summary report on the safety oversight audit follow...

ICAO Universal Safety Oversight Audit Programme

SUMMARY REPORTON THE SAFETY OVERSIGHT

AUDIT FOLLOW-UPOF THE

DIRECTORATE GENERALOF CIVIL AVIATION

AND METEOROLOGYOF

OMAN

(Muscat, 27 to 29 September 2003)

International Civil Aviation Organization

Audit follow-up summary report — Oman November 2004

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Summary Report on the Safety Oversight Audit Follow-upof the Directorate General of Civil Aviation and Meteorology of Oman

(Muscat, 27 to 29 September 2003)

1. INTRODUCTION

1.1 Background

1.1.1 The Directorate General of Civil Aviation and Meteorology (DGCAM) of Oman was initiallyassessed under the voluntary ICAO Safety Oversight Assessment Programme from 21 to 27 March 1997 byan ICAO assessment team. Subsequently, an audit was carried out from 14 to 19 April 2001 pursuant toAssembly Resolution A32-11 and in accordance with the updated Memorandum of Understanding (MOU)agreed to on 10 May 2000 between Oman and ICAO. The objective of the audit was twofold. Primarily, itsobjective was to fulfil the mandate given to ICAO pursuant to the above-mentioned Assembly Resolution.Secondly, the audit was conducted with the objective of ascertaining the progress made in the implementationof the recommendations forwarded during the voluntary assessment conducted in 1997 and to re-ascertainthe safety oversight capability of the DGCAM of Oman. The audit also aimed at ensuring that Oman was inconformity with ICAO Standards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and8 to the Convention on International Civil Aviation (Chicago Convention) and related provisions in otherAnnexes, guidance material and relevant safety-related practices in general use in the aviation industry.

1.1.2 On 19 June 2001, Oman submitted an action plan addressing all the findings andrecommendations contained in the audit interim report and also submitted, on 7 August 2001 and23 October 2001, comments and clarifications of some of the items contained in the audit interim report. Theaction plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to besatisfactory. The action plan and comments provided were taken into consideration in the preparation of thefinal and summary reports. The summary report was distributed to all Contracting States by State letterAN 19/1-02/26 in March 2002.

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 Oman 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 OMAN

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

a) number of technical staff employed by the organization at Headquarters 10

b) number of regional offices 1

c) number of technical staff employed at regional offices 4

d) number of active pilot licences 566

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

8

f) number of aviation training establishments 3

g) number of active licences other than flight crew licences 674

h) number of commercial air transport operators 2

i) number of air operator certificates (AOCs) issued 2

j) number of aircraft operations inspectors 3

k) number of aircraft registered in Oman 55

l) number of currently valid certificates of airworthiness issued 55

m) number of approved maintenance organizations (AMOs) 4

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 5

3. EXECUTIVE SUMMARY

3.1 Oman has made significant progress in the harmonization of its regulatory framework withICAO provisions by implementing regulations, systems and procedures relating to safety oversight. A newset of regulations addressing most civil aviation areas has been adopted, based mainly on the European JointAviation Requirements (JARs) and ICAO SARPs. In addition, an amendment to the Civil Aviation Law of

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1975 has been drafted and proposed for adoption through the official channels and is expected to bepromulgated by June 2004. The DGCAM has also improved the tracking system of enforcement actions takenin accordance with enforcement provisions contained in the existing Civil Aviation Law.

3.2 The DGCAM has made good progress in the area of civil aviation organization subsequentto the audit carried out by ICAO. The Flight Safety Department has established a comprehensive library anddeveloped guidelines and procedures for the technical staff, as well as improved the coordination betweenthe relevant departments responsible for the certification and surveillance of air operators. A detailed accidentinvestigation manual has also been developed containing provisions for the personnel involved ininvestigations. However, a training policy for the Flight Safety Department needs to be formalized.Furthermore, some areas are not yet addressed in the inspector manual, such as formal coordination betweenHeadquarters in Muscat and the regional office located in Bahrain.

3.3 In the area of personnel licensing, the DGCAM has implemented the new Civil AviationRegulations-Flight Crew Licensing (CAR-FCL), based on JAR-FCL 1 and 3 and ICAO Annex 1 provisions,and is developing an office procedures manual addressing licensing processes and the distribution of tasksbetween the regional office located in Bahrain and Headquarters in Muscat. The DGCAM has developedapplication forms for the validation and conversion of foreign licences, which highlight essential actions, suchas the confirmation of the authenticity of the original licence as well as the related qualifications of theapplicant. A medical board has also been recently established to assist the Licensing Section in aviationmedicine matters. Concerning aviation training activities, the DGCAM has established a system for theapproval and monitoring of the training programmes of air operators, as well as a system for the certificationand inspection of aviation training centers. Furthermore, the DGCAM has established a surveillanceprogramme and carries out random and scheduled inspections of training facilities and training courses, aswell as the supervision of instructors and examiners.

