South Africa Final Report · - 3 - Final Safety Oversight Audit Report — South Africa April 2008...

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ICAO Universal Safety Oversight Audit Programme FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT OF THE CIVIL AVIATION SYSTEM OF THE REPUBLIC OF SOUTH AFRICA (5 to 16 July 2007) International Civil Aviation Organization

Transcript of South Africa Final Report · - 3 - Final Safety Oversight Audit Report — South Africa April 2008...

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ICAO Universal Safety Oversight Audit Programme

FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT

OF THE CIVIL AVIATION SYSTEM

OF THE REPUBLIC OF SOUTH AFRICA

(5 to 16 July 2007)

International Civil Aviation Organization

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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 Critical element 1 — Primary aviation legislation ................................................................. 3 3.2 Critical element 2 — Specific operating regulations ............................................................. 5 3.3 Critical element 3 — State civil aviation system and safety oversight functions ................... 8 3.4 Critical element 4 — Technical personnel qualification and training .................................. 10 3.5 Critical element 5 — Technical guidance, tools and the provision of safety critical information .......................................................................................................................... 12 3.6 Critical element 6 — Licensing, certification, authorization and/or approval obligations ... 13 3.7 Critical element 7 — Surveillance obligations .................................................................... 15 3.8 Critical element 8 — Resolution of safety concerns ............................................................ 16

4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS ....................................................... 17 5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ........................................ 18 6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ) ............................................. 18 7. COMPLIANCE CHECKLISTS (CCs) .................................................................................... 18 8. FOLLOW-UP ACTION ............................................................................................................ 19 APPENDICES

1 — Audit findings and recommendations 1-1 Findings and recommendations related to primary aviation legislation and civil aviation

regulations 1-2 Findings and recommendations related to civil aviation organization 1-3 Findings and recommendations related to personnel licensing and training 1-4 Findings and recommendations related to aircraft operations certification and supervision 1-5 Findings and recommendations related to airworthiness of aircraft 1-6 Findings and recommendations related to aircraft accident and incident investigation 1-7 Findings and recommendations related to air navigation services 1-8 Findings and recommendations related to aerodromes

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

3 — Corrective action plan proposed by South Africa

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Final Safety Oversight Audit Report — South Africa April 2008

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Final Report on the Safety Oversight Audit of the Civil Aviation System of South Africa

(5 to 16 July 2007)

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 (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: Mrs. RoseMarie Heftberger, team leader, primary aviation legislation (LEG)/civil aviation organization (ORG)/airworthiness of aircraft (AIR); Mr. Amal Hewawasam, team member, on-the-job training (OJT)/AIR; Mr. Duncan Monaco, team member, personnel licensing (PEL)/aircraft operations (OPS); Mr. Nicolas Rallo, team member, aircraft accident and incident investigation (AIG); Mr. Prosper Zo’o Minto’o, team member , air navigation services (ANS); and Mr. Kim Nguyen, team member, aerodromes (AGA).

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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 South Africa was carried out from 5 to 16 July 2007 in accordance with the standard auditing procedures provided for in ICAO Doc 9735 — Safety Oversight Audit Manual and the Memorandum of Understanding (MOU) agreed to between South Africa 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 South Africa in implementing these provisions. 2.3 The audit team reviewed the SAAQ and the CCs submitted by South Africa 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 South Africa to assist it in fulfilling its safety oversight obligations. 2.4 The audit results including the findings and recommendations contained in this report reflect the capabilities and limitations of the civil aviation system of South Africa as assessed by the audit team. They are thus based on evidence gathered during interviews by the audit team with South Africa’s technical experts and background information provided by such personnel, review and analysis of civil aviation legislation, specific regulations, 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.

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3. AUDIT RESULTS 3.1 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.”

3.1.1 South Africa’s civil aviation system is based on the Constitution of the Republic of South Africa (1996). The legal framework in place consists mainly of the following primary aviation legislation enacted by Parliament and by presidential assent:

• The Aviation Act, No. 74 of 1962 (known hereafter as the Aviation Act), last amended in 2002;

• The South African Civil Aviation Authority Act, No. 40 of 1998, last amended in 2004; • The Air Services Licensing Act, No. 115 of 1990, last amended 1998; • The Air Traffic and Navigation Services Company Act, No. 45 of 1993, last amended

1996; • The Airports Company Act, No. 44 of 1993, last amended in 2001; • The South African Civil Aviation Authority Levies Act, No. 41 of 1998; • The International Air Services Act, No. 60 of 1993, last amended in 1998; • The South African Weather Service Act, No. 8 of 2001; • The South African Maritime and Aeronautical Search and Rescue Act, No. 44 of 2002; • The South African Civil Aviation Offences Act, No. 10 of 1972, last amended in 1981;

and • The Convention on the International Recognition of Rights in Aircraft Act, No. 59 of

1993. 3.1.2 The Aviation Act stipulates that the Minister of Transport shall be responsible for the carrying out the provisions of this Act and of the Convention on International Civil Aviation. It further empowers the Minister of Transport to make regulations and also requires the Minister of Transport to appoint an employee of the South African Civil Aviation Authority (SACAA) as “Commissioner for Civil Aviation” (hereinafter known as “The Commissioner”). Under this Act, the Commissioner may issue enforceable technical standards for civil aviation. The Commissioner may also designate one or more persons in the service of the SACAA to serve as inspectors or authorized officers. These inspectors and officers are provided with unlimited access to facilities, equipment and documentation for the purpose of monitoring compliance with any legislation administered by the SACAA. 3.1.3 The SACAA is governed and controlled by a Board consisting of not more than seven members appointed by the Minister of Transport and the Chief Executive Officer (CEO). The CEO appoints the employees who enable the SACAA to carry out its functions properly. 3.1.4 The South African Civil Aviation Authority Act, No. 40 of 1998 established the SACAA. Article 3 of the Act states that the objectives of the SACAA are “to control and regulate civil aviation in the Republic (of South Africa) and to oversee the functioning and development of the civil aviation industry, and in particular, to control, regulate and promote civil aviation safety and security.” 3.1.5 Within the SACAA, the responsibilities for the issuance of regulations and for safety oversight functions are delegated to the Commissioner and the CEO. Under the current legal framework, there is no clear

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delegation of authority to either of the two persons with regard to the development, issuance and revision of operating regulations. 3.1.6 The Aviation Act provides for the enforcement of the applicable legislation and regulations. It also authorizes the issuance, suspension and revocation of aviation documents (e.g. licences, certificates, authorizations and permits) in the various areas of civil aviation. Under this primary aviation legislation, inspectors are empowered to detain aircraft and to prohibit holders of aviation licences, certificates or documents from exercising their privileges for just cause. The delegation of authority from the SACAA to the level of its inspectors is provided through authorization letters, authorization books and credentials, all issued by the Commissioner. 3.1.7 South Africa ratified Article 83 bis to the Chicago Convention on 21 September 1998, but has not yet entered into any related agreements. The related legislation however does not provide for the recognition of certificates of airworthiness (C of As), radio licences and crew licences issued or validated by the State of the Operator for aircraft operating under an Article 83 bis agreement. Furthermore, South Africa has concluded an agreement with another Contracting State, but has not yet notified ICAO and other Contracting States concerned. 3.1.8 The requirements for and the process of issuing exemptions are addressed in Civil Aviation Regulations (CAR) Part 11 (“Rule Making and Granting of Exemptions”). According to the established procedure GP002, the Commissioner is entitled to issue exemptions in all areas. A list of exemptions is maintained and monitored by the Commissioner. 3.1.9 The amendment process for primary aviation legislation can take up to two years. The primary aviation legislation and the associated operating regulations are available to all users (in print) through the Government Gazette. In addition they can be purchased from the Publication Department of the SACAA. The SACAA also maintains a website at www.caa.co.za where relevant information about the civil aviation in South Africa can be found. 3.1.10 With respect to personnel licensing, the Aviation Act, Section 22, provides the legal basis for personnel licensing in South Africa. Section 22 (d) of the Act empowers the Minister to draw up regulations on the designation of aviation medical examiners, while Section 22 (f) concerns the designation of a body or institution “to exercise control over training courses specified in the regulations, over the tests or the verifications of skill or proficiency specified in the regulations and over the persons conducting such courses, tests or verifications.” 3.1.11 With respect to aircraft operations, the Aviation Act, Section 22, provides the legal framework for aircraft operations in South Africa. Section 22 (j) (i) empowers the Minister to draw up regulations regarding control over the transport of dangerous goods by air, including prohibition of such transport. Section 22 (m) (iii) provides for “the identification, the licensing or the certification of persons engaged in any civil aviation activity.” 3.1.12 In the airworthiness area, the Aviation Act, Section 22 (m) (ii), provides the legal basis for “the identification, the classification or the registration of aircraft.” Section 5 (5) empowers the State’s aircraft airworthiness and operations inspectors to access aircraft as well as all relevant facilities and documents. 3.1.13 With respect to air navigation services (ANS), the Aviation Act, (Section 22), the South African Civil Aviation Authority Act, No. 40 of 1998, the Air Traffic and Navigation Services Company Act, No. 45 of 1993, the South African Weather Service Act, No. 8 of 2001, and the South African Maritime and

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Aeronautical Search and Rescue Act, No. 44 of 2002 provide the legal framework for ANS in South Africa. Furthermore, South Africa has established and published, in the Aeronautical Information Publications (AIPs), regulations regarding the interception of civil aircraft above its territory in accordance with Article 3 bis of the Convention on International Civil Aviation. However, these regulations do not have all the necessary requirements to be in line with the latest ICAO Annex 2 provisions. South Africa has published significant differences between its CARs and the ICAO Standards. 3.1.14 In the area of aerodromes, the Aviation Act, Section 22, lays down aerodrome-related provisions such as the following:

a) the imposition of a prohibition or the regulation of the use of unlicensed aerodromes, b) the approval for the siting of any air navigation infrastructure which is not situated on an

aerodrome, c) the certification of categories of operations at aerodromes, d) the registers or the records to be kept at licensed aerodromes and the manner in which

they shall be kept, and e) the technical, operational, security and safety standards in respect of a company

aerodrome as defined in Section 1 of the Airports Company Act, No. 44 of 1993. Specifically, the Airports Company Act, No. 44 of 1993 provides for the establishment of a public company (i.e. the Airports Company of South Africa or ACSA) and the transfer of the State’s shares into this company in order to regulate certain activities at company airports and to provide for matters connected therewith.

3.1.15 With respect to aircraft accident and incident investigation, most of the related provisions are outlined in the CARs but the issue is also addressed in Sections 12 and 22 of the Aviation Act. Section 12 of the Aviation Act authorizes the Minister to appoint an “accident inquiry board” tasked with conducting “an investigation into the cause of and responsibility for the accident,” while Section 22 (i) empowers the Minister to make regulations regarding the reporting and investigation of aircraft accidents and incidents. Section 22 (h) empowers the Minister to designate a “body or institution” to “promote aviation safety or to reduce the risk of aircraft accidents or incidents” and “to advise the Commissioner on any matter connected with the promotion of aviation safety or the reduction of the risk of aircraft accidents or incidents.” While not stated in explicit terms, this provision is interpreted in the State as relating to the designation of a body in charge of aircraft accident and incident investigations (investigation authority). 3.2 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.”

3.2.1 The civil aviation regulations in South Africa are the CARs 1997 and the Air Navigation Regulations (ANRs) of 1976 which are related to pilot licensing, sporting aviation (including the designation of a body to regulate sporting aviation) and helicopter operations. They are complimented by the Civil Aviation Technical Standards (CATS) issued by the Commissioner for Civil Aviation. The regulations have to be

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gazetted in both English and Zulu. 3.2.2 The rule-making process for CARs and CATS is based on the requirements of the CAR Part 11. The central element of the process is the Civil Aviation Regulations Committee (CARCOM), which is a body made up of representatives of the SACAA and the industry. CARCOM has the authority to initiate the rule-making process, oversee the development of regulations and standards through a subcommittee, and make recommendations to the Minister of Transport and to the Commissioner for the adoption of regulations. 3.2.3 Enforcement of the various Civil Aviation Acts, CARs and CATS are supported by administrative and criminal proceedings. In addition to the suspension or revocation of licences, certificates, approvals, permits or authorizations, fines were recently established for violation of civil aviation regulations. 3.2.4 The South African CARs and CATS address most of the ICAO SARPs and other safety oversight-related regulations. However, several regulations are not in line with the latest ICAO provisions or in some cases, have not yet been promulgated. 3.2.5 The procedures for the amendment of South Africa’s specific operating regulations and for the identification and notification to ICAO of differences existing between the ICAO SARPs and South Africa’s regulations and practices have been established. However, the established procedures do not ensure the systematic and timely amendment of national regulations in line with the applicability dates of the ICAO SARPs. In addition, some existing differences have not yet been identified and notified to ICAO. South Africa has also not published in its AIP all the existing significant differences and the AIP still contains differences that no longer exist. 3.2.6 Regarding personnel licensing, some of the related requirements are outlined in the ANRs of 1976, such as Flight Engineer Licensing (Part 63), Cabin Crew Licensing (Part 64), Air Traffic Service Personnel Licensing (Part 65), Aircraft Maintenance Engineer Licensing (Part 66), and Medical Certification (Part 67). Licences issued are of the expiring type, with the exception of flight engineer licences (Part 63) and cabin crew licences (Part 64) which are issued for an indefinite period of time. There are however plans to change these licences to the expiring type. The language proficiency requirements of ICAO Annex 1 are currently not being met. Although the SACAA has developed CAR Part 61 (“Pilot Licensing”) to address ICAO Annex 1 provisions, the regulations have not yet been promulgated. Not all aviation training organizations (ATOs) comply with the provisions of ICAO Annex 1 regarding the maintenance of training and procedures manuals. 3.2.7 With respect to aircraft operations, South Africa promulgates aircraft operations regulations through the CARs, augmented by the CATS which provide the associated standards, rules, requirements, methods, specifications, characteristics, and procedures for implementing the CARs. Both the CARs and CATS are sufficient for implementing the operations-related provisions of ICAO Annexes 6 and 18, but they do not fully implement the applicable provisions in the area of dangerous goods. Aircraft operations are addressed in a number of CARs and CATS. These are primarily CAR Part 91 (“General Operating and Flight Rules”), Part 121 (“Air Transport Operations — Large Aeroplanes”), Part 127 (“Helicopters”), and Part 135 (“Air Transport Operations — Small Aeroplanes”). CAR Part 135 governs aeroplanes engaged in commercial operations which are of 5 700 kg or less, while all aeroplanes of over 5 700 kg engaged in commercial operations are governed by CAR Part 121. All general aviation aircraft are governed by CAR Part 91. The numbering of the CATS corresponds to the numbering of the related CARs. 3.2.8 In the airworthiness area, South Africa’s CARs of 1997 issued by the Minister of Transport and the CATS issued by the Commissioner address most of the safety-related provisions of ICAO Annexes 6,

