A master 'hard' copy of the Manual is held by the Deputy Chief Inspector

who is responsible for its adequacy and currency. The Manual is interactive allowing for 'point and

click' navigation. The Manuals are reviewed on a cyclical basis or as required after a major

investigation. All staff can suggest amendments which are considered and adopted if appropriate.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. To finalise Parts B2 and C of the AAIB Operating

Manual.

AAIB By end September 2010


APPENDIX 3A-6-4






finding.



The AAIB will review and document its procedures and introduce a mechanism to ensure that initial

notifications, preliminary reports, data reports and final reports are effectively and timely forwarded

to States concerned and ICAO in accordance with ICAO Annex 13. This will be included as a

procedure in Part B2 of the new AAIB Operating Manual.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. To review and document AAIB procedures.

AAIB Completed April 2009

b. To implement a mechanism to ensure initial

notifications, preliminary reports, data reports and

final reports are effectively and timely forwarded

to the States concerned and to ICAO

AAIB Completed April 2009


APPENDIX 3A-6-5






finding.



The AAIB recognises the need for coordination between the investigator-in-charge and the judicial

authorities. Regular meetings and discussions with Chief Police Officers and the Crown Prosecution

Service (CPS) have enhanced coordination. However, to bring added value to the process the AAIB

have, through a series of initiatives, drawn up and signed MoUs with various judicial bodies.

Processes are in place to agree and sign an MoU with ACPO England & Wales and it is planned to

initiate a similar process with the Police Service of Northern Ireland (PSNI).


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. To agree a draft MoU for submission to ACPO

AAIB Completed July 2009

b. To agree and sign a MoU with ACPO England &

Wales.


c. To agree and sign a MoU with the PSNI AAIB By end June 2010


APPENDIX 3A-6-6






finding.


The UK agrees with the finding and recommendation of the ICAO audit team and will work to ensure

that the recommended provisions are incorporated in the new European ―Regulation on Investigation

and Prevention of Accidents and Incidents in Civil Aviation‖ presently under discussion by the

European Council and European Parliament. The new Regulation is expected to come into force in

late 2010 but could be delayed by European procedures.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. Work with the relevant EU bodies to ensure that

provisions for the prevention from publication,

circulation and unauthorized access to documents

obtained from a State conducting the

investigation without the express consent of the

State concerned are included in forthcoming EU

legislation on Accident and Incident Investigation


b. Work with the relevant EU bodies to ensure

prompt adoption of the forthcoming EU

legislation on Accident and Incident

Investigation.

DfT AD By end December 2010


APPENDIX 3A-6-7






finding.



Following the adoption of the European ―Regulation on Investigation and Prevention of Accidents

and Incidents in Civil Aviation‖, mentioned in AIG/06 above (Appendix 3A-6-6), the UK will need to

amend its domestic legislation and will, therefore, take this opportunity to adopt the 60 day timescale

for the submission of comments within any changes.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a. Work with the relevant EU bodies to ensure

prompt adoption of the forthcoming EU

legislation on Accident and Incident Investigation

DfT AD By end December 2010

b. Develop draft revisions to the UK Regulations to

give all interested parties, including States that

have participated in an investigation, 60 days for

the submission of comments on the draft final

report.

AAIB By end February 2011

c. To submit revised Regulations to the Secretary

for Transport for approval to come into force by

May 2011.

AAIB By end March 2011


APPENDIX 3A-7-1


RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/01



finding.



The current position in the UK is that recording of surveillance data, in accordance with ICAO

Annex 11, paragraph 6.4.1, is not mandatory but relevant ATS Providers are recommended to comply.

A difference to this effect has been notified to ICAO and has been published in the UK AIP. As a

consequence, radar recording has been implemented at all UK ACCs and at a majority of UK

international airports but some regional and minor airports with radar systems do not currently record

radar data. Many Regional Airports purchase Onward Routed Radar, in particular SSR data, from the

sole UK en-route service provider who records and retains that radar data for a minimum of 30 days

and makes it available as required.

Recognising, however, that the UK should move towards full compliance with the ICAO Standard,

the CAA issued a communication (ATSIN 127) to ATS providers, in March 2008 outlining its

proposals for mandating the automatic recording and retention of surveillance data. At that time, CAA

had intended to use powers under the UK Air Navigation Order to direct providers to comply with the

relevant provisions in ICAO Annex 11. It has subsequently been decided to make use of EC

Regulation 2096/2005 (the ―Common Requirements Regulation‖) together with an amendment to

CAP 670 (ATS Safety Requirements) to achieve this.

The CAA issued, on 24 July 2009, a consultation document to canvas views from industry on

proposals for a phased approach to full implementation: initial information gathering to determine the

full extent of existing surveillance data recording being carried out; a requirement to have time-

synchronised recording of voice and surveillance data by 31 December 2010 and, finally, a

requirement to have the ability to record screen shots from operational surveillance displays by

31 December 2011.


http://www.caa.co.uk/docs/33/ATSIN0127.pdf

http://www.caa.co.uk/default.aspx?catid=1350&pagetype=90&pageid=10790





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Consult on proposals for a phased implementation of

surveillance data recording (see Letter of

Consultation issued 24 July 2009).

CAA ATS Completed October 2009

Collect information on extent of surveillance data

recording currently carried out by ATS Service

Providers.

CAA ATS Completed January 2010

Draft amendment to CAP 670 and consult industry.

CAA ATS By end October 2010

Publish amendment to CAP 670 containing

requirement for the phased implementation of

automatic recording and retention of surveillance

data.

CAA ATS By end November 2010

Work with industry to ensure all relevant ATS

Providers have basic surveillance recording facilities

in place.

CAA ATS By January 2011

Work with industry to ensure all relevant ATS

Providers have surveillance display screen shot

recording facilities in place.

CAA ATS By January 2012

Update ICAO Annex 11 Compliance Checklist

CAA ATS By end February 2012

Notify ICAO of revised differences and arrange for

publication in UK AIP.



http://www.caa.co.uk/docs/1934/20090724ConsultationLetterAutomaticRecordingSurveillanceData.pdf

http://www.caa.co.uk/docs/1934/20090724ConsultationLetterAutomaticRecordingSurveillanceData.pdf

APPENDIX 3A-7-2






finding.



The CAA DAP Policy Statement on the Application of ICAO Airspace Classification in UK Flight

Information Regions, declares the CAA‘s intention for UK Class F airspace to be progressively

replaced, by airspace classes better suited to the operational conditions associated with the airspace

structure in question. This policy will now be reviewed and strengthened.

The UK Airspace Strategy and Steering Group A (ASSG-A) will develop a programme for the

removal of Class F airspace. Whatever is proposed by the ASSG-A will need to be consulted upon, as

set out in CAP 724 – The Airspace Charter. Once consultation has been completed the

implementation of the change proposals arising from the CAP 724 consultation can be progressed; the

length of time needed for implementation will be dependent on the complexity of the changes agreed.

Completion will be identified by the promulgation of Aeronautical Information Circulars notifying the

arrangements and timeline for the removal of elements of Class F airspace on a case-by-case basis.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review and strengthen the CAA policy for the

removal of Class F Airspace from the UK.

CAA DAP Completed

September 2009

NOTE: Class F Policy Paper published

28 September 2009


http://www.caa.co.uk/docs/7/20090924ClassFPolicyStatement.pdf





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSG determine the principles for the removal of

Class F Airspace

NOTE: ASSG met 16 December 2009 to consider

and agree guiding principles for the removal of Class

F. Guiding Principles formally agreed and published

in minutes of ASSG meeting held 20 January 2010.

CAA DAP Completed January 2010

Consultation as set out in CAP 724 – The Airspace

Charter on the removal of Class F airspace proposals.

CAA DAP By end December 2010

Publish AIC notifying the arrangements and timeline

for the removal of elements of Class F airspace.

CAA DAP Last AIC issued by end

October 2011


APPENDIX 3A-7-3






finding.



The UK finds the term ‗contingency procedure‘ misleading when used in relation to ―safety nets‖

such as MSAW. In PANS-ATM it appears that the relevant text relates to procedures for the use of

MSAW, not to MSAW failure.

Whilst the UK does not currently mandate the employment of the aforementioned 'safety nets', the

CAA does require ANSPs to argue through their SMS if the ANSP has chosen not to have the safety

net. However, where the safety net is put in place then the necessary procedures must be included in

the unit MATS Part 2. The UK agrees, however, that this requirement could be made clearer and the

action below is designed to address this.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Amend and re-issue CAP 670, ATS Safety

Requirements, to clarify the requirement for ANSPs,

when employing safety nets such as MSAW, to

include in their Manual of Air Traffic Services

(MATS) part 2 operational procedures based on those

contained in section 15.7 of ICAO Doc 4444 (PANS-

ATM).

CAA ATSD By end February 2010


APPENDIX 3A-7-4






finding.


The UK partially agrees with the finding and recommendation of the ICAO audit team. Publication

resolution is already achieved as per Annex 15 and 4. It is the integrity of aeronautical data that

cannot be assured at present and a Difference has been filed to this effect.

In order to address this issue, the UK‘s objective is to implement the European Commission (EC),

Single European Sky (SES), Aeronautical Data and Information Quality Implementing Rule (ADQ

IR). This IR will address the quality of all aeronautical data from survey/origination to the point of

publication and will become EU Law in February 2010.

In accordance with this IR, Member States will be required to put in place processes to manage new

aeronautical data to the required standard by July 2012 and, from that date, existing information will

progressively be brought up to standard as it becomes due for replacement. States will be required to

fully implement the IR by July 2017 by which time all information in the UK AIP will have been

brought up to standard. Once the requirements of the IR have been met, UK aeronautical information

will meet or exceed the published ICAO standards.

Detailed planning will take place during 2010 with the objective of developing the UK IR

implementation strategy and roadmap. This work will be taken forward within the Single European

Sky (SES) framework and legislation; the UK is bound by this process and will have to resolve this

finding within the context of the European lead. The CAA is working directly with the European

Commission on the development of this Implementing Rule.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Transfer of aeronautical charts and data tasks from

CAA to UK AIS provider.

CAA DAP Completed April 2009

Development and initiation of UK AIM

implementation strategy and roadmap.

CAA DAP By end December 2010

Ensure data management processes enabling new data

to achieve data quality are in place.

CAA DAP By end July 2012

Ensure that a national aeronautical information

database and data interchange requirements are in

place


Ensure that all information in UK AIP is brought up

to the standard defined by the IR (thus meeting the

relevant ICAO SARPs)



APPENDIX 3A-8-1


RELATED TO AERODROMES

AUDIT FINDING AGA/01



finding.


The UK agrees with the finding but disagrees with the recommendation of the ICAO audit team.

The UK already has a mechanism for the safety oversight of military aerodromes used for

international civil operations. This mechanism is provided under regulations issued by the Ministry of

Defence (MoD). It is the policy of the MoD that their regulations shall conform to ICAO SARPs as

far as practicable provided that they do not conflict with military requirements. Where these military

requirements do not comply with civilian standards it must be for good operational reasons and any

alternatives must, where possible, provide at least the same levels of safety.

The MoD has a specialist regulatory service responsible for auditing military aerodromes to ensure

compliance with the standards of JSP 554 and, although this audit regime does not come within the

civil aerodrome certification process, the MoD believes it is comparable. It is recognised, however,

that closer liaison between the civil and military authorities would ensure that relevant military

regulations are kept in line with ICAO SARPs as far as practicable and the actions below are designed

to address this.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete the Annex 14 checklist using JSP 554

requirements to confirm the level of implementation

of relevant SARPS and send to CAA ASD for

incorporation into the UK Annex 14 Compliance

Checklist.

MoD DE & HQ

Air Cmd

By end June 2010

Confirm with CAA ASD those differences to Annex

14 that should be notified to ICAO and published in

the UK AIP.

MoD DE & HQ

Air Cmd

By end March 2011

Provide a consolidated list of differences (civil +

military) to CAA ICAO Focal Point (EIS)

CAA ASD By end June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Notify consolidated list of differences to ICAO in

accordance with Article 38 to the Convention and

arrange for their publication in the UK AIP.

CAA EIS by end September 2011

Amend procedures to ensure that MoD DE & HQ Air

Cmd SO2 Aerodrome Infra are included in the ICAO

State Letter consultation process for proposed

amendments and adopted amendments to Annex 14,

other relevant Annexes and related guidance material.

CAA EIS Completed 31 July 2009


APPENDIX 3A-8-2






finding.



The prescriptive nature of the ICAO requirement “to ensure that fire extinguishing equipment and

trained personnel are available at the stands during the ground servicing of aircraft” is at odds with

the UK‘s objective-based and SMS-based regulatory approach.

The UK has established a mechanism for the provision of suitable fire safety arrangements in

workplaces and public places through ―The Regulatory Reform (Fire Safety) Order 2005‖, which

applies to aircraft stands and aprons. This Order is objective-based and requires the responsible body

to ensure that the risk is mitigated. It does not specify how this is to be done. It could be by providing

fire extinguishers and trained personnel, or it could be by other means. The UK, therefore, believes

the intent of the ICAO requirement has been met.

In keeping with the principles of Safety Management, the UK has deliberately moved towards a risk-

based regulatory approach for this activity and away from a prescriptive approach. This Order is

enforced through the UK Health & Safety Executive (HSE) and, at airports, by the Local Authority

fire services.

As with any objective-based regulatory approach, a different style and type of oversight is necessary.

The CAA accepts that it is prudent to review the industry‘s implementation of the Regulatory Reform

(Fire Safety) Order 2005 to determine whether safety objectives are met, and to take appropriate

action if this is not the case. Therefore, the CAA will review the current processes to determine if any

improvements are necessary. The steps to be taken are outlined below.

The CAA has referred to protocol question AGA8.349 and the associated document references in

considering its reply.


http://www.opsi.gov.uk/si/si2005/20051541.htm





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct a study of the current UK requirements and

guidance to aerodrome operators regarding the

mitigation of fire risks on aprons.

CAA ASD Completed

11 September 2009

In partnership with the industry, conduct a risk

assessment on fuel fires and any other fire that is

likely to occur during turnaround activities on

aerodromes.

CAA ASD Completed

11 September 2009

In partnership with the Health & Safety Executive

and Local Government, evaluate the UK‘s

surveillance activities of aerodromes' and airline

operators' ground fire mitigation.

CAA ASD By end March 2010

In accordance with the findings determined by the

above actions, the CAA will, if necessary, work with

stakeholders to:

a) ensure adequate requirements and guidance are

available to the industry so that the risk of apron

fires is mitigated.

CAA ASD By end December 2010

b) ensure adequate arrangements for the oversight of

these requirements are established.

CAA ASD By end December 2010

— — — — — — — —


APPENDIX 3 B:

THE UK OVERSEAS

TERRITORIES —

ASSI/BERMUDA

GLOSSARY

AAIB UK Department for Transport — Air Accidents Investigation Branch

ASSI Air Safety Support International

BDCA Bermuda Department of Civil Aviation

CAACI Civil Aviation Authority of the Cayman Islands

CAA ASD UK Civil Aviation Authority — Aerodrome Standards

CAA EIS UK Civil Aviation Authority — European & International Strategy

DfT AD UK Department for Transport — Aviation Directorate

FICAD Falkland Islands Civil Aviation Department

HQ Air Cmd SO2 UK Ministry of Defence — HQ Air Command SO2 Aerodrome Infrastructure

MoD DE UK Ministry of Defence — Defence Estates

OTAA Overseas Territory Aviation Authority

TCICAA Turks and Caicos Islands Civil Aviation Authority

APPENDIX 3B-1-1





Please refer to Appendix 1B-1-01 of this report for the text of the finding and recommendations along


finding.


The UK partially agrees with this finding and recommendation.

