summary report on the safety oversight audit follow...

ICAO Universal Safety Oversight Audit Programme

SUMMARY REPORTON THE SAFETY OVERSIGHT

AUDIT FOLLOW-UPOF THE

CIVIL AVIATION AUTHORITYOF

CAPE VERDE

(Praia, 5 to 10 February 2003)

International Civil Aviation Organization

Audit follow-up summary report — Cape verde June 2003

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Summary Report on the Safety Oversight Audit Follow-upof the Civil Aviation Authority of Cape Verde

(Praia, 5 to 10 February 2003)

1. INTRODUCTION

1.1 Background

1.1.1 The “Instituto da Aeronáutica Civil” (IAC) of Cape Verde, hereafter referred to as the CivilAviation Authority (IAC) and formerly the Directorate General of Civil Aviation (DGCA), was initiallyassessed under the voluntary ICAO Safety Oversight Assessment Programme from 18 to 22 November 1996by an ICAO assessment team. Subsequently, an audit was carried out from 1 to 5 March 1999 pursuant toAssembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU)agreed to on 10 February 1999 between Cape Verde and ICAO. The objectives of the audit were twofold.Primarily, its objective was to fulfil the mandate given to ICAO pursuant to the above-mentioned AssemblyResolution. Secondly, the audit was conducted with the objective of ascertaining the progress made in theimplementation of the recommendations forwarded during the voluntary assessment conducted in 1996 andto re-ascertain the safety oversight capability of the DGCA (now IAC) of Cape Verde. The audit also aimedat ensuring that Cape Verde was in conformity with ICAO Standards and Recommended Practices (SARPs),as contained in Annexes 1, 6 and 8 to the Convention on International Civil Aviation (Chicago Convention)and related provisions in other Annexes, guidance material and relevant safety-related practices in generaluse in the aviation industry.

1.1.2 On 16 April 1999, Cape Verde submitted a corrective action plan addressing all the findingsand recommendations contained in the audit interim report. The action plan submitted was reviewed by theSafety Oversight Audit (SOA) Section and was found to be satisfactory. The action plan provided was takeninto consideration in the preparation of the final and summary reports. The summary report was distributedto all Contracting States by State letter AN 19/1-99/87 in August 1999.

1.2 Objectives and activities of the audit follow-up mission

The audit follow-up mission was conducted in accordance with Article 18 of the MOU andthe ICAO Safety Oversight Audit Manual (Doc 9735). The objective of this mission was to validate theimplementation of the corrective action plan and to ascertain the status of the progress made, which enablesICAO to update the information contained in the audit findings and differences database (AFDD) and alsoto inform other Contracting States on the status of the safety oversight system of Cape Verde through anon-confidential summary report. It is important to appreciate in this respect that audit follow-up missionsare not audits and are not designed to evaluate all aspects of a State’s aviation framework or safety oversightsystem.

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2. CIVIL AVIATION ACTIVITIES IN CAPE VERDE

At the time of the audit follow-up mission, civil aviation activities in Cape Verde included:

a) number of technical staff employed by the organization at Headquarters 8

b) number of regional offices 0

c) number of technical staff employed at regional offices 0

d) number of active pilot licences 99

e) number of active flight crew licences other than pilot licences(flight engineer and flight navigator)

0

f) number of aviation training establishments 0

g) number of active licences other than flight crew licences 136

h) number of commercial air transport operators 2

i) number of air operator certificates (AOCs) issued 1

j) number of aircraft operations inspectors 2

k) number of aircraft registered in Cape Verde 8

l) number of currently valid certificates of airworthiness issued 8

m) number of approved maintenance organizations (AMOs) 1

n) number of non-approved aircraft maintenance organizations 0

o) number of design organizations 0

p) number of aircraft manufacturing organizations 0

q) number of aircraft parts or equipment manufacturing organizations 0

r) number of aircraft type certificates issued 0

s) number of type certificates other than aircraft issued 0

t) number of aircraft airworthiness inspectors 4

3. EXECUTIVE SUMMARY

3.1 Since the ICAO safety oversight audit carried out in March 1999, Cape Verde has undertakensignificant efforts to amend and upgrade its civil aviation regulatory framework and guidance material so asto allow it to comply with ICAO SARPs. At the legislative level several laws have been enacted and the most

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important are the new Aeronautical Code, the “Código Aeronáutico de Cabo Verde” and the law creating thenew Civil Aviation Authority, “the Instituto da Aeronáutica Civil” (IAC), which has now a full autonomyto administer, regulate and supervise the aviation activities in Cape Verde and to enforce the application ofthe implemented regulations. The IAC has subsequently undertook an extensive effort to develop newregulations, the Cape Verde Civil Aviation Regulations (CV CARs), covering all aviation aspects. The IACelected to adopt the model civil aviation regulations developed by ICAO as the baseline for its regulatorysystem and to adapt them to the environment of Cape Verde and also to its needs. The IAC has alreadylaunched the assessment of the recently adopted CV CARs in order to identify the differences from ICAOSARPs and to notify them to ICAO.

3.2 The IAC has gradually reinforced its safety oversight capabilities since its inception inJune 2001 and has filled essential positions in its licensing, operations and maintenance divisions withqualified personnel. With the technical assistance of the United States Federal Aviation Administration(FAA), the IAC has undertaken the training of its staff. At the same time Cape Verde has established anagreement with the United States and with the technical support of the FAA, the IAC staff has developedextensive technical guidance material consisting of procedures, job aids and forms to support implementationof the newly established system for the certification and surveillance of aviation-related activities. The IAChas also strengthened its competency in the core functions by recruiting and appointing highly qualifiedpersonnel. The IAC has now the necessary financial resources to recruit, train and retain highly qualified staffand plans to hire additional inspectors and other staff to cover the full scope of its responsibilities.