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7, 8 and 16. For aircraft registration, South Africa has issued aircraft registration marks “ZS–SOS” and “ZS-PAM,” which can be confused with international distress signals. In addition to the CARs and the CATS, the Aircraft Airworthiness Division (AAD) and Aircraft Certification Division (ACD) of the SACAA issue Technical Guidance Materials (TGMs) under the authority of the General Manager for Air Safety Operations. The AAD also issues Airworthiness Information Circulars for information purposes. 3.2.9 With respect to ANS, South Africa has promulgated regulations to ensure the provision of the ANS as required under Article 28 of the Chicago Convention. These regulations include CAR Part 91 (“General Operating and Flight Rules”), Part 172 (“Airspace and Traffic Services”), Part 174 (“Meteorological Services”) and Part 175 (“Aeronautical Services”); the South African Maritime and Aeronautical Search and Rescue Act, No. 44 of 2002; and the CATS that are applicable to airspace and air traffic services (SA-CATS-ATS), to rules of the air (SA-CATS-ROA) and to aeronautical information and related services (SA-CATS-AIRS). Additional regulations have been developed for aeronautical telecommunications (i.e. CAR Part 171), and for ATS safety management requirements (i.e. amendment to CAR Part 172), but they have not yet been promulgated. The applicable regional differences stipulated in ICAO’s regional procedures (i.e. ICAO Doc 7030 — Regional Supplementary Procedures) have not been applied in the related regulations. Additionally, in the field of Global Navigation Satellite System (GNSS), there are no procedures for amending the regulations adopted subsequent to an amendment by the originating State. 3.2.10 With respect to aerodromes, CAR Part 139 (“Aerodromes and Heliports: Licensing and Operation”) sets forth the regulatory provisions related to the operation and certification of aerodromes. It is complemented by the South African Civil Aviation Technical Standards: Aerodromes and Heliports (SA-CATS-AH). However, the SA-CATS-AH makes reference to specific editions of ICAO Annex 14 (i.e. Second Edition, July 1995 for Volume I — Aerodrome Design and Operations and First Edition, July 1990 for Volume II —Heliports), stating that these Annexes have been “incorporated” into the Technical Standards outlined in the SA-CATS-AH. As such, the regulatory framework in South Africa has not kept pace with the subsequent amendments to ICAO Annex 14, Volumes I and II. CAR Part 139 states that “No place in the Republic shall be used as a place of landing or departure by an aeroplane with a maximum certified mass exceeding 5 700 kilograms and used in commercial transport operations, unless it has been licensed in terms of the regulations contained in this part” 3.2.11 In the area of aircraft accident and incident investigation, a number of essential provisions are set forth in CAR Part 12 (“Procedures: Aviation Accidents and Incidents”). In particular, CAR Part 12 states that all notified accidents and serious incidents shall be investigated by an Investigator-in-Charge (IIC), who is designated by the Commissioner for the sole purpose of promoting aviation safety and reducing the risk of aviation accidents or incidents. CAR Part 12 requires the immediate notification of all accidents and incidents to the SACAA and provides the State’s investigators with all the necessary powers required for their functions, including associated provisions for the protection and custody of the aircraft and all relevant evidence for the investigation. This regulation also establishes a voluntary confidential aviation hazard reporting system, with provisions for the protection of the information source. Regarding the participation of other States in accident and incident investigations conducted by South Africa, while CAR Part 12 addresses the designation of accredited representatives and the powers entrusted to them, it does not explicitly state that the accredited representatives will systematically be entitled to participate in aircraft accident and incident investigations conducted in the State. South Africa has not provided a clear designation of the investigation authority or the independence of such an authority in the conduct of investigations. In addition, it does not ensure the protection from disclosure of all records listed in paragraph 5.12 of ICAO Annex 13 (in particular, cockpit voice recordings, transcripts from such recordings, and witness statements), including their disclosure to the Judicial Authorities.

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3.3 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.

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.”

3.3.1 As the regulatory authority in charge of aviation safety oversight in South Africa, the SACAA was established on 1 October 1998 as an autonomous entity responsible to the Minister of Transport. It is governed by a Board headed by a Chairperson, and the Board in turn is comprised of the CEO of the SACAA and a maximum of seven persons who are appointed by the Minister of Transport from a shortlist approved by a Committee of the Parliament. The appointment is for a five-year term, and members are eligible for a second term. The South African Civil Aviation Authority Act, No. 40 of 1998 specifies that two of the Board members should be selected from the aviation community. The first CEO of the SACAA was appointed by the Minister, but future CEOs will be appointed directly by the Board. The SACAA has oversight responsibility for all aviation operators and civil aviation service providers in South Africa. These include the two companies in charge of the ATS provision (i.e. the Air Traffic and Navigation Services Company or ATNS) and the operation of major airports (i.e. the Airports Company of South Africa or ACSA). 3.3.2 There are several entities in South Africa responsible for civil aviation matters. In particular, the Department of Transport (DOT) under the Ministry of Transport oversees the operation of all aviation agencies and is responsible for the formulation and enforcement of civil aviation policies, management of the economic aspects of commercial air transport operation as well as the conclusion and implementation of bilateral and multilateral agreements. The DOT is also responsible for the coordination of all ICAO-related matters in South Africa. In this connection, it has concluded Performance Agreements with the SACAA, the ATNS and the ACSA as well as working arrangements with the South African Search and Rescue Organisation (SASAR). The SACAA has established working arrangements with the South African Weather Service (SAWS) (under the Ministry of Environment and Tourism) and with the Survey and Mapping Directorate (under the Ministry of Land Affairs). There is however no agreement with the Independent Communications Authority of South Africa (ICASA) on the provision of aeronautical telecommunication services. 3.3.3 Funding for the SACAA comes from charges, levies, interest payments from invested cash balances, loans and other sources. The SACAA has sufficient funding for the discharge of its safety oversight activities. 3.3.4 The SACAA Board is charged with the task of governing and controlling the SACAA as well as providing it with strategic guidance. The CEO manages the SACAA and appoints employees to carry out its functions, while the Commissioner designates authorized officers and inspectors as well as administers and controls the CARs and the empowering Acts. The SACAA currently has a staff of 354 persons, which is not sufficient to fulfil the State’s safety oversight responsibilities, particularly in the areas of personnel licensing, aircraft operations and ANS. The SACAA is confronted by a high rate of vacancy and turnovers, notably in the areas of aircraft operations and Procedures for ANS — Aircraft Operations (PANS-OPS). With respect to the

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recruitment of qualified technical staff, the requesting technical department is involved in the process, where it provides input on the qualification criteria, the development of job descriptions, short listing of potential candidates, and the actual interview and selection. 3.3.5 The SACAA occupies two buildings in Midrand and has no regional offices. It has four General Managers, one each for Air Safety Operations, Air Safety Infrastructure, Finance, and Aviation Security. Two executive bodies are established to take charge of aircraft safety and human resources. 3.3.6 Within the SACAA, personnel licensing functions are delegated to the Aviation Personnel Standards Division under the General Manager for Air Safety Operations. The Division oversees and supervises the ATOs established in South Africa. It also administers activities under CAR Part 141 (“Approved Training Organizations”). In conjunction with the Flight Operations Standards Division, the Aviation Personnel Standards Division conducts surveillance of ATOs, which range from small operations involving basic pilot training to large organizations conducting advanced flight and simulator training. The Aviation Medicine Division, under the General Manager for Air Safety Operations, administers the medical examinations programme. The services of a medical assessor and a system of designated aviation medical examiners are used. There are approximately 260 Designated Aviation Medical Examiners in South Africa. Until recently, medical assessments were carried out by the Institute of Aviation Medicine, but these responsibilities are being transferred to the Aviation Medicine Division. 3.3.7 With respect to aircraft operations, the Flight Operations Standards Division is the entity responsible for aircraft operations activities. The Division provides evaluation, certification and issuance of Air Operator Certificates (AOCs), approvals for the transport of dangerous goods by air, and inspection and surveillance activities for flight and cabin crews. The Division does not however have sufficient qualified inspectors, particularly for larger aircraft, and has encountered difficulty in attracting and hiring qualified inspectors. Flight operations inspectors are authorized to carry out safety oversight functions and have been issued the necessary credentials. The Flight Operations Standards Division has developed job descriptions for inspectors, technical staff and key management personnel. The delegated tasks are clearly defined and the examiners are qualified and trained and their skills set kept up-to-date. Duties are delegated through a system of designated examiners. 3.3.8 In the airworthiness area, South Africa has established an Aircraft Airworthiness Division (AAD) and an Aircraft Certification Division (ACD) under the SACAA to meet its airworthiness obligations. The AAD and ACD are headed by the General Manager for Air Safety Operations, who reports directly to the CEO of the SACAA. The AAD is primarily responsible for the airworthiness-related issues of ICAO Annexes 6 and 8, while the ACD is also responsible for the State’s Aircraft Registry, aircraft/aeronautical product certification issues, the issuance of the noise certificates and the acceptance of approved major modifications and repairs. Inspectors and engineers have been issued with credentials to facilitate the performance of their delegated duties. Both the AAD and the ACD have sufficient human resources to fulfil their respective functions. 3.3.9 With respect to ANS, South Africa has established the Air Traffic and Navigation Services Company Act, No. 45 of 1993, the South African Maritime and Aeronautical Search and Rescue Act, No. 44 of 2002, and the South African Weather Service Act, No. 8 of 2001 to provide for ANS within its territory. The SAWS manages 15 meteorological stations and main watch offices and provides documented pilot briefings, including pre-flight information bulletins (PIBs). 3.3.10 Within the SACAA’s Department of Air Safety Infrastructure, the Air Traffic Services Section of the Airspace Division is responsible for regulatory and safety oversight functions concerning the provision

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of ATS, PANS-OPS and aeronautical charts, while the Aeronautical Information Services Section of the same Division is responsible for aeronautical information services (AIS). Aeronautical telecommunications services fall under the responsibility of the Aerodrome Infrastructure Section within the Aerodrome Safety Division of the Air Safety Infrastructure Department of the SACAA. The Project Office of the General Manager for Operations within the SAWS is responsible for regulatory and safety oversight functions concerning the provision of meteorological services (MET) for air navigation. 3.3.11 Search and rescue (SAR) services are under the responsibility of the Chief Directorate for Search and Rescue within the DOT. In accordance with the South African Maritime and Aeronautical Search and Rescue Act, Act No 44 of 2002 and the Regulations issued in terms thereof (GNR.1216 of 29 August 2003), South Africa has designated the ATNS, situated at the OR Tambo International Airport Air Traffic Control Centre, as the Aeronautical Rescue Coordination Centre (ARCC) and the Joint Task Force West of the South African National Defence at Silverstone in Cape Town as the Maritime Rescue Coordination Centre (MRCC). These two entities maintain close cooperation and hold joint exercises on a yearly basis. South Africa owns a COSPAS-SARSAT Master Control Centre (MCC). For its ANS system, South Africa utilises modern technologies, including satellite-based systems for aeronautical telecommunications, surveillance radar coverage, flight data processing systems, and SADIS second generation. 3.3.12 With respect to aerodromes, within the Air Safety Infrastructure Department of the SACAA, the Aerodrome Safety Division is responsible for aerodrome licensing and compliance, frequency spectrum management, monitoring of navigation and approach aids, and obstacle clearance approvals. The Division has two sections: 1) the Aerodrome Infrastructure Section and 2) the Aerodrome Operation Section. Currently, the Aerodrome Infrastructure Section has 2 technical staff in charge of the electrical systems, 3 for aerodrome infrastructure, 2 for communication, navigation, surveillance (CNS), and none for the obstacle restriction area. Meanwhile, the Aerodrome Operation Section has 2 technical staff for rescue and firefighting operations, 1 for apron operation, and 1 trainee for quality management. The Aerodrome Safety Division does not have sufficient qualified personnel for the certification and surveillance of aerodromes. 3.3.13 In the area of aircraft accident and incident investigations, the Occurrence Investigation Department established within the SACAA is responsible for carrying out investigations. Headed by an Executive Manager, the Department reports to the SACAA Board through the Safety Board Committee. The mandate of the Department is to investigate all aircraft accidents and serious incidents as well as selected aircraft incidents, process reports received through the Confidential Aviation Hazard Reporting System (CAHRS), generate and disseminate safety recommendations, monitor accident and incident trends, and conduct safety promotion actions and campaigns. The Department is also responsible for receiving and acting upon notifications of accidents and incidents during office and off-office hours. As such, a duty roster is established and published on the SACAA website. The Occurrence Investigation Department has three divisions: 1) the Accidents Division, 2) the Incidents Division, and 3) the Safety Promotions Division (in charge of safety promotion initiatives and the CAHRS). Funding of the investigation activity of the Department comes entirely and directly from the State Budget through allocations of the DOT. Supplementary funding is provided by the DOT for major investigations. The Department has developed detailed job descriptions for its staff. Overall, the current number of investigators is not sufficient for the level and scope of activity of the Occurrence Investigation Department, thereby resulting in significant delays in the completion of the Department’s tasks. 3.4 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

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maintain and enhance their competence at the desired level. The training should include initial and recurrent (periodic) training.”