ASSI has published in the Policy and Coordination Manual (PacMan) Policy Statement 2

(Compliance with ICAO SARPs) which deals with the notification and publication of differences

from SARPs and with which the OTAAs have committed to comply. ASSI also has a company

operating procedure (COP 29 — Completing and maintaining ICAO Annex Compliance Checklists,

Differences and AIP material) in place that enables the identification of Differences via the

Compliance Checklists. This procedure was implemented in 2005 and differences between OTARs

and ICAO SARPS have been determined and provided to the OTAAs.

OTARs are now the only means of compliance for most regulatory areas. The transition stage for the

remaining area of airworthiness will be complete by 2012. However airworthiness does not generate

significant differences which need to be published in Territories‘ AIPs.

The OTARs are the sole gazetted means of compliance in Anguilla, the British Virgin Islands,

Montserrat, Cayman Islands, Falkland Islands and the Turks and Caicos Islands. BDCA is currently

implementing its transition plan for full adoption of the OTARs as the sole means of compliance.

Therefore the only Territory which needs to identify additional differences, to those already identified

by ASSI, is the BDCA.


APPENDIX 3B-1-1 (CONT.)





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Anguilla, British Virgin Islands (BVI) and

Montserrat

ASSI will ensure that significant differences from

SARPs are published in the AIPs for these Territories.

ASSI 31 July 2010

Bermuda DCA (BDCA)

BDCA will identify the significant differences

between the SARPs and its published means of

compliance and will ensure that significant

differences from SARPs are published in the AIP.

BDCA 31 December 2010

CAA of the Cayman Islands (CAACI)

CAACI will ensure that significant differences from

SARPs are published in the AIP.

CAACI 31 July 2010

Falkland Islands CAD (FICAD)

FICAD will ensure that significant differences from


FICAD 31 July 2010

Turks & Caicos Islands CAA (TCICAA)

TCICAA will ensure that significant differences from


TCICAA 31 July 2010


APPENDIX 3B-1-2







finding.



NOTE: This is not applicable to Anguilla, the British Virgin Islands, the Falkland Islands,

Montserrat or Turks & Caicos Islands as there are no 83bis agreements in place.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will work with the Bermuda and Cayman

Islands DCAs in reviewing the provisions of Policy &

Co-ordination Manual (PacMan) procedure 17

(Article 83 bis Agreements) with a view to:

a) revising paragraphs 4.2 — 4.5

b) revising Section 6

in order to expand the scope of the work of assessing

the regulatory authority of the State with whom any

agreement is to be signed.

ASSI 30 June 2010

ASSI will amend the terms of its Assessment

Programme to ensure the implementation by the

Bermuda and Cayman Islands DCAs of the

provisions of PacMan Procedure 17.

ASSI 30 June 2010







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will work with the Bermuda and Cayman

Islands DCAs to amend PacMan Procedure 17 by the

addition of Section 7, ―Notification to ICAO‖ to

provide that the Territory DCA will on completion of

any new agreement give notification to ICAO via the

UK ICAO Representative in Montreal, together with

a copy of the agreement and the entrustment, and

copy the notification to the Department for Transport

and ASSI.

ASSI 30 June 2010


APPENDIX 3B-1-3







finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will amend Overseas Territories Aviation

Requirement (OTAR) Part 91 (General Operating

Instructions), paragraph 91.109 to include the

passenger and cargo manifests in the list of

documents to be carried on board an aircraft engaged

in international air navigation.

ASSI 31 December 2009


APPENDIX 3B-1-4







finding.



In most of the Territories the Gazetted (published) means of compliance are the Overseas Territories

Aviation Requirements (OTARs) and the Gazette notice refers to the ―OTARs as amended from time

to time by ASSI and published on its website‖. By the end of the respective Territory transition

period, with the possible exception of Bermuda, OTARs will be the only published means of

compliance.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will work with the Territory DCAs, Governors

and Attorneys General to reach agreement that each

Gazette notice refers either to the OTARs ―as

amended and published from time to time by ASSI on

its website‖; or to a specific edition of an OTAR or

other means of compliance and its amendment state.

ASSI 30 June 2010


Montserrat

To arrange for revision and reissue of gazetting

notice, as necessary, and submit copy of published

version to ASSI for its records.








ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)









CAACI 31 December 2010





FICAD 31 December 2010





TCICAA 31 December 2010


APPENDIX 3B-2-1






finding.


The UK partially agrees with the finding and recommendation.

The role of ASSI is developing and changing. It is acknowledged that ASSI has been stretched by the

burden of establishing an entirely new set of requirements, providing more direct regulation than

expected and a period of intensive preparation for the audit. However, the bulk of the work on the

OTARs and the audit CCs and SAAQs has been completed and Territory DCAs are being designated

to take on more oversight responsibilities. The DfT also notes that ASSI may develop expertise in the

OTAAs which may enable OTAA staff to assist ASSI in some of its tasks, such as maintaining the

OTARs. The DfT therefore believes that ASSI‘s current staffing levels should be sufficient to allow it

to carry out its functions effectively in future. Nevertheless, the DfT will ensure that ASSI‘s

responsibilities and staffing levels are reviewed.

BDCA is currently undertaking a strategic plan review to recommend to the Government of Bermuda

the structure of the organisation to maintain the business and future growth potential.

Cayman Islands, Falkland Islands and Turks and Caicos Islands will each conduct a review of their

resources needed to service their regulatory workload now and in the foreseeable future. In addition,

ASSI will ensure, through their regular Territory assessments, that each OTAA has adequate

resources to carry out their regulatory functions and has in place a system to review, on a regular

basis, resource needs.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Air Safety Support International (ASSI) — (including

its regulatory role in Anguilla, British Virgin Islands

(BVI) and Montserrat and those Territories where it

has a partial regulatory role)

Completed

Airworthiness Inspector

joined 1 Sept 2009

Asst Manager Caribbean

appointed 1 Sept 2009

Flt Ops Inspector joined 4

Jan 2010

Recruit additional personnel to fill three posts that are

currently vacant.

ASSI

Review ASSI taskings, workload priorities and

working practices to identify any changes necessary

to optimise use of existing resources including

expertise in the OTAAs.

ASSI Completed

30 October 2009

Revised job descriptions

produced.

Amend ASSI working practices etc to implement any

changes identified by the review.

ASSI Completed

31 December 2009

Revised job descriptions

produced.

Review ASSI functions and tasks to identify

minimum staffing requirements for both core

functions (ie maintaining legislation and Overseas

Territories Aviation Requirements (OTARs) and

conducting assessments of OTAAs) and for

undertaking regulatory tasks currently designated to

ASSI by OT Governors and likely to remain so in the

medium to long term.

ASSI 30 June 2010

Determine whether any additional manpower is

required in ASSI in the light of the results of the

reviews.

ASSI 30 June 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In conjunction with the OTAAs, determine whether

any additional manpower is required in the OTAAs in

the light of the results of the reviews.

ASSI 30 June 2010

If ASSI require additional manpower identify the

appropriate means for obtaining additional funds.

DfT AD 31 October 2010

If OTAAs require additional manpower identify the

appropriate means for obtaining additional funds.

OTAAs 31 October 2010

If necessary, ASSI to recruit additional personnel to

meet additional manpower requirements.

ASSI 31 March 2011

If necessary, OTAAs to recruit additional personnel

to meet additional manpower requirements.

OTAAs 31 March 2011

Bermuda DCA (BDCA)

Carry out Strategic Plan Review and submit report

and recommendations to Bermuda Government

(Cabinet).


Implementation of recommendations

BDCA 30 April 2011


Carry out review of regulatory workload and resource

needs and determine any remedial action necessary.

CAACI 30 June 2010

Implementation of remedial action as necessary. CAACI 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




FICAD 30 June 2010

Implementation of remedial action as necessary.

FICAD 31 March 2011




TCICAA 30 June 2010

Implementation of remedial action as necessary.

TCICAA 31 March 2011

ASSI to include in the periodic assessments of the

OTAAs that each OTAA has sufficient resources to

carry out their designated regulatory role and has a

system in place to regularly review their resource

needs.

ASSI 30 September 2012


APPENDIX 3B-2-2






finding.



ASSI has a regulatory competency scheme, which provides a comprehensive approach to recruiting

staff, planning and implementing staff training and provides evidence for authorizations, which enable

staff to carry out their tasks and responsibilities. Training programme requirements for the different

disciplines are encapsulated in these competencies.

During the audit, ASSI‘s regulatory competency scheme was examined and was accepted by the

auditors as being an appropriate system, which addressed the requirement for training programmes.

This was accepted for ASSI and for the three Territories for which ASSI is the sole regulator: British

Virgin Islands, Montserrat and Anguilla.

The regulatory competency scheme is partially rolled out within the remaining Territories and will be

implemented throughout all of the Territories over the next two years. In the meanwhile guidance on

training programmes will be developed for the Territories.

Training is one of the elements that is reviewed by ASSI in the assessment process of the OTAAs.

CAA of the Cayman Islands (CAACI) has a policy and procedures to support training. It has

processes in place to identify and evaluate training and it also maintains training records for its staff.

The Falklands Islands Civil Aviation Department (FICAD) has a comprehensive policy for training,

further actions for developing training management systems are shown below.

NOTE: The PQs relating to this action were found to be satisfactory during the audit of ASSI

covering Anguilla, British Virgin Islands and Montserrat.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Guidance on training programmes for all technical

disciplines for the Overseas territories will be

developed.


Assistance to OTAAs with implementation of

Regulatory Competency scheme, which incorporates

training programmes for all technical staff and

includes initial, specialized, OJT and recurrent

training.

ASSI 30 April 2011

Bermuda DCA (BDCA)

As part of the strategic planning and organisational

review, a training coordinator post will be identified.

BDCA 30 April 2010

All training records will be handled in accordance

with the BDCA Quality Assurance Manual,

Section 8.

BDCA 31 October 2010

Training programmes will be developed, in

cooperation with ASSI, for all disciplines and will

include OJT.

BDCA 30 November 2010

Training Coordinator post will be established and

filled.

BDCA 31 March 2011

Training programmes will be fully implemented. BDCA 30 April 2012





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Training records will be maintained for all technical

staff detailing all types of training including OJT.

CAACI 30 June 2010



include OJT.

CAACI 30 November 2010

Training programmes will be fully implemented.

CAACI 30 April 2012


Training records will be maintained for all technical

staff detailing all types of training including OJT.

FICAD 30 June 2010

Identify and appoint a staff member to be responsible

for training management.

FICAD 30 June 2010



include OJT.

FICAD 30 November 2010

Training programmes will be fully implemented. FICAD 30 April 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Turks and Caicos Islands CAA (TCICAA)

Training policy developed.

TCICAA Completed

31 January 2009

OJT conducted by ASSI for Training Coordinator in

TCICAA to set up training management systems.

TCICAA Completed

16-20 March 2009

Design of induction programme for all new staff to

TCICAA.

TCICAA Completed

16-20 March 2009

New training procedures to be incorporated into Staff

Policies and Procedures Manual and promulgated to

all staff.

TCICAA Completed 30 April 2009

Completion of Training Needs Analysis for all

TCICAA technical staff and production of staff

training plan for each staff member covering initial,

specialised, and recurrent training.

TCICAA Completed 30 April 2009



include OJT.

TCICAA 30 November 2010

Training programmes will be fully implemented.

TCICAA 30 April 2012

ASSI to verify the development of appropriate

training programmes and maintenance of training

records during the assessment of OTAAs.



APPENDIX 3B-3-1






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Update the ICAO FSIX Website to reflect revised

implementation plan for language proficiency

requirements for licensing pilots and air traffic

controllers.

ASSI Completed

31 October 2009

Amend Overseas Territories Aviation Requirement

(OTAR) 61 (Pilot Licences and Ratings), OTAR 63

(Flight Engineer Licences and Ratings) and 65 (Air

Traffic Service Personnel Licences and Ratings) to

include Language Proficiency arrangements.

ASSI 30 April 2010

Consult on amended OTAR 61, OTAR 63 and

OTAR 65 in accordance with the ASSI consultation

procedure.

ASSI 30 April 2010

Publish amended OTAR 61 and OTAR 63 on the

ASSI website [www.airsafety.aero].

ASSI 31 October 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Amend PEL Technical Procedures (TP) to include

processes for assessment of Language Proficiency

Level, Conduct of initial assessment examinations

and re-examinations.


Publish OTAC giving guidance to applicants on how

examinations for language proficiency are conducted.

ASSI 31 January 2011

Update the ICAO FSIX Website to reflect revised

implementation plan for language proficiency

requirements for licensing pilots and air traffic

controllers once action complete.

ASSI 30 April 2011


Montserrat

Implement the ASSI Technical Procedure relating to

Language Proficiency.


Bermuda DCA (BDCA)

Review BDCA PEL procedures to take into account

any changes made to OTAR 61, OTAR 63 and

OTAR 65 and ASSI Technical Procedures.


Amend BDCA PEL procedures if required.

BDCA 30 November 2010


Review CAACI PEL procedures to take into account

any changes made to OTAR 61, OTAR 63 and

OTAR 65 and ASSI Technical Procedures.

CAACI 31 October 2010

Amend CAACI PEL procedures if required. CAACI 30 November 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Review FICAD PEL procedures to take into account

any changes made to OTAR 61, OTAR 63 and OTAR

65 and ASSI Technical Procedures.

FICAD 31 October 2010

Amend FICAD PEL procedures if required. FICAD 30 November 2010


Review TCICAA PEL procedures to take into

account any changes made to OTAR 61, OTAR 63

and OTAR 65 and ASSI Technical Procedures.

TCICAA 31 October 2010

Amend TCICAA PEL procedures if required.

TCICAA 30 November 2010

ASSI assessment of OTAAs to confirm that TP is

promulgated and followed.

ASSI 31 May 2012


APPENDIX 3B-3-2






finding.



At the present time the following Territories use validation of licences issued by another ICAO

Contracting State rather than issuing licences themselves: Bermuda; Falkland Islands.

Cayman Islands use a licence format for aircraft maintenance engineers that they have developed

utilising machinery capable of producing credit card size plastic licences that is not available in other

Territories. In addition, Cayman Islands also validate licences issued by other ICAO Contracting

States.

The Turks and Caicos Islands use a format developed in line with previous United Kingdom CAA

regulations in addition to validating licences issued by other ICAO Contracting States.

A new format will be developed via the corrective action below for use in Anguilla, the British Virgin

Islands and Montserrat and available for use in the other Territories.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Develop the format for aircraft maintenance

engineer‘s (AME) licence in accordance with the

Standards in ICAO Annex 1, Chapter 5.

ASSI 31 March 2010

Publish sample licence format in OTAR 66 related

Overseas Territory Aviation Circular (OTAC).

Include sample of the licence issued by Cayman

Islands.

ASSI 30 April 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Consult with Overseas Territories Aviation

Authorities (OTAAs) to ensure that where licences

are issued in a paper format they are as shown in the

OTAC.

ASSI 30 April 2010

Encourage OTAAs currently issuing validations to

consider issuing licences in the designated format as

an alternative.

ASSI From May 2010


Montserrat

Issue AME licences to personnel in Anguilla, the BVI

and Montserrat currently holding letters of

authorisation to provide AME services.

ASSI 30 April 2010

Bermuda DCA (BDCA)

Review BDCA PEL procedures and aircraft

maintenance engineers licence format to take into

account the format developed by ASSI.

BDCA 30 April 2010

Amend BDCA PEL procedures and/or licence format

if required.

BDCA 31 May 2010


Review CAACI PEL procedures and aircraft



CAACI 30 April 2010

Amend CAACI PEL procedures and/or licence

format if required.

CAACI 31 May 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Review FICAD PEL procedures and aircraft



FICAD 30 April 2010

Amend FICAD PEL procedures and/or licence format

if required.

FICAD 31 May 2010


Review TCICAA PEL procedures and aircraft



TCICAA 30 April 2010

Amend TCICAA PEL procedures and/or licence

format if required.

TCICAA 31 May 2010

ASSI assessment of OTAAs to confirm that

Technical Procedure (TP) is promulgated and

followed.

