FINAL REPORT ON THE ICAO COORDINATED ......a Continuous Monitoring Approach (CMA). The activities...

ICAO Universal Safety Oversight Audit Programme Continuous Monitoring Approach

FINAL REPORT ON THE ICAO

COORDINATED VALIDATION MISSION IN

THE REPUBLIC OF SUDAN

(Karthoum, 11 to 15 December 2011)

International Civil Aviation Organization

ICVM Final Report — Sudan June 2012

TABLE OF CONTENTS

Page

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

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

1.2 ICVM team composition ....................................................................................................... 1

1.3 Acknowledgements ............................................................................................................... 2 2. OBJECTIVES AND ACTIVITIES OF AN ICVM ................................................................... 2 3. ICVM RESULTS ......................................................................................................................... 2

3.1 Executive summary ............................................................................................................... 2

3.2 Detailed analysis of ICVM results ........................................................................................ 3 4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS ......................................................... 3

5. FOLLOW-UP ACTION ............................................................................................................... 4

APPENDICES

1 — Level of Aviation Activity for Each Technical Area

2 — Analysis of Results

2-1 Executive Summary

2-2 Analysis of Results by Critical Element 1




2-6 Analysis of Results for Personnel Licensing and Training

2-7 Analysis of Results for Aircraft Operations

2-8 Analysis of Results for Airworthiness of Aircraft

2-9 Analysis of Results for Air Navigation Services

2-10 Analysis of Results for Aerodromes and Ground Aids

2-11 Analysis of Results for Aircraft Accident and Incident Investigation

— — — — — — — —


ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Continuous Monitoring Approach

Final Report on the ICAO Coordinated Validation Mission

in Sudan

(Karthoum, 11 to 15 December 2011)

1. INTRODUCTION

1.1 Background

1.1.1 Following successful implementation of the ICAO Universal Safety Oversight Audit

Programme (USOAP) Comprehensive Systems Approach (CSA), the 37th Session of the Assembly

(28 September – 8 October 2010) adopted Resolution A37-5, formalizing the evolution of the USOAP to

a Continuous Monitoring Approach (CMA). The activities under the CMA framework include, among

others, the ICAO Coordinated Validation Mission (ICVM).

1.1.2 A safety oversight audit of the civil aviation system of the Republic of Sudan, hereafter

referred to as Sudan, was conducted from 21 to 30 November 2006 under the USOAP CSA. Accordingly,

Sudan provided an action plan to ICAO, addressing the USOAP Findings and Recommendations (F&Rs)

and outlining specific actions and deadlines for the correction of the deficiencies identified. On

28 November 2011, Sudan signed a Memorandum of Understanding (MOU) with ICAO regarding the

USOAP CMA.

1.1.3 As provided for in the MOU, Sudan also agreed to an ICVM, which was conducted from

11 to 15 December 2011. The mission evaluated the status of implementation of the latest corrective

action plan (CAP) of the State on the USOAP F&Rs.

1.1.4 The mission was conducted in accordance with the guidelines and principles set forth in

the third edition of the ICAO Universal Safety Oversight Audit Programme Continuous Monitoring

Manual (Doc 9735) as well as in conformity with the International Organization for Standardization

(ISO) 9001:2008 series of quality management standards.

1.2 ICVM team composition

1.2.1 The ICVM team was composed of:

a) Mr. Jean Claude Waffo, team leader, primary aviation legislation (LEG)/aerodromes

and ground aids (AGA);

b) Mr. Michel Painchaud, deputy team leader, civil aviation organization (ORG);

c) Mr. Peter Budd, team member, personnel licensing and training (PEL)/aircraft

operations (OPS);

d) Mr. Hatem Dibian, team member, airworthiness of aircraft (AIR);

e) Mr. Seboseso M. Machobane, team member, air navigation services (ANS); and

f) Mr. Thormodur Thormodsson, team member, aircraft accident and incident

investigation (AIG).

- 2 -


1.3 Acknowledgements

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

during the preparation and conduct of the mission. The professionalism and enthusiasm of all personnel

who interacted with the ICVM team contributed greatly to the success of the mission.

2. OBJECTIVES AND ACTIVITIES OF AN ICVM

2.1 The objective of an ICVM is to assess and validate the status of corrective actions or

mitigating measures taken by a State to address previously identified F&Rs, including any Significant

Safety Concerns (SSCs). ICVMs also provide the State with on-site guidance to resolve remaining

deficiencies.

2.2 The scope of each ICVM to be conducted in a State is based on the following

considerations:

a) the level of progress made by the State in resolving previously identified

deficiencies;

b) significant changes in any of the audit areas within the State’s civil aviation system;

c) the State safety risk profile; and

d) whether or not an on-site activity is required or requested.