3.4 The DGCAM has made significant progress in the area of aircraft operations. The regulatoryframework applicable to aircraft operations has been reviewed, and new regulations applicable to aircraftoperations, CAR-OPS, have been implemented, which contain provisions relating to the safe transport ofdangerous goods by air. In addition, ICAO Doc 9284 — Technical Instructions has been introduced byreference as part of the civil aviation regulations of Oman. The certification and the surveillance of airoperators have been drastically improved, and the DGCAM has recruited additional experienced operationsinspectors and implemented detailed job descriptions for operations and airworthiness inspectors, as well aschecklists clearly indicating the related distribution of tasks and responsibilities. One principal operationsinspector (POI) and one principal maintenance inspector (PMI) are designated for each operator, which alsoimprove the coordination between operations and airworthiness/maintenance matters.

3.5 The DGCAM has made significant progress in the implementation of ICAO SARPs relatingto airworthiness of aircraft since the audit. Requirements have been revised or issued to adequately addressspecialized maintenance activities, such as non-destructive testing (NDT) and welding, special operations,such as extended range operations by twin-engined aeroplanes (ETOPS), all-weather operations (AWO),required navigation performance (RNP), and reduced vertical separation minimum (RVSM), as well as theissuance of certificates of airworthiness for export. The new regulations and procedures require air operatorsto issue maintenance control manuals and to identify a least-risk bomb location in the flight manual. Themandatory requirement for air operators to audit subcontractors on a regular basis has been amplified, andthe oversight of reliability programmes has been improved. Inspectors have been provided with access to thedocumentation of the organizations responsible for the type design, and airworthiness directives are

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adequately tracked. However, there is still a need for further improvement in the area of reportingmalfunctions to the State of Design and organizations responsible for the type design of the aircraft, and thestaffing level has not been increased since the audit and remains insufficient for the current inspectionmandate.

4. RESULTS OF THE FOLLOW-UP MISSION

4.1 Primary aviation legislation and civil aviation regulations

4.1.1 a) Action proposed by State. With respect to the recommendation to amend the CivilAviation Law of 1975 to ensure its conformity with the Chicago Convention and itsAnnexes, the DGCAM indicated that it would review the existing legislation andpropose any necessary changes to the Minister before October 2003. The newlegislation is expected to be in place before June 2004.

b) Validation of action proposed. The DGCAM has established a committee forrevising the Civil Aviation Law of 1975, and a new law has been drafted andproposed to the Minister of Transport and Communications for adoption through theofficial channels. The DGCAM expects the promulgation of the new Civil AviationLaw before June 2004. The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that the newCivil Aviation Law was promulgated on 7 August 2004 by Royal Decree 93/2004.

4.1.2 a) Action proposed by State. With respect to the need to establish a system for theenforcement and recording of actions taken concerning contraventions to the CivilAviation Law or regulations, the DGCAM indicated in its action plan thatrecord-keeping of enforcement actions would be implemented beginning July 2001by establishing and periodically monitoring enforcement files.

b) Validation of action proposed. The DGCAM has reviewed the processes relatingto enforcement provisions contained in the Civil Aviation Law of 1975, Chapters 12and 13 and implemented a system for their record. The DGCAM has alsoestablished enforcement files as well as a periodical review to ensure that thefollow-up actions are taken. The ICAO recommendation has been complied with.

4.1.3 a) Action proposed by State. With respect to the need for the Government of Omanto amend its legislation to implement Article 83 bis, the DGCAM indicated in itsaction plan that it would review and amend the existing legislation, regulations andpractices and implement a system of supervision and control to ensure that anytransfer or delegation of tasks and functions is adequately executed.

b) Validation of action proposed. The new draft Civil Aviation Law containsprovisions for the transfer and acceptance of tasks and functions which are normallyunder the responsibility of the State of Registry, to the State of operator, by virtueof an agreement between the DGCAM and another civil aviation authority. The full

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implementation of related procedures and practices is on hold, pending thepromulgation of the new Civil Aviation Law. The ICAO recommendation remainsopen.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that Article 61 of the newCivil Aviation Law implements Article 83 bis of the Chicago Convention and allowsfor the transfer of functions and tasks related to the State of Registry.

4.1.4 a) Action proposed by State. With respect to the need to review Oman CARs toeliminate conflicts between the adopted regulations based on other Statesrequirements, the DGCAM indicated in its action plan that it would review, amendand publish the new CARs before December 2003.

b) Validation of action proposed. The DGCAM has launched a revision of all OmanCARs to ensure their adequacy and consistency, and to identify the existing conflictsand overlaps, as well as the existing differences between them and ICAO SARPs.A new set of regulations has been adopted, based mainly on European JARs andICAO SARPs, and the DGCAM has established a system for amending theregulations issued. The recently adopted regulations address the majority of the civilaviation areas, and references to the regulations from other States are not used anymore. The ICAO recommendation has been complied with.

4.1.5 a) Action proposed by State. Concerning the need to identify the differences betweenits national regulations and ICAO SARPs, the DGCAM indicated in its action planthat it would systematically verify the conformance of its regulations with ICAOSARPs, establish an amendment system before March 2002 and notify ICAO of anyexisting differences before 1 July 2003.

b) Validation of action proposed. The DGCAM has reviewed its civil aviationregulations in their entirety and implemented an internal procedure for theintroduction of ICAO SARPs, the identification of existing differences between thenational regulations and the ICAO SARPs and their notification to ICAO. TheICAO recommendation has been complied with.