3.3 The IAC has improved the licensing system by establishing new personnel licensingregulations, the CV CAR Part 2 effective since 9 December 2002, and procedures which clearly define andestablish functions and responsibilities of the Personnel Licensing Office within the IAC. The IAC has alsoappointed a personnel licensing officer who has received formal training and extensive on-the-job training(OJT) in processing applications for issuing personnel licences. As part of the personnel licensing systemdeveloped by the IAC, application forms have been prepared and validation standards have beenimplemented. The IAC has also formally designated a medical centre in Portugal to carry out medicalexaminations for the Cape Verde licence holders. One qualified medical examiner was recruited inCape Verde as IAC medical adviser. There is now a system for the certification and inspection of aviationtraining centres as well as an established system to ensure the qualification and competency of examiners andinstructors providing training to Cape Verde licence holders.

3.4 In the field of aircraft operations, the IAC has considerably improved its safety oversightcapabilities by adopting comprehensive and efficient regulations and substantial guidelines consisting ofprocedures, job aids and forms covering the entire process for the certification and surveillance of airoperators. The IAC has also established an adequate system for the certification of air operators and thecontinued surveillance of AOC holders. It has strengthened its competency in the core functions related toaircraft operations by recruiting a highly qualified flight operations inspector. The IAC launched aprogressive programme for the re-certification of the existing two operators who have been allowed aharmonization period until the end of June 2003 to fully comply with the new aircraft operations system.

3.5 In the area of airworthiness and maintenance of aircraft, the IAC has modernized drasticallyits system by adopting a set of regulations in the CV CARs and establishing an Inspector’s Handbookcovering the entire process relating to the issuance of a certificate of airworthiness and its validity. The IAChas also developed extensive guidance material in the airworthiness area and is acting in conformity with that

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guidance. The Airworthiness Division is adequately staffed with three full-time inspectors including the Headof the Department who has extensive experience in that field. The technical library of the IAC has beenimproved and supplemented with electronic resources. It now includes current copies of the maintenancecontrol manuals, master minimum equipment lists (MMELs) and minimum equipment lists (MELs), asoutlined in ICAO guidance material.

4. RESULTS OF THE AUDIT FOLLOW-UP MISSION

4.1 Primary aviation legislation and civil aviation regulations

4.1.1 a) Action proposed by State. With respect to the need for Cape Verde to urgentlypromulgate a national primary aviation legislation to provide for the establishmentof a civil aviation authority empowered, or appropriately delegated, to make andenforce rules and regulations with respect to civil aviation activities in the State,Cape Verde has proposed in its corrective action plan to start drafting a primary civilaviation legislation with the assistance of a legal consultant. Drafting of thelegislation would start on 14 April 1999 and would be submitted to the Governmentand enacted by January 2000.

b) Validation of action proposed. The Aeronautical Code of Cape Verde, the “CódigoAeronáutico de Cabo Verde”, has been established by Legislative Decree No.1/2001 dated 20 August 2001. The Aeronautical Code, which launches themodernization of the civil aviation sector and establishes an appropriate andcomprehensive legal framework to administer the civil aviation sector, has beenenacted by the Parliament under Law No. 2/VI/2001 dated 21 May 2001 andpromulgated by a Presidential Decree. Regulatory Decree No. 02/2001 created thenew Civil Aviation Authority of Cape Verde called the “Instituto da AeronáuticaCivil” (IAC). The IAC has administrative and financial autonomy and is the uniqueauthority responsible for the administration, regulation and supervision of the entirecivil aviation activities (Article 321 of the Code). The IAC is headed by a Presidentand managed by a three-member Board of Directors proposed by the Minister ofTransport and Infrastructure and appointed by a Prime Minister Decree. Articles 171and 172 of the Aeronautical Code describe the general supervisory powers of theauthority. Under Article 14 of the IAC’s by-laws, the Board has the authority toissue the Cape Verde Civil Aviation Regulations (CV CARs) and amendmentsthereto. These regulations are issued by the Board and under the signature of thePresident. The Constitution of Cape Verde specifies the procedure for amendmentof all laws. The IAC issues directly regulations applicable to all civil aviationmatters and prepares draft amendments to the Aeronautical Code and submits themto the adoption channel through the Cabinet of the Minister. Concerning theenforcement aspects, several articles of the Aeronautical Code and CV CARs, suchas Parts 6, 8 and 9, specify the role of the IAC. The ICAO recommendation has beencomplied with.

