ICAO-USOAP Final Audit Reportcfapp.icao.int/fsix/AuditReps/CSAfinal/Ethiopia_Final_Audit_Report... · AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ... 1.1.4 In accordance with Assembly

ICAO Universal Safety Oversight Audit Programme

FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT

OF THE CIVIL AVIATION SYSTEM

OF ETHIOPIA

(4 to 13 December 2006)

International Civil Aviation Organization

Final Safety Oversight Audit Report ― Ethiopia October 2007

TABLE OF CONTENTS Page 1. INTRODUCTION.......................................................................................................................... 1

1.1 Background......................................................................................................................... 1 1.2 ICAO audit team composition ........................................................................................... 1 1.3 Acknowledgements............................................................................................................. 2

2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION .............................................. 2 3. AUDIT RESULTS ......................................................................................................................... 3

3.1 Critical element 1 — Primary aviation legislation.............................................................. 3 3.2 Critical element 2 — Specific operating regulations .......................................................... 4 3.3 Critical element 3 — State civil aviation system and safety oversight functions ............... 6 3.4 Critical element 4 — Technical personnel qualification and training ................................ 8 3.5 Critical element 5 — Technical guidance, tools and the provision of safety critical

information.......................................................................................................................... 9 3.6 Critical element 6 — Licensing, certification, authorization and/or approval obligations11 3.7 Critical element 7 — Surveillance obligations ................................................................. 12 3.8 Critical element 8 — Resolution of safety concerns......................................................... 14

4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS ......................................................... 15 5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) .......................................... 15 6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ)............................................... 15 7. COMPLIANCE CHECKLISTS (CCs) ...................................................................................... 16 8. FOLLOW-UP ACTION .............................................................................................................. 16 APPENDICES 1 — Audit findings and recommendations

1-1 Findings and recommendations related to primary aviation legislation and civil aviation regulations

1-2 Findings and recommendations related to civil aviation organization 1-3 Findings and recommendations related to personnel licensing and training 1-4 Findings and recommendations related to aircraft operations certification and

supervision 1-5 Findings and recommendations related to airworthiness of aircraft 1-6 Findings and recommendations related to aircraft accident and incident investigation 1-7 Findings and recommendations related to air navigation services 1

-8 Findings and recommendations related to aerodromes

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

3 — Corrective action plan proposed by Ethiopia

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ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Final Report on the Safety Oversight Audit of the Civil Aviation System of Ethiopia

(4 to 13 December 2006)

1. INTRODUCTION 1.1 Background 1.1.1 The 32nd Session of the ICAO Assembly (Assembly Resolution A32-11 refers) resolved the establishment of the ICAO Universal Safety Oversight Audit Programme (USOAP), comprising regular, mandatory, systematic and harmonized safety audits of all Contracting States. The mandate for regular audits foresaw the continuation of the Programme, and the term “safety audits” suggested that all safety-related areas should be audited. The expansion of the Programme “at the appropriate time”, as recommended by the 1997 Directors General of Civil Aviation Conference on a Global Strategy for Safety Oversight, had thus been accepted as an integral part of the future of the Programme. 1.1.2 The 35th Session of the ICAO Assembly considered a proposal of the Council for the continuation and expansion of the USOAP as of 2005 and resolved that the Programme be expanded to cover all safety-related Annexes (Assembly Resolution A35-6 refers). The Assembly also requested the Secretary General to adopt a comprehensive systems approach for the conduct of safety oversight audits. 1.1.3 Assembly Resolution A35-6 further directed the Secretary General to ensure that the comprehensive systems approach maintain as core elements the safety provisions contained in Annex 1 ― Personnel Licensing, Annex 6 — Operation of Aircraft, Annex 8 — Airworthiness of Aircraft, Annex 11 ― Air Traffic Services, Annex 13 — Aircraft Accident and Incident Investigation and Annex 14 ― Aerodromes; to make all aspects of the auditing process visible to Contracting States; to make the final safety oversight audit reports available to all Contracting States; and also to provide access to all relevant information derived from the Audit Findings and Differences Database (AFDD) through the secure website of ICAO. 1.1.4 In accordance with Assembly Resolution A35-6, safety oversight audit reports have been restructured to reflect the critical elements of a safety oversight system, as presented in ICAO Doc 9734 ― Safety Oversight Manual, Part A — The Establishment and Management of a State’s Safety Oversight System. ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need to consider these critical elements. 1.2 ICAO audit team composition 1.2.1 The safety oversight audit team was composed of: Mr. Ignacio Flores, team leader, primary aviation legislation (LEG)/civil aviation organization (ORG); Mr. César Castillo, team member, personnel licensing (PEL)/aircraft accident and incident investigation (AIG); Ms. C.J. Collins, team member, on-the-job training (OJT)/ PEL/aircraft operations (OPS); Mr. Samuel Mandeng, team member, airworthiness of aircraft (AIR); Mr. Englebert Zoa Etudni, team member, air navigation services (ANS); and Mr. Milen Dentchev, team member, aerodromes (AGA).

Final Safety Oversight Audit Report — Ethiopia October 2007

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1.3 Acknowledgements 1.3.1 ICAO expresses its sincere appreciation for the assistance provided to the audit team during the preparation and conduct of the audit. The professionalism and enthusiasm of all personnel who interacted with the audit team greatly contributed to the success of the audit mission. 2. OBJECTIVES AND ACTIVITIES OF THE AUDIT MISSION 2.1 The comprehensive systems approach for the conduct of safety oversight audits consists of three phases. In the first phase, the level of implementation of Annex provisions is assessed and differences from ICAO Standards and Recommended Practices (SARPs) are identified for each Contracting State through a review of a duly completed State Aviation Activity Questionnaire (SAAQ) and Compliance Checklists (CCs) for all safety-related Annexes, as well as through a review of documents developed by the State to assist it in implementing SARPs and in maintaining an effective safety oversight system. In the second phase, the State being audited is visited by an ICAO audit team to validate the information provided by the State and to conduct an on-site audit of the State’s overall capability for safety oversight. The third phase of the audit process consists of the activities following the completion of the on-site audit. 2.2 The safety oversight audit of Ethiopia was carried out from 4 to 13 December 2006 in accordance with the standard auditing procedures provided for in ICAO Doc 9735 — Safety Oversight Audit Manual and the Memorandum of Understanding (MOU) agreed to on 4 April 2005 between Ethiopia and ICAO. The audit was carried out with the objective of fulfilling the mandate given by the Assembly which requires ICAO to conduct a safety oversight audit of all Contracting States (Assembly Resolutions A32-11 and A35-6 refer), reviewing a State’s compliance with ICAO SARPs set out in all safety-related Annexes and their associated guidance material, as well as with related Procedures for Air Navigation Services (PANS). Furthermore, the objective was also to offer advice, as applicable, to Ethiopia in implementing these provisions. 2.3 The audit team reviewed the SAAQ and the CCs submitted by Ethiopia prior to the on-site audit in order to have a preliminary understanding of the civil aviation system established in the State, to determine its various functions as well as to assess the status of implementation of relevant Annex provisions. Information provided and assessed prior to the conduct of the audit was validated during the on-site audit phase. In this regard, particular attention was given to the presence of an adequate organization, processes, procedures and programmes established and maintained by Ethiopia to assist it in fulfilling its safety oversight obligations. 2.4 The audit results, including the findings and recommendations contained in this report, reflect the capabilities and limitations of the civil aviation system of Ethiopia as assessed by the audit team. They are thus based on evidence gathered during interviews conducted by the audit team with Ethiopia’s technical experts and background information provided by such personnel, review and analysis of civil aviation legislation, specific regulations, related documentation and file records. Considering the time that was available to conduct the audit and the fact that the safety oversight audit team members could only review and analyse information and documentation made available by the State, it is possible that some safety concerns may not have been identified during the audit. The findings and recommendations related to each audit area are found in Appendix 1 to this report.


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3. AUDIT RESULTS 3.1 Critical element 1 — Primary aviation legislation

“The provision of a comprehensive and effective aviation law consistent with the environment and complexity of the State’s aviation activity, and compliant with the requirements contained in the Convention on International Civil Aviation.”

3.1.1 Ethiopia has developed and promulgated a legal framework to ensure that the air transport services are efficient, safe and economic and to promote the orderly development of the aviation industry in Ethiopia. The primary aviation legislation consists of the Ethiopian Civil Aviation Authority Re-establishment Proclamation (Proclamation No. 273/2002, hereinafter “the Proclamation”), which came into force on 14 May 2002; the Registration of Aircraft Regulations (No. 306/1965, amended in 1979); the Ethiopian Airports Enterprise Establishment Regulations (No. 82/2003), which was enacted on 24 January 2003; as well as directives and technical directives. In addition, Ethiopia has developed new comprehensive primary aviation legislation, the Civil Aviation Proclamation; dated August 2006; however, this proclamation has not yet been promulgated. 3.1.2 The provisions of the Proclamation shall apply to “all civil aerodromes; to all airlines and general aviation services operators established or operating in Ethiopia; to any aircraft registered by the Authority; to any foreign aircraft within Ethiopian Territory; to all aviation personnel and training establishment; to all organizations involved in the design, manufacture, maintenance, repair and modification of aircraft; and [to] aircraft parts and components”. Article 7(20) of the Proclamation empowers the Ethiopian Civil Aviation Authority (ECAA) to implement and enforce the Proclamation, regulations, directives, international conventions and agreements to which Ethiopia is a party. Article 17 of the Proclamation provides for penalties for violations of the Proclamation or directives, with punishment in accordance with the Penal Code. However, Ethiopia has not yet implemented a policy and procedures for enforcement. 3.1.3 The Proclamation provides for the establishment of an autonomous ECAA as the responsible Government Agency for all civil aviation activities in Ethiopia (Article 4) and establishes the Director General as the Chief Executive Officer (CEO) of the ECAA (Article 9). The Proclamation is promulgated by the Parliament. In addition, the Proclamation establishes that the Council of Ministers may issue regulations necessary for the execution of the Proclamation and that the Minister may issue directives for the execution of the regulations issued in accordance with the Proclamation (Article 18); the Director General is empowered to issue technical directives for the execution of the regulations (Article 7[20]). 3.1.4 Article 7(6) of the Proclamation gives the Director General the power to revoke or suspend any licence or certificate for just cause. Article 7(23) empowers the Director General to enter an aircraft, ground any aircraft, seize any documents or request any information necessary in any case where the ECAA has reason to believe that there has been, or there is likely to be, a breach of the Proclamation, regulations and directives. In this respect, the Director General has issued credentials and delegated its regulatory technical staff to carry out their safety oversight function. 3.1.5 Ethiopia has ratified Article 83 bis of the Chicago Convention and has entered into agreements with other States for the transfer of the duties and responsibilities envisaged by Article 83 bis. However, the primary aviation legislation and national regulations do not provide for the transfer of its duties and responsibilities as State of Registry to the State of the Operator, and as State of the Operator accept the duties and responsibilities of a State of Registry.