3.4.1 Qualification requirements for the various technical staff positions within the SACAA are generally spelled out in the accreditation letters, which outline job descriptions, associated functions and responsibilities, as well as delegations of authority. As far as training is concerned, the SACAA does have a training policy for its entire safety oversight staff. Formal and comprehensive training programmes and training plans detailing the type of training to be provided for each technical staff position have been developed. Training records are kept in a consistent manner throughout the SACAA. 3.4.2 In the area of personnel licensing, minimum experience and knowledge requirements have been established for the personnel licensing staff. The Aviation Personnel Standards Division conducts training for its licensing officers. The training programme sets forth the requirements and tracks programme completion, covers initial and recurrent training, and is audited periodically for correctness. All designated flight crew and air traffic control examiners receive training and certification, and designated aviation medical examiners receive specific training in aviation medicine prior to their designation. 3.4.3 With respect to aircraft operations, the training programme sets forth related requirements and tracks programme completion. The programme covers initial and recurrent training and is audited periodically for correctness. Minimum experience and knowledge requirements have been established for operations inspectors. 3.4.4 In the area of airworthiness, the AAD and the AAC have established the minimum qualification and experience criteria for its airworthiness inspectors and airworthiness engineers. The training provided to the technical staff includes initial, recurrent and specialized training as well as OJT conducted under the supervision of a senior inspector or engineer. Training records, which contain relevant information and copies of certificates attesting of the training provided, are kept by the Human Resources Department in accordance with an established procedure. 3.4.5 In the area of ANS, the inspectorate staff is required to complete satisfactory training programmes. Training programmes and detailed plans including initial, refresher and specialized training have been developed or are being developed by the SACAA, the SASAR and the SAWS, and they are being implemented gradually. The requirement for inspectors to undergo OJT before they are given safety oversight functions has not been formalized. With respect to ANS, the authorities of South Africa’s air navigation system have established dedicated inspectorates or structures to carry out their assigned safety oversight tasks and regulatory functions over the ANS providers in accordance with the established policies. 3.4.6 With respect to aerodromes, the SACAA has not established a formal training programme detailing the type of training to be provided to the aerodrome regulatory staff as part of the initial, recurrent and specialized training as well as OJT of the aerodrome inspectors. The SACAA has however determined the courses to be attended by the staff of the ASD for the fiscal year 2007/2008. These courses are focused on risk management, safety management system and human factors in aviation. 3.4.7 With respect to aircraft accident and incident investigation, minimum qualification requirements have been established by the SACAA for the various categories of investigators. The Occurrence Investigation Department of the SACAA has issued a training policy to ensure that newly recruited employees undergo progressive training (including OJT) before they are assigned to investigation tasks on their own. The Occurrence Investigation Department is also putting in place a comprehensive training programme that has yet to be finalized and approved. Skill profiles are established every year for each investigator to determine the

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areas in which additional training has to be provided as a priority, and training plans are drawn up accordingly every fiscal year. Training records of the investigators are kept by the Human Resources Department of the SACAA and by the investigators themselves. 3.5 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.”

3.5.1 The SACAA staff is provided with satisfactory facilities, tools and office equipment. A central library has been established by the SACAA at its headquarters, stocked with relevant ICAO documents and other regulatory and technical publications, both in hard copy and electronic format. However, there is no document control system in place to determine the currency and availability of all required documents. Internet and Intranet access is available to all employees. 3.5.2 Regarding personnel licensing, procedures have been established for the issuance of airman and maintenance licences and for the validation of foreign licences. There is however no procedure for the conversion of foreign airman licences and for the validation of air traffic controller licences at present. The air traffic control service is responsible for issuing air traffic controller licences and converting foreign air traffic controller licences. 3.5.3 With respect to aircraft operations, the Flight Operations Standards Division has provided the inspectors with a handbook to guide them in carrying out their responsibilities. The handbook, entitled the “Manual of Procedures: Flight Operations Division” addresses the issues of flight operations and cabin crew operations and provides an extensive list of documents for use by the inspectors, all of which are kept up to date and available on the Intranet. When an inspector prepares for a surveillance activity, he or she accesses the information on the Net and prints or copies the documents needed for the task. Medical reports and records of the inspectors are kept confidential and stored in a secure area with access available only to authorized personnel. Not all relevant publications are found at the library, such as the air operator’s manuals of AOC holders and aircraft flight manuals for each type of aircraft on the registry. 3.5.4 In the area of airworthiness, all applicable regulations and guidance material are readily available to all the staff members of the AAD and ACD. Internal procedures and checklists have been compiled into a handbook for inspectors and engineers, but some procedures and checklists have not yet been developed or amended. Furthermore, clear industry guidelines concerning the authenticity and serviceability of aircraft parts have not been developed. The central technical library does not have all the technical publications for all aeronautical products found on South Africa’s registry. Both the AAD and ACD are provided with the means of transportation to carry out their functions. 3.5.5 With respect to ANS, the ATNS is responsible for the provision of operational aeronautical information services in accordance with ICAO Annex 15, while the SACAA’s Airspace Division under the Air Safety Infrastructure Department is responsible for the production and publication of the AIP and the production of aeronautical charts in agreement with the Surveys and Mapping Directorate (under the Ministry of Land Affairs). South Africa has published its AIP in three parts in accordance with Chapter 4 and

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Appendix 1 of ICAO Annex 15. There is however no established procedure for the oversight of AIP-related activities carried out by the SACAA. While South Africa has developed a comprehensive national ATS contingency plan, it has yet to coordinate it with adjacent States or Flight Information Regions or to submit it to ICAO for approval in line with the established procedures stipulated in ICAO’s Annex 11 and Doc 9426 — Air Traffic Services Planning Manual. 3.5.6 In the area of aerodromes, the SACAA has developed a set of procedures and guidance material to assist both the technical staff and the industry and has made them available through its website. Aerodrome Procedures (e.g. AP1 to AP5) outline specific procedures on the certification of aerodromes and address the following topics: Evaluation and safe keeping of aerodrome operation manuals, airport inspection, obstacle clearance, commissioning and calibration of precision approach path indicator (PAPI), rescue and firefighting services, apron operations as well as safety management systems for aerodromes. However, there is no adequate guidance for risk assessment methodology and no process to ensure that an aerodrome operator’s plan for lighting, signs and markings is integrated wholly into the aerodrome’s runway incursion and avoidance strategy. 3.5.7 With respect to aircraft accident and incident investigation, in addition to a few high level procedures related to the investigation process that have been developed within the SACAA Quality System, a manual entitled “Manual of Procedures for Aircraft Accident and Incident Investigations” has been developed by the Occurrence Investigation Department of the SACAA. This manual outlines the procedures, guidelines and forms related to the notification and investigation processes. The existing procedures are implemented and investigation files are kept in an organized and consistent manner. However, procedures and guidelines are still missing in a number of areas, mainly those related to the participation of other States in investigations conducted by South Africa and to the participation of representatives of South Africa in investigations conducted by other States. In particular, there are no procedures or checklists to ensure that aircraft accidents and serious incidents are notified in a timely manner to the States concerned and to ICAO. According to CAR Part 12, final reports have to be completed for all accident and incident investigations. The reports are submitted to the Internal Review Committee and the Sub-Board Committee (Accidents and Incidents) for review and to the Commissioner for approval. After the final report is approved, a synopsis is posted on the SACAA website, and copies of the full report can be requested to the SACAA. However, there are no procedures for forwarding the final report to the States concerned and, when applicable, to ICAO. Consequently, final reports have not always been forwarded as required. In addition, there are no procedures for consultation, prior to the completion of the final report, with the States and organizations concerned, as required by ICAO Annex 13. In a number of cases, the final reports were completed without comments solicited from the States and organizations concerned on the draft reports. 3.6 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.”

3.6.1 With respect o personnel licensing, the SACAA develops, conducts and corrects its own written and oral examinations for the issuance of licences. Written exams are only conducted by the SACAA. Practical examinations and flight tests are conducted by SACAA inspectors and designated examiners, while medical examinations are performed by designated aviation medical examiners. All examination requirements do conform to the requirements established in the civil aviation regulations, which in turn conform to ICAO

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SARPs and relevant guidance material. Licences are issued only after the Personnel Licensing Division has evaluated all the documentation provided and is assured that all qualifications are met for the type of licence being sought. The aviation medical examiners are trained in aviation medicine and conduct aviation medical examinations according to the published procedures in the “Aviation Medicine Manual of Procedures,” which is used by all aviation medicine personnel. The manual covers all aspects of the medical certification process. ATOs are approved in accordance with a Manual of Procedures on the certification and approval of ATOs. Once all requirements are met, the ATO receives a certificate of approval signed by the Commissioner. 3.6.2 With respect to aircraft operations, the SACAA provides a formal application form to prospective AOC applicants and opens a file to track completion of the requirements. The SACAA carries out an assessment of the applicant’s technical fitness by appraising the contents of its operations manual, training manual and flight manual, among other things. The SACAA ensures that the operator has developed adequate procedures for the transport of dangerous goods by air and also has obtained special authorizations for operations such as reduced vertical separation minimum (RVSM), Category II and III operations, and extended twin engine operations (ETOPS), if applicable. The AOCs and associated approvals issued by the SACAA conform to the CARs as well as the ICAO SARPs and relevant guidance materials. The SACAA provides technical guidance on the issuance of AOCs in an attachment to the Manual of Procedures for Flight Operations: Inspector Handbook Technical Guidance Material. 3.6.3 With respect to airworthiness, the established procedures for the certification of aeronautical activities are implemented, with actual implementation of all standards verified before approval certificates are issued or renewed. Records including copies of documents issued are kept. The ACD maintains an aircraft register in a database. The AAD issues aircraft maintenance organization (AMO) approvals, air operator maintenance system approvals, and foreign AMO approvals. Furthermore, the AAD is in charge of the issuance of C of As. All certificates, approvals and permits have a validity period of one year. AMOs have to provide the SACAA with a maintenance manual specifying the scope of their work. With respect to type certification activities, the ACD issues type acceptance certificates, supplemental type acceptance certificates, major modification/repair approvals, noise certificates as well as design and production organization approvals. With regard to major repair acceptance/approval, the ACD does not ensure adherence to the established procedure. A comprehensive system has been established for the certification of South Africa’s national design organizations that starts from the application phase up to the issuance of the certificate. Throughout the certification phase, all investigation reports and minutes of meetings with the applicant are filed in accordance with its procedures. With regard to production activities, the ACD’s “Production Handbook” sets forth the complete certification process. 3.6.4 With respect to ANS, CAR Part 172, Subpart 3, outlines the requirements necessary for the approval of air traffic service units, including the presentation of a manual of procedure, quality control system, personnel requirements, duties of holder of approval, station standing instructions manual, reporting and investigation of accidents and incidents, as well as reporting of aeronautical information. The ATS provider ATNS has established a safety management system. South Africa has implemented personnel licensing for air traffic services. The testing and calibration of radio navigation aids is carried out by the SACAA’s Flight Inspection Division under the Air Safety Infrastructure Department in line with ICAO’s Annex 10 and Doc 8071 — Manual on Testing of Radio Navigation Aids. The certification and licensing of aeronautical communications, navigation and surveillance facilities is carried out by the SACAA in coordination with the ICASA; related working arrangements however have yet to be formalized. 3.6.5 The SACAA has a process in place for the licensing of aerodromes, with requirements including submission of an aerodrome application, coordination with ATS, submission of an aerodrome operations manual, as well as assessment of the aerodrome’s physical characteristics, facilities and equipment.

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It has issued aerodromes operating licences to aerodromes that serve aeroplanes with a maximum certificated mass exceeding 5 700 kg and are used in commercial air transport operations in accordance with CAR Part 139. These licences are issued for a period of one year and are renewed based on compliance with ICAO SARPs and South African CARs. In addition, the SACAA ensures that the operations manuals submitted by the aerodromes operators are up to date. 3.7 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.”