4.2 Organization of civil aviation

4.2.1 a) Action proposed by State. Concerning the need to establish specific guidelines andprocedures for the supervision and control of the regional offices and forsurveillance activities within these areas, the DGCAM indicated that it wouldreview, amend and merge the airworthiness, flight operations and licensing manualsinto one new Flight Safety Office Manual before October 2002.

b) Validation of action proposed. The Flight Safety Department has assigned a POIand a PMI for each operator. The Flight Safety Department has reviewed theAirworthiness Inspector Handbook and has issued the new Flight OperationsInspector Handbook. These handbooks contain detailed guidance for various

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certification and surveillance activities; however, the specific responsibilities,delegations and authorizations of the regional office located in Bahrain and thecoordination with Headquarters in Muscat have not yet been addressed. The Directorof Flight Safety has issued a memorandum establishing the distribution of tasksbetween the offices, which needs to be completed to include all delegated tasks tothe regional office in Bahrain. The Flight Safety Department is preparing an officeprocedures manual to address coordination processes and procedures, as well as theterms of reference of the regional office. This manual is expected to be implementedby the end of December 2003. The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that the Office ProceduresManual of the Flight Safety Department was issued, printed and distributed on1 January 2004.

4.2.2 a) Action proposed by State. With respect to the surveillance activities concerning themultinational airline and the sharing of tasks and functions related to safetyoversight, the DGCAM indicated in its action plan that it would implement anenhanced surveillance system which would include improved planning,record-keeping and follow-up procedures for all air operators and maintenanceorganizations beginning January 2002. Concerning the oversight of a majorinternational operator in Oman, the DGCAM clarified that it is the sole regulatoryauthority responsible for this operator and that no aviation functions are delegatedto any of the civil aviation authorities of the co-owner States of this operator.

b) Validation of action proposed. The DGCAM is the sole authority for allcertifications and for the safety oversight of all aviation activities certified by Omanincluding AOC holders based in Oman and the multinational operator based inBahrain. No civil aviation functions or tasks related to the safety oversightresponsibilities of Oman have been delegated to any other civil aviation authorityor any private agency. The DGCAM has also implemented a system for thesurveillance of the multinational operator and has reinforced the human resourcesby recruiting two additional aviation safety inspectors. The ICAO recommendationhas been complied with.

4.2.3 a) Action proposed by State. Concerning the need to establish a system includingspecific guidelines and procedures for the supervision and control of all air operatorsand AMOs to include domestic operators and maintenance subcontractors, theDGCAM indicated in its action plan that the existing guidelines and procedureswould be improved and a comprehensive inspection programme would beestablished.

b) Validation of action proposed. The Flight Safety Department has developed andissued the Flight Operations Inspector Handbook, which is also used by the regionaloffice located in Bahrain. The guidelines included in the handbook have beendeveloped from, and are complementary to, ICAO technical manuals and JointAviation Authorities (JAA) advisory and guidance material. Checklists and forms

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are included to provide inspectors with the necessary tools to assess operators’compliance with regulatory requirements. The manual contains a template for anannual audit plan according to the applicable regulations, CAR OPS 1, including thearea of maintenance responsibilities of the operators, as well as CAR 145 related tomaintenance organizations. The DGCAM has established an annual inspectionprogramme covering AOC holders and AMO activities, in adherence to relevantICAO guidance material. However, a review of the 2002/2003 audit plan indicatedthat most of the scheduled audits have not been performed due to a shortage of flightoperations and airworthiness/maintenance inspectors. Furthermore, the maintenanceaspects of flight operations needs to be transferred to the Airworthiness InspectorHandbook, which needs to be reviewed in accordance with the methodology andpolicies of the new Flight Operations Inspector Handbook. In particular, theestablishment of an annual maintenance audit plan is required, as no formal planexists for auditing operators and maintenance organizations in addition to the annualvisit. The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that one additional flightoperations inspector has been recruited since 1 March 2004, and the recruitmentof one additional flight operations inspector and one airworthiness inspector isprogressing. In addition, maintenance aspects of flight operations have beentransferred to the Airworthiness Inspector Handbook, and an annual maintenanceaudit plan of operators has been established.

4.2.4 a) Action proposed by State. With respect to the need to recruit and trainappropriately qualified technical staff, the DGCAM indicated that it would establisha written policy for the recruitment of qualified inspectors, before30 November 2001, and institute a training policy and programme for technical staffto be approved by the Director General and implemented beginning January 2002.

b) Validation of action proposed. The DGCAM has established a recruitment policyand published a comprehensive recruitment manual detailing terms of reference andminimum qualifications for the technical posts, as well as the various steps of therecruitment process. Although annual training programmes have been developed,in practice, for the technical staff, a training policy, formal recurrent training andadministrative procedures have not yet been formalized in a written document. TheFlight Safety Department is developing an office procedures manual, which shouldaddress general requirements and policies for training. The ICAO recommendationremains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that it has issued the OfficeProcedures Manual of the Flight Safety Department, which contains the trainingpolicy, recurrent training and administrative procedures.