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3.1.6 With respect to personnel licensing, the Proclamation, Article 7(2) grants the ECAA the powers and duties to license aviation personnel. 3.1.7 In the area of aircraft operations, the Proclamation grants the ECAA the powers and duties to license, certificate and regulate air transport operators and general aviation services (Article 7[5]); to determine the conditions under which passengers, goods and mail may be transported in aircraft (Article 7[7]); and to ensure that the provision of air transport service to the public is safe, expeditious and adequate (Article 7[11]). 3.1.8 With respect to airworthiness, the Proclamation empowers the ECAA to control and regulate the legality of the manufacture, possession, use, operation, sale, import and export of any aircraft (Article 7[1]). The Proclamation also gives the ECAA the power and the duties to certificate and regulate the operators of aircraft, register all civil aircraft and any right relating thereto, assign registration marks, issue aircraft registration certificates, inspect and issue certificates of airworthiness, and prescribe conditions as to the maintenance and repair of aircraft (Article 7[13]). In addition, the ECAA is empowered to determine the standards of aircraft maintenance and repair centres and other facilities related to aircraft operations (Article 7[15]), as well as to take measures to minimize any adverse effect on the environment from noise, vibration atmospheric pollution or any other cause attributable to the use of aircraft for the purpose of civil aviation (Article 7[17]). 3.1.9 In the area of ANS, the Proclamation states that the objective of the ECAA shall be to control and ensure the safe and efficient use of Ethiopian airspace (Article 6[3]). It also states that the ECAA shall provide air traffic, navigation, aeronautical communication and information services within and outside the Ethiopian airspace (Article 7[4]) and shall prescribe air traffic rules and regulations governing the flight of aircraft (Article 7 [10]). As for rules of the air, the Proclamation gives the ECAA the powers and duties to identify air routes to be used within Ethiopia and prescribe the conditions of their use; determine conditions for air navigation and admission to and departure from Ethiopia territory; designate and specify restricted, prohibited and danger areas and air routes and enforce the implementation thereof in co-operation with other government agencies (Article 7[14]). Concerning search and rescue (SAR), the ECAA is empowered to conduct and coordinate SAR operations for any civil aircraft, organize a national SAR unit and coordinate with other government agencies, ministries or organizations so as to pool resources and manpower for the conduct of aircraft SAR services within the Ethiopian airspace, as well as to conclude agreements with neighbouring States for this purpose (Article 7[18]). 3.1.10 With respect to aerodromes, the Proclamation empowers the ECAA to inspect, licence and regulate all aerodromes (Article 7[3]). The Proclamation allows for the suspension or revocation, in whole or in part, of any certificate or licence issued to the aerodrome operator. 3.1.11 Legal provisions concerning aircraft accident investigations are contained in Article 7(18) of the Proclamation, which states that the ECAA shall “investigate aircraft accidents and incidents; prepare and issue investigation reports…”. Additional provisions concerning the independence of the investigation authority have not been published to date. 3.2 Critical element 2 — Specific operating regulations

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


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Note.— The term ‘regulations’ is used in a generic sense to include instructions, rules, edicts, directives, sets of laws, requirements, policies, orders, etc.”

3.2.1 Ethiopia has promulgated technical directives in order to comply with the provisions of all the safety-related ICAO Annexes; however, some of these technical directives are not in line with the ICAO Annex SARPs. In addition, Ethiopia has not implemented a formal procedure to address amendments to ICAO Annex SARPs or for the identification and notification of differences to ICAO. The ECAA has not published significant differences in the AIP, as required by ICAO Annex 15. The primary aviation legislation and regulations can be obtained from the Birhanena Selam Printing Press, and the technical directives can be obtained from the concerned parties of the ECAA. Ethiopian technical directives do not allow the issuance of exemptions. 3.2.2 With respect to personnel licensing, the ECAA has promulgated technical directives that provide for the regulation of the issuance of Ethiopian civil aviation licences to individuals, namely: Technical Directive, Chapter 5.1 (licensing of pilots and flight engineers); Technical Directive, Chapter 5.2 (licensing of aircraft maintenance technicians); Technical Directive, Chapter 5.4 (licensing of flight operations officer); Technical Directive, Chapter 5.5 (licensing of air traffic controllers); Technical Directive, Chapter 5.6 (aircraft maintenance technician school approval requirement); and Technical Directive, Chapter 6.4 (certification of pilot school). They also include requirements for medical fitness and English language ability. Although these technical directives frequently refer to ICAO Annex 1 provisions, they are not fully in conformance with all the SARPs contained in Annex 1. 3.2.3 In the area of aircraft operations, the ECAA has developed operating regulations in the form of technical directives issued by the Director General. In practice, various ICAO Annex 6 provisions are being implemented; however, there is no technical directive or other regulation requiring such implementation. Technical Directive, Chapter 6.1 (commercial air transport operations) provides the relevant rules and guidance material to commercial operators engaged in international and domestic operations, as referred to in ICAO Annex 6, Part I. This technical directive also contains regulations pertaining to the transport of dangerous goods by air, as per ICAO Annex 18. Technical Directive, Chapter 6.2 (general aircraft operating rules and procedures) relates to aircraft operations other than commercial air transport or aerial work. Although these technical directives refer to Annexes 6 and 18, they are not fully in conformance with all the SARPs contained in the ICAO Annexes. Furthermore, Ethiopia has not established regulatory requirements for aircraft leasing arrangements, and the existing procedures for the acceptance or approval of leasing arrangements are not comprehensive.

3.2.4 With respect to airworthiness, the Director General has promulgated Technical Directives, Chapter 3 (aircraft nationality and registration marks) and Chapter 4 (aircraft airworthiness), which address some of the provisions of ICAO Annexes 6, 7 and 8. In addition, the Technical Directives also contain airworthiness procedures, which allows for different interpretations and implementation difficulties. The Director of Safety is delegated with the responsibility of amending the national standards. However, Chapter 4 does not address all the provisions of Annexes 6 and 8 and is not fully in conformance with all the SARPs contained in the related ICAO Annexes. 3.2.5 In the area of ANS, Article 17(19) of the Proclamation makes the Aeronautical Information Publication (AIP) binding to all those engaged in civil aviation activities within Ethiopian airspace. In addition, Ethiopia has promulgated technical directives that address the requirements in the air navigation field applicable in Ethiopia and in the related ICAO Annexes. However, these technical directives are not fully in conformance with all the Annex SARPs. The ECAA has adopted the standards on safety management of air traffic services (ATS) in Technical Directive, Chapter 17 (air traffic services) in conformance with


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Annex 11, and the standards for the implementation of a quality system for the provision of the aeronautical information services (AIS), as required by Annex 15. 3.2.6 With respect to aerodromes, technical directives containing both national regulations and guidance material have been promulgated by the Director General to enforce the implementation of Annex 14 SARPs and to enable the certification of aerodromes. The Proclamation requires the certification of all aerodromes and empowers the Director General to inspect all aerodromes. The Director General has delegated the authority to conduct safety oversight of aerodromes to the aerodrome regulatory staff and has provided them with credentials. Ethiopia has not promulgated a regulatory statement which defines the circumstances and rationale for use of aeronautical studies/risk assessments. 3.2.7 In the area of accident and incident investigation, Technical Directive, Chapter 31 (investigation of air accidents and incidents) was promulgated by the Director General as the regulatory provision for the investigation of aircraft accidents and incidents occurring over the Ethiopian territory. This technical directive makes reference to ICAO Annex 13; however, it is not fully in conformance with all the SARPs contained therein. 3.2.8 Ethiopia has developed the comprehensive draft Ethiopian Civil Aviation Regulations (ECARs) to address the provisions of all of the safety-related Annexes; however, the ECARs are not consistent with the requirements of the Annexes and have not yet been implemented. 3.3 Critical element 3 — State civil aviation system and safety oversight functions

“The establishment of a civil aviation authority (CAA) and/or other relevant authorities or government agencies, headed by a Chief Executive Officer, supported by the appropriate and adequate technical and non-technical staff and provided with adequate financial resources. The State authority must have stated safety regulatory functions, objectives and safety policies. Note.— The term ‘State civil aviation system’ is used in a generic sense to include all aviation-related authorities with aviation safety oversight responsibility which may be established by the State as separate entities, such as: CAA, airport authorities, air traffic service authorities, accident investigation authority, meteorological authority, etc.”

3.3.1 Article 4 of the Proclamation, provides for the establishment of an autonomous ECAA as the responsible Government Agency to apply and enforce all laws, regulations and directives relating to civil aviation and international conventions and agreements to which Ethiopia is a party. Article 8 of the Proclamation provides for the appointment of the Director General as the CEO of the ECAA. The ECAA is made up of the Air Navigation Department; Flight Safety Department; Aerodrome Engineering Department; Air Transport and Planning Department; Finance Department; Human Resource and Property Department; and Training Centre. All departments report directly to the Director General of the ECAA, who in turn reports directly to the Minister of Transport and Communication.

3.3.2 The ECAA has the resources to implement the State’s responsibility for safety oversight. Most of the funding comes from the funds generated by the aviation activities and services provided to the industry, such as licensing, certification, air navigation services and levies. The personnel of the ECAA has been provided with adequate office equipment and facilities to enable them to carry out their duties effectively. The ECAA has no regional offices. Functions and responsibilities have been developed for most of the technical areas; however, in the area of ANS, the function and responsibilities for the regulatory personnel have not yet been developed. Ethiopia has not established a clear separation between the regulatory


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body and the service provider function in the areas of ATS and AIS, which may create a potential conflict of interests in the resolution of safety concerns. 3.3.3 The Personnel Licensing Division of the ECAA is within the Flight Safety Department. The Division is staffed with sufficient human resources to carry out its mandate and responsibilities. Job descriptions and lines of responsibility for these employees have been established by the ECAA. In addition, a medical assessor is responsible for overseeing the flight medical examiners designated by the State. The ECAA has designated twenty-eight pilot examiners to perform flight examinations on behalf of the State. 3.3.4 In the area of aircraft operations, the ECAA has established the Flight Operations Division within the Flight Safety Department. The Division consists of five permanent staff, including a chief, one aircrew programme manager, one master flight operations inspector, one flight operations inspector and one junior operations inspector. The aircrew programme manager is a new position that was created in November 2006 to provide for certification activities related to the air operator certificate (AOC); ensure pilot licensing standards; review manuals and training programmes; conduct surveillance inspections; and assist with accident investigations. Job descriptions and lines of responsibility for all of the inspector positions have been established by the ECAA. Two of the inspectors have been assigned the duties related to cabin safety inspections. The chief and one of the inspectors have been assigned the duties related to dangerous goods inspections. Only the aircrew programme manager maintains at least a commercial pilot licence and flight currency requirements. All responsibilities for oversight of flight crews and the twenty-eight designated pilot examiners in Ethiopia rest with this one individual who, in addition, provides approvals and oversight of the B-767 and B-757 aircraft on the Ethiopian registry. 3.3.5 With respect to airworthiness, the Director of the Flight Safety Department reports directly to the Director General and is responsible for airworthiness inspections. The Chief of the Airworthiness Inspection Division reports to the Director of the Flight Safety Department. The primary functions of the Airworthiness Inspection Division include: the determination of safety regulations related to airworthiness, the registration of aircraft, the issuance and renewal of the certificate of airworthiness, the approval of aircraft maintenance organizations, the certification of operators (maintenance aspect) and the issuing of the aircraft radio licence. The Director of the Flight Safety Department has delegation from the Director General to issue and sign the different civil aviation airworthiness certificates and approvals. Job descriptions are established for the four inspectors and the one clerical staff of the Airworthiness Inspection Division. In addition, inspectors have been provided with credentials to facilitate their access to aircraft and facilities for inspections, and they are provided with sufficient delegated authority to allow them to execute their mandate. 3.3.6 Ethiopia has started the process of establishing a safety oversight system in the air navigation fields, including the appointment of some inspectors and the establishment of a regulatory organization. The ECAA has appointed one inspector in each inspectorate for the following ANS functional domains: ATS, Procedures for air Navigations Services — Aircraft Operations (PANS-OPS), AIS, aeronautical communications, navigation and surveillance, and SAR services except for the MET inspectorate. Air navigation services in Ethiopia are provided by the following: Aeronautical Communications Operations Division; NAV-AIDS and Flight calibration Division; Flight Information and Air Traffic Control Division; Aeronautical Communication Equipment Maintenance Division; Aeronautical Information Service Division; and Procedures Design Service Division. With respect to the provision of MET services, the ECAA has signed and agreement with the Ethiopia National Meteorological Services Agency; however, this agreement does not include safety oversight of MET services. The Ethiopian Telecommunication Agency is the telecommunications regulator established by the Telecommunication Proclamation No. 49/1996. However, formal arrangement has not been established between the Ethiopian Telecommunication Agency and the ECAA. Concerning the provision of SAR services, a National Committee and an experts group have been established by Ethiopia for the provision of SAR services over its airspace. Government administrations are