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4.1.2 a) Action proposed by State. Concerning the need for the DGCA to urgently enactcivil aviation regulations which will enable it to control and supervise aircraftoperations in Cape Verde and thus fulfil its safety oversight obligations, the DGCAindicated that it will start the drafting of specific civil aviation regulations with theassistance of a legal consultant. The drafting of the regulations would start on29 April 1999 and was expected to be completed by 11 May 1999. The action planfurther indicated that the civil aviation regulations would be submitted to theGovernment as part of a package of civil aviation regulations on 9 November 1999,and it was expected that the package would be enacted into law on 24 January 2000.

b) Validation of action proposed. The new Aeronautical Code recently promulgatedby Cape Verde provides for the introduction of air navigation regulations andenables the IAC to issue them. Accordingly, the IAC has already published on9 December 2002, with immediate effect, the CV CARs governing all civil aviationaspects. They are derived from the model regulations developed by ICAO andadapted to the need of Cape Verde. In addition to these regulations, the IAC has alsodeveloped comprehensive and adequate guidelines for its staff consisting inprocedures, standards and job aids. The CV CARs are issued by the Board and underthe signature of the President of the IAC. The IAC has also established a process forthe implementation and revision of the national regulations and started recently anassessment of the regulatory framework in order to evaluate its compliance withICAO provisions and to identify the potential differences. A first draft of differenceshas already been established. At the same time and with the technical support of theUnited States FAA, the IAC staff is also participating in the development oftechnical guidance material to support implementation of the new regulations.Operators are allowed a harmonization period lasting until 30 June 2003 to fullycomply with the new provisions. The IAC has not yet developed a formal procedurefor the amendment of CV CARs and has not yet identified all differences fromICAO SARPs in order to notify them to ICAO. The ICAO recommendation remainsopen.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it has developed a procedure for the amendment of theCV CARs (Ref. IAC-CAR-001) and has now identified its differences to Annex 1 andAnnex 6, Part I, SARPs and will publish its differences in the next issue of the AIP(1 August 2003). Differences from ICAO Annex 8 are in the revision process and anupdated report of differences (Annexes 1, 6, Part I, and 8) will be submitted to ICAOby 31 July 2003. Differences from Annex 6, Parts II and III, will be notified to ICAOand will be published in the AIP by 1 August 2003.

4.1.3 a) Action proposed by State. With respect to the need for the Government ofCape Verde to provide the DGCA and his inspectorate staff sufficient authority tohave the right of access to all commercial civil aviation facilities in Cape Verde tocarry out inspections or other control and supervision-related duties, the DGCAindicated that the draft primary aviation legislation will provide the necessaryauthority and it is expected to be promulgated by January 2000.

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b) Validation of action proposed. The inspectorate staff of the IAC has beenempowered by the by-laws of the IAC (Regulatory Decree No. 02/2001, Article 28,paragraph 1a)) to unlimited access, without any prior notification, to operators’ andorganizations’ facilities, equipment, documents, etc. In addition, an aviation law,specifically detailing their prerogatives, and Articles 28 and 29 of the by-laws alsospecify that IAC inspectors may detain an aircraft for safety reason. Several sectionsof the CV CARs also provide for free access for inspection purposes and forcredentials and badges to be issued to the inspectorate staff. The ICAOrecommendation has been complied with.

4.1.4 a) Action proposed by State. With respect to the need for the DGCA to establish asystem for the certification, approval and supervision of operators and organizationswithin Cape Verde, the DGCA indicated that, once the regulations are in place, itwill establish the necessary system to carry out the certification activities foroperators and maintenance organizations by January 2000.

b) Validation of action proposed. The IAC has established a system for thecertification and continued surveillance of air operators, training centres andmaintenance organizations requiring them a prior authorization/approval inconformance with ICAO provisions. The system includes appropriate regulations,adequately trained staff, job aids, procedures and several guidelines specifying therole and responsibilities of the IAC Aircraft Operations, Airworthiness andPersonnel Licensing Divisions in the process of certification and surveillance ofaviation-related activities. An enforcement system has been developed and isfunctioning well. Existing operators are required to harmonize their systems with thenew certification requirements by 30 June 2003. The ICAO recommendation hasbeen complied with.

4.1.5 a) Action proposed by State. With respect to the need for the DGCA to develop acomprehensive airworthiness code, the DGCA indicated that it would draft theairworthiness regulations by May 1999. The action plan further indicated that thecivil aviation regulations would be submitted to the Government and it was expectedthat it would be enacted into law on 24 January 2000.

b) Validation of action proposed. The IAC has established regulations applicable toairworthiness of aircraft under the registry of Cape Verde. The State does not issueaircraft type certificates and does not validate type certificates issued by otherStates. Cape Verde accepts the airworthiness code of the State of Design. Theapplicable regulations make mandatory the airworthiness directives (ADs) issued bythe State of Design as well as prior approval of major modifications or any aircraftdesign engineering aspects. The ICAO recommendation has been complied with.

4.2 Organization of civil aviation

4.2.1 a) Action proposed by State. Concerning the need for the Government of Cape Verdeto establish an appropriate civil aviation organization in order to undertake its safety

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oversight obligations, Cape Verde provided for the establishment of the PersonnelLicensing and Aircraft Operations Divisions and for the strengthening of theAirworthiness Division. The establishment and strengthening programme wasscheduled to start in May 1999 and to be completed by 18 July 2001.

b) Validation of action proposed. Cape Verde has reviewed its civil aviationorganization system and created a new organization, the IAC. The IAC is anautonomous public enterprise created by law and managed by a Board of Directorsheaded by a President. All the Board members, including the President, areappointed by the Prime Minister. The Government of Cape Verde has establishedthe mission and objectives of the IAC. The IAC has the full authority on its incomegenerated by its revenues already fixed by law and by a Ministerial Order. TheBoard of Directors has established an efficient organizational structure adapted tothe Cape Verde needs and the new organizational structure has already beentransmitted to ICAO. The IAC has not established regional offices and all tasksincluding inspections are carried out from Praia. The ICAO recommendation hasbeen complied with.