4.2.5 a) Action proposed by State. With respect to the need to establish an adequatelyfurnished technical library, the DGCAM indicated that it would centralize and

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expand the flight safety technical library to ensure the availability of all relevantaviation safety documents, manuals and aviation periodicals before August 2002.The new system would include a designated librarian and procedures for the timelyacquisition of publications, before January 2002.

b) Validation of action proposed. A new flight safety central technical library hasbeen established with all required documents, manuals and books including theoperations manuals of the operators. Subscriptions to various web sites have beenarranged, including access to comprehensive sites of organizations responsible forthe type design. A detailed procedures manual for the Flight Safety TechnicalLibrary has been developed, and a system has been established for the timelyacquisition of publications, information and revisions important to aviation safety.Furthermore, a designated technical librarian responsible for cataloguing andmaintaining the archival material has been recruited to work under the Director ofFlight Safety. The ICAO recommendation has been complied with.

4.2.6 a) Action proposed by State. With respect to the need to establish a system for theinvestigation of aviation accidents, the DGCAM indicated that it would develop asystem before November 2002, including all necessary criteria, policies andprocedures for convening an accident investigation board. The DGCAM clarifiedthat its current practice is to invite experts from foreign governments and localaviation companies to serve on short-term accident investigation boards whenneeded. This eliminates the perception of any conflict of interest and maintainstransparency during the course of investigations.

b) Validation of action proposed. The DGCAM has developed a comprehensiveaccident investigation manual, which provides information and guidance toinvestigators from the Flight Safety Department who are involved in organizing andconducting aviation accident investigations. The manual defines the composition ofthe investigation team and makes provisions to call for accident specialists fromforeign accident investigation bureaux depending on the scope and severity of theaccident. 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 to review the personnellicensing regulations in order to implement all ICAO Annex 1 provisions, theDGCAM indicated that it would review and amend the CARs, as necessary, beforeJuly 2003.

b) Validation of action proposed. The DGCAM has reviewed the personnel licensingand training regulations and implemented new regulations, the CAR-FCL, to replaceCAR 61. The CAR-FCL are based on JAR-FCL 1 and 3 and ICAO Annex 1provisions, and do not refer to any regulations from other States. The CAR-FCLhave been assessed to ensure consistency and coherence, and existing differencesbetween these regulations and ICAO Annex 1 have been identified and notified toICAO. The ICAO recommendation has been complied with.

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4.3.2 a) Action proposed by State. With respect to the need for coordination between theregional office and Headquarters concerning personnel licensing matters, theDGCAM indicated that it would review the licensing process in order to establishthe functions and responsibilities of Headquarters and the regional personnellicensing sections and would develop a new Flight Safety Office manual to clearlydelineate all necessary functions and responsibilities before October 2002. TheDGCAM also indicated that it would establish a new medical board staffed withappropriately qualified medical personnel by May 2002, and a system for theappointment and supervision of designated examiners before June 2002.

b) Validation of action proposed. The re-organization of personnel licensingprocesses in Oman and the distribution of tasks and responsibilities between theregional office located in Bahrain and Headquarters in Muscat is still on going. TheDGCAM has already launched a corrective action plan to develop an officeprocedures manual addressing the distribution of tasks. Furthermore, the scope ofactivities of all offices has already been reviewed. The Chief of the PersonnelLicensing Section is still located in the regional office in Bahrain, and coordinationwith Headquarters has been improved through the establishment of a network inaddition to weekly coordination meetings. A medical board has also been recentlyestablished to assist the Personnel Licensing Section in aviation medicine matters.The DGCAM is expecting to finalize the office procedures manual before the endof March 2004. The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that it has issued the OfficeProcedures Manual of the Flight Safety Department which contains personnellicensing procedures.

4.3.3 a) Action proposed by State. With regard to the need to establish technical guidelinesfor licensing personnel, the DGCAM indicated that it would develop and distributea personnel licensing handbook describing all procedures related to personnellicensing before May 2002 and provide appropriate orientation training to concernedpersonnel before July 2002.

b) Validation of action proposed. The DGCAM has developed clear processesaddressing personnel licensing tasks and functions as well as application forms forthe validation and conversion of foreign licences. Applications for validation andconversion of flight crew licences are always received through the AOC holderemploying the licence applicants, and personnel licensing officers in Muscat andBahrain are responsible for assessing the applications and related documents as wellas confirming the authenticity of the original licence and the related qualificationsof the applicant. A comprehensive personnel licensing procedures manual is underdevelopment, and a training programme for personnel licensing officers is presentlybeing carried out. The DGCAM expects the implementation of the proceduresmanual by the end of December 2003. The ICAO recommendation remains open.

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Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that it has issued the OfficeProcedures Manual of the Flight Safety Department, which contains personnellicensing procedures.