2.3 The ICVM process determines the change in the status of not-satisfactory Protocol

Questions (PQs) based on progress made by the State in resolving identified F&Rs and in implementing

its CAP. The validation by ICAO Headquarters (HQ) of the information collected and documented

through ICVMs leads to an update of the status of Lack of Effective Implementation (LEI) in the State.

Actions taken by a State to resolve any SSCs, if applicable, are also reviewed during the ICVM and

forwarded to ICAO HQ to determine whether or not the SSCs have been resolved.

3. ICVM RESULTS

3.1 Executive summary

3.1.1 The USOAP audit of the civil aviation system of Sudan conducted in 2006 generated

87 findings, with 399 PQs found not satisfactory.

3.1.1.1 The LEI of the eight critical elements (CEs) was 50.7 per cent.

3.1.2 The ICVM of Sudan was conducted from 11 to 15 December 2011. The ICVM team

reviewed the progress made by the State in addressing 87 F&Rs, covering 399 PQs in the areas of LEG,

ORG, PEL, OPS, AIR, AIG, ANS and AGA. Following the review, the status of 158 PQs was changed to

satisfactory and that of 2 PQs was changed to not applicable, which resulted in an updated LEI of 31.1 per

cent, while 239 PQs remain not satisfactory.

3.1.3 The ICVM team identified a potential SSC related to the air operator certification

process.

- 3 -


3.1.4 The CEs with the highest LEI, after the ICVM, are:

a) CE-8, Resolution of Safety Concerns, at 57 per cent;

b) CE-7, Surveillance Obligations, at 53 per cent; and

c) CE-4, Technical Personnel Qualifications and Training, at 48 per cent.

3.1.5 Information on the civil aviation system and activities in the areas of LEG, ORG, PEL,

OPS, AIR, ANS, AGA and AIG of Sudan may be found in the State Aviation Activity Questionnaire

(SAAQ) and is regularly updated by the Sudan Civil Aviation Authority (SCAA) through the CMA

online framework. A chart depicting the level of aviation activity in the different technical areas, at the

time of the mission, is found in Appendix 1 of this report.

3.1.6 Analysis of the LEI by the eight CEs of the safety oversight system (Figure 1) in Sudan

as well as analysis of the LEI by areas (Figure 2) are found in Appendix 2-1 of this report. Also

highlighted are recommendations for the State’s short-, medium- and long-term priorities to resolve the

identified deficiencies.

3.2 Detailed analysis of ICVM results

3.2.1 With a view to assisting Sudan in resolving the remaining deficiencies, a detailed

breakdown of the ICVM results by CEs is provided in Figures 3 to 6 in Appendices 2-2 to 2-5 of this

report. Specifically, these figures depict the overall LEI in the areas of:

a) CE-1, Primary Aviation Legislation;

b) CE-2, Specific Operating Regulations;

c) CE-3, State Civil Aviation System and Safety Oversight Functions; and

d) CE-4, Technical Personnel Qualifications and Training.

3.2.2 Figures 7 to 12 in Appendices 2-6 to 2-11 of this report provide a detailed breakdown of

LEI by sub-area for the areas of PEL, OPS, AIR, ANS, AGA and AIG.

3.2.3 The status of findings and related PQs in the areas of LEG, ORG, PEL, OPS, AIR, ANS,

AGA and AIG based on the ICVM conducted may be accessed by registered users via the ICAO Secure

Portal home page:

https://portal.icao.int/ISTARS/Pages2/USOAP%20Results%20by%20State.aspx?statename=SDN.

4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS

4.1 Accompanied by staff members of the State’s civil aviation system, the ICVM teams visit

aviation service providers, operations and maintenance departments of operators and maintenance

organizations, aeronautical product/equipment manufacturers, aviation training institutes, etc. The

objective of the visits is to validate the capability of the State to supervise the activities of these service

providers, airlines and organizations.

https://portal.icao.int/ISTARS/Pages2/USOAP%20Results%20by%20State.aspx?statename=SDN

- 4 -


4.2 In the case of Sudan, the ICVM team visited the following organizations:

a) Sudan Airways (PEL/OPS);

b) Sudan Airways maintenance department (AIR); and

c) Khartoum international Airport (ANS and AGA).

5. FOLLOW-UP ACTION

5.1 In accordance with the MOU agreed to between Sudan and ICAO, Sudan is required to

submit to ICAO regular updates of its CAP and SAAQ, as applicable. Any subsequent updates submitted

by the State relating to the implementation of its CAP will also be posted on the ICAO CMA online

framework (http://www.icao.int/usoap) as a progress report.