ASSI 30 November 2011


APPENDIX 3B-3-3






finding.



The following Territories currently issue pilot licences: Cayman Islands.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Amend Overseas Territories Aviation Requirement

(OTAR) 61 – Pilot Licences and Ratings – and

OTAR 63 – Flight Engineer Licences and Ratings –

to include requirements for the renewal of expired

pilot licences and ratings.

ASSI 30 June 2010

Publish for consultation.

ASSI 30 June 2010

Publish amended OTAR 61 and OTAR 63 on the

ASSI website [www.airsafety.aero].


Produce draft ASSI Technical Procedure (TP) for the

renewal of expired pilot licences and ratings.

ASSI 31 March 2011

Publish ASSI TP as part of the ASSI Policy and Co-

ordination Manual (PacMan) on the ASSI website.

ASSI 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Montserrat


the renewal of expired pilot licences and ratings.

ASSI 30 June 2011

Bermuda DCA (BDCA)

Review BDCA PEL procedures to take into account

any changes made to OTAR 61 and OTAR 63 and

ASSI Technical Procedures.

BDCA 30 September 2011







CAACI 30 September 2011

Amend CAACI PEL procedures if required.

CAACI 31 October 2011





FICAD 30 September 2011

Amend FICAD PEL procedures if required. FICAD 31 October 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



account any changes made to OTAR 61 and OTAR

63 and ASSI Technical Procedures.

TCICAA 30 September 2011


TCICAA 31 October 2011



ASSI 30 April 2013


APPENDIX 3B-3-4






finding.



There is no technical medical expertise within ASSI or any of the Territories. Medical examiners in

the following Territories are authorised by the relevant Overseas Territory Aviation Authority

(OTAA) Director: Bermuda; Cayman Islands; Falkland Islands; Turks and Caicos Islands and by

ASSI in: Anguilla; British Virgin Islands; Montserrat.

Each Medical Examiner authorised additionally holds an authorisation or designation from another

ICAO Contracting State.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Obtain a formal letter of agreement between ASSI

and the United Kingdom Civil Aviation Authority

(UKCAA) Medical department for the provision of

advice and guidance on medical issues related to

Overseas Territories Aviation Requirement

(OTAR) 67 — Medical Standards and Recognition of

Medical Examiners — and its impact on the

following OTARs: OTAR 61 — Pilot Licences and

Ratings; OTAR 63 — Flight Engineer Licences and

Ratings; OTAR 65 — Air Traffic Service Personnel

Licences and Ratings.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI and the UKCAA Medical department to review

and amend the content of OTAR 67 in association

with Annex 1, Chapter 6 and current accepted

aviation medical practise – taking into account the

proposed content of ICAO Doc 8984 Manual of Civil

Aviation Medicine.

ASSI 31 May 2011


ASSI 31 May 2011

Publish amended OTAR 67 on the ASSI website

[www.airsafety.aero].


Draft Technical Procedures (TPs) in association with

the UKCAA Medical department to support the

applicability of OTAR 67. The TPs to include the

process to appoint an Authorised medical Examiner

who holds a designation issued by another ICAO

Contracting State and the continued oversight of the

aviation medical related activity in a UKOT.


Draft TP to define measures to be undertaken in the

event that sufficient evidence exists to demonstrate

that an aviation medical examiner has not performed

duties in accordance with the relevant processes.


Publish ASSI TPs as part of the ASSI Policy and Co-

ordination Manual (PacMan) on the ASSI website.

ASSI 30 April 2012


Montserrat

Implement the ASSI Technical Procedures relating to

medical standards and the designation of medical

examiners.

ASSI 30 April 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)

Review BDCA PEL Medical procedures to take into

account any changes made to OTAR 67 and ASSI

procedures.

BDCA 31 July 2012


BDCA 31 August 2012



any changes made to OTAR 67 and ASSI procedures.

CAACI 31 July 2012


CAACI 31 August 2012



any changes made to OTAR 67 and ASSI procedures.

FICAD 31 July 2012

Amend FICAD PEL procedures if required.

FICAD 31 August 2012



account any changes made to OTAR 67 and ASSI

procedures.

TCICAA 31 July 2012


TCICAA 31 August 2012

Include the OTAA oversight of designated medical

examiners as a specific area of future ASSI

Assessments of OTAAs.



APPENDIX 3B-3-5






finding.



The corrective action for this Finding will be carried out at the same time as the Actions associated

with Finding UKOT/OPS/02.

The following Territories do not currently issue pilot licences, utilising instead the validation of

licences issued by other ICAO Contracting States: Anguilla; Bermuda, British Virgin Islands;

Falkland Islands; Montserrat; Turks and Caicos Islands.

The CAA of the Cayman Islands (CAACI) has a publication – CAACI Flight Examiner Manual

(Edition 2 November 2008) – that is used for flight crew within their jurisdiction.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct a gap analysis to determine the procedures

and guidance material needed.

ASSI 31 March 2010

Utilise this analysis to draft the Overseas Territories

Aviation Requirement (OTAR) 61 associate

publication — United Kingdom Overseas Territories

Flight Examiner Manual (UKOT FEM). Document to

include examiner checklists and associated

application and record forms.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Publish UKOT FEM for consultation.


Produce draft Technical Procedures (TPs) to support

a regulatory oversight regime of Flight Examiners.


Publish ASSI TPs as part of the ASSI Policy and

Coordination Manual (PacMan) on the ASSI Website.

ASSI 31 March 2011

Publish UKOT FEM on the ASSI website

[www.airsafety.aero].

ASSI 31 March 2011


Montserrat

ASSI formally issue authorised flight examiner

documentation to qualifying personnel in: Anguilla;

BVI and Montserrat.

ASSI 31 March 2011

Bermuda DCA (BDCA)

Issue authorised flight examiner documentation to

qualifying personnel.

BDCA 31 May 2011

Review BDCA technical procedures to take into

account any changes made to OTAR 61.

BDCA 30 June 2011

Amend BDCA technical procedures if required. BDCA 31 July 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




CAACI 31 May 2011

Review CAACI technical procedures to take into


CAACI 30 June 2011

Amend CAACI technical procedures if required.

CAACI 31 July 2011




FICAD 31 May 2011

Review FICAD technical procedures to take into


FICAD 30 June 2011

Amend FICAD technical procedures if required.

FICAD 31 July 2011




TCICAA 31 May 2011

Review TCICAA technical procedures to take into


TCICAA 30 June 2011

Amend TCICAA technical procedures if required.

TCICAA 31 July 2011



ASSI 31 March 2013


APPENDIX 3B-3-6






finding.



NOTE: Please also refer to finding PEL/08 [Appendix 1B-3-06].


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Draft additional chapters for Overseas Territories

Aviation Requirement (OTAR) 61 Pilot Licences and

Ratings, OTAR 63 — Flight Engineer Licences and

Ratings, OTAR 65 — Air Traffic Service Personnel

Licences and Ratings and OTAR 66 — Aircraft

Maintenance Personnel Licensing.

ASSI 31 May 2010


ASSI 31 May 2010

Publish amended OTAR 61, OTAR 63, OTAR 65 and

OTAR 66 on the ASSI website [www.airsafety.aero].


Draft Overseas Territory Aviation Circular (OTAC)

giving guidance on becoming an approved training

organisation and maintaining the approval.



approval or recognition of training organisations







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce draft ASSI TP for action to be taken when a

training organisation has not performed its function

according to the established requirements and its

procedures manual.



Coordination Manual (PACMAN) on the ASSI

website [www.airsafety.aero].

ASSI 28 February 2011

Design and publish application form for the applicant

for an approved training organisation.


Publish OTAC on approved training organisation on

the ASSI website [www.airsafety.aero].



Montserrat


the approval or recognition of training organisations.

ASSI 31 March 2011

Bermuda DCA (BDCA)

Review BDCA procedures to take into account

changes made to OTAR 61, OTAR 63, OTAR 65 and

OTAR 66.

BDCA 28 February 2011

Amend BDCA PEL procedures if required. BDCA 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Review CAACI procedures to take into account any


OTAR 66.

CAACI 28 February 2011


CAACI 31 March 2011


Review FICAD procedures to take into account any


OTAR 66.

FICAD 28 February 2011


FICAD 31 March 2011


Review TCICAA procedures to take into account any


OTAR 66.

TCICAA 28 February 2011







APPENDIX 3B-3-7






finding.


The UK partially agrees with this finding and recommendation because:

FINDING:

The BDCA does systematically contact the issuing States for Flight Crew applications to ensure the

validity and authenticity of the original licence. A selection of aircraft maintenance engineer licences

are verified in the same way.

RECOMMENDATION:

Systematic verification does take place for all PEL licences submitted in association with validation

applications in the following Territories: Anguilla, British Virgin Islands, Montserrat, Falkland

Islands and Turks & Caicos Islands. ASSI (ASSI for Anguilla, British Virgin Islands and Montserrat)

were assessed during the ICAO Audit and found to be satisfactory in regard to this area.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review and revise as appropriate, ASSI Policy and

Co-ordination Manual (PACMAN) policy number 12

relating to the Validation of Foreign Licences.


Bermuda DCA (BDCA)

Amend the BDCA PEL procedures for aircraft

maintenance engineer licensing to ensure a systematic

verification of all licences submitted in support of the

issue of validations.

BDCA Completed 31 July 2009






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Review and amend (if required) the CAACI PEL

procedures with regard to the systematic verification

of licences submitted in support of validation

applications.

CAACI 31 March 2010


Technical Procedure is promulgated and followed.



APPENDIX 3B-3-8






finding.



This finding requires finding PEL/06 to be completed (these actions from PEL/06):


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Draft additional chapters for Overseas Territories

Aviation Requirement (OTAR) 61 Pilot Licences and

Ratings, OTAR 63 — Flight Engineer Licences and

Ratings, OTAR 65 — Air Traffic Service Personnel

Licences and Ratings and OTAR 66 — Aircraft

Maintenance Personnel Licensing.

ASSI 31 May 2010


ASSI 31 May 2010

Publish amended OTAR 61, OTAR 63, OTAR 65 and

OTAR 66 on the ASSI website [www.airsafety.aero].


Draft Overseas Territory Aviation Circular (OTAC)

giving guidance on becoming an approved training

organisation and maintaining the approval.



approval or recognition of training organisations







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce draft ASSI TP for action to be taken when a

training organisation has not performed its function

according to the established requirements and its

procedures manual.



Coordination Manual (PACMAN) on the ASSI

website [www.airsafety.aero].


Design and publish application form for the applicant

for an approved training organisation.


Publish OTAC on approved training organisation on

the ASSI website [www.airsafety.aero].



Montserrat


the approval or recognition of training organisations.

ASSI 31 March 2011

Bermuda DCA (BDCA)

Produce Technical Procedures for approval and

oversight of training organisations by BDCA.



Review CAACI procedures to take into account any

changes made to PEL OTARs via FINDING PEL/06.


Amend CAACI PEL procedures if required. CAACI 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Review FICAD procedures to take into account any


FICAD 28 February 2011


FICAD 31 March 2011


Review TCICAA procedures to take into account any






Technical Procedure is promulgated and followed.



APPENDIX 3B-4-1






finding.



ASSI is conducting a review of all Overseas Territories Aviation Requirement (OTAR) parts that

relate to ICAO Annex 6, including the requirements for operations-derived equipment which are not

part of the type certification of aircraft, and will ensure these are amended to be compliant with ICAO

Standards and Recommended Practices as far as reasonably practicable.

The actions below apply to all Territories.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete a review of OTAR Part 91 (General

Operating Instructions), 119 (Air Operator

Certification), 121 (Commercial Air Transport

Operations — Large Aeroplanes), 125 (Complex

General Aviation including Corporate Operations)

and 135 (Commercial Air Transport Operations —

Helicopters and Small Aeroplanes) and prepare

amended drafts.

ASSI 30 April 2010

Review and update ICAO compliance checklists for

all three parts of Annex 6, to determine the need for

further amendments to the OTARs.

ASSI 31 May 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Further OTAR amendment and preparation of any

necessary changes to the AN(OT)O.

ASSI 31 August 2010

Publish revised OTARs for operation of aircraft.


Publish an Overseas Territories Aviation Circular

(OTAC), to provide guidance on implementation in

all Overseas Territories, to include equipment

compliance checklists applicable to the different types

of aircraft operation.



APPENDIX 3B-4-2






finding.



The first step planned is a gap analysis to determine the procedures and guidance material needed.

This will be started during a planned meeting of the flight operations staff of ASSI and the Territories.

During this meeting any deficiencies in existing material and all of the new procedures or guidance

material needed will be identified. Priorities and individuals responsible for the needed tasks will be

identified and the work plan updated.

These actions will be conducted in association with the actions for PEL/05.

The actions below apply to all Territories.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct a gap analysis to determine the procedures

and guidance material needed.

ASSI 31 March 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce draft Technical Procedures (TPs) and

Overseas Territories Aviation Circulars (OTACs) to

include (but not limited to) the following areas:


• Delegation of inspection or supervision tasks to

designated inspectors and check airmen of an

AOC holder (inc competency, route, instrument,

conversion and upgrading checks);

• Provisions for the renewal of the delegated check

airman authorisation;

• Regulator conduct of oversight of delegated

tasks;

• Resolution of identified differences.


Coordination Manual (PacMan) on the ASSI website

and available for utilisation by relevant designated

OTAAs.

ASSI/OTAAs 31 March 2011

Publish relevant OTACs on the ASSI website.

ASSI 31 March 2011

ASSI to include in the periodic assessments that the

designated OTAAs are ensuring that all OPS

Procedures are being complied with.

ASSI 31 March 2013


APPENDIX 3B-4-3






finding.








These actions will be conducted in association with the actions for PEL/05.

While ASSI will produce the procedures, it‘s for the Territories to decide whether to use them or to

develop their own.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Carry out gap analysis

ASSI 31 March 2010

Draft procedures and guidance material in

consultation with work group and ASSI Policy

Quality and Standardisation (PQS). The material

developed will cover as a minimum:


1. Procedure, approval process, and guidance

material covering the certification process,

operations manual contents, and inspection

checklists.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

2. Application forms for AOC, ops specs, and other

approvals.

3. Guidelines for: assessment of application forms,

AOC issue, AOC renewal, AOC

suspension/revocation and other authorizations.

4. Procedures and guidance material regarding the

co-ordination required between operations,

airworthiness, and licensing staff during

certification and approval activities.

5. Surveillance procedures and guidelines for the

surveillance program.

6. Guidelines for the safety management program,

the resolution of safety issues, and SMS

evaluation.

7. Guidelines for ACAS training for pilots.

8. Procedures and checklists for operational control

and leasing arrangements.

9. Checklists and guidance material regarding the

avoidance of CFIT and the use of GPWS for

inclusion in operations manual.

Final versions released for use. ASSI 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Anguilla, British Virgin Islands (BVI), Falkland

Islands and Montserrat

To implement the Policy and Co-ordination Manual

(PacMan) Part 4 procedures as mentioned above.


Bermuda DCA (BDCA)

To implement the PacMan Part 4 procedures as

mentioned above, or develop and implement own

local procedures.





local procedures.





local procedures.





ASSI 31 March 2013


APPENDIX 3B-4-4






finding.


The UK agrees with this finding and recommendation. The Overseas Territories Aviation

Requirements (OTARs) will be amended to bring them in line with the existing provisions of the Air

Navigation (Overseas Territories) Order 2007 (AN(OT)O), and technical procedures revised to ensure

that all amendments to an operations manual are reviewed prior to their implementation by an air

operator.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Carry out gap analysis.

ASSI 31 March 2010


consultation with work group and ASSI Policy,


developed will cover procedure, acceptance process,

and guidance material covering the certification

process, operations manual contents, and inspection

checklists.


Final versions released for use.

ASSI 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)






Bermuda DCA (BDCA)



local procedures.





local procedures.





local procedures.