4.3.4 a) Action proposed by State. With respect to the need to review the requirements forthe issuance of licences on the basis of foreign licences and the validationprocedures, the DGCAM indicated that it would review the licensing regulations anddevelop, before September 2002, a new Flight Safety Office manual to fullydocument procedures and requirements for the validation of a foreign licence andthe issuance of an Omani licence on the basis of a foreign licence. Associatedtraining and examination requirements would be established before 30 April 2003.The DGCAM also indicated that it does not intend to publish its procedures for theissuance of State licences based on foreign licences in its AIP because theinformation is available from Omani operators whose sponsorship is required for theissuance of a licence.

b) Validation of action proposed. The CAR-FCL and additional standards containedin CAR 4.04, Section 4.4.2 address licensing requirements and procedures for thevalidation and conversion of foreign licences. The DGCAM does not validatelicences other than licences for flight crew members, and applications for validationand conversion of flight crew licences are always received through the AOC holderemploying the licence applicant. There is no validation issued to individuals. Thevalidation of a licence or the new Omani licence may be issued by the personnellicensing officers in Muscat and Bahrain, depending on the main base of the AOCholder, who are responsible for assessing the applications and related documents,as well as confirming the authenticity of the original licence and relatedqualifications of the applicant. The DGCAM does not issue a validation orconversion if the original licence is not in full compliance with ICAO Annex 1 andOman personnel licensing regulations. Additional examinations are requireddepending on the experience of the applicant. In all cases, the applicant is requiredto pass a practical examination in a flight simulator. The ICAO recommendation hasbeen complied with.

4.3.5 a) Action proposed by State. With respect to the need to establish procedures for theadministration and control of activities concerning licensing examinations, theDGCAM indicated that it would establish an effective control of the examinationprocess, develop new procedures and amend the designated examiners’ manual, asnecessary, to establish clear procedures, before the end of December 2002. TheDGCAM noted that criteria for the designation of examiners is published inCAN 4-01, but clear guidelines would be established in the manual relating to thedelegation of examination activities to these examiners, and also to the development,conduct and correction of written examinations.

b) Validation of action proposed. Aviation examinations and licensing activities inOman are divided into two separate branches: flight crew licensing activities,consisting solely in validation and conversion of foreign licences, and air traffic

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controllers licensing activities. Concerning flight crew licensing activities, theDGCAM, in line with the implementation of CAR-FCL, has established a systemfor the administration, supervision and control of type-rating examinations andpractical test delivery, including procedures for the designation and supervision ofdesignated flight test examiners employed by the two AOC holders. The DGCAMis presently recruiting a team of three experienced pilots examiners to be fullyresponsible for evaluating the quality and the standardization of practical tests andexaminations, as well as monitoring the delivery of flight and practical testsperformed by the designated examiners employed by the two AOC holders. TheDGCAM has developed a manual for examiners to ensure the consistent anduniform implementation of the CAR-FCL and related guidelines by the designees.Furthermore, routine standardization meetings involving DGCAM inspectors andthe designated examiners are held to ensure the uniform application of guidancematerial. With respect to air traffic control licensing activities, training andexaminations are carried out in an air traffic control academy, which alsoadministers examinations to assess the skills of the applicants. The DGCAM issuesthe air traffic control licence on the basis of the final examination; however, it hasnot yet implemented a system for the control of the examinations related to thislicence. The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that air traffic control licensingprocedures addressing the control of air traffic control examinations have beenintroduced by regulation as CAN 4-05.

4.3.6 a) Action proposed by State. Concerning the need to improve the medicalexamination system, the DGCAM indicated that it would promulgate requirementsfor the designation of medical examiners and establish a system for the ongoingsupervision of the designated examiners by June 2002. Circumstances in which amedical examination may be deferred and the period of deferment would beprovided for in the CARs before December 2003.

b) Validation of action proposed. Requirements and procedures for the designationof medical examiners have been established by the DGCAM in the CAR-FCL, inaddition to the Aeromedical Board Procedure manual, which establishes the rules,functions and authority of the Aeromedical Board recently established by theDGCAM. The CAR-FCL establish the medical standards for various licences,classes of medical assessment, requirements and conditions for each class of medicalassessments, as well as the validity of medical certificates, and contain requirementsconcerning experience, training and responsibilities of authorized medicalexaminers. The Aeromedical Board is responsible for the surveillance andmanagement of the aviation medicine system and the development andestablishment of policies, plans, standards and regulations governing the system forthe designation of aviation medicine examiners (AMEs). Among its privileges, theboard has the authority to issue a medical certificate to an applicant who does notmeet the required standards and to carry out additional examinations orinvestigations, and to endorse the medical certificate with any limitation or

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restriction. A system for the designation and surveillance of the AMEs, includingthe reporting of results to the DGCAM, has been established, and a total of eightAMEs, five in Bahrain and three in Muscat, have been designated accordingly. TheICAO recommendation has been complied with.

4.3.7 a) Action proposed by State. With respect to the need to review the contents of thelicences issued in Oman, the DGCAM indicated that it had taken the necessaryactions to ensure that State licences conform to the physical specifications ofAnnex 1, Chapter 5.

b) Validation of action proposed. The DGCAM has established a new system for theissuance of personnel licences, and the format of the new licences now complieswith ICAO Annex 1 requirements. The ICAO recommendation has been compliedwith.