4.2.2 a) Action proposed by State. With respect to the need for the DGCA to be providedwith sufficient human resources including financial support to accomplish its safetyoversight obligations, the DGCA indicated that it will recruit the necessary expertsin licensing, operations and airworthiness and provide the necessary training to theseexperts by December 2000.

b) Validation of action proposed. The IAC is presently well staffed and all aviationtechnical areas of expertise are presently covered by highly-qualified managersassisted by well-trained staff. The IAC has sufficient resources to recruit and trainits staff and the Board has the full authority to establish and organize the IAC in themost efficient manner. The management has developed a policy for theestablishment of terms of references for all technical positions, which is alsomandatory by Government Directives in all sectors, as well as a policy to sustaineach process by regulations, guidance material and procedures. A Ministerial Orderspecifies the minimum qualification and basic education requirements to beemployed by the IAC in managerial or technical level. In case of recruitment, theIAC has to advertise the potential post specifying the terms of references, the basiceducation requirements and any additional qualification needed and has to proceedfor the recruitment in accordance with the Government Directives. The IAC has thefull authority on the entire recruitment process including the determination andapplication of any additional training needed. The level of remuneration of the IACis now comparable to the one of the industry, which also favours the recruitment ofhighly-qualified staff. The ICAO recommendation has been complied with.

4.2.3 a) Action proposed by State. With respect to the need for the DGCA to appropriatelystaff the Personnel Licensing Division, the DGCA indicated that it will recruit apersonnel licensing expert by December 1999 and provide the necessary trainingand development to the staff in the division by September 2000.

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b) Validation of action proposed. The IAC has established a Personnel LicensingDivision within the organization. The terms of references as well as job descriptionsclearly specify the responsibility of the Personnel Licensing Division and itsinvolvement in safety oversight processes in order to administer the licensing systemin coordination with the Aircraft Operations and Airworthiness Divisions. Amongits terms of references, the Personnel Licensing Division is responsible for thepreparation and amendment of CV CARs and procedures applicable to the personnellicensing system. The ICAO recommendation has been complied with.

4.3 Personnel licensing and training

4.3.1 a) Action proposed by State. With respect to the need for the DGCA to establish anadequately organized Personnel Licensing Division, the DGCA indicated in itsaction plan that implementation would start as early as January 1999 with therecruitment of a licensing expert and would be completed by October 2000 with theestablishment of the Personnel Licensing Division.

b) Validation of action proposed. The IAC has assigned a full-time licensing officeras responsible for the Personnel Licensing Division. This officer has over six yearsof experience in the performance of licensing duties and has received a formalon-the-job training (OJT) under an agreement between the IAC and the FAA. Thisofficer is assisted by an administrative staff and also substantively supported byqualified airworthiness and operations inspectors in their core functions and areasof responsibilities. Two computers with access to the local network and access tofacsimile and international communications have been provided to the division. Inaddition, the IAC is presently moving the management of its licensing database toa full electronic system. The IAC mainly issues licences on the basis of licencesissued by other Contracting States and develops and conducts its own writtenexaminations for licensing and aircraft type ratings. Directive PCL-009 has beendeveloped by the IAC to that effect. The IAC inspectors and technical staff areconsidered the main examiners for practical tests but some examinations are carriedout by designated examiners under the supervision of IAC inspectors. The IAC hasestablished a system for the designation of these examiners including theirsurveillance, and they are appointed for one year. The IAC has not yet establishedan adequate system for the approval and continuing surveillance of training centresand has not yet published in the national Aeronautical Information Publication (AIP)the examination requirements for validation of licences and ratings. The ICAOrecommendation remains open.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that there are no training centres in Cape Verde. Personsqualified in foreign training centres are examined in Cape Verde for the purpose ofissuance of licences and ratings. The IAC will develop a procedure for the approvaland continuing surveillance of training centres providing flight simulator training,by 1 August 2003. The IAC will publish the examination requirements for validationof licences and ratings in the national AIP by 1 August 2003.

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4.3.2 a) Action proposed by State. Concerning the need for the DGCA to promulgatenational personnel licensing regulations and also develop the necessary proceduresand requirements for initiating the licensing process, the DGCA indicated that theregulations will be promulgated by December 1999 and the necessary procedureswill be developed by January 2000.

b) Validation of action proposed. The IAC has developed and published CV CARsPart 2 and guidance documents, procedures and job aids related to personnellicensing. In addition, application forms for various licences and ratings, containingall the required information, have been established by the IAC. The personnellicensing officer is responsible for the assessment of the applications and theestablished procedures require coordination with the Aircraft Operations andAirworthiness Divisions for their area of responsibilities. IAC DirectiveIAC-AMD 001 establishes the system for the designation of aviation medicalexaminers and specifies the requirements as well the training in aviation medicine.A law in Cape Verde requires that each public administration or enterprise establishprocedures for appealing its administrative decisions, and the IAC has establisheda system according to which the applicant may appeal first to the President of theIAC then the hierarchy (Minister, Prime Minister, etc.). The licences issued byCape Verde are of a continuing type except the student pilot licence for which themedical certificate is required to be carried with the licence. Concerning themaintenance of competency of flight crew members, the CV CARs require aninstrument flight rules (IFR) check once a year and a proficiency check twice a year,within a period not exceeding thirteen months. However, the physical aspect of theselicences does not conform with the provisions of ICAO Annex 1, Chapter 5, and therequirements relating to the validation of licences are not published in the AIP. TheICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it has adopted new licence formats in accordance withthe provisions of Annex 1, Chapter 5. The new formats will be implemented by30 June 2003. The requirements relating to the validation of licences will bepublished in the next revision of the AIP by 1 August 2003.