3.7.1 With respect to personnel licensing and training, the SACAA implements a programme for the continuing surveillance of licensed personnel, designated aviation medical examiners as well as flight crew and cabin crew examiners. SACAA inspectors conduct routine inspections in accordance with a predetermined schedule and also periodically conduct random inspections. Inspection of ATOs is also carried out according to an approved plan. On average, four formal and three ad hoc inspections are carried out each year. The personnel training files of SACAA personnel and designees are inspected monthly by the line managers and the Human Resources Department. Guidance for the oversight of designated examiners is outlined in a document entitled “Manual of Procedures to Conduct Oversight over Designated Examiners,” which provides the details of the surveillance programme. All Designated Examiners are subject to at least one annual inspection before the renewal of their licences, and provisions are also made for the conduct of ad hoc inspections. 3.7.2 With respect to aircraft operations, the SACAA implements a programme for the continuing surveillance of air operators, in which SACAA inspectors conduct routine inspections in accordance with a predetermined schedule as well as periodic random inspections. Surveillance of the elements needed for the issuance of an AOC is carried out systematically according to the procedures established in the SACAA document “Continuing Surveillance of Certified Operators: Surveillance Plan” (CA-SUR-000). The surveillance plan includes random inspections. Guidance for the oversight of designated examiners is set forth in the “Manual of Procedures to Conduct Oversight over Designated Examiners,” which outlines the details of the surveillance programme. All Designated Examiners are subject to at least one annual inspection before the renewal of their licences, and provisions are also made for the conduct of ad hoc inspections. 3.7.3 In the airworthiness area, both the AAD and ACD have comprehensive surveillance programmes in place for AOC holders, AMOs, design organizations and production organizations. Prior to the issuance and renewal of certificates, airworthiness inspectors and/or airworthiness engineers carry out an audit of all the functional areas of organizations which are AOC certificate/approval holders. Random checks are also scheduled. Ramp inspections are carried out for foreign and domestic operators in accordance to established procedures. In case deficiencies which pose serious safety concerns are identified during the conduct of a ramp inspection, the specific inspectors may either ground the aircraft or suspend its C of A. For the most part, both the AAD and the ACD have completed their surveillance programmes except for a few cases in which the certificate holders were granted an extension of up to three months in order to enable the inspectors to complete their renewal audits.

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3.7.4 With respect to ANS, the DOT, the SACAA and the SAWS have developed periodic surveillance programmes for the continuing surveillance of authorized ANS providers of ATS, AIS, CNS, MET, as well as SAR. Accordingly, inspections are being carried out effectively by ANS inspectors. Related reports are documented and maintained, and follow up procedures conducted as required. South Africa has implemented area navigation (RNAV)/required navigation performance (RNP10) ATS routes following satisfactory pre-implementation safety assessments. Within the framework of the Africa-Indian Ocean (AFI) Region RVSM Programme, a national safety plan has been developed by the SACAA and submitted to the established Regional Monitoring Agency (ARMA) tasked with the related pre- and post-implementation safety assessments. There is however no post-implementation safety assessments established in relation to the RNP. 3.7.5 With respect to aerodromes, State legislation and aviation rules enable South Africa to conduct surveillance of all licensed aerodromes. All licensed aerodromes are assessed according to the criteria outlined in CAR Part 139 before they are granted formal certification. Annual inspection is conducted to verify compliance with the regulations, while random inspections are scheduled throughout the year to ensure continued adherence to the regulations. The SACAA does not however ensure that the aerodrome operators assess the coverage of water, if any, on runway surfaces to enable aircraft crew to make operational adjustments in accordance with the aircraft performance flight manuals. It also does not have a process for determining if the relevant runway or part of it may be slippery when wet and for providing the pertinent information, including the minimum friction level related to the slippery runway conditions and the type of friction measuring device used. 3.8 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.”

3.8.1 The Aviation Act enables the enforcement of the applicable legislation and regulations through imposition of financial penalties in case of violations as outlined in the recently promulgated Section 19 pf the Act. General guidance on enforcement is also provided by the General Operations Procedures — G004. An enforcement committee assists the technical departments with legal expertise in case of suspension or revocation of issued licences, certificates, authorizations or permits. 3.8.2 With respect to personnel licensing and aircraft operations, the SACAA has procedures in place to resolve deficiencies which may have been detected in the course of routine surveillance or by other means such as notification by a third party and which may impact aviation safety. SACAA inspectors also respond to concerns raised by private individuals and entities when deficiencies are identified. The deficiencies are made known to the individual or organization, and a plan of action is developed, with follow-up visits made to determine if corrective action has taken place. Guidance material for designated examiners sets forth the process to be followed for deficiencies noted while the examiners are carrying out their delegated tasks. The timetable allowed for the correction of deficiencies is determined by the inspectors, taking into consideration the needs and situations of the concerned individuals or organizations. If corrective actions are not completed or deemed insufficient, corresponding enforcement actions are taken within a prescribed period of time.

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3.8.3 In the airworthiness area, findings made during an inspection of an AOC holder, an AMO, a design organization or a production organization are classified into four categories according to the severity of the findings. Follow-up actions are conducted in a timely manner. Enforcement action such as the suspension or revocation of licences has been effected in response to the lack rectification measures in accordance with the national legislation and regulations. Both the AAD and the ACD also have a system in place for transmitting information on faults, malfunctions and defects to the organization responsible for the type design. South Africa adopts mandatory continuing airworthiness actions issued by other States of Design for aircraft on South Africa’s registry. In addition, South Africa has a system in place for issuing its own mandatory continuing airworthiness actions. 3.8.4 With respect to ANS, South Africa has developed guidance for the oversight of ANS services. Follow-up action is taken by the relevant ANS authorities based on non-compliance reports drawn from ANS inspections, audits and surveillance reports of ANS providers (i.e. ATNS, SAWS and ARCC), with a view to eliminating the reported deficiencies. The resolution of deficiencies in the area of ANS that have been identified within the framework of the AFI Planning and Implementation Regional Group (APIRG) is coordinated by the DOT which is in charge of ICAO-related matters. 3.8.5 With respect to aerodromes, when deficiencies are identified during an inspection, aerodrome operators are required to take corrective action within an established period of time. In case the deficiencies are not corrected within the set timeline, the SACAA may suspend the aerodrome’s operating licence. In the event of conflicting interests between land-use and aviation authorities, South Africa has not established a process to ensure that aircraft safety is not compromised. 3.8.6 In the area of aircraft accident and incident investigation, the SACAA has provided guidance on the development and issuance of safety recommendations, which, like the final reports, have to be submitted to the Sub-Board Committee (Accidents and Incidents) for review and then to the Commissioner for approval. Some safety recommendations outlined in the approved final reports completed by the Occurrence Investigation Department have not been forwarded to their addressees by the SACAA. Meanwhile, the Occurrence Investigation Department has recently started to use the ECCAIRS (European Co-ordination Centre for Aviation Incident Reporting Systems) software to run its aircraft accident and incident database. Safety analyses are carried out based on the data collected. No procedures or checklists have been established to forward preliminary reports and accident/incident data reports to ICAO and the relevant States, as stipulated in Chapter 7 of ICAO’s Annex 13 and in practice, these reports have not been systematically forwarded. South Africa has established an effective mandatory occurrence reporting system as well as a confidential non-punitive hazard reporting system (i.e. CAHRS), which is managed and actively promoted across the State by the staff of the Occurrence Investigation Department. 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.

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4.2 In the case of South Africa, the audit team visited the following organizations:

1) 43 Advanced Training (PEL), 2) Comair (OPS), 3) SA Airlink (AIR), 4) Safair (AIR), 5) Air Traffic and Navigation Services Company (ATNS) (ANS), 6) Aeronautical Information Management Unit (AIMU) (ANS), 7) Central Airspace Management Unit (CAMU) (ANS), 8) Aeronautical Rescue Coordination Centre (ARCC) (ANS), 9) South African Weather Service (SAWS) (ANS), 10) Airports Company of South Africa (ACSA) (ANS), 11) South African Weather Service (SAWS) (ANS), 12) Airports Company of South Africa (ACSA) (ANS), and 13) OR Tambo International Airport (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 a graphic representation of the lack of effective implementation of the critical elements of the safety oversight system (ICAO Doc 9734, Part A refers) in South Africa and at a global level (average results from all States audited). The graphic representation enables 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. South Africa has submitted its SAAQ to ICAO, which can be found at 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. South Africa has partially submitted its CCs to ICAO, which can be found at www.icao.int/soa.

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- 19 -

Final Safety Oversight Audit Report — South Africa April 2008

8. FOLLOW-UP ACTION 8.1 In accordance with the MOU agreed to between South Africa and ICAO, South Africa submitted an action plan on 17 December 2007, with further updates on 17 March 2008. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to fully address most of the findings and recommendations contained in this report. The proposed action plan, including comments and clarifications provided by the State, is attached as Appendix 3 to this report. Comments by ICAO on each corrective action are found in Appendix 1 to this report.

— — — — — — — —

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APPENDIX 1

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$/$��"� &��� &(����*� $/$��"� &"��*�.�!��(�$������ $�&����$� &��� &����"�� �����(� ��'�$� &$�'�((� &$���.���� &��)�&���

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+!��������.��&�������(&��$�0"������0/��!��,�&�����((/�&���$$�$��!�$�4-�2�������*�&������""���&�����

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APPENDIX 2

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CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEMLACK OF EFFECTIVE IMPLEMENTATION (%)

29.76

38.88

48.23

61.39

44.66

36.51

46.34

50.12

25.00

31.14

27.7230.23

31.88

7.08

12.94

17.02

0

10

20

30

40

50

60

70

80

90

100

Primary AviationLegislation

Specific OperatingRegulations

Civil Aviation Systemand Safety Oversight

Functions

Qualification andTraining of Technical

Staff

Procedures andTechnical Guidance

Licensing andCertificationObligations

SurveillanceObligations

Resolution of SafetyConcerns

Global: (88) Audited States: 44.48% Audit of: SOUTH AFRICA 22.87%

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APPENDIX 3

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APPENDIX 3-1-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/01

The South African Civil Aviation Authority (SACAA) presently delegates authority and assigns corresponding responsibilities to two persons, namely the Commissioner for Civil Aviation (hereinafter referred to as the Commissioner) and the Chief Executive Officer (CEO) of the SACAA. Consequently, the current legal framework does not ensure that there will be no conflict or overlapping of functions between the Commissioner and the CEO with regard to the development, issuance and revision of operating regulations.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The DOT and the SACAA agree with the finding of the ICAO audit team. This has been an aspect which has been under discussion for a period. However the concern can only be resolved by undertaken a through review and amendment of the Aviation and other related aviation Acts. As such the rectification will be implemented by means of short, medium and longer-term actions.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Appointment of One Person as CEO and Commissioner

DOT Completed

Review and revise Aviation Acts

DOT 31 May 2008

Parliament Approval

DOT 31 August 2008

Promulgation of Acts 31 December 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/02

South Africa has established procedures for the amendment of its specific regulations and for the identification and notification to ICAO of differences existing between the ICAO SARPs and South Africa’s regulations and practices. However, 1) the established procedures do not ensure the systematic and timely amendment of national

regulations in line with the applicability dates of the ICAO SARPs; 2) some existing differences have not yet been identified and notified to ICAO; 3) in some areas (such as aerodromes), the absence of comprehensive regulations transposing the

ICAO SARPs into the national legislation means that not all differences to the related ICAO Annexes have been identified and notified to ICAO;

4) in the area of air navigation services (ANS), the applicable regional differences stipulated in ICAO’s Regional Supplementary Procedures (Doc 7030) are not reflected in the related regulations;

5) in some fields where regulations have been adopted from other Contracting States, such as the field of Global Navigation Satellite System (GNSS), there are no procedures for amending the regulations adopted subsequent to an amendment by the originating State; and

6) South Africa has not published in its Aeronautical Information Publication (AIP) all existing significant differences and the AIP still contains differences that no longer exist.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The DOT and the SACAA agrees with the finding of the ICAO audit team. Flowerer, since the audit it has been established that South Africa-does not adopt -regulations from other Contracting States. Although the GNSS regulations for South Africa have been based on the JAR, it has been written into the CAR Part 91 under regulations 91.03.4.91.05.2.91.11 and 172.04.1.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Verify compliance of regulations with Annexes

SACAA/DOT/ SAWS

31 May 2008

Amend regulations to incorporate the amendments of the Annexes.

SACAA/DOT/ SAWS

31 December 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-2 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Review and adapt the regulations amendment process to ensure that amendments to Annexes are made in an effective and timely manner.

DOT &SACAA 31 May 2008

Review liaison with all agencies (SACAA, ATNS, ACSA, SAWS, ICASA, SAR) iro Annex amendment notification and responses and amend procedures to ensure effectiveness.

DOT & Agencies

Completed

Review liaison with all agencies (SACAA, ATNS, ACSA, SAWS, ICASA, SAR) iro the identification and notification of differences and amend procedures to ensure effectiveness.

DOT & Agencies

30 April 2008

Identify regional differences in Regional Supplementary Procedures and incorporate into South African regulations.

SACAA, ATNS 31 December 2008

Publish existing significant differences with the Annexes in the AIP.

SACAA Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/03

South Africa has promulgated and published in its AIP regulations regarding the interception of civil aircraft above its territory in accordance with Article 3 bis of the Convention on International Civil Aviation. However, these regulations do not reflect all relevant provisions outlined in ICAO Annex 2 — Rules of the Air. In addition, there are no regulatory provisions to make compliance to interception orders from other States mandatory for any civil aircraft under its registry or operated by its operators.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulations regarding the interception of

civil aircraft above its territory and to make compliance to interception orders from other States mandatory for any civil aircraft under its registry or operated by its operators

GM:ASO 31 March 2008

2. Submission to CARCOM

GM:ASO 31 March 2008

3. CARCOM approval

GM:ASO 31 May 2008

4. Submission to DOT

CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/04

South Africa ratified Article 83 bis of the Chicago Convention on 21 September 1998. However, the primary aviation legislation does not provide for the transfer of functions and responsibilities between the State of Registry and the State of the Operator nor does it provide for the recognition of certificates of airworthiness (C of As), radio licences and crew licences issued or validated by the State of the Operator in lieu of the State of Registry. Furthermore, South Africa has not provided ICAO and other Contracting States concerned with the notification of an agreement concluded with another Contracting State.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team. However the SACAA is of the opinion that the best way in which to address this finding would be to introduce amendments to the new CAR Part 48 (addressing Article 83 bis requirements) to include the recognition of certificates of airworthiness (C of As), radio licences and crew licences issued or validated by the State of the Operator in lieu of the State of Registry. The Aviation Act does empower the Minister to issue regulations in this regard. Part 48 of the CAR that became effective on 13 July 2007 incorporates Art. 83 bis into the body of regulations and contains the requirement to notify ICAO and other Contracting States of all Art 83 bis agreements entered into by South Africa (Regulation 48.06.1).

