ICAO Audit Findings and Recommendations Relating to Airworthiness of Aircraft

APPENDIX 5-1

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 01

Audit period:

9 to 20 August 1999

Document reference:

CARs 30, 35, 39, 42,and 43 - Annex 6, Part I.

Audit protocol reference:

AIR -5.051

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

x

Non-conformance with Annex Standard

o

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

The Australian Civil Aviation Regulations (CARs) of 1988, pertaining to airworthiness do not reflect the recent changes to Annex 6, Part I, Chapters 8 and 11; dated July 1998. A random sampling of Maintenance Organizations Procedures manuals revealed that several manuals did not contain the information specified in Annex 6, Part I, Section 11.4. Furthermore, the CASA pamphlet relating to this issue (CAAP-30) is from 1982 and does not reflect the latest Annex amendments in this area.

RECOMMENDATION:

CASA should revise the airworthiness regulations to include those requirements contained in Annex 6, Part I, Chapters 8 and 11. Specifically, those requirements associated with the operators maintenance responsibilities, operators maintenance control manual, maintenance program, maintenance records, continuing airworthiness information.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Roy Barnett

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATION

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT TERM ACTION

LONG TERM ACTION

AIR/01 CASA should revise the airworthiness regulations to include those requirements contained in Annex 6, Part I, Chapters 8 and 11. Specifically, those requirements associated with the operators maintenance responsibilities, operators maintenance control manual, maintenance program, maintenance records, continuing airworthiness information.

Agreed, CASA is currently rewriting its legislation which will reflect the contents of Annex 6.

Current legislation already addresses operators responsibility, the use of a maintenance control manual, an approved maintenance program, maintenance records and continuing airworthiness information sufficient to include recent changes except for human factors.

Initially CASA will bring to the attention of airworthiness inspectors responsible for international AOC holders the recent changes to the Annex who will, in turn, bring these changes to the notice of all international AOC holders.

Airworthiness inspectors will then ensure that these requirements are included in the operators programs.

Existing Advisory material will be revised and internal procedures will be developed and published.

Target date: 1 June 2000.

CASAs Regulatory Framework Program will incorporate these recent changes to the Annex by the 3rd quarter 2000.

Training of airworthiness inspectors will be revised to cover the content of the Annex, in particular the recent changes.

Target date: 1 June 2000.

APPENDIX 5-2

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 02

Audit period:

9 to 20 August 1999

Document reference:

Annex 6, Part I,

Attachment E; and

Doc. 9642, Part III,

Chapter 1

Audit protocol reference:

AIR 5.911 through 5.915

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

x

Non-conformance with Annex Standard

x

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

CASA did not require in its airworthiness regulations that its air operators develop and provide it with their maintenance reliability program information for review and approval. Additionally, CASA did not maintain an ongoing oversight of its air operators maintenance reliability programs as required in Annex 6, Part I, and Doc. 9389, Section 7.3.14.

RECOMMENDATION:

CASA should revise its airworthiness regulations to include a requirement for all international air operators to develop and provide their maintenance reliability programs and it should also maintain oversight of these programs as required by ICAO in order to more effectively utilize CASAs "risk assessment management/audit programme" review process.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Roy Barnett

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATION

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT TERM ACTION

LONG TERM ACTION

AIR/02: CASA should revise its airworthiness regulations to include a requirement for all international air operators to develop and provide their maintenance reliability programs and it should also maintain oversight of these programs as required by ICAO in order to more effectively utilize CASAs "risk assessment management/audit programme" review process.

Agreed.

Current regulations [CAR 42M(1)(b)(ii)] require all matters affecting continuing airworthiness to be included in the system of maintenance which include reliability programs.

CASA agrees that oversight of these reliability programs should be centrally controlled by appropriate technical specialists. This will be achieved in the Maintenance Standards Branch.

CASA will promulgate a policy to re-implement the previous method of oversight of reliability programs reports by the Maintenance Standards Branch.

Target date: December 1999.

Additional advisory material and internal procedures will be developed and published.

Target date: 30 March 2000.

CASAs Regulatory Framework Program will clearly incorporate the requirement for reliability programs by the 3rd quarter 2000.

Training of airworthiness inspectors will be amended to include monitoring/oversight of reliability systems.

Target date: end Year 2000.