4.3.3 a) Action proposed by State. Concerning the need for the DGCA to develop detailedprocedures on how it will implement and maintain personnel licensing regulationswhich are adopted from other Contracting States, the DGCA indicated that it willdevelop its own comprehensive regulations by December 1999.

b) Validation of action proposed. The IAC has developed and implemented its ownpersonnel licensing regulations and related procedures. The ICAO recommendationhas been complied with.

4.3.4 a) Action proposed by State. With respect to the need for the DGCA to recruit anappropriately qualified and experienced personnel licensing expert to undertakepersonnel licensing functions and provide OJT to the newly appointed officer, the

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DGCA indicated that it plans to recruit an international licensing expert byDecember 1999 and begin personnel licensing development training by March 2000.

b) Validation of action proposed. The IAC has assigned an officer in charge of thePersonnel Licensing Division and recruited an administrative assistant. Both of themhave received an adequate OJT to undertake personnel licensing functions, providedunder an agreement between the IAC and the FAA. Among his terms of references,the division manager is tasked to develop and amend national personnel licensingregulations, procedures and requirements leading to the issuance of nationallicences/ratings and all licensing matters in general. The ICAO recommendation hasbeen complied with.

4.3.5 a) Action proposed by State. With respect to the need for the DGCA to immediatelystop the deferral of medical fitness re-examination as the conditions for deferral failto meet the Standards provided in Annex 1, the DGCA indicated that it will ensurethat this is reflected in its regulations and procedures by January 2000.

b) Validation of action proposed. CV CARs Part 2 does not allow for the deferral ofmedical examinations. The ICAO recommendation has been complied with.

4.3.6 a) Action proposed by State. With respect to the need for the DGCA to appropriatelydesignate qualified medical examiners to conduct medical fitness examinations ofapplicants for the issue or renewal of licences or ratings on its behalf in accordancewith Annex 1, the DGCA indicated that it will establish a system for the assessmentof medical fitness of licence holders and designated medical examiners byJanuary 2000.

b) Validation of action proposed. The IAC has established a system for theassessment of medical fitness of licence holders and designated medical examinersin Cape Verde and also designated a medical centre in Portugal belonging to thelocal CAA to carry out these examinations for professional flight crew members.False declaration is considered as criminal offence and the Law as well as CV CARsprovide for enforcement actions to be taken in case of false declaration by anapplicant. The IAC has not established procedures or a system allowing additionaladvice and assessment for a possible issuance of a medical fitness certificate whenthe established medical standards are not fully met by an applicant. The IAC isarranging for the establishment of a Medical Council. The ICAO recommendationremains open.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that, by 30 August 2003, it will establish a Medical Councilallowing additional advice and assessment for a possible issuance of a medicalfitness certificate when the established medical standards are not fully met by anapplicant.

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4.4 Aircraft operations certification and supervision

4.4.1 a) Action proposed by State. With respect to the need for the DGCA to urgently enactadequate aircraft operations regulations in compliance with ICAO Annex 6, PartsI and III, and to establish a system for the certification and supervision of theoperator, the DGCA indicated that the corrective action plan provided for thedevelopment and promulgation of the required laws and regulations and theestablishment of an Aircraft Operations Division. The drafting of the primaryaviation legislation and the establishment of the Aircraft Operations Division wouldstart as early as 14 April 1999 and would be completed by 17 July 2001.

b) Validation of action proposed. The IAC has developed in CV CARs Parts 6, 8and 9 regulations applicable to aircraft operations and to the certification andsurveillance of AOC holders, supported by guidance material, a comprehensive setof procedures, standards and job aids. CV CARs Part 8 — Aircraft Operationscontains provisions implementing ICAO Annex 6, Part I and paragraph 8.6.2.10 ofthis chapter establishes a 60-minute threshold time for extended range operations byaeroplanes with two turbine power-units (ETOPS). Requirements relating to airoperators are contained in Chapter 9 which requires the operator to be in possessionof a valid AOC and also to prepare an operations manual in conformance withAnnex 6, Part I. The IAC has established a compliance statement which is providedto the operator to indicate the means of compliance of its manual and procedureswith the applicable regulations. The ICAO recommendation has been complied with.

4.4.2 a) Action proposed by State. With respect to the need to urgently establish a systemfor the certification and supervision of operators in conformance with Annex 6,paragraph 4.2.1.6 , the DGCA indicated that implementation would start as early as14 April 1999 and would be completed by 17 July 2001.

b) Validation of action proposed. Since its inception, the IAC has established asystem for the certification of air operators. Flight operations oversight has beenhighly improved by the adoption of the new regulations and extensive technicalguidance material consisting of procedures for certification and surveillance of airoperators in addition to job aids and checklists to be used during inspections. TheIAC has thence established a formal Inspector’s Handbook both for the certificationand surveillance of aircraft operations in addition of application forms containingall information relating to these processes. The post of the principal flight operationsinspector has been filled in 2002 by a highly-qualified pilot, instructor and flightexaminer, having more than 14 000 hours of flying time and still current, withaircraft type ratings comparable to those used by the existing operators. The CVCARs require that the operator be in possession of a valid AOC and the IAC hasestablished a certification process divided in five steps where both operations andairworthiness inspectors are involved in the acceptance, assessment and approval ofoperators procedures and manuals, such as the operations manual, MELs, trainingprogramme and training manual, maintenance manual, etc. The established systemalso provides for continuing surveillance of the authorized operators including the

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monitoring of their financial conditions. The surveillance system consists ofcomprehensive follow-up scheduled and random inspections of air operatorfacilities, station facilities, base of operations, aircraft files and documentation, crewscheduling, flight planning and dispatching, and records of training carried out bycrew members employed by AOC holders. The IAC has launched the re-certificationof the two existing air operators, the national airline (TACV) and Cabo VerdeExpress. The two operators were given a harmonization period, lasting until the endof June 2003, to comply with the new regulations. A compliance programme hasbeen initiated and is closely monitored by the IAC through the compliance statementchecklist provided to these operators. The ICAO recommendation has beencomplied with.