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represented within the National Committee and the Experts Group. In addition, a rescue coordination centre (RCC) has been set up at the Addis Ababa Airport. 3.3.7 The Aerodrome Engineering Department, which reports directly to the Director General, is responsible for the certification and surveillance of all aerodromes in Ethiopia. The functions, responsibilities and job descriptions of the Aerodrome Engineering Department have been defined, with the exception of rescue and fire fighting (RFF) and bird hazard control, which are currently performed by staff under the Flight Safety Department. The Aerodrome Engineering Department has the necessary qualified personnel, equipment and office space to carry out its certification and surveillance activities. In addition, Ethiopia has established a clear separation of authority between the regulator and service provider with the establishment of the Ethiopian Airports Enterprise as the single aerodrome operator for all the Ethiopian international and public use aerodromes (Regulation 82/2003). 3.3.8 The Accident Prevention and Investigation Coordination Bureau, established in September of 2006, is an entity within the ECAA responsible for the investigation of aircraft accidents and incidents in Ethiopia. Although an investigator-in-charge may be appointed by the Director General of the ECAA, the leader/chairman of the team committee is the Head of the Accident Prevention and Investigation Coordination Bureau, as per paragraph 1.5.4 of the Manual of Aircraft Accident Investigation. The Accident Prevention and Investigation Coordination Bureau is composed of a total of three investigators and a secretary as follows: the head accident investigation, the senior accident investigation expert and the accident investigation expert. Job descriptions and the line of responsibility have been established by the ECAA for each of the investigators. Specific paragraphs in the technical directives and the Manual of Aircraft Accident Investigation establish that the Director General may, at the request of the chief investigator, appoint persons to assist an investigator in a particular investigation, and such persons for the purpose of the investigation shall have the powers of an investigator under the directive. 3.4 Critical element 4 — Technical personnel qualification and training

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

3.4.1 The ECAA has developed training programmes for its regulatory staff; however, they have not been fully implemented. Some of the training programmes do not contain sufficient details in the related areas required to maintain a qualified workforce. The ECAA has implemented a mechanism to maintain the training records of its technical staff. 3.4.2 In the area of personnel licensing, the ECAA has established minimum qualifications and experience requirements for the personnel licensing inspectors. The training records for the staff of the Personnel Licensing Division are adequately maintained. However, the ECAA has not implemented a formal training programme for these employees, including OJT, recurrent and specialized training, as well as regulatory enforcement training. The designated medical examiners receive training in aviation medicine, and related training records are reviewed by the ECAA-appointed medical assessor.

3.4.3 With respect to aircraft operations, the ECAA has established minimum qualifications and experience requirements for operations inspectors, and the training records of the staff of the Flight Operations Division are adequately maintained. The ECAA has developed a formal training programme for the operations inspectors; however, the training programme has not yet been implemented and does not include adequate OJT, recurrent and specialized training, as well as regulatory enforcement training. Some


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areas of training which are not implemented include cabin safety approvals and inspections; flight operations officer/dispatcher approvals and inspections; and flight simulator evaluation. The current ECAA training policy and training programme do not allow a sufficient number of operations inspectors to maintain flight currency and qualifications in order to perform flight operations inspector duties and responsibilities. The ECAA has designated twenty-eight pilot examiners to perform flight examinations on behalf of the State and has developed task descriptions and competency requirements for these examiners. 3.4.4 In the area of airworthiness, the ECAA has established minimum qualifications and experience for its airworthiness inspectors along with at least five years of practical experience working either in industry or in the Airworthiness Division. The initial training provided includes basic courses, OJT programme and advance courses. All airworthiness inspectors have educational and technical experience, which compares with the experience of their counterparts in the industry. Inspectors are provided with initial and specialized training, as determined by a five-year training programme established in 2005. Inspector training records are maintained and available for the training conducted in 2005 and 2006. 3.4.5 With respect to ANS, the ECAA has not developed a training programme for the ANS regulatory inspectorate staff. In addition, the ECAA has not established minimum qualifications and experience requirements for the ANS regulatory inspectorate staff. The current training programme is limited to the service provision technical staff. 3.4.6 In the area of aerodromes, detailed qualification and selection criteria for the recruitment of aerodrome safety oversight personnel have been defined. Although the recruited staff has the necessary qualifications, a formal programme detailing recurrent training and OJT has not been established. A formal review mechanism is being developed to ensure that technical staff training needs are defined and maintained up to date. However, specific RFF and bird hazard control training has not yet been provided to aerodrome regulatory staff. 3.4.7 With respect to accident and incident investigation, the qualification requirements for the recruitment of accident investigators have been established through the Human Resources Department of the ECAA. All accident investigators have either participated in accident investigations or have some basic training on accident investigation. One investigator has received specialized training on accident investigation related to engines; however, none of the investigators has received formal training as accident investigators. The Head of the Accident Prevention and Investigation Coordination Bureau has been scheduled for an accident investigator course in 2007, as well as the two other investigators. However, the ECAA has not yet established a formal training policy and programme for these investigators. A draft training programme has been developed; however, it has not yet been implemented. 3.5 Critical element 5 — Technical guidance, tools and the provision of safety critical information

“The provision of technical guidance (including processes and procedures), tools (including facilities and equipment) and safety critical information, as applicable, to the technical personnel to enable them to perform their safety oversight functions in accordance with established requirements and in a standardized manner. In addition, this includes the provision of technical guidance by the oversight authority to the aviation industry on the implementation of applicable regulations and instructions.”

3.5.1 The various departments within the ECAA have their own technical library with relevant up-to-date ICAO publications and guidance material, which are available to the regulatory staff in printed format and from the ICAO secure website. The Aeronautical Information Service Division is tasked with the


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distribution of the documents and for ensuring that the ICAO Annexes and related guidance material are up to date in the different libraries. The ECAA has established a central library; however, this library does not have up-to date ICAO Annexes and publications, and the regulatory staff use the technical library of the respective departments. 3.5.2 With respect to personnel licensing, applicants for licences are able to obtain information on licensing requirements through the ECAA office. The ECAA Procedure Handbook for Personnel Licensing and Controlling Division is the primary source for standardized procedures concerning licensing activities. The handbook contains procedures for the validation and conversion of foreign licences and ratings. However, procedures for an individual to appeal a decision made by the ECAA regarding the application for a personnel licence have not yet been established. 3.5.3 In the area of aircraft operations, the technical guidance material provided to the inspectors of the Flight Operations Division does not contain sufficient and updated guidance to ensure that inspectors are able to effectively and uniformly carry out their safety oversight duties and responsibilities. The ECAA Manual on the Certification of Air Transport Operators provides the five-phase process for issuing an AOC. The manual serves both as a regulatory directive and technical guidance. Updates to this manual have been made in the form of technical directives and other guidance, such as the Procedures Handbook for Flight Operations Division. However, the manual does not address all the necessary job task areas. The ECAA has developed the Procedures for the Approval and Operation of Leased Aircraft, issued in 1997, which includes procedures for the designation of a pilot examiner, after a nomination has been received from an air operator and an interview has been conducted by the ECAA aircrew programme manager. However, the manual does not include important items, such as procedures for the verification of crew training, review of dispatch and flight watch procedures, or review of crew scheduling policies. 3.5.4 With respect to airworthiness, inspectors have access to their own technical library, where the following documents are available: the Proclamation; technical directives; ICAO Annexes and documents; design organization documentation; maintenance organization procedures manual; operator maintenance control manual; maintenance programme, including reliability programme, and relevant guidance material. Procedures used by staff are compiled into the airworthiness inspector handbooks and are accessible to all the staff. The Airworthiness Division has established a system to receive regularly mandatory continuing airworthiness information, such as airworthiness directives (ADs) and service bulletins, for the types of aircraft registered in Ethiopia. In addition the Airworthiness Division has developed and established procedures for the issuance of a certificate of airworthiness for export for Class I, II and III products. Inspectors have access to all the different documents related to airworthiness through the Internet. 3.5.5 In the area of ANS, the ECAA has not developed an inspector handbook or manual containing inspection policies and procedures. The production of guidance and safety critical information, such as AIS, aeronautical maps and charts (MAP) and notice to airmen (NOTAMs) office, are being provided by the ECAA. In addition, a SAR manual has been developed to provide information and instructions on the requirements and procedures to be followed during the conduct of SAR operations. Ethiopia has not entered into SAR agreements with neighbouring States. 3.5.6 With respect to aerodromes, the Aerodrome Engineering Department has developed guidance material and checklists for its regulatory staff for the certification and surveillance of aerodromes. Technical manuals containing guidance material for aerodrome maintenance and services have been developed to enable the certification and subsequent renewal, suspension or revocation of aerodrome certificates. An up-to-date local technical library is available in the Aerodrome Engineering Directorate. The Ethiopian Airports Enterprise, which operates all international and public use aerodromes, has been made aware of the technical directives, technical manuals and supporting requirements which have to be met for the grant of an aerodrome


- 11 -

certificate. The ECAA has not yet developed technical guidance on the use of aeronautical studies/risk assessments and their evaluation. 3.5.7 In the area of accident and incident investigation, the Manual of Aircraft Accident Investigation was developed in February 1999, later amended to incorporate additional guidance material and approved by the Director General on 30 September 2006. However, the manual does not contain sufficient guidance material and is not in conformance with ICAO Annex 13 SARPs. Furthermore, the Accident Prevention and Investigation Bureau has not been provided with adequate tools and equipment for the conduct of their investigation activities, which would include adequate means of communication and transportation, protective equipment against biological hazards and other hazards at accident sites, and investigation field kits with essential personal items packed and ready, so that each investigator can proceed without delay to the accident site. 3.6 Critical element 6 — Licensing, certification, authorization and/or approval obligations

“The implementation of processes and procedures to ensure that personnel and organizations performing an aviation activity meet the established requirements before they are allowed to exercise the privileges of a licence, certificate, authorization and/or approval to conduct the relevant aviation activity.”