APPENDIX 5-3

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 03

Audit period:

9 to 20 August 1999

Document reference:

Annex 6, Part I,

Attachment E; and

Doc 9642, Part III, Chapter 1

Audit protocol reference:

AIR -5.913 thru

5.915

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

o

Non-adherence with Annex Recommended Practices

x

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

CASAs airworthiness regulations did not adequately address ETOPS requirements in compliance with ICAO ETOPS provisions. The CARs did not address ETOPS parts and defect verification, oil consumption program and the need for adequate maintenance reliability information to be developed by all air operators using ETOPS operations. Additionally, air operators ETOPS manuals checked in the two regions were limited in scope and depth and did not meet the ICAO provisions for ETOPS for international air carrier service as outlined in ICAO Doc. 9642, Part III, Chapter 1.

RECOMMENDATION:

CASA should revise its airworthiness regulations to include a comprehensive requirement for ETOPS in compliance with ICAO provisions and it should also require all of its air operators to submit their ETOPS manuals and programmes for review and approval as provided for in Doc. 9642, Part III, Chapter 1.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Roy Barnett

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATION

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT TERM ACTION

LONG TERM ACTION

AIR/03: CASA should revise its airworthiness regulations to include a comprehensive requirement for ETOPS in compliance with ICAO provisions and it should also require all of its air operators to submit their ETOPS manuals and programmes for review and approval as provided for in Doc. 9642, Part III, Chapter 1.

Agreed. CASA accepts that ETOPS requirements are not clearly specified in legislation.

CASA requires airworthiness aspects of ETOPS requirements to be included in the approved system of maintenance (see AIR/01).

Australias major international operators have a well documented and proven ETOPS program and policy.

CASA also has a program of reviewing the total subject of ETOPS as part of the outcomes of the Regulatory Framework Program.

Initially CASA will bring to the attention of airworthiness inspectors responsible for international AOC holders the need for ETOPS programs and program controls.

Airworthiness inspectors will then ensure that these requirements are included in the approved system of maintenance.

A review of other operators programs is being carried out.

Target date: 1 Jan 2000.

Additional advisory material and internal procedures will be developed and published.

Target date: 1 June 2000.

CASAs Regulatory Framework Program will clearly incorporate the requirements for ETOPS by the 3rd quarter 2000.

Training of airworthiness inspectors will be revised to include the approval of ETOPS manuals.

Target date: end Year 2000.

APPENDIX 5-4

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 04

Audit period:

9 to 20 August 1999

Document reference:

Doc 9389, Chapter 4.4

Audit protocol reference:

AIR -5.215

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

x

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

CASA airworthiness inspectors did not receive all the recurrent training required for the performance of their inspection duties. Examples are ETOPS and avionics training had not been accomplished for inspectors assigned to these duties.

RECOMMENDATION:

CASA should provide all of its airworthiness inspectors recurrent training on different aspects of maintenance, auditing and oversight in an effort to stay abreast with a dynamic industry and to comply with the provisions of Doc 9389, Chapter 4.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Roy Barnett and Mr. Jean Teillet

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATIONS

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT-TERM ACTION

LONG-TERM ACTION

AIR/04: CASA should provide all of its airworthiness inspectors recurrent training on different aspects of maintenance, auditing and oversight in an effort to stay abreast with a dynamic industry and to comply with the provisions of Doc 9389, Chapter 4.

Agreed. Whilst CASA has provided some training for Airworthiness Inspectors, it is accepted that this has not been comprehensive enough to meet the needs of a dynamic industry.

Once its full suite of Competency Based Training (CBT) is in place, CASA will provide a career training plan for each of its Airworthiness Inspectors. This will ensure that at every point in an Inspectors career, the appropriate and relevant training will be provided.

CASA will continue to provide the current training courses to its Airworthiness Inspectors as well as interim avionic and ETOPS courses (Ongoing).

CASA will also review other short term technical currency requirements to identify short falls by 1 January 2000.

CASA is developing a comprehensive system of Competency Based Training (CBT) for all of its Airworthiness Inspectors based around recommendations in ICAO Doc. 9389. This training will be ready for delivery in April 2000.

Ongoing review and implementation of the CBT for all Airworthiness Inspectors.

From April 2000 onwards.

APPENDIX 5-5

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 05

Audit period:

9 to 20 August 1999

Document reference:

CAR 37, CAO 20.18, CAO 82.5, Annex 6, Part I, and Doc 9389, Attachment 7

Audit protocol reference:

AIR -5.877

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

x

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

CASA did not have a clear regulatory requirement for all of its commercial air transport operators to have an approved minimum equipment list (MEL). In addition, CASA did not provide specific guidance material concerning the establishment and the approval of minimum equipment lists.