4.4.3 a) Action proposed by State. With respect to the need for the DGCA to establish anadequately staffed and equipped Aircraft Operations Division within the Directorateto effectively undertake the responsibilities associated with aircraft operations inCape Verde, the DGCA indicated in its action plan that the division would beestablished by 17 July 2001.

b) Validation of action proposed. The IAC has established a well-staffed AircraftOperations Division headed by an experienced captain and flight examiner,seconded by an aeronautical engineer. The IAC has established the requiredminimum qualifications to be designated as a flight or ground operations inspector,in addition to a Ministerial Order defining requirements concerning basic education.The IAC has also established a training programme for its inspectors, and theirpersonnel files contain the relevant information to determine their competency. TheICAO recommendation has been complied with.

4.4.4 a) Action proposed by State. With respect to the need for the DGCA to urgently enactthe relevant regulations covering aircraft leasing and that such regulations cover allaspects of aircraft leasing and responsibilities of its operators concerning crewtraining, operational control, maintenance and continuing airworthiness of aircraftinvolved, the DGCA indicated in its action plan that the relevant regulations wouldbe enacted by 17 July 2001.

b) Validation of action proposed. The Cape Verde has not yet ratified Article 83 bisto the Chicago Convention and the decision of the ratification is already underconsideration. Expecting the imminent ratification of Article 83 bis by theParliament, the IAC has already introduced in the aviation law provisions allowingthe transfer and acceptance of tasks and functions relating to arrangements underArticle 83 bis. Concerning other leasing arrangements, the CV CARs impose theprior approval by the IAC of any aircraft leasing in or out, with or without crew, andan IAC directive specifies the conditions relating to the approval by the IAC. TheICAO recommendation has been complied with.

4.4.5 a) Action proposed by State. With respect to the need to urgently enact the relevantregulations and appropriate procedures concerning the safe transport of dangerous

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goods by air, the DGCA indicated in its action plan that the relevant regulationswould be enacted by 17 July 2001.

b) Validation of action proposed. The IAC has implemented regulations concerningthe transportation of dangerous goods by air in Chapter 9 of the CV CARs.However, the provisions of this chapter are only binding to air operators and theyonly cover ICAO provisions contained in Annex 6, Part I. The ICAOrecommendation remains open.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it has revised the CV CARs to include requiredregulations to comply with the provisions of Annex 18.

4.5 Airworthiness of aircraft

4.5.1 a) Action proposed by State. With respect to the need for the DGCA to update itsaircraft registry and ensure that a proper registry is kept in accordance with therequirements of Annex 7, the DGCA indicated that this will be carried out bySeptember 2000.

b) Validation of action proposed. The new Aeronautical Code contains provisionsrelating to the establishment by the IAC of a “National Aeronautical Registry” andspecifies that this registry shall be governed by a regulatory decree. In addition,section 4.2.1.8 of the CV CARs also contains the requirements for a certificate ofregistry and its contents actually are in conformance with ICAO Annex 7. The IAChas updated its aircraft registry which now reflects the current status of aircraftregistered in Cape Verde. Nevertheless the decree setting the administration of theaircraft registry has been drafted but not yet issued. The ICAO recommendationremains open.Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it will issue the decree setting the administration of theaircraft registry by 30 November 2003.

4.5.2 a) Action proposed by State. With respect to the need for the DGCA to develop acomprehensive airworthiness handbook, the DGCA indicated that it will develop thehandbook by November 2001.

b) Validation of action proposed. The IAC has developed to the attention of itstechnical personnel comprehensive guidance material called the Inspector’sHandbook. It includes procedures, checklists, job aids and forms related tocertification, surveillance and enforcement. The ICAO recommendation has beencomplied with.

4.5.3 a) Action proposed by State. With respect to the need for the DGCA to develop asystem for monitoring repetitive ADs applicable to the aircraft on its register, theDGCA indicated that it will develop the necessary regulations requiring operators

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to comply with ADs from the State of Registry and will develop a system within theDGCA to monitor repetitive inspections outlined in many ADs by September 2000.

b) Validation of action proposed. The IAC has established a system for themonitoring of repetitive ADs consisting in regulations under section 5.5.1.3 of theCV CARs which require operators to comply with ADs issued by the State ofDesign or State of Manufacture. In addition, a directive requires the operator tosubscribe to airworthiness information issued by the State of Design and aircraftmanufacturers. Section 8.2.1.2 of the CV CARs also requires operators not to usean aircraft unless it is in airworthy condition. As part of the certification process,operators are required to show compliance to ADs implementation through the ADstatus and to establish a system in their maintenance control manuals for the promptcompliance with ADs including procedures for tracking their implementation. TheIAC has established a method for monitoring the implementation of repetitive ADs.Airworthiness inspectors are required to establish a list of effectivity of ADs beforeconducting inspections of aircraft and operators, and a guidance document on thistopic has been established by the IAC. Certificates of airworthiness are renewedperiodically (each six months); this gives an additional opportunity for a periodicsurveillance of the system. The ICAO recommendation has been complied with.