ASSI 31 March 2013


APPENDIX 3B-4-5






finding.



ASSI will work with the Bermuda and Cayman Islands DCAs to prepare and present to the States

with whom such agreements have been signed draft amendments to the Article 83bis agreements to

make it a condition of such agreements that a certified true copy of the agreement be carried on board

all aircraft that are subject thereto; and will include a requirement for checking in the surveillance

programme.

NOTE: This is not applicable to Anguilla, the British Virgin Islands, the Falkland Islands, Montserrat

or Turks & Caicos Islands as there are no 83bis agreements in place.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI to amend and publish Overseas Territories

Aviation Requirement (OTAR) Part 91 (General

Operating Instructions), Paragraph 91.109 to include

a certified copy of an Article 83bis agreement among

the documents to be carried on board an OT

registered aircraft the subject of such an agreement.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)

To implement the requirement by agreement with the

State of the Operator.

BDCA

30 April 2011


To implement the requirement by agreement with the

State of the Operator.

CAACI

30 April 2011

ASSI to include in the periodic assessment that the

designated OTAAs have implemented the amendment

to OTAR Part 91.



APPENDIX 3B-4-6






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will develop draft procedures, in conjunction

with the CAA (Consumer Protection Group), the

respective OTAAs and the respective Territory Air

Transport Licensing Authorities, for the inclusion in

the Territory AOC holders‘ surveillance programmes

of a requirement for monitoring of their financial

condition and unfavourable trends.


Publish Procedure in the Policy and Co-ordination

Manual (PacMan) Part 4.

ASSI 31 March 2011





local procedures.


Bermuda DCA (BDCA)



local procedures.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




local procedures.





local procedures.



APPENDIX 3B-4-7






finding.


The UK agrees with this finding and recommendation. The BDCA will be participating in the

development of procedures and guidance material for flight operations. Co-ordination of activities

will be included in this process.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


ASSI 31 March 2010




developed will cover procedures and guidance

material regarding the co-ordination required between

operations, airworthiness, and licensing staff during

certification and approval activities.








ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)






Bermuda DCA (BDCA)



local procedures.





local procedures.





local procedures.





ASSI 31 March 2013


APPENDIX 3B-4-8






finding.


The UK agrees with this finding and recommendation. The BDCA will be participating in the

development of procedures and guidance material for flight operations. Training requirements for

avoidance of CFIT and a policy for the use of GPWS will be included in this process.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


ASSI

31 March 2010




developed will cover checklists and guidance material

regarding the avoidance of CFIT and the use of

GPWS for inclusion in operations manual.








ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)






Bermuda DCA (BDCA)


(PacMan) Part 4 procedures as mentioned above, or

develop and implement own local procedures.





local procedures.





local procedures.





ASSI 31 March 2013


APPENDIX 3B-4-9






finding.



In general, surveillance programmes and enforcement procedures exist and are being followed but it is

recognised that, in the main, these concentrate on AOC holders and holders of foreign aircraft

operating permits. Surveillance programmes will therefore be expanded to cater for all operators,

handling agents and, where feasible, shippers and enforcement procedures will be developed to cater

for any transgression of the Regulations.

ASSI has established enforcement procedures as outlined in Policy and Co-ordination Manual

(PacMan) Part Four — Technical Procedures — TP 1-4. These procedures cover all areas and include

provision for the institution of penal action against operators, handling agents and shippers by

Territory law officers for breaches of the regulations. These procedures, which will be followed in

Anguilla, British Virgin Islands and Montserrat in the event of non-compliance with the established

requirements, will now be reviewed and amended (as necessary) and offered to the other Territories

for adoption or adaptation.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In conjunction with the OTAAs, develop policy and

guidance on the establishment of comprehensive

surveillance programmes to verify compliance with

the provisions of Annex 18 to the Chicago

Convention, the Technical Instructions for the Safe

Transport of Dangerous Goods by Air (Doc 9284),

and the established regulations.

ASSI 30 June 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In conjunction with the OTAAs, review ASSI‘s

existing enforcement procedure (TP 1-4) to be

followed in cases of non-compliance with the

established requirements and amend as necessary to

enable, where possible, uniform application across all

Territories.

ASSI 30 June 2010


Montserrat

Carry out initial audits of all existing operators and

handling agents.

ASSI Completed October 2009

Develop an ongoing comprehensive surveillance

programme, based on the ASSI guidance, for the

transport of Dangerous Goods by Air, for all

operators (domestic and foreign), all handling agents

and, where feasible, shippers.


Implement ongoing comprehensive Dangerous Goods

surveillance programme.


Implement agreed enforcement procedures as

necessary.


Bermuda (BDCA)


handling agents.

BDCA 30 June 2010



transport of Dangerous Goods by Air for all operators

(domestic and foreign), all handling agents and,

where feasible, shippers.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




Adopt the enforcement procedures as outlined in

Policy and Coordination Manual (PacMan) Part Four

— Technical Procedures — TP 1-4 or develop and

implement own local procedures.


Cayman Islands (CAACI)


handling agents.

CAACI 30 June 2010




















ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Falkland Islands (FICAD)


handling agents.

FICAD 30 June 2010















Turks and Caicos CAA (TCICAA)


handling agents.

TCICAA 30 June 2010












ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)









To include in the periodic assessment that the

designated OTAAs have established a comprehensive

surveillance programme and enforcement procedures

in respect of Dangerous Goods, are following the

programme and are using the enforcement procedures

if necessary.

ASSI 30 June 2012


APPENDIX 3B-4-10






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Hire contract staff to assist in the short term with the

surveillance of foreign air operators.

BDCA 30 April 2011

As part of the strategic planning and organisational

review referred to in ORG/01, BDCA will address

any shortage of resources that may have led to this

finding.

BDCA 30 April 2011


APPENDIX 3B-4-11






finding.



This recommendation will be addressed as part of a consolidation of the AN(OT)O planned for end of

2010. In the meantime, OTAR Part 92 will be used to enforce the current version of the Technical

Instructions including the Supplement and any Addendum.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Arrange with the Foreign & Commonwealth Office

(FCO) for the amendment order to be processed

through Parliamentary Procedure.

FCO 31 December 2010


Montserrat

To review and amend its procedures and Inspector‘s

Handbook as necessary to take account of the

amendment to the Order.


Bermuda DCA (BDCA)




BDCA 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)





CAACI 30 June 2011





FICAD 30 June 2011





TCICAA 30 June 2011


designated OTAAs have implemented the amendment

to the Order.



APPENDIX 3B-5-1






finding.



NOTE: At the time of audit it was generally accepted that inspector evaluation tools in the form of

regulatory checklists would assist the implementation of the airworthiness technical procedures. These

are already in development in the Form of Overseas Territories Aviation Circulars (OTACs).


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In conjunction with the OTAAs complete the

production, and where identified, the amendment of

existing documents, for the publication of required

technical procedures and industry guidance material

in support of the OTARs that includes the following

technical procedures and OTACs to address this

finding:


a) 21-A1-01 Type Acceptance Certificates and

21--A2-01 Certificate of Airworthiness.

b) 21-A2-01 Export Certificate of Airworthiness.

(NOTE: OTARs only make provision for the

export of complete aircraft (class I product).)

c) 39-B1-02 Continued Airworthiness Management

Approvals section 3.9 AOCs

d) OTAC 39-2 Continued Airworthiness

Management required of Technical

Procedure 39-B1-02 Continued Airworthiness

Management Approvals.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

e) Technical Procedure 39-B1-02 Continued

Airworthiness Management Approvals

paragraph 3.2 (e) and (f), additionally

OTAC 43-4 titled qualification of key personnel

to be developed further.

f) 39-B7-01 MEL Analysis to be developed

g) OPS-C1-01 to be further developed to cater for

the full scope of special operational approvals

granted in the Overseas Territories.

Anguilla, British Virgin Islands (BVI), Montserrat

& Falkland Islands

Implement these procedures and publish the required

industry guidance material.

ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011

ASSI through its regular assessment of the OTAAs

will verify OTAA implementation of these technical

procedures and publication of guidance material.



APPENDIX 3B-5-2






finding.



CORRECTIVE ACTION(S) PROPOSED ACTION OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


production and, where identified, the amendment of





finding:


a) 145-B1-01 Maintenance Organisation Approvals

paragraph 3.7 Continued Oversight (surveillance

programme) will be amended to include ramp

inspections and ramp checks on AOC holder

foreign operators and AMOs.

b) OTAC 145-10 Maintenance Organisational

Approval Issue





CORRECTIVE ACTION(S) PROPOSED ACTION OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


& Falkland Islands



ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011

ASSI, through its regular assessment of the OTAAs,


procedures paying particular attention to surveillance

programmes and publication of guidance material.



APPENDIX 3B-5-3






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)







finding:


a) 21-A1-01 Type Acceptance Certificates

paragraph 3.5 will be amended to provide for

clearer instructions on the nature of required

documentation to be held in a controlled library.

b) OTAC 21-1 Type Acceptance Certificates will be

amended in line with the associated technical

procedure.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


& Falkland Islands



ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011






APPENDIX 3B-5-4






finding.



The PQs relating to this action were found to be satisfactory during the audit of ASSI, covering

Anguilla, British Virgin Islands (BVI), Montserrat and Falkland Islands.

The Turks and Caicos Islands CAA (TCICAA) and the CAA of the Cayman Islands (CAACI) have

provided evidence to demonstrate that they have established minimum qualifications and experience

for its Airworthiness Surveyors – this information is included in the job description for Airworthiness

Surveyors for both organisations.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)

The Bermuda DCA Airworthiness Section will

document the minimum qualifications and experience

requirements for Bermuda based Airworthiness

Inspectors and Designated Airworthiness Inspectors

worldwide.



APPENDIX 3B-5-5






finding.



OTAR Implementation Plan:

A joint OTAA ASSI working group has been established for purpose of developing the OTAA

internal Overseas Territories Aviation Requirement (OTAR) transition plans and encompass the

development and amendment of inspector technical procedures, operational procedures, industry

guidance (OTACs) and required amendments to existing regulatory material. These are detailed action

plans developed from audit findings AIR/01 through 10.

Individual OTAA Transition Plans:

The implementation of the transition plans will provide for inspector training, implementation of the

airworthiness inspector technical procedures, operational procedures, publication of industry guidance

material (OTACs) and securing the technical data and library material required to support the

airworthiness inspectors in their duties.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete the production, publication of required


to the established OTAR Implementation Plan.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Anguilla, British Virgin Islands (BVI),

Montserrat, Falkland Islands

To develop an OTAA internal OTAR transition plan

for the implementation of OTARs.


To complete the OTAA internal transition plan

actions incorporating the implementation of

procedures for the oversight of tasks undertaken by

delegated Airworthiness Inspectors and private

agencies.


Bermuda DCA (BDCA)








agencies.










agencies.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)









agencies.


ASSI to include in their Terms of Reference for the

regular OTAA assessment programme the

implementation of OTAA OTAR transition plans.



APPENDIX 3B-5-6






finding.



OTAR Implementation Plan:

A joint OTAA ASSI working group has been established for purpose of developing the OTAA

internal Overseas Territories Aviation Requirement (OTAR) transition plans and encompass the

development and amendment of inspector technical procedures, operational procedures, industry

guidance (OTACs) and required amendments to existing regulatory material. These are detailed action

plans developed from audit findings AIR/01 through 10.

Individual OTAA Transition Plans:

The implementation of the transition plans will provide for inspector training, implementation of the

airworthiness inspector technical procedures, operational procedures, publication of industry guidance

material (OTACs) and securing the technical data and library material required to support the

airworthiness inspectors in their duties.

CORRECTIVE ACTION(S) PROPOSED*

ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

The following technical procedures and guidance

material shall be revised and made available to the

OTAAs following any required amendments as a

result of other ICAO findings.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

a) 39-B1-01 Continued Airworthiness Management

approvals.

b) OTAC 39-2 Continued Airworthiness

Management.

c) 39-B2-01 Maintenance Programme Approval.

d) OTAC 39-6 Maintenance Programmes.

e) OPS-C1-01 Special Operational Approvals.


& Falkland Islands

Implement these procedures in accordance with the

agreed transition plan and publish the required


ASSI 30 June 2011

Bermuda DCA (BDCA)




BDCA 30 June 2011





CAACI 30 June 2011





TCICAA 30 June 2011


will verify OTAA implementation of the OTARs,

technical procedures and publication of guidance

material.



APPENDIX 3B-5-7






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

The following technical procedures and guidance

material shall be made available to the OTAAs

following any required amendments as a result of

other ICAO findings.


a) 39-B6-01 MOR Investigation and Airworthiness

Design Liaison to be developed.

b) 21-A2-02 Export Certificate of Airworthiness to

be developed.

c) OTAC 39-2 Continued Airworthiness

Management to be amended to provide for

Inspector review of an Maintenance Control

Manual (MCM).

d) OTAC 145-10 to be amended to provide for

Inspector review of an Maintenance Planning

Manual (MPM).






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)







finding:


a) 39-B1-01 Continued Airworthiness Management

to be amended to reflect OTAR 145.59 Aircraft

Parts.

b) OTAC 145-12 titled Aircraft Parts to be

developed.

c) As Per (b) above.

d) 145-B1-01 Maintenance Organisational Approval

paragraph 3.2 to be amended and OTAC 145-11

titled Specialised Services to be developed.


& Falkland Islands



ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




CAACI 30 June 2011




TCICAA 30 June 2011






APPENDIX 3B-5-8






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)







finding:


a) OTAC 47-A1-01(Aircraft Registration) to be

developed that will also provide for Inspector

review in consort with technical

procedure 47-A1-01.

b) Policy and Coordination Manual — Policy 10

(Training for ASSI and the Overseas Territories)

and Procedure 01 (Notification of Change to

Territory Registers).

c) Technical procedure 21-A4-01 and OTAC 21-6

titled Repairs to be developed.

d) OTAC 145-10 to be developed that will also

provide for Inspector review in consort with

technical procedure 145-B1-01 Maintenance

Organisation Approval.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

e) As Per Above (d)

f) OTAC 43-4 titled Qualifications for Key

Personnel to be developed.

g) OTAC 145-10 to be developed to provide

industry and Inspectors a reference to the core

requirements for holding a Maintenance

Organisational Approval.


& Falkland Islands



ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011






APPENDIX 3B-5-9






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

In conjunction with the OTAAs , complete the






finding:


a) Technical Procedure 39-B1-02 Continued

Airworthiness Management Approvals to be

amended to provide an oversight function for

operator‘s reliability programmes.

b) OTAR Part 39.65 to be amended to place a

requirement on continued airworthiness

management organisations to identify for the

implementation of mitigations including

operational in response to adverse reliability

trends. OTAC 39-8 titled Airworthiness and

Operational Liaison to be developed to provide

guidance on common issues including those of a

reliability nature.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


& Falkland Islands



ASSI 30 June 2011

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011






APPENDIX 3B-5-10






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)







finding:


• Technical Procedure 39-B6-01 MOR

Investigation and Airworthiness Design Liaison

to be developed to ensure appropriate exchange

of airworthiness information in support of OTAR

Part 39.55


& Falkland Islands



ASSI 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)



BDCA 30 June 2011




CAACI 30 June 2011




TCICAA 30 June 2011






APPENDIX 3B-6-1






finding.



The long-term aim is to develop a common set of Accident Investigation Regulations applicable to all

Territories; however, this will be dependent on a revision of the 1996 UK Regulations and of the

Primary Legislation. In the meantime, the existing Territory Regulations will be reviewed and

amended as necessary to address this finding and recommendation.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Short Term Solution

ASSI will work with the DfT, AAIB, the Governors

and their Attorneys General in each Territory in

reviewing the respective Territory Civil Aviation

(Investigation of Air Accidents & Incidents)

Regulations to determine the necessity for an

amendment thereto:

(a) to take account of the appointment by each

Governor of the Chief Inspector of Air Accidents

(CIAA) at the AAIB as the Investigator of Air

Accidents for each Territory; and

(b) to take account of the appointment of an Accident

Investigation Manager (AIM) in each Territory;

and

(c) to detail the role and functions of the appointed

AIM.