3.6.1 In the area of personnel licensing, the Personnel Licensing Division has developed procedures for the processing of applications for a licence, as well as procedures for the re-establishment of privileges of expired licences and ratings. The procedures for converting or validating a foreign licence require staff of the Personnel Licensing Division to contact the original issuing State to ensure validity of the licence and that it is fully in conformance with ICAO Annex 1. The newly-hired medical assessor receives signed reports of medical examinations for review, on behalf of the Personnel Licensing Division. In addition, the Personnel Licensing Division has implemented a system for the development, delivery and evaluation of written examinations for the issuance of a licence to an individual. Furthermore, the ECAA has established a plan to ensure that applicants demonstrate their language ability for radiotelephony communications. However, procedures for the certification and approval of aviation organizations have not yet been developed by the Personnel Licensing Division. 3.6.2 With respect to aircraft operations, the Flight Operations Division has developed procedures for the processing, approval and issuance of an AOC. Pre-certification tasks are performed by a team consisting of technical staff from the Airworthiness Division, the Flight Operations Division and the Personnel Licensing Division. The Personnel Licensing Division has established a filing system for records and correspondence with AOC holders. In addition, the technical guidance material related to the certification of air operators adheres to the regulatory requirements contained in the existing technical directives. Processes and procedures are being followed to carry out tasks, reviews and approvals; however, there is no legal requirement for the conduct of some of them. 3.6.3 The ECAA grants an specific authorization for the transport of dangerous goods by air through the issuance of a certificate of competency to the air operator. The ECAA uses ICAO Emergency Response Guidance for Aircraft Incidents Involving Dangerous Goods (Doc 9481) as the basis for ensuring that air operators establish adequate in-flight emergency procedures. Before an AOC is granted, security training programmes are approved by the Security and Facilitation Bureau within the ECAA. The AOC issued by the ECAA includes the operations specifications as an integral part of the AOC, and it is in conformance with the provisions of ICAO Annex 6.


- 12 -

3.6.4 In the area of airworthiness, the ECAA requires that each domestic applicant for the issuing and renewal of a certificate of airworthiness present an application with the last yearly inspection certification package. For aircraft being imported, a certificate of airworthiness for export is accepted with an inspection being conducted by an approved maintenance organization (AMO). Currently, the reference to the technical directives is not sufficient to adequately identify the airworthiness code for the validation of the type certificate of the aircraft, as required by ICAO Annex 8. The Airworthiness Division is involved in the process of the certification of aircraft operators and coordinates with the Flight Operations Division. The document control checklists used for the studies of Technical Policy and Procedure Manual (maintenance control manual) and maintenance programme are not comprehensive. An AMO provides the competent authority with an inspection procedures manual specifying its intended scope of work and showing how the organization intends to comply with Ethiopian regulations. For domestic AMOs, the ECAA issues the certificate based on the approval of the inspection procedures manual, assesses the readiness of the organization, method of control, supervision of maintenance and their consistency with the nature and extent of the operations specified and whether the applicant is able to conduct the services efficiently. The ECAA accepts foreign AMOs on the basis of the inspection of the facilities before an acceptance and the repairs. The domestic AMO certificate remains valid for a period of one year, as long as the AMO continues to comply with the Ethiopian regulations. 3.6.5 With respect to ANS, the PANS-OPS Office is providing approach procedures, and Ethiopian Airlines assists the ECAA on the validation of the approach procedures by flying them on its simulator; however, there is no flight inspections carried out by the ECAA. Ethiopia is in the process of acquiring a new aircraft for flight inspection of navigation aids equipped with approach procedures validation test bed. The Ethiopian Telecommunication Agency, which is the telecommunications regulator, is in charge of the spectrum protection. In addition, the ECAA issues radio licences for aeronautical telecommunication stations. 3.6.6 In the area of aerodromes, Ethiopia has only issued one aerodrome operating certificate to Addis Ababa Bole International Airport, the remaining aerodromes (one international and eleven domestic) are in the process of being certified. All the international and public use aerodromes are in the process of developing and submitting for the approval of the ECAA an aerodrome maintenance manual, an aerodrome service manual and an aerodrome certification manual that includes a safety management system (SMS). The ECAA requires aerodrome operators to submit formal application forms, referrals to competent State entities for clearances with necessary documentation, coordinate with local ATS authorities regarding integration of activities, and use checklists for the certification process and other forms and procedures for the effective certification of aerodromes. 3.7 Critical element 7 — Surveillance obligations

“The implementation of processes, such as inspections and audits, to proactively ensure that aviation licence, certificate, authorization and/or approval holders continue to meet the established requirements and function at the level of competency and safety required by the State to undertake an aviation-related activity for which they have been licensed, certified, authorized and/or approved to perform. This includes the surveillance of designated personnel who perform safety oversight functions on behalf of the CAA.”

3.7.1 With respect personnel licensing, the ECAA ensures the competency of licensed personnel through the review of log books and training records and maintains a personal file for each licence holder. However, access to these records is not controlled, and confidentiality and security of individual records is not maintained. Records do not contain the full progressive history of an individual, including unsatisfactory examination reports. These records are maintained within the respective AOC holder. In addition, the ECAA has not developed a system for closing and archiving personnel files and records. The ECAA exercises


- 13 -

supervision and control of designated medical examiners through the appointment of a medical assessor. On behalf of the Personnel Licensing Division, the medical assessor is able to audit the information presented during medical assessments and ensures confidentiality of medical reports and records. The ECAA has established a system for the possible issuance of a medical assessment in cases where medical standards of ICAO Annex 1 are not fully met. The Personnel Licensing Division has not yet implemented a system for the supervision and control of designated pilot examiners. Furthermore, the Personnel Licensing Division has not yet developed procedures for conducting oversight of the aircraft maintenance technician licences issued. 3.7.2 In the area of aircraft operations, the Chief of the Flight Operations Division has established an annual surveillance work programme divided into quarterly assignments, with monthly activity reports. However, the surveillance programme does not include all the types and frequency of inspections required for proper oversight of all AOC holders. There is no surveillance of station facilities or oversight of each of the designated pilot examiners authorized to perform examinations of behalf of the ECAA. In addition, there is no surveillance over cabin crew instructors and examiners, and no comprehensive surveillance over flight crew and cabin crew duty and rest periods. The surveillance programme does not allow for the monitoring of unfavourable trends or financial conditions. The majority of the specific-task inspections are performed at the same time as the biannual base inspection of an AOC holder. Furthermore, there is a lack of operations inspectors to perform surveillance of flight test delivery, and the Flight Operations Division is not able to adequately supervise and control designated pilot examiners. Monthly reports of flight time and rest period records are sent to the ECAA for review; however, a similar type of review is not conducted for the cabin crew records. Dangerous goods inspections are conducted during the biannual base inspections, as well as two additional random inspections. 3.7.3 With respect to airworthiness, the certificate of airworthiness remains valid as long as all the airworthiness requirements continue to be met and the aircraft remains on the Ethiopian registry. The owner/operator must submit the inspection package with the certificate of airworthiness application to the Airworthiness Inspection Division for a review of the acceptability and quality of the work being carried out by the AMO. The domestic AMO audit inspection programme developed and implemented by the Airworthiness Inspection Division complies with, and exceeds, the requirements established in the regulations to completely review the compliance with the certification requirements in a twelve-month period with a follow-up inspection. The development of the continued surveillance programme for AOC holders in Ethiopia is accomplished in accordance with the Airworthiness Handbook, which contains detailed guidance for the provision of continuing surveillance by carrying out main base inspection, line station and random checks. The Airworthiness Division maintains ongoing oversight of reliability programmes. 3.7.4 In the area of ANS, Ethiopia has not implemented a safety oversight programme for the provision of ATS, MET, MAP, aeronautical telecommunication, visual and instrument procedures design, AIS and SAR services. However, the ECAA is conducting inspections for ANS provision with two appointed inspectors; in addition, Ethiopia is in the process of establishing an inspectorate division for the safety oversight of ANS. The ECAA has not established a safety programme, including a requirement for the implementation of an SMS for ANS. An SMS manual has been developed; however, it is not consistent with the requirements of a safety management manual, ICAO Annex 11 and the Procedures for Air Navigation Services — Air Traffic Management (Doc 4444) provisions. 3.7.5 The Aerodrome Engineering Department has implemented a surveillance programme for the certification and surveillance of international and public use aerodromes, which includes written procedures defining the way to conduct ad-hoc, monthly and yearly oversight inspections. In addition, the aerodrome regulatory staff uses comprehensive and detailed checklists during the surveillance of aerodromes. The inspection reports are submitted to the aerodrome operator, and a copy is also sent to the Director General of the Ethiopian Airports Enterprise. These reports provide the results of the surveillance and identify aerodrome


- 14 -

deficiencies with corresponding actions and deadlines. The ECAA does not ensure that aerodrome operators integrate their surface movement guidance and control system (SMGCS) into a runway incursion and collision avoidance strategy to prevent the inadvertent incursion of aircraft and vehicles into an active runway or taxiway. 3.8 Critical element 8 — Resolution of safety concerns

“The implementation of processes and procedures to resolve identified deficiencies impacting aviation safety, which may have been residing in the aviation system and have been detected by the regulatory authority or other appropriate bodies. Note.— This would include the ability to analyse safety deficiencies, forward recommendations, support the resolution of identified deficiencies as well as take enforcement action, when appropriate.”

3.8.1 With respect to personnel licensing, the ECAA has not developed procedures for inspectors to follow when sufficient evidence demonstrates that a flight crew member or aircraft maintenance technician may have violated the privileges and limitations of his/her licence. Furthermore, the ECAA has not developed procedures for the proper action to be taken when a false declaration is made by an applicant to a medical examiner, nor has it developed procedures for the proper action when evidence shows that a medical examiner has not performed his or her duties in accordance with the prescribed procedures. 3.8.2 In the area of aircraft operations, the ECAA has not developed procedures for inspectors to follow when deficiencies are identified or when sufficient evidence demonstrates that a regulation may have been violated. Ethiopia has not established sufficient and appropriate penalties for violations relating to the safe transport of dangerous goods by air. In the Flight Operations Division, there is no system for the monitoring and tracking of the deficiencies identified during the conduct of inspections. Information on the deficiencies is provided to the operator in a written report; however, there is no mechanism in place to ensure that deficiencies are addressed in a reasonable time, or that they have been satisfactorily corrected. 3.8.3 With respect to airworthiness, Technical Directive, Chapter 4 and the ADs of Ethiopia are adopted and mandatory. During an ECAA inspection of an AMO or AOC holder, the action to be taken by the responsible inspector depends on the severity of the finding identified, as defined in the Airworthiness Handbook. The ECAA has developed a Service Difficulty Reporting System for the reporting of faults, malfunctions, defects and suspected unapproved parts. These reports are forwarded to the organization responsible for the type design. 3.8.4 In the area of ANS, Ethiopia has not established a mechanism or system to eliminate deficiencies identified by its ANS inspectors. The ECAA has established an incident reporting system within the ATS provision where ATS incidents are analysed. However, there is no ATS incident reporting system at the level of regulatory provision.

3.8.5 With respect to aerodromes, the results of the aerodrome ad-hoc or routine inspections are recorded and provided to the aerodrome operator. Procedures are in place to resolve safety concerns identified during the surveillance. The aerodrome operator is given a timeline during the inspection to resolve the identified deficiencies. In the event that an aerodrome operator does not resolve the identified deficiencies or violates any provisions of the Proclamation, regulations, technical directives or the conditions of a certificate issued, the Director General may suspend or revoke, in whole or in part, the certificate issued to that operator. The ECAA has not implemented procedures to allow the exchange of safety critical information across the aerodrome industry.