4.3.8 a) Action proposed by State. Concerning the need to establish procedures andrequirements for the certification and supervision of aviation training schools, theDGCAM indicated in its action plan that it would establish and publish theserequirements before April 2003.

b) Validation of action proposed. Aviation training activities in Oman are carried outmainly in the air traffic control training institutes. Other training activities, such asflight and cabin crew training, are carried out abroad. Training activities concerningthe multinational operator are carried out in Bahrain and are directly under thesupervision of the DGCAM staff located in the regional office. The DGCAM hasestablished a system for the certification and inspection of all these aviation trainingcenters, which is part of the recently implemented CAR-FCL. The system includesrequirements and procedures for the designation of instructors, taking intoconsideration their qualifications and competency, and also procedures forapproving and supervising approved training. The DGCAM carries out asurveillance programme consisting of random and scheduled inspections of trainingfacilities, training courses, surveillance of instructors and examiners. Concerningaviation training facilities located in Europe or the United States, which are used forflight crew training and aircraft type rating activities, the DGCAM endorses theapproval of the civil aviation authority where the training center is located and, inaddition, conducts a monitoring programme in line with the monitoring of the flightcrew training programme. The ICAO recommendation has been complied with.

4.4 Aircraft operations certification and supervision

4.4.1 a) Action proposed by State. With respect to the recommendation to improvecoordination between the Operations and Airworthiness Sections in the certificationand surveillance of operators, the DGCAM indicated that it would initiate weeklymeetings between the sections and would develop and implement coordinationprocedures for specific approvals beginning July 2001. The DGCAM also indicatedthat the financial evaluation of operators is reviewed annually at the DGCAM

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budgetary review level with the involvement of the Flight Safety Department, asrequired.

b) Validation of action proposed. The certification and surveillance of air operatorsis carried out according to the new aircraft operations regulations, CAR-OPS, andrelated processes and implementing standards. Formal coordination between theOperations and the Airworthiness Sections has been established, and the jobdescriptions for operations and airworthiness inspectors as well as the checklistsused clearly indicate the related distribution of tasks and responsibilities. In addition,one POI and one PMI have been designated for each operator, which also improvethe coordination between operations and airworthiness/maintenance matters. TheICAO recommendation has been complied with.

4.4.2 a) Action proposed by State. With respect to the need to establish requirementsdelineating the duties of flight operations officers/dispatchers, the DGCAMindicated that the CARs would be appropriately amended before December 2003.Requirements would also be established by this date for the operator to include inthe operations manual more detailed duties and responsibilities of the flightoperations officers/dispatchers.

b) Validation of action proposed. Requirements concerning training, duties andresponsibilities of flight operations officers/flight dispatchers have beenincorporated in the CAR-OPS. The DGCAM does not issue a flight operationsofficer/flight dispatcher licence; however, it approves the initial training andon-the-job training of flight operations officers/flight dispatchers carried out by theoperators. The ICAO recommendation has been complied with.

4.4.3 a) Action proposed by State. Concerning the need to amend the CARs to includerequirements for the operator to establish procedures with respect to the recency ofexperience of pilots (pilot-in-command and co-pilot), the DGCAM indicated thatCAR 121.970 requires an operator to ensure that a pilot-in-command does notoperate an aircraft unless that pilot has made at least three take-offs and landingswithin the preceding ninety days.

b) Validation of action proposed. The CAR-OPS contain requirements relating toflight crew training and recency of pilots. The operator is required to establish andmaintain a training programme for flight crew members according to the CAR-OPS,addressing crew coordination and training in all types of emergencies, abnormalsituations and procedures, knowledge and skills related to human performance aswell as the safe transport of dangerous goods by air. The CAR-OPS also addressrequirements for recency and route qualifications for pilots and clearly specify thatan operator is required to establish procedures for not assigning a pilot to act aspilot-in-command unless that pilot has made at least three take-offs and landingswithin the preceding ninety days on this type of aircraft and is currently qualifiedfor all route segments of that flight. The ICAO recommendation has been compliedwith.

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4.4.4 a) Action proposed by State. With respect to the need to amend the regulations toinclude a requirement for all turbine-engined aeroplanes of a maximum certifiedtake-off mass in excess of 15 000 kg or authorized to carry more that thirtypassengers to be equipped with a GPWS, the DGCAM indicated thatCAR 121.665 (a) fully implements the ICAO requirements. However, as Stateregulations are somewhat more restrictive, a difference would be filed.

b) Validation of action proposed. The recently implemented CAR-OPS containrequirements relating to aircraft equipment, including ICAO Standards concerningGPWS for various aircraft categories. The ICAO recommendation has beencomplied with.

4.4.5 a) Action proposed by State. With respect to the need to include in the regulations allprovisions of Annex 18 relating to the safe transport of dangerous goods by air, theDGCAM indicated in its action plan that the CARs would be reviewed and amendedas necessary to ensure the implementation of all provisions of Annex 18 beforeDecember 2003. In addition, designated inspectors would receive additional trainingbefore February 2002, in order to function as dangerous goods specialists.

b) Validation of action proposed. ICAO Doc 9284 — Technical Instructions has beenintroduced by regulations as a reference in all matters concerning the safe transportof dangerous goods by air. Furthermore, the CAR-OPS also contain provisionsrelating to the transport of dangerous goods by air applicable to AOC holders, andin particular, training requirements for flight and cabin crew and other staff of theoperator. The ICAO recommendation has been complied with.