4.5.4 a) Action proposed by State. With respect to the need for the DGCA to acquire thenecessary resources and authority to conduct inspection visits to foreignmaintenance organizations as required, the DGCA indicated that this would beaccomplished by November 1999.

b) Validation of action proposed. The IAC does not systematically validate approvalsgranted to AMOs by other States and section 9.4 of the CV CARs specifiesprovisions for the AMOs’ approval or acceptance of an equivalent system.Subcontracted repair stations already approved under JAR-145, FAA 145 orCanadian system are presently accepted as an equivalent system. The IAC has itsown and independent budget to carry out all necessary inspections to local andforeign maintenance organizations and has appropriate legal and regulatoryauthority to conduct such visits. The IAC accepts foreign AMOs and approvesmaintenance arrangements concluded by its operators. Access to the contractorspremises by IAC inspectors is required to be included in the acceptance package,and the continuing surveillance of these AMOs located abroad is carried out throughthe quality assurance system of the AOC holder. The IAC has developed newregulations, and a harmonization period is presently given to the AOC holders andAMOs to comply with the CV CARs. The ICAO recommendation has beencomplied with.

4.5.5 a) Action proposed by State. Concerning the need for the DGCA to develop aprogramme of continuing training for its airworthiness inspectors and maintain arecord of all training received, the DGCA indicated that this would be accomplishedby November 1999.

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b) Validation of action proposed. The Aeronautical Code of Cape Verde as well asa Ministerial Order specify the education, experience and minimum qualificationsrequirements to be appointed as an airworthiness inspector. The IAC has alsoestablished a comprehensive training programme including initial and recurrentextensive OJT in the performance of inspector duties. The ICAO recommendationhas been complied with.

4.5.6 a) Action proposed by State. Concerning the need for the DGCA to promulgateairworthiness regulations at the earliest possible date in accordance with Annexes 6and 8, the DGCA indicated that it will start drafting its technical regulations bySeptember 1999 and will have all the regulations completed by May 2000.

b) Validation of action proposed. The IAC has developed and promulgatedregulations applicable to airworthiness and maintenance of aircraft under CV CARsParts 5 to 9. Copies of these regulations are available to all technical staff as well asin the technical library established by the IAC. Airworthiness inspectors have alsoaccess to all necessary documentation issued by ICAO or by aircraft designorganizations and manufacturers, in hard copies or via Internet. The existingregulations require the operators and aircraft owners to obtain a prior approval formajor aircraft modifications, and the IAC has established procedures as well as jobaids for the approval of modifications and repairs. The IAC requires prior approvalof the authority responsible for the aircraft type design before granting suchapprovals. The certificate of airworthiness is issued for a maximum of one year andthe operator/aircraft owner is required to provide a proof of compliance to theappropriate airworthiness requirements. Section 5.4.1.9 of the CV CARs containsprovisions relating to ferry flight of an aircraft when it is not in full airworthyconditions and needs to be transferred to a repair station. However, the form of ferrypermit does not specify all the usual limitations such as its restriction to non-revenueflights and prior authorization of other States for international operations. Section9.4.1.3 of the CV CARs requires an operator to operate an aircraft only if it ismaintained and released to service by an AMO and specifies requirements relatingto the operator maintenance programme, including the establishment of a continuingstructural integrity programme. However, the recent ICAO amendments to Annexes6 and 8 related to the airworthiness and maintenance of aircraft and requirementsconcerning noise certification have not yet been introduced in these regulations. TheICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it has revised the flight permit form to incorporate alllimitations and restrictions concerning non-revenue flights and prior authorizationfrom other States. The IAC also indicated that it has revised CV CARs toincorporate all recent amendments to Annexes 6 and 8 related to the airworthinessof aircraft and requirements for noise certification.

4.5.7 a) Action proposed by State. Concerning the need for the DGCA to develop a systemto ensure that all international commercial operators submit reliability programmes

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as part of their overall maintenance programme to the DGCA for their approval, theDGCA indicated that this would be accomplished by May 2000.

b) Validation of action proposed. The IAC has promulgated regulations requiringoperators to develop maintenance reliability programmes as applicable. In addition,operators are required to establish in their maintenance control manuals methods fordetermining condition monitoring for aircraft components as well as for assessingmaintenance actions carried out on their fleet. None of the AOC holders haspresently developed and submitted a reliability programme for approval due to thesmall size and low complexity of their fleet. The ICAO recommendation has beencomplied with.

4.5.8 a) Action proposed by State. With respect to the need for the DGCA to establish asystem to receive information on faults, malfunctions, defects and other occurrencesas outlined in Annex 8, the DGCA indicated that the necessary regulations andprocedures will be established by May 2000.

b) Validation of action proposed. The IAC has established a system for the exchangeof mandatory information related to airworthiness of aircraft for the receipt,adoption and action of continuing airworthiness information. Operators are requiredto obtain mandatory information and to subscribe to the usual channels. In addition,a system for reporting of faults, malfunctions, defects and other occurrences hasbeen established, including regulations, guidance material and approved operatorsprocedures. The ICAO recommendation has been complied with.