RECOMMENDATION:

CASA should revise its regulations to include a requirement for all of its commercial air transport operators to submit, for an approval, a minimum equipment list (MEL) as outlined in Annex 6, Part I, Section 6.1.2 and Doc. 9389, Attachment 7-C, paragraph 4. CASA should also develop specific guidance material concerning the establishment and the approval of minimum equipment lists.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Roy Barnett

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATIONS

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT-TERM ACTION

LONG-TERM ACTION

AIR/05: CASA should revise its regulations to include a requirement for all of its commercial air transport operators to submit, for an approval, a minimum equipment list (MEL) as outlined in Annex 6, Part I, Section 6.1.2 and Doc. 9389, Attachment 7-C, paragraph 4. CASA should also develop specific guidance material concerning the establishment and the approval of minimum equipment lists.

Agreed.

Regulations do require all current commercial air transport operators with fixed schedules to have an approved MEL.

CASA agrees that current charter operators are not required to have an approved MEL.

Note that an operators MEL may be included in the operators Operations Manual.

The attention of District Office airworthiness inspectors responsible for AOC holders with fixed schedules will be drawn to the need for approved MELs by end December 1999.

Process to amend regulations requiring MELs will commence immediately.

Pending long term regulatory changes, additional advisory material and internal procedures will be developed and published to include charter operations.

Target date: 30 June 2000.

Airworthiness inspectors will ensure that these requirements are included in the approved system of maintenance and also included in the operators Operations Manual.

Target date: 30 June 2000.

CASAs Regulatory Framework Program will more clearly incorporate the approval of an operators MEL by the 3rd quarter 2000.

Training of airworthiness inspectors will be amended to include the approval of MELs.

Target date: 1 June 2000.

APPENDIX 5-6

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 06

Audit period:

9 to 20 August 1999

Document reference:

CAR 1998, Part 23 to 35

ICAO - Convention, Article 37, Annex 8

Audit protocol reference:

AIR 5.052 and 5.053

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

x

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

The CAR 1998, Parts 23 to 35 referred to airworthiness codes developed by other contracting States. However, CASA had not established a system to ensure that foreign regulations which are incorporated by reference in the Australian regulations are in compliance with ICAO SARPs and to notify ICAO of any differences which might exist.

RECOMMENDATION:

CASA should notify ICAO of any differences that may exist between Annex Standards and the airworthiness codes adopted by reference in Australian regulations.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr.Jean Teillet

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATION

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT TERM ACTION

LONG TERM ACTION

AIR/06: CASA should notify ICAO of any differences that may exist between Annex Standards and the airworthiness codes adopted by reference in Australian regulations.

Agreed.

Australia will contact the FAA and JAA by 30 September 1999 to ascertain what differences against FARs 23, 25, 27 & 29 and JAR 23, 25 and JAR-VLA have been notified to ICAO by those Authorities. In addition, other appropriate national authorities will be consulted, by 31 December 1999, to ascertain what differences have been notified against airworthiness code for gliders that Australia has adopted by reference..

Australia will notify ICAO of all differences against FARs 23, 25, 27 & 29 and JAR 23, 25 and JAR-VLA by 30 June 2000. Differences against all other codes will be notified by 31 December 2000.

Review differences for continued applicability, expected completion by 31 December 2000.

APPENDIX 5-7

FINDINGS AND RECOMMENDATIONS RELATING TO AIRWORTHINESS OF AIRCRAFT

State: Australia

Finding and Recommendation Number

AIR / 07

Audit period:

9 to 20 August 1999

Document reference:

CAR 1998 Parts 23, 27 and 29, ICAO -Convention Article 37 Annex 8, Part III and IV

Audit protocol reference:

AIR 5.052

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

x

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

CASA assumed that the status of differences to Annex 8, Part III and IV and for CAR 1998, Part 23 and Part 27 would be identical of that of Part 25 and Part 29. The audit team found evidence that this is not the case as indicated in Appendix 6C of this report.

RECOMMENDATION:

CASA should review Parts 23 and 27 to comply with Annex 8 provisions or to, at least, notify ICAO differences that may exist with Annex 8, Parts III and IV.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr.Jean Teillet

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATION

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT TERM ACTION

LONG TERM ACTION

AIR/07: CASA should review Parts 23 and 27 to comply with Annex 8 provisions or to, at least, notify ICAO differences that may exist with Annex 8, Parts III and IV.

Agreed.

See response to AIR/06

Australia will contact the FAA and JAA by 30 September 1999 to ascertain what differences against FARs 23, 25, 27 & 29 and JAR 23, 25 and JAR-VLA have been notified to ICAO.

See response to AIR/06

Australia will notify ICAO of all differences against FARs 23, 25, 27 & 29 and JAR 23, 25 and JAR-VLA by mid December 1999.

See response to AIR/06

Review differences for continued applicability by 01 July 2000.