ASSI

31 December 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Montserrat

Work with the relevant Attorneys General to ensure

the adoption of an Amendment to the existing

Regulations in each Territory to reflect the outcome

of the above review

ASSI 30 June 2011

Bermuda DCA (BDCA)

Work with the Attorney General to ensure the

adoption of an Amendment to the existing

Regulations to reflect the outcome of the above

review

BDCA 30 June 2011





review

CAACI 30 June 2011





review

FICAD 30 June 2011





review

TCICAA 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Long Term Solution

Prepare and consult on a proposal to create an Order

in Council to be made under section 75 of the Civil

Aviation Act 1982 that would be applicable in all of

the Territories and an Order for the consequential

repeal of the existing regulations.


Subject to the above consultation, draft the necessary

Orders and ensure, in conjunction with the FCO and

AAIB, that they come into force as soon as

practicable.

ASSI 30 June 2012


APPENDIX 3B-6-2






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To provide AIMs with a job description detailing

their functions and responsibilities.

AAIB 31 March 2010

To provide AIMs with credentials signed by the

AAIB Chief Inspector of Air Accidents.

AAIB 31 March 2010


APPENDIX 3B-6-3






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To provide the AIMs for the Territories with personal

protective and accident scene investigation equipment

to be stored for accident scene investigation use.

AAIB 31 March 2010


Montserrat

To establish a system to ensure the equipment is

maintained and replenished as required.

ASSI 31 March 2010

Bermuda DCA (BDCA)



BDCA 31 March 2010




CAACI 31 March 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




FICAD 31 March 2010





To audit the provision of the required safety and

investigation equipment in all the Territories.



APPENDIX 3B-6-4






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

AAIB will work with ASSI and the OTAA/DCA to

define the training programme in all of the Territories

so as to ensure that the appointed AIM (and such

other persons as necessary) receives all necessary

training, including, where feasible, OJT, prior to

being assigned investigation tasks:

AAIB 31 December 2010

To agree the objectives of an approved training

course to be provided by Cranfield University


To make available to AIMs a course specifically

designed by Cranfield University to meet the needs of

OJT (including a real-time simulation exercise)

required for managing the first 48 hours of an

accident investigation.


ASSI, in conjunction with the relevant OTAA, will

work with Governors to arrange for the attendance by

nominated AIMs on the approved training courses, as

above, and will arrange for the issue to them of AAIB

Accreditation prior to their formal appointment.

ASSI 30 June 2011


APPENDIX 3B-6-5






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To work with ASSI and the OTAAs to complete the

development of procedures and guidance material

relating to the management of an aircraft accident

scene for the first 48 hours, paying particular

attention to the collection and preservation of

evidence and mitigation of the risks from Heath &

Safety hazards at the accident site, and

AAIB Completed October 2009

To publish Guidance Material comprising a Territory

version of the AAIB‘s Guidance for Police,

Emergency Services and Airfield Operators

specifically for use by AIMs in the Territories to

assist in managing an aircraft accident site (so as to

address in particular the collection and preservation

of evidence and protection against hazards at the

accident site).

AAIB Completed January 2010

To arrange for discontinuance and removal of all

previous manuals and other material.

AAIB 31 March 2010


APPENDIX 3B-6-6






finding.



The AAIB has sufficient resources to meet the immediate needs of supporting the Territories in

aircraft accident investigation. However, AAIB intends to establish a ―training coordination‖ position,

on a one year trial basis initially, to manage and coordinate the specific training needs of AIMs and

the general training for in-theatre personnel.

Recommendation a) has been addressed through the actions detailed in AIG/05 and recommendation

b) has been addressed through the actions detailed in AIG/04. Recommendation c) is addressed

through the actions below.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To establish, on a trial basis initially, a training

coordinator post within the AAIB to assist in the

management and organisation of training for AIMs

and other personnel in the Territories.

AAIB Completed August 2009

(Coordinator takes post

21 September 2009)

On behalf of the AAIB ASSI will include in the

periodic assessments of the Territories their

performance of the investigation-related tasks and

report back to the AAIB.



APPENDIX 3B-6-7






finding.



AAIB has published its document Aircraft Accidents: Guidance for Police, Emergency Services and

Airfield Operators that establishes the formal means of coordination between the investigators and the

police authorities during the investigation. It is believed that this document negates the need for a

formal MoU with each Territories judicial authority.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To review the contents of the document, Guidance for

Police, Emergency Services and Airfield Operators,

with a view to making revisions thereto to

accommodate the specific requirements of the

Territories.

AAIB Completed October 2009

To publish a Territory Edition of the document.

AAIB Completed January 2010

To present for signing by the Commissioner of Police

in each Territory an MOU in the form concluded

between AAIB and the CPS for England & Wales.

AAIB 30 November 2011


APPENDIX 3B-6-8






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To agree with UK CHIRP to extend the use of their

system in the Territories.

ASSI Completed

30 September 2009

To agree with OTAAs to introduce in each Territory

the use of the UK CHIRP system.

ASSI Completed

31 December 2009

To establish CHIRP policy, procedures and

implementation plan.

ASSI 30 June 2010

To Implement/Disseminate/Activate CHIRP in all of

the Territories.

ASSI 30 June 2012


APPENDIX 3B-6-9






finding.


The UK disagrees with this finding, however, the UK agrees with the recommendation to use a

compatible taxonomy.

During the audit ASSI showed that it has a paper-based occurrence database, which ASSI believes is

acceptable to the sample size, from which ASSI can analyse information obtained from the occurrence

reporting system as requested under PQ 6.507. Whilst ASSI does accept that the current system does

not use a taxonomy compatible with the ICAO ADREP system, it is the intention that ASSI and the

OTAAs should move to the adoption of ECCAIRS software in due course in line with progress by

UK CAA towards that end. In the meantime, ASSI is of the view that its current system is compliant

with Annex 13 and does not believe that this finding should include PQ 6.507.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce and agree ECCAIRS outline paper for

discussion with the Territories and adoption.

ASSI Completed 31 May 2009

Present ECCAIRS outline proposals at the annual

OTAA DCA conference.

ASSI Completed 10 June 2009

Establishment by ASSI of ECCAIRS policy and

implementation plan.

ASSI 31 May 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete a fully functioning ECCAIRS node at ASSI

UK office accessible to all ASSI and OTAA/DCA

authorised personnel.


ECCAIRS implemented and operational in the

Territories and data shared with UK ECCAIRS via

ASSI ECCAIRS node.



APPENDIX 3B-7-1






finding.



The current advice Overseas Territories Aviation Circular (OTAC) is recognised as being insufficient.

ASSI intends to produce more comprehensive requirements in the form of Overseas Territories

Aviation Requirements (OTARs) based on ICAO Annex 3, 4, 12 and 15.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce draft OTARs and OTACs to address

Annexes 3, 4, 12 & 15 and publish for consultation.


Publish OTARs for gazetting and publish OTACs.

ASSI 30 June 2011


Montserrat

To gazette OTARs.


Bermuda DCA (BDCA)

To gazette OTARs. BDCA 31 December 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


To gazette OTARs.



To gazette OTARs.



To gazette OTARs. TCICAA 31 December 2011


APPENDIX 3B-7-2






finding.



Overseas Territories Aviation Requirement (OTAR) 172 (Air Traffic Service Organisation Approval)

was revised prior to the Audit and now contains the requirements for Human Factor Aspects (172.56)

to be taken into account by ATS providers. The OTAR is currently on the ASSI web site for

consultation and the actions below take this into account.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Publish the revised OTAR 172 (Air Traffic Service

Organisation Approval).


Review from sources existing ANS Human Factor

Guidance and Procedures.


Develop an Overseas Territories Aviation Circular

(OTAC) on Human Factors.

ASSI 30 June 2011

Publish OTAC. ASSI 30 September 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


and Turks & Caicos Islands (TCI)

Audit ANS providers and check implementation of

Human Factor procedures.

ASSI 31 March 2012

Bermuda DCA (BDCA)



BDCA 31 March 2012




CAACI 31 March 2012




FICAD 31 March 2012


designated OTAAs are ensuring that ANS providers

are complying with the full requirements established

under OTAR 172.56.



APPENDIX 3B-7-3






finding.



Overseas Territories Aviation Requirement (OTAR) 172 (Air Traffic Service Organisation Approval)

paragraph 172.61 requires training and assessment to be conducted. The Territories ATS units have

either produced or are in the process of producing Unit Training Plans for their ATS staff. ASSI

audits that training prior to examination and also assesses the handling of emergency situations during

annual competency examinations and initial examinations for the award of a rating through practical

or oral means.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



To conduct an audit against the full requirements of

OTAR 172.61.




OTAR 172.61.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



OTAR 172.61.




are complying with the full requirements of

OTAR 172.61.

ASSI 30 June 2012


APPENDIX 3B-7-4






finding.



ASSI has determined the most effective way to address the issues raised is by incorporation within the

SMS and subsequent audit. In the interim ASSI will ensure that procedures are in place that will

address this particular requirement.

NOTE: This finding is not relevant to the Falkland Islands as they provide only a Flight Information

Service.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To review Overseas Territories Aviation Requirement

(OTAR) 172, associated guidance material,

procedures and checklists.

ASSI

31 March 2010

To publish revised OTAR for consultation.

ASSI 31 March 2010

To publish revised OTAR and guidance material. ASSI 30 September 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



To audit against the amended requirements of

OTAR 172.

ASSI 31 March 2011



OTAR 172

CAACI 31 March 2011




OTAR 172.



APPENDIX 3B-7-5






finding.


Inspector ATS Operations ASSI, as part of the annual competency examination process of Air Traffic

Controllers monitors the provision of read-backs and the challenge by controllers if a read-back is not

provided, of safety related information by pilots and adjacent ATC units. This is also monitored

through the MOR scheme.

Overseas Territories Aviation Requirement (OTAR) 172.55 (Air Traffic Service Organisation

Approval) has been revised to specifically state the requirement for safety related read-backs to be

obtained. The requirement shall be contained within Unit Manuals of Air Traffic Services.

NOTE: This finding is not relevant to the Falkland Islands as they provide only a Flight Information

Service.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete the publication of the amended OTAR 172.




To audit Unit Manuals of Air Traffic Services to

check that they include an explicit statement requiring

the read-back of safety related information.

ASSI 30 June 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


To audit Unit Manuals of Air Traffic Services to

check that they include an explicit statement requiring

the read-back of safety related information.

CAACI 30 June 2010

To include in the periodic assessment of Cayman and

Bermuda OTAAs that they ensure ANS providers are

complying with the full requirements of OTAR 172.



APPENDIX 3B-7-6






finding.



The regulatory system, including Overseas Territories Aviation Requirements (OTARs) and Overseas

Territories Aviation Circulars (OTACs) for MET to be developed under ANS/01 will include the

requirement for relevant procedures.

The dates below are dependent on ANS/01.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To develop and publish procedures for ensuring that

MET information is promptly supplied to flight

information centres, area control centres, approach

control units, aerodrome control towers, and

communication stations.



Montserrat

To ensure that procedures have been effectively

implemented and confirmed through audit.

ASSI

30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




CAACI

30 June 2012




FICAD

30 June 2012




TCICAA

30 June 2012



are complying with the full requirements of the

proposed new MET OTAR.



APPENDIX 3B-7-7






finding.



Overseas Territories Aviation Requirement (OTAR) 139 — Certification of Aerodromes 139.53

— Contents of the Aerodrome Manual Paragraph C requires ‗the promulgation of information

concerning the aerodrome‘s state‘. This is also reflected in OTAR 139.71(m).

OTAR 171.71 — Notification of aeronautical telecommunication service information (a) (2) —

covers information to be promulgated in a NOTAM concerning any change in the operational status

of the aeronautical telecommunication service.

This subject matter would be covered by ASSI or designated OTAA Aerodrome Inspectors. A

guidance document for Aerodrome Inspectors is currently being developed by ASSI and will include

this particular item. In addition, an OTAC will be produced to assist aerodrome operators in

developing their aerodrome manual and will cover this item.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Develop and publish an OTAC to provide aerodrome

operators with advice on developing their aerodrome

manual.


Develop guidance material for Aerodrome Inspectors

on how to review an aerodrome manual submitted as

part of certification process.

ASSI 30 June 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

The ATS Inspectors checklist will be amended to

ensure confirmation that information on aerodrome

conditions and the operational status of associated

facilities as required by OTAR 139 and OTAR 171 is

being carried out and provided to Aerodrome and

parent Approach units.

ASSI 30 June 2010



To ensure that the relevant local procedures are in

place to reflect the regulatory requirements.












are complying with the full requirements of the

relevant OTARs.

ASSI 30 June 2012


APPENDIX 3B-7-8






finding.



The requirement for Contingency Plans exists in Overseas Territories Aviation Requirement

(OTAR) 172.123 (Air Traffic Service Organisation Approval) and although some units already have

contingency plans, they do not fully meet the guidance as contained in Attachment C of Annex 11 and

Doc 4444 2-4.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To revise OTAR 172.123 to make reference to

Attachment C Annex 11 and Doc 4444 2-4 and to

revise ASSI procedures and audit checklists.

ASSI 30 June 2010

Publish revised OTAR.





OTAR 172.123.

ASSI 30 June 2011

Bermuda DCA (BDCA)


OTAR 172.123.

BDCA 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



OTAR 172.123.

CAACI

30 June 2011



OTAR 172.123.

FICAD

30 June 2011




OTAR 172.123.



APPENDIX 3B-7-9






finding.



NOTE: This finding is not relevant to the Falkland Islands as they provide an Aerodrome Flight

Information Service.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To revise Overseas Territories Aviation Requirement

(OTAR) 172.123 to make reference to Attachment C

of Annex 11 and ICAO Doc 4444 2-4 and to revise

ASSI procedures and audit checklists.

ASSI 30 June 2010

Publish revised OTAR.





OTAR 172.123.

ASSI

30 June 2011

Bermuda DCA (BDCA)


OTAR 172.123.

BDCA 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



OTAR 172.123.

CAACI

30 June 2011




OTAR 172.123.



APPENDIX 3B-7-10






finding.



During the audit ASSI showed that it had criteria for implementation and evaluation of SMS

(including requirements for and guidance on developing an acceptable level of safety performance for

each unit) as requested under PQ 7.171.

ASSI will continue to check the implementation progress of Safety Management Systems at those

units not operating under an SMS.

In addition the BDCA comments that:

a) Not applicable to BDCA – ATS SMS implemented & acceptable to BDCA

b) Acceptable level of safety to be achieved is established & was at the time of the audit

c) Oversight of the ATS SMS had been carried out at the time of the audit.

Evidence covering all of the above points was presented to the auditors at the time of the ASSI and

Bermuda audits. Therefore the UK formally requests that PQ 7.171 be removed from the finding.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


and the Turks & Caicos Islands (TCI).

To evaluate the ATS Unit SMS to verify that it is

acceptable. This will include an evaluation of the

acceptable level of Safety Performance agreed with

the unit.

ASSI

31 December 2010

Review and amend procedures to include periodic

assessment of unit SMSs.



To evaluate the ATS Unit SMS, to verify that it is


acceptable level of Safety Performance as agreed with

the unit.






To evaluate the ATS Unit SMS, to verify that it is


acceptable level of Safety Performance as agreed with

the unit.





To include in the periodic assessments that the

designated OTAAs conduct periodic oversights of

these ATS Safety Management Systems.

ASSI 30 June 2013


APPENDIX 3B-7-11






finding.



Although the recommendation refers to ATC procedures, this will also include Aerodrome Flight

Information Service (AFIS) procedures.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Develop a regulatory requirement within Overseas

Territories Aviation Requirement (OTAR) 172 (Air

Traffic Service Organisation Approval) and OTAR

139 (Certification of Aerodromes), which will require

ATC and AFIS providers to develop a Runway Safety

Programme.