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulations to include the recognition of

certificates of airworthiness (C of As), radio licences and crew licences issued or validated by the State of the Operator in lieu of the State of Registry.

GM:ASO Completed

2. Submission to CARCOM

GM:ASO 31 March 2008

3. CARCOM approval

GM:ASO 31 May 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-4 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

4. Submission to DOT

CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Introduce Technical Standards to further enhance the Part 48 requirement.

SACAA 31 May 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-1-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/05

South Africa has enacted the Measurement Units and Measurement Standards Act No. 18, 2006. According to this act, the units of measurement, the related symbols, and the rules relating to the use of the units and their symbols must conform to those of the International System (SI) as published in the Gazette by the Minister of Trade and Industry. However, the publication cited in the abovementioned Act did not effectively take place.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulations as to the units of

measurement of relevance in the implementation of the provisions of ICAO Annex 5 –Units of Measurement to be Used in Air and Ground Operations, the related symbols and the rules relating to the use of the units and their symbols.

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT

CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-2-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/01

The Department of Transport (DOT) is responsible for the coordination of all ICAO-related matters in South Africa. In this connection, it has concluded Performance Agreements with the SACAA, the Air Traffic and Navigation Services (ATNS) Company Limited, and the Airports Company of South Africa (ACSA) as well as working arrangements with the South African Search and Rescue Organisation (SASAR). Moreover, the SACAA has established working arrangements with the South African Weather Service (SAWS) (under the responsibility of the Ministry of Environment and Tourism) and with the Surveys and Mapping Directorate (under the Ministry of Land Affairs). There is however no agreement with the Independent Communications Authority of South Africa (ICASA) on the provision of aeronautical telecommunication services. No formal coordination of regulatory and oversight functions and responsibilities has been established among all national authorities dealing with civil aviation matters.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Review coordination Procedures .

DOT Completed

Ensure MOU allocates oversight responsibility

DOT 31 May 2008

Update/draft and sign MOU’s with all entities/agencies (SACAA, ACSA, ATNS, SAWS, ICASA)

DOT 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-2-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/02

The current number of qualified and experienced technical staff employed by the SACAA is not sufficient to fulfil the State’s safety oversight responsibilities in the areas of personnel licensing, aircraft operations and ANS. A significant percentage of the positions within the SACAA are vacant and there is a high rate of vacancy and turnovers in some areas, such as aircraft operations and Procedures for ANS - Aircraft Operations (PANS-OPS).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team. However, the SACAA has actively been recruiting additional staff members within the Flight Operations, Airworthiness, Aerodromes, Cartography and PANS-OPS areas. SAWS is in the process of implementing ISO 9000. Full implementation will only be completed after December 2008. Once it is complete the functions of the meteorological authority will be incorporated into the ISO 9000 management programme. In the mean time the appointee currently responsible for the performing the functions of the meteorological authority (with over 35 years experience in aeronautical meteorology and 10 as head of the organization’s aeronautical service) will continue to manage the programme. At least 4 suitably qualified personnel will be identified and given the necessary on job training to perform the functions of the inspectors.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Proceed with appointment of personnel to fill vacancies

HR; GM:ASO: GM:ASI

31 May 2008

Review and/or calculate the number of additional technical staff required

HR; GM:ASO GM:ASI

MET Authority

Completed

Recruit and appoint additional FOD inspectors (10)

HR; GM:ASO 31 June 2008

Recruit and appoint additional AW inspectors (1)

HR; GM:ASO Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-2-2 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO CIVIL AVIATION ORGANIZATION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Recruit and appoint additional PEL inspectors (2)

HR; GM: ASO 1 June 2008

Source and Contract specialists (2)

HR; GM:ASO Completed

Recruit and appoint additional ATS &AIS inspectors

HR; GM:ASI Completed

Recruit and appoint additional CNS inspectors

HR; GM:ASI 31 May 2008

Recruit and appoint additional PANS-OPS specialist

HR; GM:ASI Completed

Recruit and appoint additional Cartographers (1)

HR; GM:ASI Completed

Recruit and appoint additional MET inspectors MET Authority Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-2-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/03

The SACAA has established a central technical library stocked with relevant ICAO documents and other technical and regulatory publications, both in hard copy and electronic format. However, a random sampling of the technical publications showed the following: a) some of the ICAO Annexes are outdated or not available; b) certain essential manuals are not available, in particular some ICAO manuals as well as all current

aircraft flight manuals, maintenance manuals, structural repair manuals and air operator’s manuals; and

c) the technical staff of the SACAA is not always aware of all the relevant ICAO and other technical documents which are relevant for their areas of expertise.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish direct access to ICAO.net

SM:QA Completed

Perform annual customer needs assessments GM:Fin; GM:AS GM:ASI GM:ASO

Implemented &Ongoing

Acquire ATP Technical Libraries and subscribe to revision service

GM:Fin Completed

Implement Comprehensive CD & DVD Library

GM:Fin Implemented &Ongoing

Verify all hardcopy manuals during operator 5 phase revalidation process

GM:Fin 31 December 2008

Manage all Technical Library with the Cataloguing System

GM:Fin Implemented &Ongoing

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-2-3 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO CIVIL AVIATION ORGANIZATION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Conduct Periodic reviews to ensure standards are maintained and Policies and Procedures are adhered to

GM:Fin Implemented &Ongoing

Establish Online access with manufacturers and determine currency of documents on an quarterly basis

GM:Fin Implemented &Ongoing

Amend CATS to reflect a requirement to the operators to provide document holding lists on a quarterly basis

GM:Fin; GM:ASO

31 July 2008

Obtain holding lists from operators during the revalidation processes to determine their latest document currency statuses

GM:Fin; GM:ASO

31 July 2008

Engage manufacturers and design organisations that have aircraft and engines registered in South Africa but are not represented in electronic libraries to:

GM:Fin GM:AS

31 December 2008

• Verify revision status of their design and continuing airworthiness information,

• Order all outstanding information for incorporation into the SACAA Technical Library

• Establish an amendment service with these manufacturers and design organisations.

Incorporate the information into the technical library and cataloguing system.

GM:Fin 31 December 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-3-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PERSONNEL LICENSING AND TRAINING

AUDIT FINDING PEL/01

South Africa has not promulgated comprehensive personnel licensing regulations to address all provisions of ICAO Annex 1 — Personnel Licensing, particularly the requirements for language proficiency.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Part 61 gazetted on 13 July 07, and effective on 1 Jan 08

GM: ASO Completed

Develop plan to implement ICAO language provisions.

GM: ASO Completed

Develop guidance material

GM: ASO Completed

Publish guidance in an AIC. GM: ASO Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-3-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO PERSONNEL LICENSING AND TRAINING

AUDIT FINDING PEL/02

The SACAA does not ensure that approved training organizations develop and publish training and procedures manuals which conform to the specific requirements of ICAO Annex 1, Appendix 2.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop Regulations requiring that the approved

training organization develop and publish a training and procedures manual for the use of personnel concerned

GM:ASO 31 March 2008

2. Submission to CARCOM

GM:ASO 30 April 2008

3. CARCOM approval

GM:ASO 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/ SACAA 30 September 2008

7. Develop procedures and guidance material for approval of training and procedures manuals.

GM:ASO 31 March 2008

8. Approval of guidance material. GM:ASO 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/01

South Africa has not established minimum requirements on the selection and appointment of flight dispatchers/flight operations officers by air operators. In addition, the SACAA does not ensure that air operators establish in their training manuals the details of the training programmes of flight operations officers/flight dispatchers when these are employed in conjunction with flight supervision methods. The SACAA also does not ensure that air operators maintain up-to-date the knowledge, skills and qualifications of the ground instructors of flight dispatchers and flight operations officers.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to provide for Flight

Dispatchers and their training programme including the provisions for operators to maintain the knowledge, skill and qualifications of their ground instructors

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT CARCOM Secretariat

Completed

5. Ministerial approval

DOT Completed

6. Promulgation in Gazette

DOT/SACAA Completed

7. Review SA-CATS 121.03.8A and ensure that requirements are in place to ensure that the training provided and flight documentation used correctly reflect the operators’ flight safety documents system

GM:ASO Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/02

The SACAA has established a surveillance programme of the Designated Examiners in their capacity as examiners, but this programme does not cover the instructional activities carried out by either Designated Examiners or appointed instructors when they perform their duties as cabin crew instructors.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to provide for instructional

activities carried out by either Designated Examiners or appointed instructors in the performance of their duties as cabin crew instructors.

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/ SACAA 30 September 2008

7. Develop and implement surveillance for cabin crew Examiners and instructors

SACAA 31 December 2007

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/03

South Africa has not specifically designated the appropriate authority responsible for the transport of dangerous goods by air.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Letter from Department of Transport to ICAO designating the SACAA.

GM:AVSEC Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/04

South Africa does not require that a certified true copy of the Air Operator Certificate (AOC) and the corresponding Operations Specifications be carried on board an aircraft at all times.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require that a certified true

copy of the Air Operator Certificate and corresponding Operations Specifications, be carried on board at all times

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT

CARCOM Secretariat

Completed

5. Ministerial approval

DOT Completed

6. Promulgation in Gazette DOT/ SACAA Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/05

The SACAA does not ensure that air operators establish a policy and adequate procedures to enable the cabin crew to communicate discreetly with the flight crew, if so warranted by events in the cabin.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require that air operators

establish a policy and procedures to enable cabin crew to communicate discreetly with the flight crew

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT CARCOM Secretariat

Completed

5. Ministerial approval

DOT Completed

6. Promulgation in Gazette

DOT/SACAA Completed

7. Amend surveillance plan and checklists GM:ASO 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-6

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/06

South Africa is in the process of drafting regulations to be entered into the Civil Aviation Regulations (CARs), Parts 121, 135 and 137. However, at present, the SACAA does not ensure that AOCs are issued along with the associated authorizations and limitations to be complied with by the operator.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require that a Air Operator

Certificate is complemented with OPSPECS which contain authorizations and limitations to be complied with by the air operator

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT CARCOM Secretariat

Completed

5. Ministerial approval

DOT 31 January 2008

6. Promulgation in Gazette DOT/SACAA Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-7

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

AUDIT FINDING OPS/07

The State’s regulations do not have specific procedures to convey information regarding the nature of dangerous goods carried on board an aircraft for the purpose of aircraft firefighting and rescue services. The dangerous goods provisions in the CARs refer to the Civil Air Technical Standards (CATS) which, in turn, refer to the Technical Instructions (TIs) of ICAO Annex 18 - The Safe Transport of Dangerous Goods by Air with respect to the specific procedures and requirements related to the retention of the Notification to Captain (NOTOC) in a manner that is accessible to the aerodrome of last departure and of the next scheduled arrival as well as to the development of operator procedures regarding the notification to emergency services about the transport of dangerous goods in the event of an aircraft accident. However, the CARs do not contain the provisions of ICAO Annex 18 nor does the SACAA ensure the implementation of the relevant provisions of ICAO Annex 18 and the TIs.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require that the Operator of

an aircraft in which Dangerous Goods are to be conveyed, shall, develop procedures to ensure that the emergency airport services of the departure and the destinations airports are informed of the nature and position in the aircraft of the dangerous goods for which dangerous goods transport documents and a NOTOC are required

GM:ASO Completed

2. Develop regulation to require that a Air Operator retain the NOTOC on the ground

GM:ASO Completed

3. Submission to CARCOM

GM:ASO Completed

4. CARCOM approval

GM:ASO Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-4-7 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

5. Submission to DOT CARCOM

Secretariat

30 June 2008

6. Ministerial approval

DOT 31 August 2008

7. Promulgation in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/01

South Africa has promulgated CARs and the supplementary CATS as airworthiness regulations to enable the SACAA to implement the airworthiness-related provisions of ICAO Annexes 6 — Operation of Aircraft, 7 — Aircraft Nationality and Registration Marks, 8 - Airworthiness of Aircraft and 16 — Environmental Protection. However, these regulations do not fully address the relevant ICAO SARPs.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team. The requirement for submission, review and acceptance of a Maintenance Control Manual (MCM) for review before operator certification is addressed in CARs Parts 121 and 43, as well as in an Aeronautical information Circular (AIC). The SACAA therefore has not included an item in this respect in the CAP.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to include requirements

related to CVR, GPWS, and ETOPS.

GM:AS Completed

2. Submission to CARCOM

GM:AS 31 March 2008

3. CARCOM approval

GM:AS 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Develop and publish guidance material GM:AS 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/02

The SACAA has promulgated regulations in compliance with ICAO Annex 7 — Aircraft Nationality and Registration Marks with respect to the type location and measurements of the nationality, common and registration marks to be used on heavier than air aircraft registered in South Africa. However, the SACAA has issued the registration marks “ZS-SOS” and “ZS-PAN,” which could be confused with distress signals.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop procedure to ensure allocation of aircraft

registration like ZS-PAN/SOS etc are not allocated

GM:AS Completed

2. Amend MOP

GM:AS Completed

3. MOP Approval

GM:AS Completed

4. Negotiate allocation of new registration marks iro ZS-PAN

GM:AS Completed

5. Negotiate allocation of new registration marks iro ZS-SOS

GM:ASO 3 April 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/03

The Aircraft Certification Division (ACD) and the Aircraft Airworthiness Division (AAD) of the SACAA have developed procedures and checklists that address the majority of the tasks assigned to these two divisions. However, the procedure and related checklist for the issuance/renewal of a C of A do not contain the electrical load analysis.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Review process for the issuance/renewal of a

certificate of airworthiness and include the need for the electrical load analysis. No need determined

GM:AS Completed

2. Amend checklist to include electrical load analysis.

GM:AS Completed

4. Develop AIC to advise AMOs & Operators that the Electrical Load Analysis is required.

GM:AS Completed

5. Publish AIC GM:AS 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/04

Although the AAD has developed an Aeronautical Information Circular (AIC) providing a cross reference to the guidance material of other Contracting States on the authenticity and serviceability of aircraft parts, there is no clear guidance developed and provided to the industry on the reporting of unapproved parts to type certificate holders and regulatory agencies. Furthermore, there are no industry guidelines in place on the proper usage of parts removed from an aircraft that is no longer in service and for the disposal of scrapped parts.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Review process for the reporting of unapproved

parts to type certificate holders and regulatory agencies.