— — — — — — — —

http://www.icao.int/usoap

Area

Personnel Licensing and Training (PEL) Low Medium Medium – High High

Pilot licences issued/validated < 200 201 – 500

(398)501 – 1,000 > 1,000

Flight Crew Training Organizations1 – 5

(1)6 – 20 21 – 100 > 100

Flight Crew Examiners designated by the State 1 – 20 21 – 100

(35)101 – 500 > 500

Aircraft Operations (OPS) Low (< 5) Medium Medium – High High

Air Operator Certificates (AOCs)

issued and valid6 – 10

11 – 30

(18)> 30

New AOCs issued in the past year

Airworthiness (AIR) Low Medium Medium – High High

101 – 500

(152)

Valid Certificates of Airworthiness < 50 51 – 100101 – 500

(132)> 500

Domestic Approved Maintenance Organizations

(AMOs)< 5 6 – 10 11 – 30 > 30

Approved production organizations

Type Certificates (TCs) issued

Air Navigation Services (ANS) Low Medium Medium – High High

Aircraft movements (international + domestic) —

landings and take offs:

Current year

Jan to Jun:

(about 136 daily or

total of 24,590)

Aircraft movements (international+ domestic) —

landings and take offs:

Past year

Jan 2010 to Jan 2011:

(about 141 daily or

total of 51,517)

Aircraft movements (over-flights):

Past year

Jan to Dec:

(about 108 daily or

total of 39,461)

Aerodromes and Ground Aids (AGA) Low Medium Medium – High High

< 5 6 – 20 21 – 50 > 50

International aerodromes (7)

International heliports

Aircraft Accident and Incident Investigation

(AIG)Low Medium Medium – High High

Accidents past 5 years (26)

Serious incidents past 5 years (15)

Note 1.— Shaded boxes indicate level of activity in the State.

Note 2.— Numbers in parentheses indicate the values provided by the State.

< 200 (daily) > 1,000 (daily)

Air traffic controller licences issued/validated 1 – 50 51 – 200

(124)

51 – 100 > 500

201 – 500501 – 1,000

(613)

Jan to Jun:

(about 113 daily or

total of 20,387)

Appendix 1 — Level of Aviation Activity in Each Technical Area

Level of Activity

Aircraft maintenance licences issued/validated 1 – 50 51 – 200

201 – 500 (daily) 501 – 1,000 (daily)

Aircraft movements (over-flights):

Current year

201 – 500 501 – 1,000

Aircraft registered in the State < 50

— — — — — — — —

LEI before ICVM: 50.7%LEI after ICVM: 31.1%Sudan (ICVM period: 11 to 15 December 2011)

Appendix 2-1 — Executive Summary

Figure 1. Lack of Effective Implementation by Critical Element of a Safety Oversight System

Figure 2. Lack of Effective Implementation by Area

Analysis

20%27%

51%

88%

40%

49%

65% 66%

7%

17% 15%

48%

16%

37%

53%57%

0%

50%

100%

CE-1Primary aviation

legislation

CE-2 Specific operating

regulations

CE-3Civil aviation

system and safety oversight functions

CE-4 Technical personnel qualifications and

training

CE-5 Procedures and

technical guidance

CE-6Licensing and certification obligations

CE-7Surveillance obligations

CE-8 Resolution of safety

concerns

LEI before ICVM LEI after ICVM

27%

44%

54%50%

15%

75%

46%

38%

19% 19%25%

31%

10%

51%

33%

7%

0.0%

50.0%

100.0%

Legislation Organization Personnel licensing and training

Aircraft operations Airworthiness of aircraft

Air navigation services

Aerodromes and ground aids

Aircraft accident and incident investigation


Overview:

1. The USOAP audit of the civil aviation system in Sudan conducted in 2006 generated 87 findings, with 399 protocol questions (PQs) found not satisfactory. The Lack of Effective Implementation (LEI) of the eight critical elements (CEs) was 50.7 per cent.

2. The ICVM of Sudan was conducted from 11 to 15 December 2011. The ICVM team reviewed the progress made by the State in addressing 87 Findings and Recommendations (F&Rs), covering 399 PQs in the areas of LEG, ORG, PEL, OPS, AIR, AIG, ANS and AGA. Following the review, the status of 158 PQs was changed to satisfactory and that of 2 PQs was changed to not applicable, which resulted in an updated LEI of 31.1 per cent, while 239 PQs remain not satisfactory.

3. The scope of the mission included the areas LEG, ORG, PEL, OPS, AIR, ANS, AGA and AIG.4. The CEs remaining with the highest LEI, after the ICVM, are:

a) CE-8, Resolution of Safety Concerns, at 57 per cent, b) CE-7, Surveillance Obligations, at 53 per cent and, c) CE-4, Technical Personnel Qualifications and Training, at 48 per cent.

Significant Safety Concerns (SSCs):The ICVM team identified a potential SSC related to the air operator certification process.

Sudan (ICVM period: 11 to 15 December 2011)

Appendix 2-1 — Executive Summary (cont.)

Analysis (cont.)

Immediate-/Short-/Medium-/Long-term Priorities:In view of the overall results outlined in Figures 1 and 2, the information below has been developed to assist the State in prioritizing its remedial actions.