Develop Guidance Material to be published as an

Overseas Territories Aviation Circular (OTAC).


Publish OTARs and OTAC.

ASSI 30 June 2011


and Turks & Caicos Islands


audit of Runway Safety Programmes.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)


OTAR 172 and OTAR 139.














ASSI 30 June 2013


APPENDIX 3B-7-12






finding.




Territories Aviation Circulars (OTACs) for AIS developed under ANS/01 will include the

requirement for a quality system.

The dates below are dependent on ANS/01.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To develop procedures for designated OTAAs to

audit AIS Providers to ensure that they have an

acceptable quality system.

ASSI 30 June 2011

To publish procedures.




To establish an initial audit programme to verify that

the entity responsible for the provision of aeronautical

information services has a properly organized quality

system, that it is in conformity with ISO 9000 and

certified by an approved organisation

ASSI 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)






certified by an approved organisation.

CAACI 30 June 2012

Falkland Islands CAD






FICAD 30 June 2012


designated OTAAs are ensuring that the entity

responsible for the provision of aeronautical






APPENDIX 3B-7-13






finding.



In conjunction with the OTAAs, ASSI will explore the use of appropriately qualified bodies to

conduct audits of these technical areas, in accordance with the first action under ANS/01. Those

responsible for regulatory oversight will receive appropriate training to discharge their

responsibilities.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review current service arrangements for AIS, Charts,

MET and SAR across all Territories.

ASSI

31 Dec 2010

In conjunction with OTAAs, review the options for

the regulation of these services across the Territories

including:

• Establish job descriptions for both staff and

contractors to contain appropriate qualifications

and experience requirements

• Establish appropriate training programmes and

plans for both staff and contractors, as required.

• Establish a requirement as per ANS/01 that

technical and contractual staff have satisfactorily

completed on the job training prior to being

assigned tasks and responsibilities.

• Develop Technical Procedures as appropriate.

ASSI 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Implement the findings of the review to ensure

regulation of these areas is adequately resourced.




To ensure audits are conducted against the

requirements as established under ANS/01.

ASSI

30 June 2012

Bermuda DCA (BDCA)

To audit against the requirements as established under

ANS/01.

BDCA 30 June 2012



ANS/01.

CAACI 30 June 2012



ANS/01.

FICAD 30 June 2012




under ANS/01.



APPENDIX 3B-7-14






finding.



ASSI has an effective system for monitoring and rectifying deficiencies. This system will

automatically come into force to manage deficiencies in AIS, cartography, MET and SAR once the

appropriate oversight regime for AIS, cartography, MET and SAR has been established (refer to

ANS/01 & ANS/13).


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


Montserrat

To apply Policy and Co-ordination Manual (PacMan)

Procedure 10 (Regulatory Non-Conformity Reporting

(RNR)) in the areas of AIS, cartography, MET and

SAR.

ASSI 30 June 2012

Bermuda DCA (BDCA)

To adopt and apply the PacMan procedure as

mentioned above, or to apply their own local

procedures to the areas of AIS, cartography, MET and

SAR.

BDCA 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)





SAR.

CAACI 30 June 2012





SAR.

FICAD 30 June 2012





SAR.

TCICAA 30 June 2012


designated OTAAs are using PacMan or their own

local procedures for the elimination of deficiencies

identified during their audits of ANS providers.



APPENDIX 3B-7-15






finding.



The corrective actions under ANS/01, ANS/13 and ANS/14 will capture the establishment of the

oversight system for AIS, cartography, MET and SAR including requirements, guidance material,

procedures and training of regulatory staff.

The actions below, therefore, are concerned with the audit functions following the establishment of

the system.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



To conduct audits to ensure that AIS cartographic and

SAR service providers have developed a formal

training programme and clearly define all the

functions and responsibilities, job descriptions and

minimum qualifications for their technical staff.

ASSI 30 June 2012

Bermuda DCA (BDCA)






BDCA 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)







CAACI 30 June 2012







FICAD 30 June 2012


designated OTAAs are ensuring that AIS cartographic

and SAR service providers have developed a formal






APPENDIX 3B-7-16






finding.



BDCA had thought that it had shown satisfactory evidence for this and that it was not relevant to

Bermuda; however, this evidence may have been overlooked due to the heavy workload of the

auditors during this busy period.

This finding seems to be a specific instance already covered by the generality of ANS/01. Therefore

corrective action will mainly be achieved through the action plan for findings ANS/01 which will

capture the establishment of the oversight system (including requirements and guidance material);

ANS/13 for procedures and training of regulatory staff; and ANS/14, if applicable, which covers the

elimination of deficiencies.

The actions below, therefore, are concerned with the audit functions following the establishment of

the system.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To conduct a survey amongst the major providers to

confirm that they can meet the publication resolution

and data integrity standards of:

a) Appendix 7, Tables 1-5 of Annex 15.

b) Appendix 6, Tables 1-5 of Annex 4.

ASSI 30 June 2011

To develop and publish procedures for the audit of

AIS Providers in respect of the resolution and data

integrity standards.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



To conduct audits of AIS Providers in respect of the

required resolution and data integrity standards

ASSI

30 June 2012

Bermuda DCA (BDCA)


required resolution and data integrity standards.

BDCA 30 June 2012




CAACI 30 June 2012




FICAD 30 June 2012


designated OTAAs are ensuring that AIS Providers

are complying with the required resolution and data

integrity standards.



APPENDIX 3B-7-17






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review current service arrangements for the

provision of applicable aeronautical charts to users

across all Territories.


In conjunction with OTAAs, review the options for

the provision of these services across the Territories.

ASSI 30 June 2011

In conjunction with OTAAs establish a process to

review the availability and currency of required

charts.



Montserrat


service provision in this area.

ASSI 30 June 2012


Implement established process for the review of

availability and currency of required charts.

CAACI 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)



availability and currency of required charts into

existing systems in place for civil and military charts.

FICAD 30 June 2012



availability and currency of required charts.

TCICAA 30 June 2012


designated OTAAs are confirming the availability of

applicable and current aeronautical charts to users.



APPENDIX 3B-7-18






finding.



The Overseas Territories Aviation Requirement (OTAR) developed under ANS/01 regarding

Meteorological Services to Aviation, will contain a requirement for a service definition document and

a requirement for ATS Providers to have an agreement with their provider of Met services including

calibration of equipment. The actions below, therefore, cover the implementation aspects only.

Turks and Caicos ATS have a written agreement with their Met provider (Bahamas) and this was

checked by ASSI although it does not contain an agreement for calibration of equipment.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct a gap analysis on current agreements in

place for the provision of MET Services and the

calibration of MET equipment across all Territories.


In conjunction with OTAAs, review the findings of

the Gap Analysis and notify the ATS Providers of the

shortfall in agreements.

ASSI

30 June 2011


Montserrat

To conduct audits to ensure that ATS Providers have

an agreement in place with their provider of Met

services including calibration of equipment.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)

To audit these agreements on a periodic audit cycle

and ensure any changes needed to the agreements are

made.





made.





made.





made.




have current agreements in place for the provision of

MET Services and the calibration of MET equipment.

ASSI 30 June 2013


APPENDIX 3B-7-19






finding.



Territories Aviation Circulars (OTACs) for MET developed under ANS/01 will include the

requirement for a quality system.

Corrective action will mainly be achieved through the action plan for findings ANS/01 which will

capture the establishment of the oversight system (including requirements and guidance material);

ANS/13 for procedures and training of regulatory staff; and ANS/14, if applicable, which covers the

elimination of deficiencies.

The actions below under each Territory are concerned with the audit function following the

establishment of the system.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

To develop procedures to verify that MET Providers

have a quality system established in accordance with

the OTAR to be developed under ANS/01.



Montserrat

To audit MET Providers to verify that they have an


ASSI 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)




CAACI 30 June 2012




FICAD 30 June 2012




TCICAA 30 June 2012



have an acceptable quality system.



APPENDIX 3B-7-20






finding.



During the audit ASSI provided evidence of an MOU in place (plus the Eastern Caribbean

Agreement) that provides for SAR in the areas in which the Territories are located as requested under

7.483. Furthermore as all of the Territories are small island communities with limited resources it is

not practical for any of them to provide an RCC; as none of the Territories is an RCC we do not

believe that ANS 7.511 is applicable and therefore should not have a finding. Finally, the MOU

between UK/US/Canada provides for access to each other‘s Territory and there should not be a

finding on ANS 7.519.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review current agreements in place for the provision

of SAR, including SAR plans across all Territories.

ASSI 31 Dec 2010

In conjunction with OTAAs, review the terms of SAR

plans for the provision of this service across the

Territories.

ASSI 30 June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


service provision in this area.




To conduct audits against the requirements as

established under ANS/01.

ASSI 30 June 2012

Bermuda DCA (BDCA)



BDCA 30 June 2012




CAACI 30 June 2012




FICAD 30 June 2012




under ANS/01.



APPENDIX 3B-7-21






finding.






The OTAR relating to SAR, referenced in the corrective actions under ANS/01, will require the

provision of SAR in accordance with Annex 12; the regional SAR Plans and related MOU; and the

IAMSAR Manual.

The corrective actions under ANS/20 will determine the level of the service required to be provided in

each Territory and will facilitate the actions proposed below.

The first corrective action under ANS/13 will determine the level of service currently provided in

each Territory and will facilitate the actions proposed below.








ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

ASSI will undertake a gap analysis to:


• identify precisely the body within the Territory

that has the primary responsibility for

coordinating SAR, both for maritime and

aeronautical purposes;

• identify the scope of that body‘s functions, duties

and resources; and

• identify any shortcomings in delivery of the

service against the prescribed requirements.

ASSI will develop a programme to address the

requirements in each Territory for basic training and

OJT for both SAR providers and regulators.

ASSI 30 June 2011

ASSI, in conjunction with the relevant OTAA,

Governor and Government of a Territory, will work

with the body identified as above to ensure that the

body has the available resources, communication

facilities and workforce capable of delivering the

level of service required.




To commence audits against the requirements as


ASSI 30 June 2012






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)



BDCA 30 June 2012




CAACI 30 June 2012




FICAD 30 June 2012

ASSI to include in its periodic assessments that the

designated OTAAs are ensuring that by means of the

audits that SAR providers are complying with the full

requirements of the OTAR established under

ANS/01.



APPENDIX 3B-8-1






finding.


The UK already has a mechanism for the safety oversight of military aerodromes used for

international civil operations. This is detailed in the UK‘s response to finding AGA/01 for UK Main.

This mechanism applies to all UK military aerodromes including those in the Overseas Territories.

The corrective action plan for UK will therefore also address this finding.

The term ‗Government Aerodrome‘ under the AN(OT)O applies only to the Military Aerodromes

which are only sited in the Falkland Islands and Ascension, a dependency of St. Helena.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Complete the Annex 14 checklist using JSP 554

requirements to confirm the level of implementation

of relevant SARPS and send to CAA ASD for

incorporation into the UK Annex 14 Compliance

Checklist.

MoD DE & HQ

Air Cmd

By end June 2010

Confirm with CAA ASD those differences to

Annex 14 that should be notified to ICAO and

published in the UK AIP.

MoD DE & HQ

Air Cmd

By end March 2011

Provide a consolidated list of differences (civil +

military) to CAA ICAO Focal Point (EIS)

CAA ASD By end June 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Notify consolidated list of differences to ICAO in

accordance with Article 38 to the Convention and

arrange for their publication in the UK AIP.

CAA EIS by end September 2011

Amend procedures to ensure that MoD DE & HQ Air

Cmd SO2 Aerodrome Infra are included in the ICAO

State Letter consultation process for proposed

amendments and adopted amendments to Annex 14,

other relevant Annexes and related guidance material.

CAA EIS Completed 31 July 2009


APPENDIX 3B-8-2






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Guidance material and technical procedures for

aerodrome inspectors, within Policy & Co-ordination

Manual (PacMan) Part 4, to be reviewed, developed

further and published, specifically to include the

amendment and transfer (if applicable) of aerodrome

certificates.

ASSI 30 June 2010

Publish guidance material for industry, by means of

an Overseas Territories Aviation Circular (OTAC) on

aerodrome certification, specifically to include the

amendment and transfer (if applicable) of an

aerodrome certificate.



Montserrat

Implement new technical procedures.

ASSI 31 March 2011

Bermuda DCA (BDCA)


mentioned above, or review/develop and implement

own local procedures as applicable.

BDCA 31 March 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)





CAACI 31 March 2011





FICAD 31 March 2011







designated OTAAs have implemented PacMan Part 4

Procedures.



APPENDIX 3B-8-3






finding.



NOTE: Only applicable to Bermuda at this point in time as no other Territory has a Precision

Approach Runway.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Bermuda DCA (BDCA)

BDCA will ensure Department of Airport Operations

(DAO) establish and implement means to ensure

compliance with the established requirements

regarding runway centre line lights at aerodromes.

BDCA 30 June 2010

Decision on how to proceed by DAO.

DAO 30 June 2010

Lights installed. BDCA 31 December 2015


APPENDIX 3B-8-4






finding.



This specific Annex 14 requirement is only currently potentially relevant to Bermuda as aerodromes

in the other Territories do not feature complex taxiway intersections or taxiways of great length.

However, the opportunity has been taken to amend all relevant Overseas Territories Aviation

Requirements (OTARs) to reflect Amendment 10 to Annex 14 Volume 1 and Amendment 4 to

Annex 14 Volume 2, which will become effective November 2009.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review/rewrite OTAR 139 (Certification of

Aerodromes), OTAR 140 (Rescue and Fire Fighting

Services Approval), OTAR 77 (Activities Affecting

Airspace) and OTAR 1

(Definitions, Abbreviations and Units of

Measurement).

ASSI Completed 31 July 2009

Publish OTARs for consultation.

ASSI Completed

31 August 2009

Review the need for additional or amended technical

procedures and guidance material.

ASSI 31 March 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Publish OTARs.

ASSI 31 March 2010

Publish changes to Technical Procedure and

Guidance Material as necessary.

ASSI 31 July 2010


Montserrat

Implement revised OTARs.

ASSI 31 August 2010

Bermuda DCA (BDCA)













designated OTAAs have implemented the revised

OTARs.

ASSI 31 March 2012


APPENDIX 3B-8-5






finding.



This is a complex issue, since the systems are generally different in the different Territories.

NOTE: Within the Bermuda DCA the present system is satisfactory since one approved company

handles the whole process from survey through AIP publication.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review present system in the Territories.

ASSI Completed by

31 December 2009

Complete:

For Anguilla, British Virgin Islands and

Montserrat, survey to ICAO standards are performed

by the same company. Survey data are supplied by

said company in the form of a printed report and a

CD Rom to both the aerodrome operator and the AIS

provider.

For the Cayman Islands, the situation is identical to

Bermuda.

For the Falkland Islands, survey data is mainly

produced by the UK Ministry of Defence.

For the Turks and Caicos Islands, one approved

company provides survey, or quality assurance on

survey done by a third party, and also produce the

AIP.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Produce guidance material.



Montserrat

Ensure implementation of satisfactory quality system.












designated OTAAs have implemented a satisfactory

quality system.

ASSI 30 June 2013


APPENDIX 3B-8-6






finding.


The UK agrees with this finding. The UK agrees with the intent of the recommendation but can accept

an alternative method which produces an equivalent level of safety if it proves not possible to

certificate Little Cayman aerodrome. The sole commercial air transport operator into this aerodrome

does so on the basis of an exemption, issued by CAACI, which includes conditions to mitigate risk.

This finding and recommendation relates only to the Cayman Islands.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

A regulatory review is being conducted to feed into

the final decision on Little Cayman Aerodrome.

CAACI 31 January 2010

The CAACI will require the current commercial air

transport operator to accept responsibility for

ensuring compliance with the regulatory requirements

for the aerodrome where possible and in areas where

this proves not possible will oversee the operator‘s

compliance with an accepted safety case or

aeronautical study.