4.5.9 a) Action proposed by State. With respect to the need for the DGCA to develop asystem to ensure that AMOs are approved and certified and meet the requirementsof Annex 6, Part I , Chapters 8 and 11, the DGCA indicated that it will develop theregulations and establish the necessary procedures by May 2000.

b) Validation of action proposed. The IAC has established a system for the approvalof maintenance organizations comprising regulations (CV CARs, Parts 6 and 9),extensive guidance material and a surveillance and enforcement system. The systemrecently established by the IAC requires a prior approval of the AMOs and specifiesthe conditions related to this approval such as the establishment of maintenanceprocedures manual, requirements relating to the training of AMOs technical staffand working conditions. In addition, the system requires the approval of operators’maintenance control manuals and the establishment of a maintenance quality controlsystem. The former DGCA has issued approvals to the maintenance organizationsof TACV, the national carrier, and Cabo Verde Express, which are not presentlyable to comply with the new requirements and are allowed a harmonization periodthrough the end of June 2003 to achieve compliance. The IAC also monitors outsidecontractors of TACV through oversight of TACV’s quality system. However, theimplementation of this system is still ongoing and guidelines concerning theapproval of specialized maintenance activities have not yet been adopted. The ICAOrecommendation remains open.

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Note.— Subsequent to the audit follow-up mission, the IAC submitted an update on6 May 2003 indicating that it will develop guidelines for the approval of specializedmaintenance activities by 30 July 2003.

4.5.10 a) Action proposed by State. Concerning the need for the DGCA to develop acomprehensive surveillance system to perform the necessary inspections orsurveillance of its air operators on an ongoing basis as outlined in ICAO guidancematerial, the DGCA indicated that, once its regulations and procedures are in place,it will strengthen its airworthiness certification activities and carry out the necessaryinspections starting January 2001.

b) Validation of action proposed. The IAC has developed an inspection programmeand an inspection plan for the continuous surveillance of AOC holders includingsubcontractors and facilities outside its domestic jurisdiction. In addition, AOCholders are required to develop their own surveillance plan as part of their qualityassurance system and to report to IAC accordingly. The IAC has also developed asurveillance and reporting system to document and track the inspection andsurveillance activities and results. The ICAO recommendation has been compliedwith.

4.5.11 a) Action proposed by State. Concerning the need for the DGCA to develop aprogramme for required navigation performance (RNP) airworthiness approval forair navigation equipment on board aircraft, the DGCA indicated that such aprogramme will be developed by August 2000.

b) Validation of action proposed. The IAC has developed and published regulationsand guidance material concerning the approval of derived equipment and specificoperations such as CAT II and CAT III, ETOPS, reduced vertical separationminimum (RVSM), etc. Guidance material and procedures prepared by the IACspecify the role of airworthiness inspectors while processing these approvals andalso for the continuing surveillance of operators. The IAC has already issuedapprovals to TACV for RVSM and basic area navigation (B-RNAV), which hasbeen done adequately and according to the established procedures. The ICAOrecommendation has been complied with.

4.5.12 a) Action proposed by State. With respect to the need for the DGCA to establishrequirements and procedures to ensure that operators provide it with information onhow maintenance discrepancies will be deferred and cleared, the DGCA indicatedthat the necessary requirements will be developed and implemented by May 2000.

b) Validation of action proposed. CV CARs Parts 5 to 9 establish the requirementsfor aircraft equipment and maintenance release, and Part 9 defines the requirementsfor an operator to develop and submit its MEL for approval in accordance with theMMEL. The operators’ maintenance control manual and operations manual containapproved procedures for the use of MELs, and operators are required to define the

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procedures on how maintenance discrepancies will be deferred and clearedaccording to the usual categorization of the deferred items (categories A, B, Cand D). The IAC holds both approved MELs and current MMELs for the aircraftregistered in Cape Verde. The ICAO recommendation has been complied with.

5. UPDATE ON DEPARTURES FROM ICAO SARPs

During the audit follow-up mission, an updated list on the status of implementation anddifferences existing between the national regulations and Annexes 1, 6 and 8 SARPs and/or SARPs notimplemented was not provided to the audit follow-up team. As such, Cape Verde is urged to conduct athorough review of its national legislation and regulations and to notify ICAO of any differences as requiredunder Article 38 of the Chicago Convention.

6. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD)

6.1 The general objective of the AFDD is to assist States in identifying the elements that needattention in the implementation of the proposed corrective action plan. The information is also intended toassist States in establishing a priority of actions to be taken to resolve safety concerns identified by the audits.The appendix to this report contains a graphic representation of the lack of effective implementation of thecritical elements of safety oversight (ICAO Doc 9734 refers) in Cape Verde and at a global level. The graphicrepresentation of the State level depicts the situation during the initial audit and the situation at the time ofthe audit follow-up mission. The graphic representation will enable Cape Verde to prioritize the necessarycorrective actions and to identify assistance requirements based on its personnel, technical and financialcapabilities in consideration of its safety oversight obligations.

6.2 As indicated in paragraph 1.2 above, the scope of the audit follow-up mission was limitedto validating the progress made in the implementation of the State’s corrective action plan and did notconstitute an audit as described in ICAO Doc 9735. The graphic representation of the situation in the Stateat the time of the audit follow-up mission, as contained in the appendix to this report, is similarly limited toreflecting the progress made in implementing the ICAO recommendations made during the initial audit anddoes not purport to depict a current comprehensive evaluation of all aspects of a State’s safety oversightsystem. Considering the mandate for ICAO audit follow-up missions and the time available to conduct suchmissions, it is possible that some safety concerns may exist in the State which are not covered in this reportor reflected in the appendix.

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