Immediate action:1. Conduct a structured evaluation of all air operator certificate (AOC) holders to ensure their compliance with the applicable

provisions of Annex 6 to the Chicago Convention and national regulations, including review and approval of operations manuals, training manuals and the organizational structure of AOC applicants; standards operating procedures (SOPs); maintenance control manuals and maintenance programmes; minimum equipment lists (MELs); and all special authorizations, specific approvals, and/or special limitations granted in the operations specifications issued in conjunctionwith an AOC.

2. Recruit additional qualified and experienced operations and airworthiness inspectors.3. Review the issuance and renewal process for certificates of airworthiness to ensure their full compliance with ICAO SARPs

and national requirements.4. Conduct inspections of all Sudan-registered aircraft where evidence of their full compliance with applicable airworthiness

provisions and certificate of airworthiness requirements are not available.

Short-term Priorities:General Issues:1. Implement the new organizational structure.2. Establish a coordination process between OPS and AIR Directorates for the AOC issuance and renewal process.3. Enhance oversight capabilities with respect to all Sudan-registered aircraft.4. Establish a formal training programme, including a process for the provision of on-the-job training (OJT).5. Update the State corrective action plan by using the ICAO iSTARS online system.6. Implement a formal process to notify differences to ICAO, preferably by using the Electronic Filing of Differences (EFOD)

online reporting system.

ORG:1. Ensure that the Sudan Civil Aviation Authority (SCAA) has sufficient and qualified PEL, OPS and AIR inspectors in order to

effectively accomplish its certification, approval and surveillance functions as well as the associated safety oversight responsibilities.

2. Assess the status of all applicable technical publications in all Directorates and amend them, as necessary, with priority given to documents related to the areas of PEL, OPS and AIR.

PEL:1. Implement a system to ensure the qualification and competency of the instructors in all aviation training organizations.2. Implement a formal surveillance programme to supervise and control flight and practical test delivery by the designated

flight and practical examiners.3. Review the oversight process for the certification of aviation training organizations and ensure its implementatio n.

OPS:1. Establish and implement a comprehensive certification process for the issuance of AOCs, taking into account the various

legal and practical operational aspects of lease arrangements.2. Establish and implement coordination procedures between the entities involved in the certification of air operators.3. Review the dangerous goods authorization process to ensure that all elements are completed and documented. 4. Ensure that all operations-related activities are documented consistently.



Analysis (cont.)

Short-term Priorities:

AIR:1. Establish a formal coordination process between OPS and AIR Directorates for the certification, approval and surveillance

activities.2. Document the AOC issuance process to ensure that all maintenance-related requirements are met. 3. Implement an effective surveillance programme addressing all airworthiness-related tasks that are part of the SCAA’s

functions and responsibilities.

ANS:1. Develop a process for the certification/approval of service providers, taking into account the different levels of service

providers. 2. Implement a mechanism to verify compliance with applicable ANS provisions.3. Establish and implement a detailed inspection and surveillance programme.4. Clearly define the roles and related functions with respect to service provision and safety oversight in the Memoranda of

Understanding (MOUs) concluded with relevant entities. 5. Provide detailed job descriptions for aeronautical information services (AIS), communication, navigation and surveillance

(CNS), meteorological services (MET) and search and rescue (SAR) inspectorate staff to reflect the coordination with entitieswhich have concluded MOUs with SCAA.

6. Establish clear and specific minimum qualification and experience requirements for inspectors, including OJT criteria.7. Require service providers to develop job descriptions, comprehensive training programmes and record-keeping systems and

ensure their implementation.8. Ensure effective implementation of applicable Sudan Civil Aviation Regulations (SUCARs), associated requirements, and

related guidance material. 9. Ensure that the SAR service provider meets staffing requirements for the Khartoum rescue coordination centre (RCC),

including relevant qualification and English proficiency requirements for those personnel involved in radio telephony communications.

AGA:1. Revise the certification process to include all applicable elements.2. Ensure that aerodrome operators implement a safety management system (SMS) by adopting a phased approach, if

necessary.3. Develop a mechanism with detailed procedures and guidance for granting exemptions to applicable regulations , including a

review of supporting risk assessments/aeronautical studies.4. Provide training to aerodrome staff on the evaluation and acceptance of SMS as well as the use of risk

assessments/aeronautical studies for granting exemptions to applicable regulations.5. Ensure that aerodrome operators establish and implement a system for analyzing and taking action on aerodrome-related

incidents/safety occurrences. 6. Establish a training programme with clear training requirements for aerodrome technical staff, including OJT and minimum

training required for assessing the various levels of the aerodrome inspectors’ functions.7. Establish and implement a detailed inspection programme, including a mechanism for ensuring compliance with applicable

regulations through systematic follow up of identified deficiencies.