4.5 Airworthiness of aircraft

4.5.1 a) Action proposed by State. Concerning the need to establish procedures to ensurethe transmission of information on faults, defects and malfunctions to theorganization responsible for the type design of the aircraft and the access ofairworthiness inspectors to appropriate design organization documentation, theDGCAM indicated that it has already developed procedures to ensure the mandatoryinformation. The DGCAM also indicated that it would establish a system to trackairworthiness directives issued by States of Design for all aircraft on the Omaniregister before July 2002 and to acquire any missing document in the technicallibrary and update existing manuals before August 2002.

b) Validation of action proposed. The Flight Safety Department has developed anelectronic database in order to track airworthiness directives (ADs) applicable toaircraft and equipment used in Oman. Furthermore, compliance with ADs is verifiedduring the renewal of the certificate of airworthiness, and an updated AD status iskept in each aircraft file. By using comprehensive web sites of aircraftmanufacturers and the newly established technical library, airworthiness inspectorshave an improved access to documents of design organizations. Civil AviationNotice (CAN) 3-19 addresses the mandatory notification of faults, defects,malfunctions and other occurrences affecting the continuing airworthiness of aircraft

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to the DGCAM by using of a Service Difficulty Report (SDR) form. However, thisCAN does not mention the requirement to notify the organization responsible for thedesign. Furthermore, no regulation or procedure addresses the obligation of Omanto inform the State of Design once the DGCAM issues its own mandatoryairworthiness directives as established by CAR 39. The ICAO recommendationremains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that CAN 3-19 addressing themandatory notification of faults, defects, malfunctions and other occurrencesaffecting the continuing airworthiness of aircraft to the DGCAM was revised tointroduce the requirement to notify the organization responsible for the design. Inaddition, CAR 39 was revised to introduce the obligation of Oman to inform theState of Design once the DGCAM issues its own mandatory airworthiness directives.

4.5.2 a) Action proposed by State. With respect to the need to recruit additionalairworthiness inspectors to enhance its safety oversight capabilities, the DGCAMindicated that two airworthiness inspectors were away on training at the time of theaudit and no additional inspectors would be required after their return. The DGCAMalso indicated that additional specialty training would be arranged for existinginspectors, after the approval of the training fund, before 31 January 2002, and aspecialized training plan would be implemented before 30 April 2002.

b) Validation of action proposed. The level of staffing in the Airworthiness Sectionhas not changed since the audit, although the workload has increased due to theintroduction of new regulations, such as CAR OPS 1 — Commercial AirTransportation (Aeroplanes), Subpart M, Aeroplane Maintenance. There is a needfor further review of the capability of the Airworthiness Section to ensure thatresponsibilities are properly discharged, in particular, in conducting audits inaddition to the annual renewal visit. Personnel from the industry have shown interestin becoming employees of the DGCAM; however, the remuneration scale is lowerthan that of the industry, which limits the recruitment of experienced technical staff.The ICAO recommendation remains open.

Note.— Subsequent to the audit follow-up mission, the DGCAM submitted updateson 27 April 2004 and 13 September 2004 indicating that the hiring of oneairworthiness inspector was under way. The finding on remuneration was broughtto the attention of the Ministry of Civil Service, being the government body foremployment.

4.5.3 a) Action proposed by State. With regard to the need to develop requirements andprocedures for the certification of specialized maintenance activities, the DGCAMindicated in its action plan that it would establish and publish certification andsurveillance requirements and procedures for these activities, including aircraftwelding and NDT, before November 2002 and implement an audit plan forspecialized maintenance activities before October 2001.

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b) Validation of action proposed. The DGCAM has issued CAN 3-29 dated26 July 2003, which addresses the certification of personnel for specialized services,such as welding and NDT. CAN 3-29 makes reference to European StandardEN 4179 (NDT) and British CAR A8-10 (welding). Surveillance of these activitiesis carried out by the quality assurance audits of the AMOs, and in addition, auditshave been conducted by the Flight Safety Department of the DGCAM. The ICAOrecommendation has been complied with.

4.5.4 a) Action proposed by State. Concerning the need to establish an adequate system formonitoring ETOPS and significant defects, the DGCAM indicated that a letterwould be sent to ETOPS operators before 31 July 2001, requiring them to reportsignificant incidents and events affecting the ETOPS approval.

b) Validation of action proposed. The DGCAM has issued CAN 3-30 dated26 July 2003, which formally introduces airworthiness standards for ETOPS, usingthe relevant JAA advisory leaflet as a reference for the certification aspects. TheDGCAM has assured that these standards are reflected in the relevant manual of theair operators, which have been advised about the requirement to report ETOPSevents/incidents. A special attention is given to these operations in the surveillanceprogramme established by the DGCAM. The ICAO recommendation has beencomplied with.