GM:AS Completed

2. Review AID MOPs and amend to include process to be implemented

GM:AS Completed

3. Approval of MOP amendment

GM:AS Completed

4. Develop new industry guidance material for the proper usage of parts removed from an aircraft no longer in service and for the disposal of scrapped parts

GM:AS 31 March 2008

5. Publish guidance on website and AIC notification of availability

GM:AS 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/05

The ACD has established procedures for the acceptance/approval of modifications and repairs. However, the industry visit showed that the ACD did not adhere to the established procedure with respect to major repairs. In particular, when an approved maintenance organization (AMO) carries out a major repair, the ACD does not issue a formal approval before the major repair is effected.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Review process for the approval of modifications

and repairs.

GM:AS Completed

2. Review AID MOP and amend to include a monitoring process to be implemented

GM:AS Completed

3. Approval of MOP amendment

GM:AS 31 March 2008

4. GM:ASO to ensure that procedures are followed GM:AS 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-5-6

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/06

The AAD has established a formal inspection programme for the continuing surveillance of the operations conducted by AOC holders and AMOs. However, the AAD does not request periodic reports from the relevant foreign authorities as part of ongoing surveillance of foreign AMOs.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Review the process for the continuing supervision

of the operations conducted by AOC holders and AMOs.

GM:AS Completed

2. As result of the ICAO audit finding, the AAD has reviewed and changed its process of surveillance. AAD no longer relies on other Authorities surveillance reports.

GM:AS Completed

3. Review AID MOP and amend to include process to be implemented

GM:AS Completed

4. Approval of MOP amendment GM:AS Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/01

While the legal framework provides for the appointment of an investigation team for each accident and serious incident, it does not contain any explicit designation of the entity in charge of investigations (investigation authority). In addition, there is no functional independence in the conduct of investigations. According to CAR Part 12 (“Procedures: Aviation Accidents and Incidents”), for all accidents and serious incidents occurring in South Africa, the investigator-in-charge (IIC) and the other members of the investigation team are designated by the Commissioner. However, in practice, all investigators come from the Occurrence Investigation Department established within the SACAA and which reports to the SACAA Board through the Safety Board Committee. Before the release of the final reports, they are submitted to the Commissioner through the Safety Board Committee.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The Department of Transport (DOT) and SACAA agree with the finding of the ICAO audit team. This is a matter, which has already been under review and identified in the Departments Strategic Plan for 2007-2010 as a function to be transferred from the SACAA to the DOT. In the interim the SACAA will continue to undertake accident investigation on a cost recovery basis, as a special function. Transfer to the DOT will improve governance and credibility of the accident and incident investigation functions.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop appropriate action plan for the transfer

of the Accident and Incident Investigation functions from the Civil Aviation Authority to DoT.

DOT 31 July 2008

2. DOT to take a decision on the appropriate legal framework to govern the independent Accident & Incident Investigations Unit.

DOT 30 September 2008

3. Amend Aviation Act Section 12 and Section 22 OR develop new Act for Aircraft Accident and Incident investigation

EM:ASI &DOT 31 December 2008

Promulgation of amendment to Aviation Act or of new Act

EM:ASI & DOT 31 December 2009

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/02

Paragraph 12.03.1 of CAR Part 12 states that “the purpose of the investigation of an accident or incident is, subject to Section 12 of the Act [refers to the Aviation Act, No. 74 of 1962], to determine, in terms of the provisions of this part, the facts of an accident or incident in the interest of the promotion of aviation safety and the reduction of the risk of aviation accidents or incidents, and not to establish legal liability.” However, an “accident inquiry board” may also be appointed, pursuant to Section 12 of the Aviation Act, No. 74 of 1962 (known hereafter as the Aviation Act) to make an investigation into the “cause of and responsibility for the accident.” Although such an accident inquiry board has been seldom set up in practice, there are no provisions to guarantee that the existence of such a board will not affect the investigation conducted by the IIC pursuant to the CAR Part 12. There is no separation between the investigation conducted in line with the provisions of ICAO Annex 13 — Aircraft Accident and Incident Investigation and any administrative or judicial proceedings which apportion blame or liability.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Draft Policy document on restructuring of the

aircraft accident and incident investigation process in South Africa

EM:ASI 31 July 2008

2. Submit to DOT for approval

EM:ASI 31 July 2008

3. Develop amendment to Aviation Act OR draft new Act in line with DOT decision on independence

EM:ASI & DOT 31 December 2008

4. Promulgate amendment to Aviation Act or to new Act

EM:ASI & DOT 31 December 2009

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/03

The national legislation and regulation do not contain any provision to protect from disclosure the records listed in paragraph 5.12 of ICAO Annex 13 - Aircraft Accident and Incident Investigation, including CVRs, transcripts from such recordings, and witness statements. In practice, such records may be disclosed to Judicial Authorities during or after the investigation.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Draft internal Policy document on non-disclosure

of certain records in South Africa

EM:ASI Completed

2. Submit to SACAA Board for approval

EM:ASI Completed

3. DOT consideration of proposal on non-disclosure

DOT 31 May 2008

4. Develop amendment to Aviation Act OR draft new Act in line with DOT decision on non-disclosure

EM:ASI & DOT 31 December 2008

5. Promulgate amendment to Aviation Act or new Act

EM:ASI & DOT 31 December 2009

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/04

Paragraph 12.01.16 (1) (a) of CAR Part 12 stipulates that “the Commissioner may designate an accredited representative for the purposes of investigating an accident or incident involving a South African registered aircraft in a territory of a contracting or non-contracting State.” However, no mention is made about the appointment of accredited representatives from South Africa for investigations of accidents and incidents occurring in other States and involving aircraft not registered in South Africa but operated by a South African operator. In addition, no guidelines have been developed regarding the appointment of and the mode of participation of accredited representatives, advisers and experts from South Africa (as per Chapter 5 of ICAO Annex 13 — Aircraft Accident and Incident Investigation) in investigations conducted by other States.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Amend Regulation in respect of appointment of

accredited representatives from South Africa

EM:ASI Completed

2. Submission to CARCOM

EM:ASI Completed

3. CARCOM approval

EM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Develop procedures to provide information, to appoint accredited representatives, advisors and experts

EM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-4 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

8. Amend OI MOP

EM:ASI Completed

9. MOP approval EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/05

Paragraph 12.01.16 (1) (b) of CAR Part 12 stipulates that “the Commissioner may designate an accredited representative of the State of Registry, State of the Operator, State of Design or State of Manufacture for the purposes of investigating an accident or incident involving a foreign registered aircraft in the territory of the Republic.” Other provisions in the same Paragraph 12.01.6 provides the rights that “may” be granted to these accredited representatives. However, the above-mentioned regulatory provisions are not sufficient as they do not explicitly state that accredited representatives, who are designated by their respective States, will be systematically entitled to participate in aircraft accident and incident investigations conducted by South Africa. In addition, these provisions are limited to occurrences involving aircraft registered in a State other than South Africa. Furthermore, no guidance has been provided to the investigators, in the form of procedures or instructions, related to the mode and scope of participation of the various representatives from the other States concerned (e.g. accredited representatives, advisers and experts as per the definitions of ICAO Annex 13 — Aircraft Accident and Incident Investigation) in accident and serious incident investigations conducted by South Africa.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Amend regulations in respect of protection

appointment of accredited representatives from other States

EM: ASI Completed

2. Submission to CARCOM

EM: ASI Completed

3. CARCOM approval

EM: ASI 31 May 2008

4. Submission to DOT

CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-5 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

6. Promulgation in Gazette

DOT/ SACAA 30 September 2008

7. Develop procedures in respect of the provisioning of information, appointment of Accredited Representatives, Advisers and Experts and their entitlements.

EM: ASI 31 March 2008

8. Amend OI MOP

EM: ASI 31 March 2008

9. MOP approval EM: ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-6

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/06

The number of investigators of the Occurrence Investigation Department of the SACAA is not sufficient for the level and scope of activity of this Department. As a result, a significant number of reports have not been completed within the established target dates.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Review workload and functions and adapt staffing plan.

EM:ASI Completed

Draft and submit proposal to DOT for additional budget.

EM:ASI Completed

DOT decision on budget provision

DOT 31 March 2008

Prepare and submit staffing plan for approval of additional positions

EM:ASI 31 March 2008

Re-assign staff within approved staffing plan

EM:ASI 31 March 2008

Recruit and appoint additional staff EM:ASI 1 April 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-7

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/07

The investigators of the Occurrence Investigation Department of the SACAA have been provided with the same type of credentials (badges) as the SACAA inspectors, and not with badges where reference is made to the relevant provision in the legislation or regulation empowering the investigators.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Revise and re-issue badges to reflect designation and powers as per 12.01.4

EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-8

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/08

The Occurrence Investigation Department of the SACAA has established a comprehensive training programme. However, the list of programme items to be covered during initial, basic, recurrent and specialized training is being finalized and has not yet been officially approved.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop/review and incorporate section training

plan into company plan. Training philosophy to be as approved by QA

EM:ASI Completed

2. Coordinate with HR Development and Training

EM:ASI Completed

3. Amend Annex of MOP to include standard training matrix, skills profile and records to enable easy monitoring.

EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-9

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/09

The investigators of the Occurrence Investigation Department of the SACAA have access to electronic copies of the documents held in the electronic library established by the SACAA. In addition to ICAO documents, they also have access to the guidance material issued by the SACAA, in particular the Manual of Procedures for Aircraft Accident and Incident Investigations. However, there is no index of all the documents which are of relevance for the investigators. In addition, there is no mechanism in place to ensure that the investigators are effectively using the latest amendments of the documents.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Establish a system to monitor updates of all

documents.

EM:ASI Completed

2. Amend MOP to include system and processes EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-10

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/10

The Occurrence Investigation Department of the SACAA has put in place a duty roster to ensure that an officer is on duty at all times to receive and act upon notifications of accidents and incidents during office and out-of-office hours. The contact details of the officers on duty are posted on the SACAA website. However, during the period of the audit, the coordinates of the officer on duty had not been updated as needed.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. SP 001 updated to avoid an omission EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-11

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/11

There are no procedures or checklists to ensure that notifications of aircraft accidents and serious incidents are made in a timely manner to the States concerned and to ICAO, when applicable, when such notifications fall under the responsibility of South Africa. As a result, such notifications were omitted in a number of cases. Similarly, there are no procedures or checklists to ensure that preliminary reports (as per Chapter 7 of ICAO Annex 13 — Aircraft Accident and Incident Investigation), final reports and data reports (as per Chapter 7 of ICAO Annex 13) are forwarded to the States concerned and to ICAO, when applicable. Consequently, such reports have not always been forwarded as required.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop system to make information available to

duty investigators

EM:ASI Completed

2. Develop procedures and checklists for forwarding accident/serious incident notifications to other States involved and, when applicable, ICAO

EM:ASI 31 March 2008

3. Amend MOP to include Procedure

EM:ASI 31 March 2008

4. MOP approval

EM:ASI 31 March 2008

5. Review contact information on States websites and ICAO website

EM:ASI Completed

6. Review notifications and forward outstanding notifications using ECCAIRS

EM:ASI 31 July 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-12

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/12

The Manual of Procedures for Aircraft Accident and Incident Investigations provides guidance for evaluating the notifications of accidents and incidents occurring in South Africa as well as for deciding on the type of investigation to be conducted and the associated actions to be taken (e.g. deployment of a team to the site of the occurrence). However, there are no detailed guidelines for determining which cases of air traffic service (ATS)-related incidents (e.g. separation infringements and runway incursions) should be investigated by the Occurrence Investigation Department of the SACAA.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Review and develop procedures to address the

process on deciding which ATS related incidents to be investigated by SACAA

EM:ASI/SACAA 31 March 2008

2. Amend MOP to include Procedure

EM:ASI 31 March 2008

3. MOP approval

EM:ASI 31 March 2008

4. Include procedures in Guidance Material EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-13

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/13

The Manual of Procedures for Aircraft Accident and Incident Investigations contains a number of procedures, guidelines, forms and checklists related to the conduct of investigations. However, guidance is still missing or insufficient in the following areas: a) the read-out and analysis of flight recorders. Insufficient guidance is provided to ensure that the

recorders are read out in the appropriate facility and that the provisions contained in Attachment D to ICAO Annex 13 — Aircraft Accident and Incident Investigation are observed;

b) the provision of relevant and timely information on the progress of the investigation to the families of victims and accident survivors;

c) the process to be followed for informing aviation security authorities when an act of unlawful interference is involved or suspected. The process being followed in practice has not been documented; and

d) the process to be followed with respect to the performance of medical examinations on flight crew, passengers and involved aviation personnel when needed.