Medium-/Long-term Priorities:

ORG:1. Establish an entity responsible for assessing and monitoring all SCAA operations and services to ensure adherence to

established requirements and procedures.2. Ensure that all relevant documents are readily available to the SCAA inspectorate staff and a document control system is in

place to ensure currency. 3. Establish and implement a formal SCAA training programme, including initial, recurrent and specialized training as well as

OJT.4. Ensure effective communication and coordination between Directorates.



Analysis (cont.)

Medium-/Long-term Priorities:

PEL/OPS:1. Implement a process for actions to be taken when sufficient evidence shows that a training organization has not

performed its functions according to its procedures manual.2. Develop and implement procedures for coordination on licensing, certification and approval activities with other relevant

areas, such as OPS and AIR. 3. Review the approval process for the amendment of air operators' operations manuals.4. Develop and implement comprehensive procedures and guidance material for operations inspectors to carry out their

duties effectively.5. Establish and implement a system to ensure that all records pertaining to the certification process for the issuance and

renewal of AOCs are maintained.

AIR:1. Develop job descriptions for airworthiness inspectors according to their assigned duties.2. Ensure that checklists for airworthiness-related certification, approval and surveillance activities are completed

consistently. 3. Develop a publication index for documentation on design and continuing airworthiness.4. Ensure coordination with the Safety and Flight Operations Directorate (SFOD) regarding AOC issuance/renewal and

approvals related to special operations.5. Establish and implement a mechanism for the surveillance of foreign air operators.

ANS:1. Establish a State Safety Programme (SSP).2. Ensure the establishment and implementation of SMS by air traffic service (ATS) providers (through a phased approach)

and include SMS elements in the surveillance programme.3. Conduct effective surveillance in the provisions of air navigation services.4. Ensure that PANS-OPS and Charts service providers comply with regulatory provisions with respect to instrument flight

procedures and charts applicable to Sudan.5. Establish and implement systems to meet aeronautical data quality requirements in AIS, particularly data integrity and

charting resolution, and publication.6. Establish and implement an effective quality management system in the provision of MET services.7. Designate, as SAR units, entities that are suitably located and equipped for SAR operations.8. Ensure Khartoum RCC prepares detailed plans of operation for the conduct of SAR operations within the Khartoum search

and rescue region (SRR).9. Initiate the signing of SAR letters of agreement or similar legal instruments to facilitate cooperation and coordination

between Sudan and States responsible for the provision of SAR services in adjacent SRRs.

AGA:1. Complete the certification of all designated aerodromes.2. Ensure full implementation of SMS requirements, including the setting and monitoring of safety performance targets and

objectives.3. Establish and implement a detailed surveillance programme to ensure continuing compliance with applicable regulations.

AIG:1. Promulgate legislation to provide for the independence of the organization/commission in charge of conducting aircraft

accident and incident investigations.2. Implement the proposal to hire more investigators and support staff for the Directorate of Aircraft Accident and Incident

Investigation and Prevention (AAICD).3. Provide investigators of the AAICD with equipment against biological and other hazards at accident sites.

CE-1 Primary Aviation Legislation LEI before ICVM: 20.0% LEI after ICVM: 6.7%

Appendix 2-2 — Analysis of Results by Critical Element 1

30%

0% 0%

33%

15%10%

0% 0%

33%

0%0%

50%

100%

Compliance with the Chicago Convention

Establishment of a CAA Delegation of authority to CAA/DG

Enforcement Empowerment of CAA inspectors/investigators


Highlights:

Effective Implementation:

1. The State has promulgated primary aviation legislation, namely, the Civil Aviation Safety Act of 2010 and the Civil Aviation Authority Act of 2010.

2. The Civil Aviation Authority Act provides clear delegation of power to the SCAA, its Director General and its inspectorate staff. 3. Dedicated safety oversight units have been established for the areas of ANS and AGA.4. The sanction system has been revised and the fines raised to a sufficient level to serve as a deterrent against infringement of

national legislation/regulations. 5. The AAICD is now empowered by regulations to conduct its investigations, including unhampered access to and control over all

relevant material and evidence.

Lack of Effective Implementation:

1. No legislation has been promulgated to provide for the independence of the organization/commission in charge of conducting aircraft accident and incident investigation, particularly for issuing final aircraft accident reports and safety recommendations.

2. No clear legislative/regulatory provisions have been promulgated to make compliance with interception orders from other States mandatory for aircraft registered in Sudan or operated by Sudanese air operators.

The provision of a comprehensive and effective aviation law consistent with the environment and complexity of the State'saviation activity and compliant with the requirements contained in the Convention on International Civil Aviation (ChicagoConvention).

Note.— Appendices 2-2 to 2-5 present the CSA audit and ICVM results by CEs 1, 2, 3 and 4 for all technical areas (i.e. PEL, OPS, AIR, ANS, AGA and AIG). Appendices 2-6 to 2-11 present a detailed breakdown of CSA audit and ICVM results by sub-area groupings.