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3.8.6 In the area of accident and incident investigation, the Proclamation, technical directives and procedures provide the Accident Prevention and Investigation Co-ordination Bureau the authority to conduct accident and incident investigations. The Bureau compiles its report for submission to the Director General in terms of and in accordance with the format prescribed by ICAO Annex 13. The report is required to contain factual information and data, as well as an analysis and identification of the causes of the accident with due safety recommendations to prevent recurrences of accidents. If it is considered necessary to issue safety recommendations, the Bureau has no procedures to inform, as the State receiving safety recommendations from other States, the proposing State of the preventive action taken or under consideration or the reasons why no action will be taken. The Bureau is still in the process of developing an adequate reporting system and occurrences database and has not yet established a mandatory or voluntary reporting system. It does not conduct any analysis of information obtained, including that from its accident and incident reporting systems, to determine any preventative actions required. Furthermore, there is no current programme to identify actual or potential safety deficiencies and implement preventative actions based on information gathered. 4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS 4.1 Accompanied by staff members of the State’s civil aviation system, the audit teams visit aviation service providers, operations and maintenance departments of operators and maintenance organizations, aeronautical product/equipment manufacturers, aviation training institutes, etc. The objective of the visits is to validate the capability of the State to supervise the activities of these service providers, airlines and organizations. 4.2 In the case of Ethiopia, the audit team visited the following organizations: Ethiopian Airports Enterprise (PEL, OPS and AIR);

Tras Nation Airways (OPS); Ethiopian Airlines Maintenance Organization (AIR); Addis Ababa Airport Control Tower, Area Control Centre (ACC), RCC and Meteorological Authority (located at the airport), Ethiopian Telecommunication Agency and Civil Aviation Training Institute (located in Addis Ababa) (ANS); and Addis Ababa Bole International Airport (AGA).

5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) 5.1 The general objective of the AFDD is to assist States in identifying the elements that need attention in the implementation of the proposed corrective action plan. The information is also intended to assist States in establishing a priority of actions to be taken to resolve safety concerns identified by the audits. Appendix 2 to this report contains a graphic representation of the lack of effective implementation of the critical elements of the safety oversight system (ICAO Doc 9734, Part A refers) in Ethiopia and at a global level (average results from all States audited). The graphic representation enables the audited State to prioritize the necessary corrective actions and to identify assistance requirements based on its personnel, technical and financial capabilities in consideration of its safety oversight obligations. 6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ)

6.1 The SAAQ is one of the major tools required for conducting a comprehensive systems


- 16 -


approach-based safety oversight audit. As such, all Contracting States are required to complete the SAAQ and submit it to ICAO for proper evaluation and recording. The submitted information enables ICAO to maintain an up-to-date database on the State’s civil aviation activities. Ethiopia has submitted its SAAQ to ICAO, which can be found at www.icao.int/soa. 7. COMPLIANCE CHECKLISTS (CCs) 7.1 The CCs are one of the main tools used in the conduct of safety oversight audits under the comprehensive systems approach. As such, all Contracting States are required to complete the CCs and submit them to ICAO for evaluation and recording. The submitted information enables ICAO to maintain an up-to-date database on the State’s level of compliance to the ICAO SARPs and assist in facilitating the conduct of a standardized audit of all Contracting States. As a result, States will be enabled to have a clear picture of the implementation status of the relevant SARPs. Ethiopia has submitted its CCs to ICAO, which can be found at www.icao.int/soa. 8. FOLLOW-UP ACTION 8.1 In accordance with the MOU agreed to between Ethiopia and ICAO, Ethiopia submitted a corrective action plan on 11 May 2007. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to address most of the findings and recommendations contained in this report. The proposed action plan, including comments and clarifications provided by the State, is attached as Appendix 3 to this report. Comments by ICAO on each corrective action are found in Appendix 1 to this report.

— — — — — — — —

http://www.icao.int/soa

http://www.icao.int/soa

APPENDIX 1

Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-1-01

LEG/01ETHIOPIA

FINDINGS AND RECOMMENDATIONS RELATED TO

PRIMARY AVIATION LEGISLATION AND CIVIL AVIATION REGULATIONS

1.009; 1.025; 3.001; 3.003; 3.005; 3.007; 3.011; 4.001;

4.005; 4.333; 6.015; 6.017; 7.009; 7.011; 7.013; 8.003;

8.015;

DOCUMENT REFERENCE:

Refer to Doc 9735, Appendix F for the document reference(s) associated with the protocol questions identified in this

finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 CE-6 CE-7 CE-8

FINDING:

Ethiopia has developed and promulgated technical directives that are used as regulations and address some of the

provisions contained in the ICAO Annexes. However, these technical directives are not in line with the ICAO Annex

SARPs. In addition, the Ethiopia Civil Aviation Authority (ECAA) has not established a formal procedure to address the

amendments to the ICAO Annex SARPs and for the identification and notification of differences to ICAO. The ECAA has

not published significant differences in the Aeronautical Information Publication (AIP) of Ethiopia, as required by Annex

15.

RECOMMENDATION:

Ethiopia should ensure that the technical directives used as regulations are in line with the ICAO Annex SARPs. In

addition, the ECAA should establish a system for the review of the amendments to the ICAO Annex SARPs and for their

timely implementation, as well as for the notification of differences to ICAO and publication in the AIP of Ethiopia.

CORRECTIVE ACTION PLAN PROPOSED BY THE STATE:

Corrective action plan and comments submitted by the State are found at Appendix 3-1-1 of this report.

Estimated Implementation Date: 30/12/07

COMMENTS BY ICAO:

The corrective action plan submitted by the State fully addresses this ICAO finding and recommendation.

Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-1-02

LEG/02ETHIOPIA



1.051; 1.055; 3.409; 3.461; 3.609; 3.769; 3.813; 4.371;

5.449; 8.013;

DOCUMENT REFERENCE:


finding.

CE-1 X CE-2 CE-3 CE-4 CE-5 X CE-6 CE-7 CE-8 X

FINDING:

Article 17 of the Ethiopian Civil Aviation Authority Re-establishment Proclamation (Proclamation No. 273/2002) makes

reference to the Penal Code for specified penalties to be imposed in the event of a contravention of the Proclamation or the

technical directives. However, the penalties specified in the Penal Code are not sufficient to be considered an economic

deterrent. In addition, Ethiopia has not yet established a policy and procedures for the enforcement of aviation regulations

in the State.

RECOMMENDATION:

Ethiopia should revise the Ethiopian Civil Aviation Authority Re-establishment Proclamation (Proclamation No. 273/2002)

or the technical directives to increase the fines specified therein in order to reflect current economic levels and provide an

effective deterrent for the contravention of any technical directives issued pursuant to the Proclamation. In addition,

Ethiopia should establish a policy and procedures for the enforcement of the aviation regulations applicable in the State.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-1-03

LEG/03ETHIOPIA



1.151; 4.385; 5.347;

DOCUMENT REFERENCE:


finding.

CE-1 X CE-2 CE-3 CE-4 CE-5 X CE-6 CE-7 CE-8

FINDING:

Ethiopia has ratified Article 83 bis to the Chicago Convention on 25 June 1981. However, the primary aviation legislation

and national regulations do not provide for the transfer of its duties and responsibilities as State of Registry to the State of

the Operator, and as State of the Operator accept the duties and responsibilities of a State of Registry.

RECOMMENDATION:

Ethiopia should amend its legislative framework, national regulations and procedures to give effect to the ratification of

Article 83 bis of the Chicago Convention, thereby allowing full implementation of the corresponding provisions for the

transfer and acceptance of the duties and responsibilities to/from other States. Once the national regulations are amended,

procedures should be developed for the transfer and acceptance of duties and responsibilities under an Article 83 bis

agreement and for relevant notification to ICAO.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-2-01

ORG/01ETHIOPIA


CIVIL AVIATION ORGANIZATION

2.021; 7.051; 7.265;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 X CE-4 CE-5 CE-6 CE-7 CE-8

FINDING:

Ethiopia has not established a clear separation of authority between the regulatory and service provision functions for the

air traffic services (ATS) and aeronautical information services (AIS). This creates a potential conflict of interests between

the regulatory enforcement functions and the service provision functions.

RECOMMENDATION:

Ethiopia should establish a clear separation of authority between the regulatory and service provision functions for ATS

and AIS in order to avoid a potential conflict of interests.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-2-02

ORG/02ETHIOPIA



2.105; 3.113; 3.115; 3.117; 4.055; 4.057; 5.047; 6.123;

6.125; 6.127; 7.059; 7.065; 7.067; 7.069; 7.071; 7.207;

7.211; 7.213; 7.215; 7.217; 7.275; 7.277; 7.279; 7.281;

7.283; 7.331; 7.333; 7.335; 7.337; 7.339; 7.379; 7.381;

7.383; 7.385; 7.387; 7.423; 7.425; 7.427; 7.429; 7.431;

8.055;8.053;8.051;7.501;7.499;7.497;7.495;7.493;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 X CE-5 CE-6 CE-7 CE-8

FINDING:

The ECAA provides training to its technical staff; however, in the area of airworthiness, recurrent training is not being

provided. In addition, the ECAA has not established formal training programmes and policies that make a commitment to

provide initial, recurrent, on-the-job (OJT) and specialized training for the regulatory staff dealing with personnel

licensing, aircraft operations, accident and incident investigations, aerodromes and air navigation services (ANS).

RECOMMENDATION:

The ECAA should implement formal training programmes and policies that make a commitment to provide initial ,

recurrent, OJT and specialized training for the regulatory staff dealing with personnel licensing, aircraft operations,

accident and incident investigations, airworthiness, aerodromes and ANS.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-2-03

ORG/03ETHIOPIA



2.051; 4.025; 5.033; 7.061; 7.209; 7.269; 7.325; 7.373;

7.417; 7.487;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA does not have sufficient qualified technical staff to carry out its safety oversight function in the areas of

airworthiness; aircraft operations; ATS; Procedures for Air Navigation Services - Aircraft Operations (PANS-OPS); AIS;

aeronautical maps and charts (MAP); communications, navigation and surveillance (CNS); and search and rescue (SAR).

RECOMMENDATION:

The ECAA should have sufficient qualified technical staff to carry out its safety oversight function in the areas of

airworthiness; aircraft operations; ATS; PANS-OPS; AIS; MAP; CNS; and SAR, in order to implement the State 's

responsibility for safety oversight.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-01

PEL/01ETHIOPIA


PERSONNEL LICENSING AND TRAINING

3.207;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 X CE-6 CE-7 CE-8

FINDING:

Ethiopia has not developed a procedure for an individual to appeal a decision made by the ECAA concerning licensing.

RECOMMENDATION:

Ethiopia should develop a procedure for appealing a decision made by the ECAA concerning licensing.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-02

PEL/02ETHIOPIA



3.263;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 CE-7 CE-8 X

FINDING:

The ECAA has not established a procedure to gather sufficient evidence to demonstrate that a flight crew member has not

performed his/her duties in accordance with the prescribed procedures, as personnel licensing inspectors do not review the

reports of flight examinations performed by designated pilot examiners.

RECOMMENDATION:

The Chief of the Personnel Licensing Division should develop a surveillance procedure to ensure that personnel licensing

inspectors receive and review all reports of flight examinations performed by designated pilot examiners, in order to ensure

that flight crew members perform their duties in accordance with the prescribed procedures.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-03

PEL/03ETHIOPIA



3.601; 3.603; 3.605; 3.607;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 X CE-4 X CE-5 CE-6 X CE-7 X CE-8

FINDING:

The ECAA has not implemented an adequate system for the designation and surveillance of flight examiners performing

examinations on all of the types of aircraft on the Ethiopian registry.

RECOMMENDATION:

The ECAA should implement an adequate system for the designation and surveillance of flight examiners performing

examinations on all of the types of aircraft on the Ethiopian registry.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-04

PEL/04ETHIOPIA



3.703; 3.705; 3.709;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 CE-7 X CE-8

FINDING:

The ECAA does not ensure that the confidentiality and security of the individual records of licence holders is maintained

in the Personnel Licensing Division. The ECAA does not require flight examiners to submit reports of flight examination

failures. In addition, the ECAA has not established a system for the closing and archiving of personal files and records

maintained by the Personnel Licensing Division.