APPENDIX 3B-8-7






finding.



NOTE: This is not applicable in Montserrat since RESAs are not required according to Overseas

Territories Aviation Requirement (OTAR) 139.D.17(a) for Code 1 and 2, non-instrument runways.

The same is valid for several aerodromes also in the British Virgin Islands and the Turks and Caicos

Islands.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct survey of the situation in other Territories.


Anguilla: RESAs are available, but require a change

to declared distances. Aerodrome data to be updated

by NOTAM/AIP.

NOTE: Declared distances published by Notam

23 July 2009.


British Virgin Islands (BVI): Terrence B. Lettsome

International Airport, RESAs are available but not

declared. Aerodrome data to be updated by

NOTAM/AIP.

ASSI 31 March 2010

Bermuda DCA (BDCA)

RESAs will be provided and published. BDCA 31 July 2010






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


RESA data to be published, except for two runway

ends, which need to be handled as deviations.

CAACI 30 June 2010


Will be handled in the certification process.

FICAD 30 June 2010


RESAs are available at all Code 3 and 4 runways and

are/will be declared by NOTAM or AIP.

NOTE: RESAs where required are provided and

declared in the AIP amendment 1-09, except for

MBAC (Ambergris Cay), where it is provided and

will be declared in AIP amendment 1-10.

TCICAA Completed

31 December 2009

ASSI to include in the periodic assessment a review

of RESAs.

ASSI 30 June 2011


APPENDIX 3B-8-8






finding.



From the survey of the situation in all of the Territories, it is only Bermuda that this finding and

recommendation relates to.

This is not applicable in Anguilla and Montserrat due to distance from aerodrome to water.

In the British Virgin Islands, arrangements are in place including stationing of a fire and rescue boat

for Terrence B. Lettsome and Virgin Gorda aerodromes. Not applicable to Anegada due to distance

from water.

Not applicable to Stanley Airport, Falkland Islands due to distance from water.

In the Cayman Islands arrangements are in place including stationing of a fire and rescue boat for the

two certified aerodromes.

In Turks & Caicos Islands (TCI) coverage is provided at Ambergris Cay aerodrome. For the

remaining aerodromes in the TCI, it is not applicable either due to distance from water or the terrain

between the runway ends and water would preclude aircraft overrunning the runway end safety areas

from reaching the water. The overrun scenario is considered to be the greatest hazard and the one

which needs to be considered.

All the Islands have a developed marine rescue service which would handle ditching.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Conduct survey of similar situations in other

Territories (see information above).


British Virgin Islands

Where appropriate:

a) Ensure that appropriate training, inspection and

testing programs are established and implemented

b) Ensure that the Emergency Plan is amended to

take account of the new capability


Bermuda DCA (BDCA)

a) Ensure that an appropriate vessel is acquired. BDCA 30 June 2010

b) Ensure that appropriate training, inspection and


31 January 2011

c) Ensure that the Emergency Plan is amended to


31 January 2011

Cayman Islands (CAACI)

Where appropriate:





CAACI 31 January 2011

Turks & Caicos Islands (TCICAA)

Where appropriate:





TCICAA 31 January 2011


APPENDIX 3B-8-9






finding.




ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Review Policy 41 - Exemptions and Deviations

(Addresses the justification, PQ 8.373).

ASSI 31 March 2010

Publish guidance material to technical staff on

evaluation of risk assessment and aeronautical

studies, ref PQ 8.375.

ASSI 31 March 2010


Montserrat

Implement ASSI policy and procedures for the

Territories mentioned above.


Bermuda DCA (BDCA)

Implement ASSI policy and procedures or

review/develop and implement own as applicable.







ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)














designated OTAAs have implemented the revised

policy and guidance material.

ASSI 31 March 2012

— — — — — — — —


APPENDIX 3 C:

THE UK CROWN

DEPENDENCIES AND

GIBRALTAR

GLOSSARY

GrDCA Gibraltar Director of Civil Aviation

GyDCA Guernsey Director of Civil Aviation

IoM CAA Isle of Man Civil Aviation Authority

IoM DTI Isle of Man Department for Transport and Industry

JDCA Jersey Director of Civil Aviation

CAAI UK Civil Aviation Authority — CAA International

DfT AD UK Department for Transport — Aviation Directorate

UK MOJ UK Ministry of Justice

APPENDIX 3C-1-1





Please refer to Appendix 1C-1-01 of this report for the text of the finding and recommendations along


finding.


The UK agrees with the finding and recommendation.

The UK Department for Transport does not consider that this finding is applicable to the Channels

Islands or Gibraltar as they do not have aircraft registers.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Draft an amendment to the Air Navigation (Isle of

Man) Order 2007 (ANO) to detail the content of a

‘Technical log’ which will contain the items required

in the ICAO ‘journey log’.

IoM CAA 31 March 2010


Man) Order 2007 Article 48 Documents to be carried

to include the need to carry the ‘Technical log’ and

passenger manifest on the aircraft when conducting

international air navigation.


Submit the draft legislation to the United Kingdom

Government with a request that it be made for

commencement in November 2010.

IoM DTI 30 June 2010

APPENDIX 3C-1-1 (CONT.)





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Approve draft legislation and submit to Privy Council

to be made.

UK MOJ 1 September 2010

Inform all aircraft registered owners and operators of

the date the new requirement will come into effect.

IoM CAA 31 May 2010

Require confirmation from all aircraft owners and

operators that they are compliant with the new

requirements.

IoM CAA 31 October 2010

APPENDIX 3C-1-2







finding.



The UK Department for Transport considers that this finding also applies to Gibraltar and the

Bailiwick of Guernsey.

While Gibraltar has established requirements, in the form of Director of Civil Aviation Policy

Document 3 with respect to the specific units of measurement to be used in air and ground operations

in accordance with ICAO Annex 5, the requirements should be formally promulgated as a Directive.

The Guernsey requirements regarding units of measurement in conformance with Annex 5 have been

prepared and are waiting to be published and promulgated by the DCA.

The Jersey DCA has already published and promulgated requirements regarding units of measurement

in conformance with Annex 5. Doc Ref JDCAP-03: http://www.gov.je/NR/rdonlyres/F06666A1-

6769-4FA1-8E94-B7C486482CD3/0/JDCAP03_UnitsofMeasurement.pdf


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Monitor the deliberations being made by the United

Kingdom into how they will propose closing this

issue.

IoM CAA 28 February 2010

When the decision has been made by the UK, make

arrangements to adopt the legislation (UK or EU) into

Isle of Man law.

IoM CAA 31 December 2010


Government with a request that it is made for

commencement in [May 2011].

IoM DTI 31 December 2011






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Gibraltar

Re-issue Gibraltar Director of Civil Aviation Policy

Document 3 — Measurement Compliance as a

Directive made under Section 17(1) of the Civil

Aviation Act 2009 and publish it on the DCA’s

website.

GrDCA Completed 29 May 2009

DCA Direction 01

Guernsey

Publish and promulgate the Units of Measurement to

be used in the Bailiwick of Guernsey

GyDCA 31 March 2010

http://www.gibraltar.gov.gi/gov_depts/civil_aviation/DCA_Direction%2001_Measurement_Compliance.pdf

APPENDIX 3C-2



INTENTIONALLY

LEFT

BLANK

APPENDIX 3C-3



INTENTIONALLY

LEFT

BLANK

APPENDIX 3C-4



INTENTIONALLY

LEFT

BLANK

APPENDIX 3C-5-1






finding.



The UK Department for Transport does not consider that this finding is applicable to the Bailiwicks of

Guernsey and Jersey or to Gibraltar as they do not have aircraft registers.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Review the equipment requirements contained in

current editions of Annex 6 Part II and Part III to

identify any equipment related SARPS not addressed

by current requirements.

IoM CAA Completed

December 2009

Draft a proposal to change the Air Navigation (Isle of

Man) Order 2007 (ANO) Schedule 3 and 4 to

implement the equipment related SARPs of the

current editions of Annex 6 Parts II & III.




commencement in November 2010.



to be made.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)


the date the new requirement will come into effect.

IoM CAA 31 May 2010

Require confirmation from all aircraft owners and

operators that they are compliant with the new

legislation.


APPENDIX 3C-5-2






finding.


The UK agrees with this finding and but not the recommendation. The IoM will develop and

promulgate its own requirements.

The UK Department for Transport does not consider that this finding is applicable to the Bailiwicks of

Guernsey and Jersey or to Gibraltar as they do not have aircraft registers.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man


Man) Order 2007 (ANO) to require that human

factors principles be followed in the design and

application of maintenance programmes.




commencement in May 2010.



to be made.


Amend Registry Publication 11 (RP 11) which

industry must use when designing their maintenance

programme.

IoM CAA 31 May 2010


the date the new requirement will come into effect

and require they submit a new RP 11 for our

approval.

IoM CAA 31 May 2010

APPENDIX 3C-5-3






finding.



The UK Department for Transport considers that this finding is applicable to the Bailiwicks of

Guernsey and Jersey and to Gibraltar. EC legislation relating to the SAFA Programme will become

applicable in Gibraltar once the Cordoba Agreement has been implemented.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Develop a procedure for the ramp checking of visiting

aircraft to the Isle of Man. The procedure will be

based upon the European SAFA procedure.

IoM CAA Completed

November 2009

Establish a policy for the number of visiting aircraft

to be sampled and the process to reconfirm the

sample size

IoM CAA Completed

November 2009

Initiate audit program in accordance with the

procedure and policy.

IoM CAA Completed

December 2009

Gibraltar

Develop procedures to establish the conduct of the

SAFA inspections. The procedure will be based upon

the European SAFA procedure.

GrDCA 31 March 2010

Establish a Policy for determining an appropriate

number of ramp inspections to conduct on foreign

registered aircraft.

GrDCA 31 March 2010





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Nominate appropriate person to act as SAFA

Inspector and, if necessary, attend a recognised SAFA

training course to qualify to conduct inspections in

accordance with the EU SAFA programme.

GrDCA 31 December 2010

Initiate inspection program in accordance with the


GrDCA 30 June 2011

Guernsey

Develop a procedure for the ramp inspection of

visiting aircraft to Jersey. The Procedure will be

based upon the European SAFA Procedure.

GyDCA 30 June 2010

Initiate inspection programme in accordance with the


GyDCA 30 June 2010

Jersey

Develop a procedure for the ramp inspection of

visiting aircraft to Jersey. The Procedure will be

based upon the European SAFA Procedure.

JDCA 30 June 2010

Initiate inspection programme in accordance with the


JDCA 30 June 2010

APPENDIX 3C-6



INTENTIONALLY

LEFT

BLANK

APPENDIX 3C-7-1






finding.



The IoM CAA has contracted with CAA International for audits which will start and complete with

meetings between the auditors and the IoM CAA. The IoM CAA will ensure that the findings and

their associated actions are closed by the agreed timescales and will forward details of the closure

actions to the auditors seeking confirmation that the action adequately addresses the finding.

The UK Department for Transport considers that this finding is not applicable to Gibraltar where an

annual audit of the ATC unit is already required by the civil authority. The last audit taking place in

November 2008. The other issues are currently the responsibility of the UK military authorities and

subject to the requirements of the relevant Joint Service Publications.

The UK Department for Transport considers that this finding is applicable to the Bailiwicks of

Guernsey and Jersey.

The Guernsey DCA has a contract with CAA International for the provision of advice and support and

safety oversight audits in the areas of ATS (including CNS). AIS and Charts are expected to be

covered through a MoU with CAA (DAP) (awaiting co-ordination with DfT). A combined audit of

the provision of MET services in Guernsey and Jersey as a combined audit arranged through CAA

International is proposed.

Air navigation services at Jersey are subject to CAA SRG oversight on an 18 month cycle to assure

compliance with EC 2096/2005 (The European Common Requirements).

The Jersey DCA has a contract with CAA International for the provision of advice and support and

safety oversight audits in the areas of ATS (including CNS). AIS and Charts are expected to be

covered through a MoU with CAA (DAP) (awaiting co-ordination with DfT). A combined audit of

the provision of MET services in Guernsey and Jersey as a combined audit arranged through CAA

International is proposed.





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Initial audit of MET at Ronaldsway by the UK

Meteorological Office on behalf of IoM CAA.

IoM CAA Completed August 2009

Initial audit of ATS/CNS at Ronaldsway by CAA

International on behalf of IoM CAA.

IoM CAA Completed

November 2009

Ensure that all actions, to address audit findings, are

closed by the agreed timescales. (Aerodrome

Regulatory Manual, page 25 refers)


Guernsey

Arrange for CAA International to conduct an audit of

the MET service provision in Guernsey.

GyDCA Completed 25 June 2009

Establish timetable for addressing audit findings in

accordance with established procedures

GyDCA 28 February 2010

Enter into arrangements with CAA for the provision

of regulatory oversight of AIS and Maps and Charts.


DCA to identify any areas of training required by him

to carry out his safety regulatory function effectively

and to develop a training plan to meet any identified

training needs.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Jersey

Arrange for CAA International to conduct an audit of

the MET service provision in Jersey.

JDCA Completed 26 June 2009

Establish timetable for addressing audit findings in

accordance with established procedures.

JDCA 28 February 2010

DCA to enter into arrangements with CAA for the

provision of regulatory oversight of AIS and Maps

and Charts.


Sign the letter of Agreement mandating the ANSP

oversight audit with CAA/DGAC.

JDCA 31 March 2010

DCA to identify any areas of training required by him

to carry out his safety regulatory function effectively

and to develop a training plan to meet any identified

training needs.


APPENDIX 3C-7-2






finding.


The UK agrees with the finding of the ICAO audit team. IoM Airport is in the process of constructing

a new control tower. The project started in August 2008 and the physical completion is due by the end

of 2009, and it is expected to go operational by April 2010. A system for the recording and retention

of ATS voice and surveillance data will be installed as part of this project. The project is currently on

time.

The Jersey and Guernsey DCA agrees with the finding. However, although there is no requirement,

all radar surveillance data used by Jersey and Guernsey ATS is recorded along with the voice data.

The UK Department for Transport considers that this finding is not applicable to Gibraltar. The ATC

provision at Gibraltar Airport is the responsibility of the UK military authorities and subject to the

requirements of the relevant Joint Service Publications.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Approve the ATS safety case for the new control

tower, including the need for the recording

equipment.


Ensure the contractor supplying and installing the

equipment in the new control tower uses the safety

case as the basis for their work.


Contract CAA International to undertake a pre

operational audit the new control tower including

confirmation of the recording and retention of ATS

surveillance data.

IoM CAA Completed

December 2009

Approve the new control tower, including the

recording system.

IoM CAA 31 May 2010





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Guernsey

Issue legal Direction to the airport authority requiring

them to record radar surveillance data.

GyDCA 31 March 2010

Revise ATS oversight procedures to include

monitoring of compliance with requirement to record

radar surveillance data

GyDCA 31 March 2010

Jersey

Issue legal Direction to the airport authority requiring

them to record the relevant surveillance data.

JDCA 31 March 2010

Revise ATS oversight procedures to include

monitoring of compliance with requirement to record

radar surveillance data

JDCA 31 March 2010

APPENDIX 3C-7-3






finding.



The Isle of Man Airport is in the process of constructing a new control tower. The project started in

August 2008 and the physical completion is due by the end of 2009, and it is expected to go

operational by April 2010. The project is currently on time. A system to ensure that ATC contingency

procedures are established for STCA and MSAW will be installed as part of this project.

The UK Department for Transport does not consider that this matter is applicable to the Bailiwicks of

Guernsey and Jersey or Gibraltar.

The ATC provision at Gibraltar Airport is the responsibility of the UK military authorities and subject

to the requirements of the relevant Joint Service Publications.