4.5.5 a) Action proposed by State. With regard to the need to enforce the currentrequirements for all operators to implement an audit plan and to submit a list of allmaintenance subcontractors, the DGCAM indicated that it would review andapprove the audit plans for maintenance subcontracting beginning October 2001 andwould enforce the existing regulatory requirements for certificated air operators toaudit and inspect all maintenance subcontractors at least once each year.

b) Validation of action proposed. The DGCAM has requested air operators to provideaudit plans for subcontracted maintenance as required by CAR OPS 1. These auditplans cover subcontracted maintenance activities to foreign line stations, vendorsand overhaul agencies if a major maintenance visit is foreseen. Oman air operatorshave not entered into long-term maintenance contracts for the accomplishment ofsubstantial maintenance. Air operators wishing to contract out a major maintenanceevent need the approval of the DGCAM and are required to perform a quality auditas a pre-condition. The ICAO recommendation has been complied with.

4.5.6 a) Action proposed by State. Concerning the need to establish requirements andprocedures for the issuance of an export certificate of airworthiness for aircraft andaeronautical products, the DGCAM indicated that it would develop suchrequirements before July 2002.

b) Validation of action proposed. The DGCAM has issued CAN 3-28, Issuance ofExport Airworthiness Certificate dated 26 July 2003, which provides detailedprocedures for the application and issuance of export certificates of airworthiness.A review of a recent certificate by the ICAO audit follow-up team indicated that the

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content adheres to ICAO guidance material. The ICAO recommendation has beencomplied with.

4.5.7 a) Action proposed by State. With regard to the need to establish procedures tomaintain ongoing oversight of the reliability programmes and ensure that they meetthe requirements of ICAO guidance material, the DGCAM indicated that, before31 December 2001, it would establish procedures as necessary and have a DGCAMrepresentative attend all air operator reliability meetings as an observer.

b) Validation of action proposed. The PMI assigned to each air operator is eitherrequired to attend the monthly reliability meetings of the operator or to review theminutes of the meetings. Air operators have been advised to inform the Flight SafetyDepartment about the meeting dates and need to send the reliability defect progressreport to the authority. Furthermore, air operators are required to provide themonthly reliability report, and it is the duty of the assigned PMI to review it. TheICAO audit follow-up team reviewed a recent reliability report and found that itadhered to ICAO guidance material. Furthermore, the reliability programme is anitem on the newly developed checklist of the Flight Operations InspectorHandbook. The ICAO recommendation has been complied with.

4.5.8 a) Action proposed by State. With respect to the need to establish the procedures forthe approval of special operating provisions, i.e. RVSM, minimum navigationperformance specifications (MNPS), RNP and Categories (CAT) II and III, theDGCAM indicated in its action plan that it would establish procedures for theapproval of these provisions before 31 July 2002, to also include the formalcoordination between the Operations and the Airworthiness Sections for the issuanceof special operating provisions with weekly meetings and the implementation ofvarious approval forms.

b) Validation of action proposed. The DGCAM has issued CAN 3-30 dated26 July 2003, concerning airworthiness standards and procedures for specialoperations, which formally introduces JAA advisory and guidance material relatedto all-weather operations, RVSM, RNP and MNPS in adherence to ICAO guidancematerial. Regular meetings are held between the Operations and AirworthinessSections to coordinate the processes that need the expertise of both disciplines, andthe approval forms require the signature of both sections. The ICAOrecommendation has been complied with.

4.5.9 a) Action proposed by State. With regard to the need to require air operators toamend the CARs and prepare and submit to the DGCAM their maintenance controlmanuals, the DGCAM indicated that the CARs conform to ICAO Standards(CAR 121.905, 121.900, 121.890, 121.895, 121.175, 145.50, 145.55, 145.60 and145.70 refer) and that all operators are required to submit a manual (CAR 121.905refers).

b) Validation of action proposed. CAR OPS 1, Part 1.905 and AMC-OPS 1.905include requirements for AOC holders to provide a maintenance management

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exposition (MME), which contains the information required in Annex 6, Chapter 11,paragraph 11.2, Operator’s maintenance control manual. The MME and anysubsequent amendment must be approved by the DGCAM. In the case that anoperator has its own maintenance organization, CAR OPS 1 requires theestablishment of a combined manual covering the content of the maintenanceprocedures manual and the maintenance manual. While one Oman air operator haschosen this option, the other international operator has issued separate manuals.These manuals are kept in the DGCAM library and their contents are in compliancewith the ICAO Standards. The ICAO recommendation has been complied with.

4.5.10 a) Action proposed by State. Regarding the need to establish requirements andprocedures to ensure that operators are provided with information concerning theleast-risk bomb location to be incorporated in the aeroplane flight manual (AFM),the DGCAM indicated in its action plan that it would request this information fromaircraft manufacturers and require operators to include it in the AFM beforeApril 2002.

b) Validation of action proposed. The DGCAM has revised CAN 1-04 dated26 July 2003 in order to require all air operators to receive information on theleast-risk bomb location from the manufacturer and to incorporate this informationinto the relevant AFM. 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 provided to the audit follow-up team. The differences provided will be included in therelevant Annex supplement in line with Article 17 of the MOU signed between Oman and ICAO and inaccordance with 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 Oman 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 Oman 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 State

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at 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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summary report on the safety oversight audit follow...

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