CE-2 Specific Operating Regulations LEI before ICVM: 26.8% LEI after ICVM: 16.7%


38%

91%

14%25%

0%

55%

18% 21%

4%

91%

0% 0% 0%

45%

18%7%

0%

50%

100%

Operating regulations and

amendment procedures

Identification and

Notification of Differences

PEL Regulations

OPS Regulations

AIR Regulations

ANS Regulations

AGA Regulations

AIG Regulations


Highlights:

Effective Implementation:1. SUCARs have been promulgated to address the provisions of: Annexes 1, 6 and 18 in the areas of PEL and OPS (including Dangerous Goods); Annexes 6, 7, and 8 in the area of AIR; Annexes 2, 3, 4, 5, 10, 11, 12 and 15 in the area of ANS; Annex 13 in the area of AIG, including provisions for the protection and safe custody of evidence during the investigation

of aircraft accidents and serious incidents; and Annex 14, Volume I.

2. Procedures have been developed for the following: amendment of applicable regulations, the identification of differences between its national regulations and practices and ICAO SARPs, and the notification and publication of differences in the Aeronautical Information Publication (AIP).

Lack of Effective Implementation:The State has not:a) transposed the provisions of Annex 16 to the Chicago Convention — Environmental Protection to its national regulations;b) implemented the procedures for the identification and notification to ICAO of differences between its regulations and

practices and the ICAO SARPs;c) published all the significant differences in the AIP; andd) clearly stated, in SUCAR 5, the units of measurements to be used.

The provision of adequate regulations to address, at a minimum, national requirements emanating from the primary aviation legislation and providing for standardized operational procedures, equipment and infrastructures (including safety management and training systems), in conformance with the Standards and Recommended Practices (SARPs) contained in the Annexes to the Convention on International Civil Aviation.

LEI before ICVM 51.0%

LEI after ICVM: 15.0%


CE-3 State Civil Aviation System and Safety Oversight Functions

33%

54%

17%

55%

88%

25%

13% 15%

0%9%

31%

0%0%

50%

100%

Organizational Structure

Definition of functions and

responsibilities

Delegation of authority to CAA

staff

Delegation of tasks outside CAA

Staffing and recruitment procedures

Financial resources


Highlights:


1. Within the SCAA, the functions of the State regulator are separate from those of the service providers in the areas of AGA and ANS.

2. A central library has been established.3. The functions and responsibilities as well as the inspector’s job descriptions for ANS and AGA are clearly defined. 4. An organizational structure for aircraft accident and incident investigation has been established.


1. There is no effective coordination and communication between the Directorates. 2. The SCAA does not have a document control system. 3. The remuneration scheme of the SCAA is not competitive. 4. There is not enough qualified and experienced inspectorate staff, particularly in the areas of PEL, OPS and AIR. 5. There is lack of independence in the aircraft accident investigation process.6. The AAICD does not have enough qualified and experienced technical staff.7. Job descriptions for the investigators of the AAICD have not been developed.

The establishment of a civil aviation authority (CAA) and/or other relevant authorities or government agencies, headed by a Chief Executive Officer, supported by the appropriate and adequate technical and non-technical staff and provided with adequate financial resources. The State authority must have stated safety regulatory functions, objectives and safety policie s.

CE-4 Technical Personnel Qualifications and Training LEI before ICVM: 87.5% LEI after ICVM: 47.5%


The establishment of minimum knowledge and experience requirements for the technical personnel performing safety oversightfunctions and the provision of appropriate training to maintain and enhance their competence at the desired level. The trainingshould include initial and recurrent (periodic) training.

Highlights:


1. Overall training activities have been augmented for 2011/2012.2. The SCAA has a system for keeping the training records of its technical staff.3. The Air Navigation Services Safety and Standard Unit (ANSSSU) within the SCAA has recruited inspectorate staff and started

their training. 4. Qualification and experience requirements have been developed for the investigators of the AAICD.


1. There is no formal documented plan for OJT in all areas; OJT is provided only on an ad hoc basis. 2. The State has not developed formal training programmes, including customized OJT for each area of speciality.3. Investigators have not received all the necessary training, including OJT.

90%

78%

0%

100% 100% 100%

30%

22%

0%

67%60%

33%

PEL Training OPS Training AIR Training ANS Training AGA Training AIG Training


Figure 6. Lack of Effective Implementation (%) in CE-4 sub-areas

Overall Training Areas Specific Training Areas

69%

92% 92%

50%

42%

50%

0%

50%

100%

Technical personnel qualifications and

experience

Training policy and programme

Implementation of training programme

LEI before ICVM: 55.0%


Appendix 2-6 — Analysis of Results for Personnel Licensing and Training

Figure 7. Personnel Licensing and Training (PEL)

Protocol Questions by sub-area groupings

Highlights:


1. The SCAA employs a medical assessor for the surveillance of designated medical examiners.2. The SCAA has implemented a system to reinstate the privileges of expired licences and ratings.