In addition, the guidance issued regarding the performance of autopsies (set forth both in the Manual of Procedures for Aircraft Accident and Incident Investigations and in the guidelines issued for the police authorities) has not been amended to reflect the recent change in the process being implemented.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop procedures as required

EM:ASI 31 March 2008

2. Amendment and approval of MOP

EM:ASI 31 March 2008

3. Develop guidance material as required. EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-14

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/14

There are no procedures or checklists to ensure the following: a) that draft final reports are sent for consultation with the States which participated in the

investigation or with the relevant organizations in those States (e.g. air operators or design/manufacturing organizations);

b) that the States concerned are given 60 days to provide their comments; c) that on the basis of the comments received within these 60 days, the final reports are amended or,

if not, the comments received are appended to the final report. In a number of cases, the final reports were completed without draft final reports being sent for consultation as required.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop Regulation in respect of inviting States

substantiated comments on the report within sixty days from the date of the transmittal letter

EM:ASI Completed

2. Submission to CARCOM

EM:ASI Completed

3. CARCOM approval

EM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-14 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

7. Develop procedures and checklists on the

dispatch of draft final reports for comment

EM:ASI 31 March 2008

8. Amend OI MOP

EM:ASI 31 March 2008

9. MOP approval EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-15

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/15

The Manual of Procedures for Aircraft Accident and Incident Investigations provides limited guidance with respect to the development of safety recommendations, especially regarding the level (or appropriate authority) to which the safety recommendations should be made and the entities to which copies of the safety recommendations should be sent. The SACAA Quality System Procedure No. GO005 documents the process to be followed for both the review and finalization of the safety recommendations proposed by the Occurrence Investigation Department as well as for the processing of these safety recommendations that are directed to the SACAA by the Occurrence Investigation Department. However, this procedure does not ensure that safety recommendations proposed by the Occurrence Investigation Department and directed to authorities other than the SACAA (in particular, those addressed to authorities in other States) are effectively forwarded.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop procedures to address the

recommendation to the appropriate authorities, including those in other States, of any preventive action

EM:ASI 31 March 2008

2. Develop procedures to address safety recommendations arising from its investigations to accident investigation authorities in other State(s)

EM:ASI 31 March 2008

3. Amend MOP to include Procedure

EM:ASI 31 March 2008

4. MOP approval

EM:ASI 31 March 2008

5. Include procedures in Guidance Material EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-6-16

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

AUDIT FINDING AIG/16

The SACAA has not established a documented procedure to ensure that when a State issues a safety recommendation to South Africa, this State is informed of the preventive action that South Africa has taken, of the action under consideration, or of the reason why no action will be taken.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop procedures to ensure the s State is

informed of the preventive action that South Africa has taken, of the action under consideration, or of the reason why no action will be taken.

EM:ASI 31 March 2008

2. Amend MoP to include Procedure

EM:ASI 31 March 2008

3. MOP approval

EM:ASI 31 March 2008

4. Include procedures in Guidance Material EM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/01

South Africa has promulgated legislation and regulations to ensure the provision of ANS as required under Article 28 of the Chicago Convention are provided. However, no regulations have been promulgated to enable the State to implement the provisions of ICAO Annex 10 — Aeronautical Telecommunications.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

CAR Part 171 — Aeronautical Telecommunication Service and Radio-navigation Service Providers (Electronic Services Organisations) was promulgated in the 27th amendment of the CAR. It will become effective on 1st January 2008.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/02

South Africa has implemented ICAO airspace classification in accordance to ICAO Annex 11 — Air Traffic Services. Among the applicable airspace classifications are Class F airspace portions, including ATS routes where the air traffic advisory service is provided. However, there is no plan to replace the air traffic advisory service and implement a higher classification of airspace.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Plan to review and upgrade 5 advisory routes have been developed

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/03

The organizational structure of the Aeronautical Information Services (AIS) Section of the SACAA is not documented in sufficient detail to provide a clear definition of its safety oversight functions and responsibilities. Furthermore, there is no distinct separation established between the regulatory entity and the service provider.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team with regard to provisioning of AIS. With reference to the organization of SAR activities the Department of Transport wishes to comment as follows: The South African Maritime and Aeronautical SAR Act, 2002, established a national SAR Co-ordinating Committee, namely, the SASAR Executive Committee, at a policy-making level. It also established a Secretariat charged with all administrative work in connection with the performance of the functions of SASAR. The roles and responsibilities of the Executive Committee, Management Committee, the two sub-committees namely, aeronautical and maritime, and the Secretariat are clearly defined in the SASAR Constitution as well as the SASAR manual. The SAR Directorate within the Department of Transport fulfils the role of the SASAR Secretariat. The job-descriptions of all the staff have been compiled and examples thereof were made available to the audit team. It terms of the SASAR Constitution and manual, the SASAR Executive Committee, in addition to putting into effect the policies of SASAR, must ensure the effective and efficient management of the SAR programme. This includes oversight functions and responsibilities. The International Aeronautical and Maritime Search and Rescue (IAMSAR) manual (Volume 1) provides in Appendix J, a sample Terms of Reference for SAR Co-ordinating Committee. One of the responsibilities of this committee is listed as overseeing the SAR plan and developing and maintaining a national SAR manual, as well as promoting effective use of all available facilities for SAR. The terms of reference of the SASAR Executive Committee have been aligned to what is suggested by the IAMSAR manual. Its functions and responsibilities are performed with the assistance from the Secretariat and the management committee.

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-3 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The portfolios of Head of Aeronautical and Maritime SAR operations were created at a management level in addition to the RCC’s Chiefs. They provide technical oversight functions over the RCC’s, Nowhere in the international instruments provision exists for these portfolios. This is unique to South Africa, as we sought to compensate for the lack of technical expertise within the Department by creating these portfolios and their incumbents work in close collaboration with SAR Directorate within the Department. One could safely conclude that they are an extension at this Directorate. The RCCs provides a report on their activities at every Executive Committee and over and above this requirement an annual report is complied on the activities of SASAR, for the information of the Minister and ultimately Parliament. The report includes RCCs activities for that specific reporting period. With regard to the MRCC, which is funded 100% by the Department, it is required to provide quarterly reports on their activities in terms of a Memorandum of Understanding (MoU) concluded between the Department and SAMSA. For the ARCC, the arrangement alluded to in the preceding paragraph suffices. Reporting on activities is complimented by regular visits to the RCCs and RSCs by members of the Secretariat. We must however admit that due to staff shortages, these visits have not taken place over the past 2 years. They will however be resumed once the present posts within the Secretariat have been filled. The Department will also investigate the possibility of establishing a RCC peer review mechanism with countries with which we have concluded SAR Agreements. These were discussed at the forthcoming SAR conference in October 2007.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. No change in SAR organization

DOT N/A

2. Review Organizational structure of AIS to create distinct separation of functions and responsibilities

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-3 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

3. Review MOP and Job descriptions of the

inspectorate staff to adequately re-define the functions and responsibilities.

GM:ASI 31 March 2008

4. Develop revised structure for AIS within SACAA

GM:ASI Completed

5. Submit proposal to CEO for approval. Board approval not required

GM:ASI Completed

6. Implement revised structure GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/04

The South African CATS with respect to Airspace and Traffic Services (SA-CATS-ATS), Part 172.03.04, Section 6 (Facility Requirements) sets forth communications requirements in accordance with the provisions in ICAO Annex 11 — Air Traffic Services. These requirements have been implemented for flight information service (FIS), area control service, approach control service, combined approach/aerodrome control service and aerodrome control service. However, there is no aeronautical fixed telecommunication network (AFTN) requirement for aerodrome control units. Moreover, while Parts 91.06.16 and 91.06.17 of the SA-CATS-ATS require mandatory radio communications in controlled airspace and advisory airspace (Class F), there is no such requirement for Class G airspace to reflect the requirement that all VFR aircraft and all IFR aircraft outside controlled airspace should maintain watch on a radio station furnishing communications to a unit providing FIS in a flight information region, as stated in ICAO’s Regional Supplementary Procedures (Doc 7030 - SUPPs) that is applicable to the Africa-Indian Ocean (AFI) Region.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop Regulation in respect of an aeronautical

fixed telecommunication network terminal

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI Completed

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-4 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

7. Difference to be published in AIP GEN 1.7 with

respect to Regional SUPPS & two-way radio communications for all VFR flights and all IFR flights outside controlled airspace.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/05

South Africa does not ensure that: a) the ATNS and the SAWS have established and implemented formal procedures for coordination

between the ATS services and the meteorological services in accordance with the provisions of ICAO’s Manual on Coordination between Air Traffic Services, Aeronautical Information Services and Aeronautical Meteorological Services (Doc 9377); and

b) the ATNS has established formal procedures for coordination between the ATS operators and the

aerodrome operators (including ACSA).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop and sign MOU between ATNS and

SAWS

ATNS, SAWS 30 April 2008

2. Develop regulations in respect of co-ordination between ATS and Aerodrome Operators, Military Authorities, Meteorological Services and Aeronautical Information Services.

GM:ASI Completed

3. Submission to CARCOM

GM:ASI Completed

4. CARCOM approval GM:ASI Completed 5. Submission to DOT

CARCOM Secretariat

30 June 2008

6. Ministerial approval

DOT 31 August 2008

7. Promulgation in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-6

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/06

The SACAA is responsible for the production and publication of the Aeronautical Information Publication (AIP) concerning South Africa. However, the SACAA has not established a mechanism or applied appropriate tools to ensure that aeronautical data quality requirements related to the publication resolution and data integrity are in accordance with the provisions of Appendix 7, Tables 1 to 5 of ICAO Annex 15 — Aeronautical Information Services.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop proposal for the

implementation/acquisition of the Electronic AIS Documentation Management System, with aeronautical data storage capability.

GM:ASI Completed

2. Obtain SACAA approval for acquisition

GM:ASI 31 May 2008

3. Install system

GM:ASI 30 September 2008

4. Implement the Cyclic Redundancy Check (CRC), for protection of the integrity level of critical and essential aeronautical data.

GM;ASI 31 October 2008

5. Review and formalise procedure for provision of data from raw data providers.

GM;ASI 30 November 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-7

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/07

The SACAA and the SAWS have established dedicated inspectorates or bodies to carry out their safety oversight tasks and regulatory functions over the ANS providers. The training programmes established by these entities however do not include on-the-job training before the delegation of assigned tasks and responsibilities.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team. The SAWS expanded their MET Authority inspectorate and are in the process of developing formalised training programmes for MET Authority Inspectors. With respect to SASAR, the Department of Transport comments as follows. Section 4 (2) (b) of the South African Maritime and Aeronautical SAR Act, 2002, provides that any person appointed in terms of the Act or concerned with the carrying out of the provisions thereof must perform his/her functions pursuant to the object of SASAR. The objective of SASAR is stated as to ensure as to ensure a co-ordinated and effective maritime and aeronautical search and rescue services within the South African search and rescue region. The Act also provides that SASAR must perform its functions in a manner, which promotes effective, economic and effective use all resources. Section 5(8) requires SASAR managers to ensure that SASAR operations are conducted in accordance with laid down standards and recommended practices (SARPS) as reflected in the SASAR manual and as considered the norm in terms of international instruments. The Act also makes provision for SAR exercises. The provision alluded to above, although not expressly, presupposes that SAR personnel should reach and maintain a high level of competency. The responsibility to ensure this rests with the management corps of SASAR. The SASAR manual dedicates a whole chapter to training. It also identifies persons who are responsible for training of staff at all levels of the SASAR organisations. It further pronounces on the different types of training, including on-the-job training and spells out the techniques that could be employed for on-the-job training. The SAR staff complement in South Africa consists of well-trained Air Traffic Controllers who have undergone a comprehensive syllabus for aeronautical SAR Mission Co-ordinators (SMC) before being deployed.

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-7 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

It was implored upon the audit team that aeronautical SAR training is an intrinsic part of ATC training in South Africa. However, before being deployed for SAR purpose, they go through an induction process normally conducted by an experienced SMC at the RCC. In addition refresher training is offered by the RCC management corps. The SAR Inspectorate personnel, except for the Secretariat, are qualified and competent SAR Mission Co-ordinators who have vast experience (over 50 years) in SAR between them. The Secretariat also gets a lot of exposure to SAR technical matters through attendance and participation in international meetings, conferences, seminars, exercises, national SMC courses etc, In addition, the Secretariat maintains a library which assists in increasing their level of knowledge. No Change to the existing SAR arrangements is therefore intended.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. No Change to the existing SAR arrangements

NDOT N/A

2. Develop OJT Manual to be developed for ATS, AIS, Pans Ops & Cartographic Inspectors in conjunction with HRD

GM:ASI Completed

3. Develop OJT Manual to be developed for AIS, in conjunction with HRD

GM:ASI 31 March 2008

4. Amend MOP to include OJT Procedure

GM:ASI Completed

5. MOP approval

GM:ASI Completed

6. Letter stipulating requirements addressed to known service providers.

GM:ASI Completed

7. AIC to be issued. GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-7 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

8. OJT Schedule to be developed for MET

Authority Inspectors

MET Authority Completed

9. OJT Schedule approval

MET Authority Completed

10. Additional MET inspectors OJT completed MET Authority Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-8

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/08

South Africa’s ATNS has established the procedures to be followed for rendering assistance to an aircraft in the event of emergencies, such as unlawful interference, aircraft bomb threat and emergency descent. However, the procedures do not reflect the provisions of ICAO Annex 2 — Rules of the Air, Attachment B and have not been published in the AIP.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Incorporate Attachment B to Annex 2 in the

ATCIs.