RECOMMENDATION:

The ECAA should develop a system to ensure that the confidentiality and security of the individual records of licence

holders is maintained in the Personnel Licensing Division. The EACC should also develop procedures to ensure that the

designated flight examiners submit reports of all flight examination, including failures. In addition, the ECAA should

establish a system for the closing and archiving of the personal files and records maintained by the Personnel Licensing

Division.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-05

PEL/05ETHIOPIA



3.751; 3.753; 3.759; 3.763; 3.765; 3.767;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 X CE-7 X CE-8

FINDING:

The ECAA has established a system for the certification of aviation training organizations, including a system for ensuring

the qualification and competency of the instructors in all aviation training organizations. However, this system is not

comprehensive and does not conform with the provisions of Annex 1, Appendix 2. In addition, the ECAA has not

established an effective surveillance programme to ensure continuing regulatory compliance by approved training

organizations.

RECOMMENDATION:

The ECAA should ensure the system established for the certification of aviation training organizations, including a system

for ensuring the qualification and competency of the instructors in all aviation training organizations, conforms with the

provisions of ICAO Annex 1, Appendix 2. In addition, the ECAA should implement an effective surveillance programme

for ECAA inspectors to ensure continuing regulatory compliance by the approved training organizations.



COMMENTS BY ICAO:

The corrective action plan submitted by the State partially addresses this ICAO finding and recommendation. No mention

is made on the implementation of an effective surveillance programme for ECAA inspectors.

Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-3-06

PEL/06ETHIOPIA



3.811;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not es tabl ished a survei l lance programme for conduct ing overs ight of the a i rcraf t maintenance

technicians/engineers/mechanics licences issued.

RECOMMENDATION:

The ECAA should es tabl ished a survei l lance programme for conduct ing overs ight of the a i rcraf t maintenance

technicians/engineers/mechanics licenced issued.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-01

OPS/01ETHIOPIA


AIRCRAFT OPERATIONS CERTIFICATION AND SUPERVISION

4.129; 4.131; 4.133; 4.135; 4.137; 4.153; 4.161; 4.163;

4.187; 4.203; 4.205; 4.211; 4.231; 4.243; 4.245; 4.273;

4.281; 4.283; 4.285; 4.287; 4.289; 4.301; 4.323; 4.325;

4.389; 4.401;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 CE-6 X CE-7 X CE-8

FINDING:

Ethiopia has not developed and promulgated operating regulations that are in conformance with the provisions of ICAO

Annex 6. In practice, various Annex 6 provisions are being implemented; however, there is no technical directive or

regulation requiring such implementation. The Ethiopian regulations do not include, among other requirements, the

following:

a) preservation and retention of flight recorders and records in case of an accident or incident;

b) training for avoidance of controlled flight into terrain (CFIT);

c) flight manuals revisions and parameters of flight data recorders;

d) implementation of a system for providing flight information to operations staff and flight crew;

e) aircraft certification and operating limitations;

f) required training for flight operations officers;

g) requirement for a non-punitive flight data analysis programme;

h) adequate ground and flight training facilities and training devices;

i) minimum requirements and training for cabin crew instructors and examiners;

j) mandatory flight crew reporting of volcanic activity;

k) providing crews with pre-flight information, including notices to airmen (NOTAM), AIP and aeronautical information

regulation and control (AIRAC) data;

l) approvals of method of determination of operating minima for aeroplane operators;

m) requirements for aircraft ground handling manuals and air operator responsibilities;

n) required documents to be on board leased aircraft; and

o) requirements for discreet communication between flight and cabin crew in case of suspicious activity.

Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-01

OPS/01ETHIOPIA



4.129; 4.131; 4.133; 4.135; 4.137; 4.153; 4.161; 4.163;

4.187; 4.203; 4.205; 4.211; 4.231; 4.243; 4.245; 4.273;

4.281; 4.283; 4.285; 4.287; 4.289; 4.301; 4.323; 4.325;

4.389; 4.401;

RECOMMENDATION:

Ethiopia should develop and promulgate operating regulations in conformance with the provisions of ICAO Annex 6,

including, among other requirements, the following:

a) preservation and retention of flight recorders and records in case of an accident or incident;

b) training for avoidance of CFIT;

c) flight manuals revisions and parameters of flight data recorders;

d) implementation of a system for providing flight information to operations staff and flight crew;

e) aircraft certification and operating limitations;

f) required training for flight operations officers;

g) requirement for a non-punitive flight data analysis programme;

h) adequate ground and flight training facilities and training devices;

i) minimum requirements and training for cabin crew instructors and examiners;

j) mandatory flight crew reporting of volcanic activity;

k) providing crews with pre-flight information, including NOTAM, AIP and AIRAC data;

l) approvals of method of determination of operating minima for aeroplane operators;

m) requirements for aircraft ground handling manuals and air operator responsibilities;

n) required documents to be on board leased aircraft; and

o) requirements for discreet communication between flight and cabin crew in case of suspicious activity.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-02

OPS/02ETHIOPIA



4.047; 4.247; 4.253; 4.441; 4.443; 4.445;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 X CE-6 CE-7 X CE-8

FINDING:

The Flight Operations Division of the ECAA has not developed a formal surveillance inspection programme that includes

all the types and frequency of inspections required for proper oversight of air operator certificate (AOC) holders. There is

no surveillance of station facilities or oversight of all the designated pilot examiners authorized to perform examinations

on behalf of the ECAA. In addit ion, there is no surveil lance over cabin crew instructors and examiners , and no

comprehensive surveillance over flight crew and cabin crew duty and rest periods.

RECOMMENDATION:

The ECAA should establish a formal surveillance inspection programme for the Flight Operations Division that includes

all types and frequency of inspections required for proper oversight of AOC holders. The inspection programme should

include oversight of designated pilot examiners, station facilities, flight and cabin crew duty and rest periods, and cabin

crew instructors and examiners.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-03

OPS/03ETHIOPIA



4.049; 4.449; 4.451;

DOCUMENT REFERENCE:


finding.


FINDING:

There is no system in place in the Flight Operations Division of the ECAA for the monitoring and tracking of the

deficiencies discovered during the conduct of inspections. Information on the deficiencies is provided to the operator in a

written report; however, there is no mechanism in place for ensuring that deficiencies are addressed in a reasonable time,

or that they have been satisfactorily corrected.

RECOMMENDATION:

The ECAA should establish a system, in the Flight Operations Division, for the monitoring and tracking of deficiencies

discovered during the conduct of inspections. The system should include a mechanism for ensuring that deficiencies are

addressed in a reasonable time, or that they have been satisfactorily corrected.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-04

OPS/04ETHIOPIA



4.045; 4.075;

DOCUMENT REFERENCE:


finding.


FINDING:

The technical guidance material provided to the inspectors of the Flight Operations Division does not contain adequate and

up-to-date guidance to ensure that inspectors are able to effectively and uniformly carry out their safety oversight duties

and responsibilities.

RECOMMENDATION:

The ECAA should ensure that adequate and up-to-date technical guidance material is developed to ensure that inspectors

of the Flight Operations Division are able to effectively and uniformly carry out their safety oversight duties and

responsibilities.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-4-05

OPS/05ETHIOPIA



4.381; 4.383;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 X CE-6 CE-7 CE-8

FINDING:

Ethiopia has not established regulatory requirements for aircraft leasing arrangements. In addition, sufficient procedures

for the acceptance or approval of leasing arrangements, to be used by the inspectors of the Flight Operations Division, have

not been developed.

RECOMMENDATION:

Ethiopia should establish regulatory requirements for aircraft leasing arrangements. In addition, the ECAA should develop

sufficient procedures for the acceptance or approval of aircraft leasing arrangements, to be used by the inspectors of the

Flight Operations Division.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-5-01

AIR/01ETHIOPIA


AIRWORTHINESS OF AIRCRAFT

5.145; 5.147;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 X CE-6 X CE-7 CE-8

FINDING:

The ECAA has not established procedures for the validation of the type certificate for aircraft registered in Ethiopia.

RECOMMENDATION:

The ECAA should establish and implement procedures for the validation of type certificates for all the aircraft registered

in Ethiopia.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-5-02

AIR/02ETHIOPIA



5.163;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia has established a requirement for aeroplanes involved in international air transport to be in conformance with the

noise certification Standards contained in ICAO Annex 16, Volume I. In addition, the ECAA has developed procedures for

the granting or validation of the noise certificate; however, these procedures have not yet been implemented.

RECOMMENDATION:

The ECAA should implement the procedures developed for the granting or validation of the noise certificate.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-5-03

AIR/03ETHIOPIA



5.285; 5.305; 5.395;

DOCUMENT REFERENCE:


finding.


FINDING:

There is no document control for the review of the operator’s maintenance control manuals (Technical Policy and

Procedure Manual), as part of the process for the issuance of the AOC, and for the review of the maintenance procedures

manual, as part of the process for the approval of a maintenance organization.

RECOMMENDATION:

The ECAA should develop and implement a document control for the review and approval of the operator’s manuals and

the maintenance procedures manual, as part of the process for the issuance of an AOC and the approval of a maintenance

organization, respectively.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-01

AIG/01ETHIOPIA


AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

6.005;

DOCUMENT REFERENCE:


finding.


FINDING:

The Proclamation and the technical directives do not provide for the independence of the accident investigation authority

in charge of conducting aircraft accident and incident investigations in the territory of Ethiopia. The Proclamation states

that the ECAA will “conduct and coordinate a search for rescue operations of any civil aircraft, investigate aircraft

accidents and incidents; prepare and issue investigation reports”. In addition, Technical Directive, Chapter 13 establishes

that “the leader/chairman of the team/committee shall be the Accident prevention and investigation co-ordination bureau”

within the ECAA, and paragraph 10.1 requires the report to be submitted to the Director General of the ECAA upon

completion of the investigation, which implies a potential conflict of interests.

RECOMMENDATION:

Ethiopia should amend its primary aviation legislation and relevant national regulations to provide for the independence of

the accident investigation authority in charge of conducting aircraft accident and incident investigations in Ethiopia to

avoid any potential conflict of interests.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-02

AIG/02ETHIOPIA



6.105; 6.107;

DOCUMENT REFERENCE:


finding.


FINDING:

Although funding may be provided to the accident investigation authority when an accident or incident investigation is

initiated, the ECAA has not established a formal procedure or a process to request funding and supplementary funding,

when applicable, for the Accident Prevention and Investigation Co-ordination Bureau.

RECOMMENDATION:

The ECAA should establish a process for funding the Accident Prevention and Investigation Co-ordination Bureau to

investigate accidents which fall into its area of responsibility, including supplementary funding when applicable.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-03

AIG/03ETHIOPIA



6.121;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not established a means to ensure that the proper delegation of authority is provided to the various

participants in an accident investigation. In addition, the credentials provided to accident investigators do not appropriately

identify them as such, nor do they reflect their legal authority as accident investigators.

RECOMMENDATION:

The ECAA should establish a means to ensure that the proper delegation of authority is provided to the various participants

in an accident investigation, including appropriate accident investigator credentials.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-04

AIG/04ETHIOPIA



6.135;

DOCUMENT REFERENCE:


finding.


FINDING:

A letter authorizing inspectors from different sections within the ECAA is issued to allow their participation as accident

investigators. However, the Accident Prevention and Investigation Co-ordination Bureau has not established measures to

avoid possible conflict of interests when acting as accident investigators.

RECOMMENDATION:

The ECAA should establish adequate measures to avoid possible conflict of interests when inspectors from different

sections within the ECAA are authorized to act as accident investigators.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-05

AIG/05ETHIOPIA



6.201; 6.203; 6.205; 6.207;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not provided the Accident Prevention and Investigation Bureau investigators with adequate equipment to

enable the conduct of investigations, including adequate means of communication and transportation, protective equipment

against biological hazards and other hazards at accident sites, and investigation field kits with essential personal items

packed and ready so that they can proceed without delay to the accident site.