The SCAA has not:a. implemented a formal surveillance programme for the supervision and control of flight and practical test delivery by the

designated flight and practical examiners.b. developed and implemented a formal process for actions to be taken when evidence shows that training organizations have

not performed their duties in accordance with the cope of approval and established procedures.c. established and implemented a system to ensure proper qualification and competency of instructors at all levels of aviation

training organizations.

6

4

5

4

3

5

1

2

9

3

1

2

1

2

1

1

2

1

5

2

Issuance of licences and ratings

Conversion and validation of foreign licences

Medical Assessment

Examinations

Language proficiency requirements

Record-keeping

Approval and surveillance of training organizations

Licensing of aircraft maintenance personnel

Satisfactory PQs before ICVM Satisfactory PQs after ICVM PQs Still Unsatisfactory after ICVM SSCs



Appendix 2-7 — Analysis of Results for Aircraft Operations

Figure 8. Aircraft Operations (OPS) Protocol Questions by sub-area groupings

Highlights:


1. The State has developed and is implementing process and procedures to ensure that SOPs for each phase of flight are laid down in the air operators’ operations manual.

2. The SCAA has brought in expertise to identify medium- to long-term resource requirements.


1. With respect to the air operator certification process, a potential SSC was identified by the ICVM team, specifically:a. The OPS inspectors do not have comprehensive guidance material and procedures to enable them to carry out their

duties effectively.b. The checklists used in the process are not sufficiently detailed to assist the OPS inspectors in the evaluation and

completion of all aspects and phases of the process as well as in the identification of deficiencies.c. In the preliminary assessment of an air applicant’s technical fitness, there is no coordination between OPS and AIR

inspectors.

2. The SCAA has not:a. established and implemented a process to ensure, at regular intervals, that its air operators maintain up-to-date and

sufficient documentation concerning flight data recorder (FDR) parameter allocation, conversion equations, periodic calibration and other serviceability/maintenance information.

b. implemented coordination procedures for the licensing, certification, approval and authorization activities when other areas are involved.

3

9

11

11

4

5

2

3

5

4

2

2

1

9

1

4

4

3

3

7

1

4

4

1

1

AOC application

Air operator documentation review

Air operator SMS

Air operator training programmes

Crew scheduling and operational control

SOPs and ground handling

Dangerous goods

Lease

Security measures

Surveillance of air operators

Satisfactory PQs before ICVM Satisfactory PQs after ICVM PQs Still Unsatifactory after ICVM SSCs



Figure 9. Airworthiness of Aircraft (AIR) – Airworthiness Inspection


Appendix 2-8 — Analysis of Results for Airworthiness of Aircraft

Highlights:


The SCAA has:a. developed an Airworthiness Directorate Management Exposition Manual. b. issued an internal memo (including a flowchart) for proper coordination between the AIR Directorate and the Safety and

Flight Operations Directorate (SFOD) for the issuance of AOCs and special authorizations/approvals.c. developed procedures for the approval of manuals and their contents. d. developed an airworthiness inspectors’ handbook, including a procedure for monitoring air operators’ reliability

programmes (which is also covered in the associated checklist for the performance of related surveillance activities). e. established minimum qualification requirements for employees of approved maintenance organizations (AMOs), including

requirements for initial and recurrent training.


1. The State has not:a. defined the entity responsible for carrying out airworthiness engineering-related tasks.b. developed job descriptions for the senior inspectors. c. implemented the coordination procedures between AIR Directorate and SFOD for the issuance of AOCs and special

authorizations/approvals.d. provided AIR inspectors with checklists to be used in the approval of manuals. e. ensured effective monitoring of reliability programmes by air operators, including the imposition of special restrictions

in case of degraded levels of safety.

2. The State does not:a. keep comprehensive certification files related to the issuance of AOCs and of special authorizations/approvals.b. kept documented evidence regarding the completion of airworthiness activities related to the certification/approval

processes.

5

27

6

16

13

5

2

2 2

2

4

Aircraft registration

Certificate of airworthiness and other authorizations

State of Registry/Operator continuing airworthiness responsibilities

Airworthiness certification of commercial air transport operators

AMOs

Airworthiness surveillance




Figure 10. Air Navigation Services (ANS) — ANSPs operational personnel and training

Protocol Questions by sub-areas groupings

Appendix 2-9 — Analysis of Results for Air Navigation Services

Highlights:


The State has:a. promulgated regulatory provisions for the development of an SSP and the establishment of SMS by service providers.b. provided training on safety management. c. developed guidance material on the implementation of SMS. d. allocated resources for the ongoing implementation of SMS (including the drafting of related guidance material).e. drawn up Advisory Circulars to address competencies in the areas of ATS, AIS, PANS-OPS and SAR. f. signed MOUs with government agencies responsible for Charts services, MET and SAR in order to facilitate the assignment of

staff in the respective areas.