GM:ASI Completed

2. Amend the AIP ENR 1 accordingly.

GM:ASI Completed

3. Publish the procedures for unlawful interference in the AIP, ENR 1.13. AIRAC cycle applies.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-09

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/09

The SACAA is responsible for the implementation of the provisions of ICAO Annex 4 — Aeronautical Charts in South Africa, in agreement with the Surveys and Mapping Directorate (SMD) (under the responsibility of the Ministry of Land Affairs). However, South Africa has not made available to users all the charts which are applicable in the State in accordance to the relevant provisions of ICAO Annex 4.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. One cartographer have been appointed to produce

charts

GM:ASI Completed

2. One cartographers will be appointed to produce charts

GM:ASI 31 March 2008

3. ATNS will be contracted under a Memorandum of agreement to produce the outstanding charts.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-10

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/10

South Africa has established contingency plans in the event of disruption or potential disruption of ATS or related supporting services. However, the national ATS contingency plans developed by South Africa have not yet been coordinated with the adjacent flight information regions (FIRs) or States and with ICAO in accordance with ICAO Annex 11 — Air Traffic Services and Air Traffic Services Planning Manual (Doc 9426). Furthermore, the frequencies assigned to air-to-air communications (traffic information broadcast by aircraft or TIBA) within South African airspace do not conform to ICAO SARPs and the AFI VHF Frequency Utilization Plan which recommend the use of VHF frequency 123.45 MHz.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA disagrees with the first part of the finding of the ICAO audit team. All Letters of Procedure with affected States that have been signed have been copied to ICAO ESAF. Copy of Contingency Plan has been forwarded to ICAO ESAF Office (in accordance with Annex 11, Chapter 2.29).

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Difference to be published in AIP GEN 1.7 with

respect to Regional SUPPS & TIBA frequency used in SA.

GM:ASI 31 March 2008

2. Develop regulatory requirements to ensure that national ATS contingency plans are coordinated with adjacent FIRs, States and with ICAO.

GM:ASI Completed

3. Submission to CARCOM

GM:ASI 31 March 2008

4. CARCOM approval

GM:ASI 31 May 2008

5. Submission to DOT CARCOM Secretariat

30 June 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-10 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

6. Ministerial approval

DOT 31 August 2008

7. Promulgation in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-11

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/11

South Africa has implemented area navigation/required navigation performance (RNAV/RNP) ATS routes in its airspace following conclusive pre-implementation safety assessments. However, there are no provisions to ensure that the monitoring of navigation performance and periodic safety assessments are implemented in accordance to ICAO’s Manual on Required Navigation Performance (Doc 9613) and that an acceptable level of safety is maintained.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulatory requirements, where PBN has

been implemented, to monitor the system

GM:ASO Completed

2. Submission to CARCOM

GM:ASO Completed

3. CARCOM approval

GM:ASO Completed

4. Submission to DOT

CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette DOT/ SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-12

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/12

The SACAA does not conduct effectively safety oversight over the entity providing AIP-related services.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Strategic review of SACAA AIS oversight

functions and subsequent implementation

GM:ASI Completed

2. Develop revised structure

GM:ASI Completed

3. Submit proposal to CEO for approval

GM:ASI Completed

4. Implement revised structure GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-7-13

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/13

The SACAA has not established a mechanism to ensure that communications, navigation and surveillance (CNS) facilities are duly protected against potential harmful interference through formal coordination procedures with South Africa’s ICASA in accordance with the International Telecommunication Union (ITU) radio regulations and the provisions in ICAO’s Annex 10 —Aeronautical Telecommunications and the Handbook on Radio Frequency Spectrum Requirements for Civil Aviation including statement of approved ICAO policies (Doc 9718).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Revise MOU between CAA & ICASA to include

registration of facilities with ICASA & the ITU.

GM:ASI Completed

2. Signature of MOU GM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-1

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/01

South Africa’s CAR Part 139 (“Aerodromes and Heliports: Licensing and Operation”) and the South African CATS (SA-CATS-AH) set forth regulatory provisions related to the operation and certification of aerodromes. However, these regulations are not in line with the latest amendment to ICAO Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations and Volume II — Heliports. In addition, some of the provisions of ICAO Annex 14 have not yet been promulgated in South Africa.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Draft amendment of CAR Part 139 to incorporate

the provisions of the latest current edition of Annex 14 Vol I and II and add accountabilities and applicability.

GM: ASI Completed

2. Submission to CARCOM

GM: ASI Completed

3. CARCOM approval

GM: ASI 31 May 2008

4. Submit to DOT

CARCOM Secretariat

31 July 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgate in Gazette DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-2

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/02

Within the Air Safety Infrastructure Department of the SACAA, the Aerodrome Safety Division is responsible for “aerodrome licensing and compliance, frequency spectrum management, the monitoring of navigation and approach aids and obstacle clearance approvals.” The Aerodrome Safety Division is organized into two sections: the Aerodrome Infrastructure Section and the Aerodrome Operation Section. Even though the Aerodrome Safety Division is responsible for aerodrome licensing and compliance, its functions and responsibilities have not been clearly defined.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Review and implement new structure that clearly defines functions and responsibilities

GM:ASI Completed

Review and implement amendment to MOP for the Aerodrome Infrastructure Section and the Aerodrome Operation Section.

GM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-3

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/03

The Aerodrome Safety Division does not have sufficient technical and administrative staff to effectively carry out its functions and responsibilities.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Review workload and functions and adapt staffing plan. Re-assign staff within approved staffing plan

GM: ASI Completed

Prepare and submit staffing plan for approval of additional positions

GM: ASI Completed

Recruit and appoint additional staff GM: ASI 31 May 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-4

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/04

The SACAA has not established or implemented a formal training programme detailing the type of training to be provided to the aerodrome regulatory staff during their initial, on-the-job, recurrent and specialized training.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop/review and incorporate section training

plan into company plan.

GM:ASI Completed

2. Coordinate with HR

GM:ASI Completed

3. Implement programme and monitor compliance. GM:ASI 30 April 08

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-5

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/05

The aerodrome certification process established by the SACAA includes procedures for accepting non-compliance with the established requirements. However, the SACAA has not developed a regulatory statement defining the circumstances and rationale under which aeronautical studies and/or risk assessments may be used and no guidance has been made available to aerodrome operators and regulatory staff on how to develop and evaluate aeronautical risk assessments. The SACAA does not have a process for using aeronautical studies/risk assessments when granting exemptions from requirements and does not ensure publication of the outcome of the risk assessments.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Develop regulations in respect of risk assessment and granting of exemptions

GM:ASI Completed

Submission to CARCOM

GM:ASI Completed

CARCOM approval

GM:ASI 31 May 2008

Submission to DOT CARCOM Secretariat

30 June 2008

Ministerial approval

DOT 31 August 2008

Promulgation in Gazette

DOT/ SACAA 30 September 2008

Develop procedures and guidance material in respect of risk assessment and granting of exemptions.

GM:ASI 31 March 2008

Review and confirm that existing outcomes/exemptions are published

GM: ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-6

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/06

The SACAA has not established requirements for the determination and reporting of pavement bearing strength and has not established criteria and associated industry guidelines to regulate the use of a pavement by an aircraft classification number (ACN) higher than the reported pavement classification number (PCN).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Draft CATS-AH to establish requirements for determination and reporting of PCN

GM:ASI Completed

Draft Regulation to regulate in cases where ACN is higher than PCN

GM:ASI Completed

Submission to CARCOM

GM:ASI Completed

CARCOM approval CARCOM Secretariat

31 May 2008

Submission to DOT

DOT/ SACAA 30 June 2008

Ministerial approval

DOT 31 August 2008

Promulgation in Gazette GM:ASI 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-7

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/07

The SACAA does not ensure that the aerodrome operators: a) assess the coverage of water on runway surfaces, taking in to account the need of aircraft crews to

make operational adjustments in accordance with aircraft performance requirements; and b) have a process for determining if the relevant runway, or part of, may be slippery when wet and

for providing the pertinent information, including the minimum friction level related to the slippery runway conditions and the type of friction measuring device used.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to include water level checks

on an AD and process of notification to be included in AD MOP’s

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Adapt ASD MOP and check sheets to include checking of operators processes.

GM:ASI Completed

8. MOP approval GM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-7 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

9. Develop and publish a process for determining

and providing relevant information that a runway, or part of, may be slippery when wet, in guidance material.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-8

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/08

The SACAA does not ensure that aerodrome operators comply with regulatory requirements for the following: a) provide a fence or suitable barriers to aerodromes and off-aerodrome ground installations and

facilities, including sewers, ducts and tunnels; and b) ensure the lighting of security fences and barriers.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop Regulation in respect of for the

provision of a fence or suitable barriers to aerodromes and off-aerodrome ground installations and facilities, including lighting sewers, ducts and tunnels

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Adapt check sheets to include checking of fencing or barriers, including the abovementioned under 1.

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-8 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

8. Amend ASD MOP

GM:ASI Completed

9. MOP approval GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-9

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/09

South Africa has not established the following: a) a process to ensure that an aerodrome operator’s plan for lighting, signs and markings is

integrated as a whole into the aerodrome’s runway incursion and avoidance strategy, taking account the different traffic intensities and visibility conditions;

b) regulatory requirements for apron markings; c) requirements for the provision of runway lead-in lighting systems due to noise abatement or for

avoiding hazardous terrain; and d) regulations restricting construction or maintenance activities in the proximity of aerodrome

electrical systems during low visibility operations.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulatory requirements for apron

markings, runway lead-in lighting systems and construction or maintenance activities in the proximity of aerodrome electrical systems

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-9 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

7. Adapt check sheets to include checking of

aerodrome operator’s plan for lighting, signs and markings is integrated as a whole into the aerodrome’s runway incursion and collision avoidance strategy.

GM:ASI Completed

8. Amend ASD MOP

GM:ASI Completed

9. MOP approval

GM:ASI 31 March 2008

10. Include a process in guidance material. GM:ASI 31 March 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-10

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/10

South Africa has not established regulatory requirements for the following: a) the use of high intensity stop bars when they form part of an advanced surface movement

guidance and control system (SMGCS); and b) the use of higher intensity taxiway centre line lights when they form part of an advanced SMGCS. In addition, the SACAA does not ensure that an aerodrome’s SMGCS is designed to prevent inadvertent incursions of aircraft and vehicles onto an active runway or taxiway, taking into account the elements listed in ICAO Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations..

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulations for the use of high intensity

stop bars when they form part of an ASMGCS

GM:ASI Completed

2. Develop regulations for the use of high intensity taxiway centre line lights when they form part of an advanced SMGCS

GM:ASI Completed

3. Submission to CARCOM

GM:ASI Completed

4. CARCOM approval

GM:ASI 31 May 2008

5. Submission to DOT CARCOM Secretariat

30 June 2008

6. Ministerial approval

DOT 31 August 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-10 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

7. Promulgation in Gazette

DOT/SACAA 30 September 2008

8. Develop ASMGS roll out

GM:ASI 31 August 2008

9. Prepare and dispatch starter pack to ACSA and ATNS regarding training requirements for drivers, ATC’s etc

GM:ASI 31 August 2008

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-11

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/11

South Africa has not established provisions requiring the measurement of friction characteristics and appropriate corrective maintenance. It has also not developed a process to ensure that aerodrome operators have to maintain good friction characteristics and low rolling resistance on runway.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require the measurement of

friction characteristics and appropriate corrective maintenance.

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Adapt check sheets to include checking of operators processes to maintain good friction characteristics and low rolling resistance on runways.

GM:ASI Completed

8. Amend ASD MOP

GM:ASI Completed

9. MOP approval

GM:ASI 31 March 2008

10. Include the process in guidance material. GM:ASI 31 March 2008 ∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-12

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/12

When new construction above, below or outside the Obstacle Limitation Surface (OLS) is proposed, South Africa does not require coordination between the land use authorities and the appropriate aviation interests and, in the event of conflicting interests between the two, the SACAA does not have a process to ensure that aircraft safety is not compromised.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulations in respect of coordination

between the land use authorities and in the event of conflicting interests between land-use and aviation authorities

GM:ASI Completed

2. Submission to CARCOM

GM:ASI Completed

3. CARCOM approval

GM:ASI 31 May 2008

4. Submission to DOT CARCOM Secretariat

30 June 2008

5. Ministerial approval

DOT 31 August 2008

6. Promulgation in Gazette

DOT/SACAA 30 September 2008

7. Develop procedures to be followed to ensure aircraft safety is not compromised in the event of conflicting interests between land use and aviation authorities.

GM:ASI Completed

8. Amend ASD MOP

GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-12 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

9. MOP approval

GM:ASI Completed

10. Include the procedure in guidance material. GM:ASI Completed

∗ Text reproduced as submitted by South Africa

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APPENDIX 3-8-13

CORRECTIVE ACTION PLAN PROPOSED BY SOUTH AFRICA RELATED TO AERODROMES

AUDIT FINDING AGA/13

The SACAA ensures that aerodrome operators provide a discreet communication system and alerting system among vehicles, fire stations and aerodrome control towers and ensures that adequate emergency access roads are provided at the aerodromes. However, the SACAA has not promulgated regulatory requirements for these provisions.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The SACAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop regulation to require and ensure that

aerodrome operators provide a discrete communication system and an alerting system among vehicles, fire stations and aerodrome control towers

GM:ASI Completed

2. Develop regulation to require and ensure that adequate emergency access roads are provided at aerodromes

GM:ASI Completed

3. Submission to CARCOM

GM:ASI Completed

4. CARCOM approval

GM:ASI 31 May 2008

5. Submission to DOT CARCOM Secretariat

30 June 2008

6. Ministerial approval

DOT 31 August 2008

7. Promulgation in Gazette DOT/ SACAA 30 September 2008

— END —

∗ Text reproduced as submitted by South Africa