RECOMMENDATION:

The ECAA should ensure that the Accident Prevention and Investigation Bureau investigators are provided with adequate

equipment to enable the conduct of investigations, including means of communication and transportation, protective

equipment against biological hazards and other hazards at accident sites, and investigation field kits with essential personal

items packed and ready so that they can proceed without delay to the accident site.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-06

AIG/06ETHIOPIA



6.301; 6.345;

DOCUMENT REFERENCE:


finding.


FINDING:

The Manual on Accident Investigation approved by the EACC provides basic guidance on the development of a plan to

manage a major accident investigation, including the organization of investigation groups. However, the manual is not

detailed in establishing the various types of investigations and the development of procedures for serious incidents or

minor accident investigations.

RECOMMENDATION:

The EACC should ensure that the Accident Prevention and Investigation Co-ordination Bureau establish adequate

guidance and procedures for the investigation of the various types of investigation, including serious incidents and minor

accident investigations.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-07

AIG/07ETHIOPIA



6.327; 6.329;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for

providing the State conducting the investigation with, as applicable, any relevant information regarding the aircraft and

flight crew involved in an accident or serious incident as soon as possible. In addition, no procedures have been established

for providing the State conducting the investigation with the details of dangerous goods on board the aircraft with a

minimum of delay and by the most suitable and quickest means available.

RECOMMENDATION:

The EACC should ensure that the Accident Prevention and Investigation Co-ordination Bureau establish procedures for

providing the State conducting the investigation with any relevant information regarding the aircraft and flight crew

involved in an accident or serious incident as soon as possible. In addition, the EACC should ensure that procedures are

established for providing the State conducting the investigation with the details of dangerous goods on board the aircraft

with a minimum of delay and by the most suitable and quickest means available.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-08

AIG/08ETHIOPIA



6.347; 6.359;

DOCUMENT REFERENCE:


finding.


FINDING:


informing the aviation security authorities immediately if an act of unlawful interference was involved or is suspected. In

addition, the Manual on Accident Investigation does not include procedures for establishing of means (e.g., procedures or

Memoranda of Understanding [MOUs]) to facilitate the co-ordination between the investigator-in-charge (IIC) and the

judicial authorities, when applicable.

RECOMMENDATION:

The EACC should ensure that the Accident Prevention and Investigation Co-ordination Bureau establishes procedures for

informing the aviation security authorities immediately if an act of unlawful interference was involved or is suspected. In

addition, procedures for the establishment of means (e.g., procedures or MOUs) to facilitate the coordination between the

IIC and the judicial authorities, when applicable, should be included in the Manual of Accident Investigation.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-09

AIG/09ETHIOPIA



6.369; 6.371;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 X CE-6 CE-7 CE-8

FINDING:

The Manual on Accident Investigation of the Accident Prevention and Investigation Co-ordination Bureau of the EACC

does not include procedures for Ethiopia, as the State conducting the investigation, for inviting to participate in the

investigation:

a) the operator, when neither the State of Registry nor the State of the Operator appoints an accredited representative;

b) the organizations responsible for the type design and the final assembly of the aircraft, when neither the State of

Design nor the State of Manufacture appoints accredited representatives; and

c) experts of States which have special interest in an accident by virtue of fatalities or serious injuries to its citizens, in

conformance with ICAO Annex 13.

RECOMMENDATION:

The EACC should ensure that the Accident Prevention and Investigation Co-ordination Bureau develop procedures, to be

included in the Manual on Accident Investigation, for Ethiopia, as the State conducting the investigation, for inviting to

participate in the investigation:

a) the operator, when neither the State of Registry nor the State of the Operator appoints an accredited representative;

b) the organizations responsible for the type design and the final assembly of the aircraft, when neither the State of

Design nor the State of Manufacture appoints accredited representatives; and

c) experts of States which have special interest in an accident by virtue of fatalities or serious injuries to its citizens, in

conformance with ICAO Annex 13.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-10

AIG/10ETHIOPIA



6.373;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for ensuring

compliance with occupational health and safety legislation during the investigation process.

RECOMMENDATION:

The EACC should ensure that the Accident Prevention and Investigation Co-ordination Bureau develops and further

implements procedures for ensuring compliance with occupational health and safety legislation during the investigation

process.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-11

AIG/11ETHIOPIA



6.381;

DOCUMENT REFERENCE:


finding.


FINDING:


providing relevant and timely information to the families and accident survivors.

RECOMMENDATION:


providing relevant and timely information to the families and accident survivors.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-12

AIG/12ETHIOPIA



6.393; 6.395;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the ECAA has not established procedures for

appointing an accredited representative, in particular when specifically requested to do so by the State conducting an

investigation (for an accident to an aircraft of a maximum mass of over 2 250 kg). In addition, the Bureau has not

established procedures for appointing advisers proposed, as applicable, by the operator or by the organizations responsible

for the type design and the final assembly of the aircraft.

RECOMMENDATION:

The ECAA should ensure that the Accident Prevention and Investigation Co-ordination Bureau establishes procedures for

appointing an accredited representative, in particular when specifically requested to do so by the State conducting an

investigation (for an accident to an aircraft of a maximum mass of over 2 250 kg). In addition, the ECAA should ensure

that the Bureau establishes procedures for appointing advisers proposed, as applicable, by the operator or by the

organizations responsible for the type design and the final assembly of the aircraft.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-13

AIG/13ETHIOPIA



6.397;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for Ethiopia,

as a State having suffered fatalities or serious injuries to its citizens, for sending an expert to the State of Occurrence.

RECOMMENDATION:


Ethiopia, as a State having suffered fatalities or serious injuries to its citizens, for sending an expert to the State of

Occurrence.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-14

AIG/14ETHIOPIA



6.407; 6.409; 6.411; 6.413;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established, in its Manual on

Accident Investigation, procedures for:

a) consultation on the draft final report with all States which participated in the investigation, inviting their substantiated

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

b) sending a copy of the draft final report for comments through the State of the Operator to the operator and through the

State of Design and State of Manufacture to the organizations responsible for the type design and the final assembly of

the aircraft;

c) either amending the draft final report to include the substance of the comments received or, if desired by the State

which provided the comments, appending the comments to the final report; and

d) sending the final report to all States involved, including any State having suffered fatalities or serious injuries to its

citizens and any State which provided relevant information, significant facilities or experts.

RECOMMENDATION:

The ECAA should ensure that the Accident Prevention and Investigation Co-ordination Bureau establishes, in its Manual

on Accident Investigation, procedures for:

a) consultation on the draft final report with all States which participated in the investigation, inviting their substantiated

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

b) sending a copy of the draft final report for comments through the State of the Operator to the operator and through the

State of Design and State of Manufacture to the organizations responsible for the type design and the final assembly of

the aircraft;

c) either amending the draft final report to include the substance of the comments received or, if desired by the State

which provided the comments, appending the comments to the final report; and

d) sending the final report to all States involved, including any State having suffered fatalities or serious injuries to its

citizens and any State which provided relevant information, significant facilities or experts.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-15

AIG/15ETHIOPIA



6.425;

DOCUMENT REFERENCE:


finding.


FINDING:

The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for Ethiopia,

as the State receiving safety recommendations from other States, to inform the proposing State of the preventive action

taken or under consideration or the reasons why no action will be taken.

RECOMMENDATION:

The ECAA should ensure that the Accident Prevention and Investigation Co-ordination Bureau establishes procedures for

Ethiopia, as the State receiving safety recommendations from other States, to inform the proposing State of the preventive

action taken or under consideration or the reasons why no action will be taken.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-16

AIG/16ETHIOPIA



6.431; 6.435;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA does not prepare and send preliminary reports to all involved States and ICAO when the aircraft involved in an

accident is of a maximum mass of over 2 250 kg. (only for those over 5 700 kg.). In addition, the ECAA does not prepare

and send accident data reports to ICAO, involving aircraft of a maximum mass of over 2 250 kg, as soon as practicable

after the investigation is concluded.

RECOMMENDATION:

The ECAA should prepare and send preliminary reports to all involved States and ICAO when the aircraft involved in an

accident is of a maximum mass of over 2 250 kg. In addition, the ECAA should prepare and send accident data reports to

ICAO, involving aircraft of a maximum mass of over 2 250 kg, as soon as practicable after the investigation is concluded.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-6-17

AIG/17ETHIOPIA



6.501; 6.503; 6.507; 6.511;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not established adequate incident reporting systems and occurrence database to include:

a) a mandatory incident reporting system to facili tate the collection of information on actual or potential safety

deficiencies;

b) a voluntary incident reporting system to facilitate the collection of information for when information that may not be

captured by a mandatory incident reporting system;

c) an accident and incident database for facilitating the effective analysis of information obtained, including that from its

accident and incident reporting systems; and

c) the analysis of the information contained in its accident/incident reports and the database to determine any preventative

actions required.

RECOMMENDATION:

The ECAA should establish adequate incident reporting systems and occurrence database to include:

a) a mandatory incident reporting system to facili tate the collection of information on actual or potential safety

deficiencies;

b) a voluntary incident reporting system to facilitate the collection of information for when information that may not be

captured by a mandatory incident reporting system;

c) an accident and incident database for facilitating the effective analysis of information obtained, including that from its

accident and incident reporting systems; and

c) the analysis of the information contained in its accident/incident reports and the database to determine any preventative

actions required.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-01

ANS/01ETHIOPIA


AIR NAVIGATION SERVICES

7.033; 7.035; 7.037; 7.041; 7.053; 7.057; 7.063; 7.203;

7.205; 7.231; 7.271; 7.273; 7.287; 7.327; 7.329; 7.343;

7.375; 7.377; 7.391; 7.419; 7.421; 7.435; 7.489; 7.491;

7.505;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 X CE-4 CE-5 X CE-6 CE-7 X CE-8

FINDING:

Ethiopia has started the process of developing a safety oversight system in the air navigation fields, including the

appointment of some inspectors. However, Ethiopia has not yet established a system required for the provision of safety

oversight for ANS, including an organizational structure in place for the safety oversight of ANS, job descriptions,

functions, delegation of authority, procedures and manual/handbooks.

RECOMMENDATION:

Ethiopia should expedite the process for the establishment and implementation of a safety oversight system for ensuring

the effective implementation of safety-related policy and procedures in the air navigation fields.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-02

ANS/02ETHIOPIA



7.043; 7.081; 7.083; 7.087; 7.089; 7.091; 7.243; 7.245;

7.401; 7.405;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not developed a policy and procedures for:

a) determining the capacity of the ATS system, including the number of staff required to ensure the provision of adequa te

ATS system and their job descriptions;

b) establishment of a training programme and maintaining training records for its ATS staff;

c) human factors principles; and

d) ensur ing the cont inued competency o f a i r t r a f f i c con t ro l l e r s on new equ ipment , p rocedures and upda ted

communications.

RECOMMENDATION:

The ECAA should develop a policy and procedures for:

a) determining the capacity of the ATS system, including the number of staff required to ensure the provision of adequa te

ATS system and their job descriptions;

b) establishment of a training programme and maintaining training records for its ATS staff;

c) human factors principles; and

d) ensur ing the cont inued competency o f a i r t r a f f i c con t ro l l e r s on new equ ipment , p rocedures and upda ted

communications.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-03

ANS/03ETHIOPIA



7.267;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 CE-6 X CE-7 CE-8

FINDING:

The ECAA has not established a properly organized quality system in the AIS.