The Guernsey DCA notes that while STCA is available in Guernsey it is not used due to the nature of

airspace management and in accordance with normal procedures around aerodromes. Alternative

procedures to minimise potential conflicts exist and are promulgated in the Guernsey Airport’s

Manual of Air Traffic Services (MATS) part 2 which has been approved by the DCA. The current

radar does not offer MSAW. Guernsey and Alderney Airports are built on the highest point of the

islands and there is no higher ground in the area.

The Jersey DCA notes that STCA is used by Jersey ATC throughout the Class A Airspace of the

Channel Islands Control Zone – Area of Responsibility and within Jersey Channel Islands Control

Zone Area of Interest. STCA is not used within the Class D sections notified as Jersey, Guernsey and

Alderney CTRs in accordance with normal procedures around aerodromes. STCA regions and

procedures are detailed within the Jersey MATS Part 2 which is approved by the DCA. The current

radar and associated radar systems do not offer MSAW.





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Contract CAA International to undertake a pre

operational audit the new control tower, including

confirmation of the contingency procedures.

IoM CAA Completed

December 2009

Conduct the pre operational audit the new control

tower, including confirmation of the contingency

procedures, and close all findings


Approve the new control tower, including the

contingency procedures.

IoM CAA 31 May 2010

APPENDIX 3C-7-4






finding.



The UK Department for Transport does not consider that this finding is applicable to Gibraltar. The

ATC provision at Gibraltar Airport is the responsibility of the UK military authorities and subject to

the requirements of the relevant Joint Service Publications.. However, the current Air Traffic Service

in Gibraltar is provided under contract by National Air Traffic Services and their SMS has been

approved by the UK CAA and the Gibraltar DCA.

The UK Department for Transport considers that this finding is applicable to Bailiwicks of Guernsey

and Jersey.

The Guernsey DCA accepts the finding of the ICAO audit team. Schedule 2 of the Aviation

(Bailiwick of Guernsey) Law 2008 in indicates the UK CAPs applicable in the Bailiwick of Guernsey.

These include CAP 670 which makes the operation of an effective SMS an obligation. However, the

Guernsey ATS SMS is still in the process of implementation and has not yet been formally approved.

A process for monitoring the SMS once it is implemented is being developed

The Jersey DCA accepts the finding of the ICAO audit team. The Air Navigation (Jersey) Order 2008

Art 137B mandates the DCA to issue requirements for aviation safety. A requirement has been issued

(JDCAP-01 rev 3.0 15/11/08) which obligates the service provider to comply with CAP670 (among

others) and operate an effective SMS an obligation.

Jersey Airport has been certified as an Air Navigation Service Provider in accordance with

EC directive 2096/2005. Jersey ATS SMS has been implemented and was audited for suitability by

UK CAA in Oct 2008. The SMS is subject to a regular internal audit programme and external audits

by CAA International are contracted on an 18 month cycle. SMS performance is also monitored on an

ongoing basis through metrics such as incident report frequency, investigation closure and safety

culture dip tests. Performance monitoring of the SMS is also conducted by the Jersey Airport safety

compliance manager.





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Contract CAA International to review the safety

management system and make appropriate

recommendations.

IoM CAA Completed

September 2009

Contract CAA International to advice on the

acceptable level of safety typical for this size of ATS.

IoM CAA Completed

September 2009

Receive CAA International review of the safety

management system and address any

recommendations


Approve ATS SMS, including the acceptable level of

safety.


Contract CAA International to audit the safety level

as part of the on-going oversight function


Guernsey

Require date for implementation of ATS SMS.

GyDCA 30 April 2010

Review and approve ATS SMS once it is established.

.

GyDCA 31 May 2010

Establish a process for monitoring and oversight of

the SMS.

GyDCA 31 March 2010

Jersey

Sign a letter of Agreement with the UK CAA and

French DGAC mandating an ANSP oversight audit

programme.

JDCA 31 March 2010

APPENDIX 3C-7-5






finding.



The UK Department for Transport does not consider that this finding is applicable to Gibraltar. The

ANS provision at Gibraltar Airport is the responsibility of the UK military authorities and subject to

the requirements of the relevant Joint Service Publications.

The Department for Transport considers that this finding is applicable to Bailiwicks of Guernsey and

Jersey.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Monitor the deliberations being made by the United

Kingdom into how they will propose to address this

issue.


When the decision has been made by the UK, make

arrangements to adopt the UK measures to ensure the

UK and IoM systems align.


Guernsey

Enter into arrangements with CAA International for

the provision of regulatory oversight of AIS.


Commence oversight audits of AIS provision in

Guernsey under contract with CAA international.

GyDCA 30 April 2010





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Jersey

Enter into arrangements with CAA International for

the provision of regulatory oversight of AIS.


Commence oversight audits of AIS provision in

Jersey under contract with CAA international.

JDCA 30 April 2010

APPENDIX 3C-7-6






finding.



The Department for Transport considers that this finding is applicable to Bailiwick of Guernsey. The

finding is not to applicable to Jersey. An agreement (signed 19/04/2007) has been in place between

the Jersey Meteorological Department and Jersey Airport (ATS provider) and the Jersey

Meteorological Authority since 1st January 2007. Nor is the finding applicable to Gibraltar. The ATC

and MET service at Gibraltar Airport is provided by the UK military authorities and subject to the

requirements of the relevant Joint Service Publications.

The Guernsey DCA accepts this finding. Both Met and ATS services are provided by the Airport

Operator as internal services. Nonetheless there is considered some merit in establishing a formal

agreement, encapsulating the provisions of MET services laid out in the Airport’s Manual of Air

Traffic Services.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Require the establishment of a system of calibration

for MET equipment as part of quality management

detailed in UK CAA CAP 782.

IoM CAA Completed July 2009

Require a revision to the existing LoA dated 6/3/9 to

include the calibration of MET equipment


Establish requirements for the calibration of MET

equipment


Use the services of the UK MET Office as part of the

planned audit for early August 2009 to confirm the

calibration process is satisfactory

IoM CAA Completed

18 August 2009





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Guernsey

Assess the existing service level agreement between

the Airport authority and the MET service provider at

Guernsey is adequate to ensure the calibration of

MET equipment.

GyDCA 31 March 2010


equipment.

GyDCA 31 March 2010

Jersey

Assess the existing service level agreement between

the Airport authority and the MET service provider at

Jersey is adequate to ensure the calibration of MET

equipment.

JDCA 31 March 2010


equipment.

JDCA 31 March 2010


APPENDIX 3C-7-7






finding.



The UK Department for Transport considers that this finding is applicable to Bailiwicks of Guernsey

and Jersey. The finding is not applicable to Gibraltar. The MET provision at Gibraltar Airport is

provided by the UK military authorities and subject to the requirements of the relevant Joint Service

Publications.

The Guernsey DCA accepts the finding of the ICAO audit team. No such formal quality control

system is currently in place. A study into the provision of a quality control system will now be

commenced with a view to implementing one as soon as operational resources permit.

The Jersey DCA accepts this finding. However, while there is no requirement for a Quality

Management System the service provider introduced one in 2008 in line with ICAO Annex 3 was and

it was certified to ISO9000:2001 standard on the 27th June 2008.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Require airport operator to establish a quality system

in accordance with UK CAA CAP 746

Meteorological Observations at Aerodromes.

IoM CAA Completed April 2009.

Contract the UK MET Office, as part of the planned

audit for early August 2009, to assess the quality

system.






ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Guernsey

Direct Guernsey Airport Authority requiring the MET

service to have a quality system meeting the

requirements of Annex 3 by the end of June 2010.

GyDCA 30 September 2009

Review and approve MET office QMS.

GyDCA 30 June 2010

Jersey

Direct MET service provider to establish a QMS JDCA 31 March 2010

Review and approve MET office QMS. JDCA 30 June 2010

APPENDIX 3C-7-8






finding.



The IoM CAA has no plans to publish its own AIP, and intends to implement formal arrangements for

relevant information to be included in the UK AIP

The UK Department for Transport considers that this finding is applicable to Gibraltar and the

Bailiwicks of Guernsey and Jersey.

The Guernsey and Jersey DCAs accepts this finding. Arrangements are being made to formalise the

inclusion information relating to Guernsey and Jersey within the UK. A review of AIP information is

being undertaken and changes will be made where necessary.

The Gibraltar DCA accepts this finding. Information on Gibraltar’s only airport, which is a UK

Government airfield, appears in the UK Military AIP. However, not all the information contained in

the UK Military AIP is applicable to Gibraltar and some information pertaining to Gibraltar is not

included.


ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Require the IoM airport to review the UK AIP for

applicability and any unique IoM omissions.

IoM CAA Completed

November 2009

The applicable items and any unique omissions will

be forwarded to the UK DfT.

IoM CAA Completed

December 2009





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Liaise with UK DfT to formalise the inclusion of the

information in the UK AIP

IoM CAA Completed January 2010

Arrange for the publication of comprehensive Isle of

Man information in the UK AIP

DfT AD 30 November 2010

Guernsey

Direct the Guernsey Airport Authority to liaise with

DCA to ensure airport AIP entry is as up to date as

possible

GyDCA 31 March 2010

Review the UK AIP to determine accuracy of

information relating to Guernsey and to identify any

additional information needed.

GyDCA 31 March 2010


information in the UK AIP.

GyDCA 31 May 2010

Review and agree revised entries in the UK AIP prior

to publication

GyDCA 30 June 2010

Arrange for the publication of comprehensive

Guernsey information in the UK AIP


Gibraltar

Establish the differences between the information

contained in the UK AIP General and En-Route

Sections and the information pertaining to Gibraltar.

GrDCA 30 June 2010

Discuss with the UK Ministry of Defence (MOD) the

best way forward to present the information on the

Airfield.

GrDCA 30 June 2010





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Contract an AIP provider to produce and publish a

Gibraltar AIP or reach an agreement with the UK DfT

to include information regarding Gibraltar within the

UK AIP.

GrDCA 30 June 2010

Publication of the new AIP or arrange for the

publication of comprehensive Gibraltar information

in the UK AIP.

GrDCA or

DfT AD

31 Dec 2010

Jersey

Direct the Jersey Airport Authority to liaise with

DCA to ensure airport AIP entry is as up to date as

possible.

JDCA 31 March 2010

Review the UK AIP for to determine accuracy of

information relating to Jersey and to identify any

additional information needed.

JDCA 31 March 2010



JDCA 30 June 2010

Review and agreed revised entries in the UK AIP

prior to publication.

JDCA 30 June 2010

Arrange for the publication of comprehensive Jersey



APPENDIX 3C-8-1






finding.



The Isle of Man CAA notes that the barrier in the area of the terminal and aircraft apron is illuminated

indirectly by the apron flood lighting system. In the light of the threat to aircraft, this is considered to

meet the minimum essential level.

The UK Department for Transport has determined that this recommendation applies to Bailiwicks

Guernsey and Jersey. The finding is not applicable to Gibraltar.

The Guernsey DCA partially accepts the finding of the ICAO audit team. Local aviation security

legislation puts responsibility for aviation security on the airport operator. However, the DCA ensures

that when the Airport plans changes to security items that may impact on Annex 14 compliance, such

changes will be made to ensure compliance with Annex 14. A Memorandum of Understanding

between DfT and the airport operator governing aviation security arrangements has been drafted.

The Jersey DCA partially accepts the finding of the ICAO audit team. The installation of the new

security fence scheduled for completion Sept 2009, has been specified in accordance with the

requirements defined by DfT TRANSEC and Annex 14 (as interpreted in CAP168). A Memorandum

of Understanding on Aviation Security between the States of Jersey and the Department for Transport

has been agreed. It not considered that the aerodrome regulator has any authority in respect of aviation

security matters other than those that directly involve the ANSP. The airport director is responsible

for aviation security under the Aviation Security (Jersey) Order 1993. The DfT provides regulatory

oversight for security matters.





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Obtain confirmation from IoM Airport that during the

planning for the Airport Runway Project (ARP) and

the new control tower, the design met the UK

standard for security measures.

IoM CAA Completed October 2009

Ensure that IoM Airport makes a proposal to the IoM

Government to request additional funds to upgrade

the aerodrome boundary fencing to meet the UK

security standard for this size of aerodrome.

IoM CAA Completed

November 2009

Ensure that IoM Airport will enter into contract with

an organisation to install fencing that meets the UK

security standard for this size of aerodrome.

IoM CAA Completed

December 2009

Ensure that IoM Airport complete the installation of

the aerodrome boundary fencing.


Guernsey

Direct Guernsey Airport Authority to ensure that

Annex 14 requirements are complied with when

making changes to security arrangements at the

airport

GyDCA 31 March 2010

Revise aerodrome oversight procedures to include

additional monitoring of compliance when security

arrangements are changed

GyDCA 31 October 2010

Jersey

Direct Jersey Airport Authority to ensure that Annex

14 requirements are complied with when making

changes to security arrangements at the airport

JDCA 31 March 2010


additional monitoring of compliance when security

arrangements are changed

JDCA 31 October 2010

APPENDIX 3C-8-2






finding.



The UK Department for Transport has determined that this recommendation applies to the Bailiwicks

of Guernsey and Jersey and to Gibraltar

The Guernsey DCA accepts the finding of the ICAO audit team. Appropriate and acceptable

procedures are already in place at Guernsey but there is no legal requirement. Fire extinguishing

equipment and trained personnel are available to attend during ground servicing of aircraft in the

event of an incident during aerodrome operating hours. Emergency call points are established adjacent

to aircraft stands, and the overall apron is under ATC management with usual emergency call

processes. Direction notices prevent ground running of aircraft at night, all aircraft movements by

companies must be conducted with tugs overnight. Apron fire points exist which can be used by

company trained personnel after airport close.

The Jersey DCA accepts the finding of the ICAO audit team. Appropriate and acceptable procedures

are already in place at Jersey but there is no legal requirement. Fire extinguishing equipment and

trained personnel are available to attend during ground servicing of aircraft in the event of an incident

during aerodrome operating hours. Emergency call points are established adjacent to aircraft stands,

and the overall apron is under ATC management with usual emergency call processes. Operational

Procedures prevent ground running of aircraft at night. No aircraft movements allowed overnight.

The Gibraltar DCA accepts the finding of the ICAO audit team. Current practice and risk analysis has

concluded that risk is best met by calling out the RFF service, which is available on a 24 hr basis

365 days per year. However, the handling agent is in the process of training his personnel in the use of

first aid fire fighting equipment and it is his intention to deploy such equipment whenever ground

servicing takes place on the stands.





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Isle of Man

Require IoM Airport to establish policy and

procedures in the Aerodrome Manual to ensure that

fire extinguishing equipment is available during

ground servicing of aircraft and that ground personnel

are trained in its use.


Review and approve revised Aerodrome Manual


Arrange for CAA International to sample audit the

application of the procedure as part of the on going

oversight function.


Guernsey

Issue a direction to Guernsey Airport to ensure there

is an appropriate mechanism to ensure fire

extinguishing equipment and trained personnel are

available during servicing of aircraft at the stand is in

place at Guernsey Airport.

GyDCA 31 March 2010


monitoring of compliance with stand fire fighting

requirements.

GyDCA 31 March 2010

Jersey

Issue a direction to Jersey Airport to ensure there is

an appropriate mechanism to ensure fire

extinguishing equipment and trained personnel are

available during servicing of aircraft at the stand is in

place at Jersey Airport.

JDCA 31 March 2010


monitoring of compliance with stand fire fighting

requirements.

JDCA 31 March 2010





ACTION

OFFICE

ESTIMATED

IMPLEMENTATION

DATE(S)

Gibraltar

Issue a direction to Gibraltar Airport requiring

them to ensure there is an appropriate mechanism

to ensure fire extinguishing equipment and trained

personnel are available during servicing of aircraft

at the stand is in place at Gibraltar Airport

GrDCA Complete 2 December 2009 –

http://www.gibraltar.gov.gi/civil-

aviation/217-directions-notices-

policies-and-procedures.

Include check on implementation of the

requirement during the annual audit programme of

the ground handling company.

GrDCA 31 December 2010

— END —

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