The State has not:a. established an SSP and service providers have not established SMS to ensure an acceptable level of safety in the provision of

ATS.b. laid down clear regulatory requirements for service providers to develop job descriptions, training programmes and training

records for their operational staff in the areas of ANS.c. developed detailed plans for the conduct of SAR within the Khartoum SRR.d. ensured that SAR personnel receive regular training. e. put in place a mechanism to ensure recruitment and retention of sufficiently qualified and trained SAR personnel.

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13

2

2

2

4

7

4

3

3

2

18

4

12

5

2

3

4

7

ANSPs operational personnel and training

ATS

SSP/SMS

PANS-OPS

AIS

Aeronautical charts

MET

SAR




Figure 10.1. Air Navigation Services (ANS) - ANS Surveillance (Inspectorate)


Appendix 2-9-1 — Analysis of Results for Air Navigation Services

Highlights:

Effective Implementation:The State has set up the ANSSSU tasked with oversight of ANS providers.

Lack of Effective Implementation:No comprehensive surveillance programme has been established and implemented in the area of ANS.

1

2 1

2

2

2

2

2

2

ATS Inspectorate

PANS-OPS Inspectorate

AIS Inspectorate

Aeronautical charts Inspectorate

CNS Inspectorate

MET Inspectorate

SAR Inspectorate




Figure 11. Aerodromes and Ground Aids (AGA)


Appendix 2-10 — Analysis of Results for Aerodromes and Ground Aids

Highlights:


1. The State has set up the Aerodrome Safety and Standard Directorate (DASS) tasked with the certification and surveillance of aerodromes.

2. Aerodrome technical staff have received training. 3. Comprehensive guidance material has been developed for DASS staff and aerodrome operators.


1. With respect to aerodrome certification: a. the relevant requirements have not been implemented.b. not all designated aerodromes have submitted their draft aerodrome manuals for approval (only 3 out of 15 have done

so).c. the SMS requirements are not implemented.d. the certification process does not include essential elements, such as the assessment of the competence and experience

of aerodrome staff and the publication of the aerodrome certification status in the AIP.2. The DASS staff has not received training on the evaluation, acceptance and oversight of aerodrome operators’ SMS. 3. The State has not established/developed:

a. a formal mechanism (with detailed procedures and guidance material) for granting exemptions to applicable regulations, including review of supporting risk assessments/aeronautical studies.

b. a formal mechanism to ensure that aerodrome operators comply with applicable regulations, in particular those related to aerodrome visual aids and safety procedures for aerodrome operations.

c. a quality system to ensure the accuracy, integrity and protection of aerodrome data reported by aerodrome operators throughout the data transfer process.

d. a surveillance programme for its aerodromes.e. a mechanism for the follow up and elimination of deficiencies identified during inspections or through other sources.f. a system to ensure that aerodrome operators collect, analyse and take actions on aerodrome-related incidents/safety

occurrences.

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3

11

12

9

4

28

1

1

3

1

2

2

8

3

2

9

2

7

8

7

Aerodrome certification - General

Aerodrome manual

Provision of aerodrome data and coordination

Physical characteristics, facilities and equipment

Aerodrome visual aids

Aerodrome maintenance

Safety procedures for aerodrome operations

SMS/Aeronautical studies/Risk assessments

Heliport characteristics

Aerodrome surveillance


LEI before ICVM: 32.8%LEI after ICVM: 0.0%

Figure 12. Aircraft Accident and Incident Investigation (AIG)


Appendix 2-11 — Analysis of Results for Aircraft Accident/Incident Investigation

Highlights:


The AAICD:a. provides its investigators with the necessary tools and equipment as well as the means of transportation and

communication for the conduct of their aircraft accident and incident investigation duties.b. has developed a procedure for forwarding aircraft accident/serious incident notifications to the States involved and,

when applicable, to ICAO.c. has developed procedures to ensure that in the event of an accident, all ATS communication recordings and documents

associated with the flight are secured and placed in safe keeping.d. has established provisions to appoint an accredited representative, in particular when requested specifically by the State

conducting an investigation.e. has made provisions to send an expert to the State of Occurrence in cases when Sudan is the State having suffered

fatalities or serious injuries to its citizens.f. has adopted the European Co-ordination Centre for Aviation Incident Reporting Systems (ECCAIRS) in managing its

accident and incident database, including the one for its accident and incident reporting system.

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13

2

7

2

2

3

2

2

9

2

2

1

2

1

Notification of accidents and serious incidents

Conduct of accident and serious incident investigations

Participation in investigations conducted by other States

Completion and release of the final report

Safety recommendations

Forwarding of ADREP reports

Reporting, storage and analysis of incidents

Voluntary reporting system


— END —

FINAL REPORT ON THE ICAO COORDINATED ......a Continuous Monitoring Approach (CMA). The activities...

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