RECOMMENDATION:

The ECAA should establish a properly organized quality system in the AIS.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-04

ANS/04ETHIOPIA



7.415;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA and the Ethiopia National Meteorological Services Agency have signed an agreement for the provision of MET

services for air navigation. However, the agreement between the ATS authority and the MET authority does not specify the

authority responsible for carrying out safety oversight of the MET office.

RECOMMENDATION:

Ethiopia should ensure that the agreement between the ATS authority and the MET authority specifies the authority

responsible for carrying out safety oversight of the MET office.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-05

ANS/05ETHIOPIA



7.451; 7.457;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia does not ensure that the entity providing MET services has established a properly organized quality system and

maintains training records or files for their technical staff.

RECOMMENDATION:

Ethiopia should ensure that the entity providing MET services establishes a properly organized quality system and

maintains training records or files for their technical staff.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-06

ANS/06ETHIOPIA



7.453; 7.455;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia does not ensure that the entity providing MET services has developed job descriptions and established a training

programme for its technical staff.

RECOMMENDATION:

Ethiopia should ensure that the entity providing MET services establishes job descriptions and a training programme for its

technical staff.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-07

ANS/07ETHIOPIA



7.465;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia does not ensure that MET offices issue wind shear warnings for aerodromes where wind shear is considered as a

safety factor.

RECOMMENDATION:

Ethiopia should ensure that MET offices issue wind shear warnings for aerodromes where wind shear is considered as a

safety factor.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-08

ANS/08ETHIOPIA



7.233; 7.289; 7.345; 7.395; 7.437; 7.507;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia has not established a mechanism/system with time frame for elimination of deficiencies identified by PANS-OPS,

AIS, cartographic, CNS, MET and SAR inspectorates staff.

RECOMMENDATION:

Ethiopia should establish a mechanism/system with time frame for elimination of deficiencies identified by PANS-OPS,

AIS, cartographic, CNS, MET and SAR inspectorates staff.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-09

ANS/09ETHIOPIA



7.363;

DOCUMENT REFERENCE:


finding.


FINDING:

The airspace depicted in the Enroute Chart-ICAO published in the Ethiopia AIP is not in accordance with the requirements

of the AFI Basic Air Navigation Plan (ANP) contained in the ICAO Regional Supplementary Procedures (Doc 7030).

RECOMMENDATION:

Ethiopia should ensure that the Enroute Chart-ICAO published in the AIP is in accordance with the requirements indicated

in the AFI Basic ANP contained in the ICAO Regional Supplementary Procedures (Doc 7030).


Comments submitted by the State are found at Appendix 3-7-9 of this report.

COMMENTS BY ICAO:

The State has indicated that it will not take any corrective action to address this ICAO finding and recommendation.

Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-10

ANS/10ETHIOPIA



7.247; 7.393;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA constructs approach procedures and validates them in simulation and actual flight tests with the assistance of

Ethiopian Airlines before publication. However, the ECAA does not ensure that flight inspections of instrument flight

procedures, including obstacle checks, are carried out. In addition, there are no regulatory requirements for fl ight

inspections and periodical flight inspections for navigational aids.

RECOMMENDATION:

The ECAA should ensure that flight inspections of instrument flight procedures, including obstacle checks, are carried out.

In addit ion, the ECAA should establish requirements for f l ight inspect ions and periodical f l ight inspect ions for

navigational aids.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-11

ANS/11ETHIOPIA



7.161; 7.165; 7.169; 7.171; 7.173; 7.187; 7.189;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 X CE-4 CE-5 X CE-6 X CE-7 X CE-8 X

FINDING:

The service provision of the ECAA has developed a safety management system manual. However, Ethiopia has not

implemented an ATS safety programme or developed guidelines to implement such programme. In addition, Ethiopia has

not:

a) established criteria for determination of safety performance indicators and safety performance targets to be used for

monitoring of safety performance and the assessment of safety or new systems and procedures within the ATS system;

b) established an approval process for ATS provider safety management system;

c) carried out oversight of the ATS safety management system;

d) established and implemented a system for reporting ATC incidents; and

e) established and implemented a runway safety programmes.

RECOMMENDATION:

Ethiopia should implement ATS safety programmes and develop guidelines to implement such programmes. In addition,

the State should:

a) establish criteria for determination of safety performance indicators and safety performance targets to be used for

monitoring of safety performance and the assessment of safety or new systems and procedures within the ATS system;

b) establish an approval process for ATS provider safety management system;

c) carry out oversight of the ATS safety management system;

d) establish and implement a system for reporting ATC incidents; and

e) establish and implement a runway safety programmes.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-12

ANS/12ETHIOPIA



7.529; 7.531; 7.533; 7.535; 7.537; 7.545;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia has established a Rescue Coordination Center (RCC) staffed by personnel from the ECAA. However, the

regulatory provisions of the ECAA do not ensure that each RCC:

a) develops written job description for each of its technical staff;

b) establishes a training programme for its staff, including the regular training for appropriate SAR exercises;

c) employs sufficient workforce skilled in coordination and operational functions;

d) maintains training records or files for its technical staff; and

e) ensures that personnel involved in the conduct of radiotelephony communications are proficient in the use of the

English language.

RECOMMENDATION:

The ECAA should ensure that each RCC:

a) develops written job description for each of its technical staff;

b) establishes a training programme for its staff, including the regular training for appropriate SAR exercises;

c) employs sufficient workforce skilled in coordination and operational functions;

d) maintains training records or files for its technical staff; and

e) ensures that personnel involved in the conduct of radiotelephony communications are proficient in the use of the

English language.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-7-13

ANS/13ETHIOPIA



7.517; 7.539;

DOCUMENT REFERENCE:


finding.


FINDING:

Ethiopia has designated the ECAA as the SAR unit responsible, among other things, for the coordination with SAR units

of neighbouring States and has established procedures for other available facilities to assist any aircraft or its occupants

who are or appear to be in a state of emergency. However, SAR agreements have not yet been signed with the SAR

organizations of Djibouti, Kenya and Somalia. In addition, the ECAA has not formalized any agreements with other

entities, local services and facilities for ensuring full cooperation and for extending any possible assistance including their

involvement during SAR operations.

RECOMMENDATION:

Ethiopia should enter into agreements with the SAR organizations of Djibouti, Kenya and Somalia. In addition, agreements

between the ECAA and other entities, local services and facilities should be formalized.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-01

AGA/01ETHIOPIA


AERODROMES

8.081;

DOCUMENT REFERENCE:


finding.


FINDING:

The Proclamation requires all international and public use aerodromes to be certified; however, to date, only Addis Ababa

Bole International Airport has been certified.

RECOMMENDATION:

The ECAA should certify all international and public use aerodromes in compliance with the national regulations and

ICAO Annex 14 SARPs.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-02

AGA/02ETHIOPIA


AERODROMES

8.203; 8.205; 8.221; 8.231;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 CE-3 CE-4 CE-5 X CE-6 X CE-7 X CE-8

FINDING:

The ECAA does not ensure that the aerodrome operator's plan for lighting, signs and markings meets the national

requirements and is in conformance with ICAO Annex 14 SARPs. In addition, the ECAA does not ensure that aerodrome

operators integrate its plan for lighting, signs and markings in the aerodrome runway incursion and collision avoidance

strategy.

RECOMMENDATION:

The ECAA should ensure that the aerodrome operator 's plan for l ighting, signs and markings meets the national

requirements and is in conformance with ICAO Annex 14 SARPs. In addition, the ECAA should ensure that aerodrome

operators integrate their plan for lighting, signs and markings in the aerodrome runway incursion and collision avoidance

strategy.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-03

AGA/03ETHIOPIA


AERODROMES

8.147; 8.257;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA requires all domestic and international aerodrome operators to acquire a friction measurement device.

However, the ECAA does not ensure that aerodrome operators have a process for determining and providing relevant

information that a runway, or part of, may be slippery when wet, including the minimum friction level for reporting

slippery runway conditions and the type of friction measuring device used.

RECOMMENDATION:

The ECAA should ensure that aerodrome operators establish a process for determining and providing relevant information

that a runway, or part of, may be slippery when wet, including the minimum friction level for reporting of slippery runway

conditions and the type of friction measuring device used.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-04

AGA/04ETHIOPIA


AERODROMES

8.297; 8.315;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 CE-6 X CE-7 CE-8

FINDING:

The ECAA does not ensure that aerodrome operators provide rescue and fire fighting (RFF) personnel with appropriate

training in compliance with the national regulations, including live fire drills with pressure-fed fuel fires. In addition, the

ECAA does not ensure the implementation of requirements for the availability and coordination of specialist rescue

services to be included in the emergency plans of aerodromes close to water, swampy areas or difficult terrain.

RECOMMENDATION:

The ECAA should ensure that aerodrome operators provide RFF personnel with appropriate training in accordance with

the national regulations, including live fire drills with pressure-fed fuel fires. In addition, the ECAA should ensure the

implementation of requirements for the availability and coordination of specialist rescue services to be included in the

emergency plans of aerodromes close to water, swampy areas or difficult terrain.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-05

AGA/05ETHIOPIA


AERODROMES

8.367; 8.369; 8.375;

DOCUMENT REFERENCE:


finding.

CE-1 CE-2 X CE-3 CE-4 CE-5 X CE-6 CE-7 X CE-8

FINDING:

Ethiopia has not promulgated a regulatory statement which defines the circumstances and rationale for use of aeronautical

studies/risk assessments. In addition, the ECAA has not developed and issued a technical guidance to its regulatory staff

and to the aerodrome operators on the use of aeronautical studies/risk assessments and their evaluation.

RECOMMENDATION:

Ethiopia should promulgate a regulatory statement which defines the circumstances and rationale for use of aeronautical

studies/risk assessments. In addition, the ECAA should develop and issue technical guidance to its regulatory staff and to

the aerodrome operators on the use of aeronautical studies/risk assessments and their evaluation.




COMMENTS BY ICAO:


Auditee:

Audit Period: 4/12/06 - 13/12/06

APPENDIX 1-8-06

AGA/06ETHIOPIA


AERODROMES

8.409;

DOCUMENT REFERENCE:


finding.


FINDING:

The ECAA has not established a procedure to enable the exchange of safety information across the aerodrome industry.

RECOMMENDATION:

The ECAA should establish a procedure to enable the exchange of safety information across the aerodrome industry.




COMMENTS BY ICAO:


APPENDIX 2

28.7935.3744.2341.4356.0832.9142.4446.75

Audit of: ETHIOPIA 35.57%

CRITICAL ELEMENTS OF A SALACK OF EFFECTIVE IM

28.79

35.37

44.2341.43

13.04

22.14

37.62

60.49

0

10

20

30

40

50

60

70

80

90

100

Primary Aviation Legislation Specific Operating Regulations Civil Aviation System andSafety Oversight Functions

Qualification and Training ofTechnical Staff

Pr

Global: (64) Audited States: 40.99%

Global: (64) Audited States: 40.99%

OF A SAFETY OVERSIGHT SYSTEMCTIVE IMPLEMENTATION (%)

56.08

32.91

42.4446.75

49

25.00 25.13

39.24

61.90

aining offf

Procedures and TechnicalGuidance

Licensing and CertificationObligations

Surveillance Obligations Resolution of Safety Concerns

Audit of: ETHIOPIA 35.57%

ns

APPENDIX 3

APPENDIX 3-1-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO PRIMARY AVIATION LEGISLATION

AND CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/01

Ethiopia has developed and promulgated technical directives that are used as regulations and address some of the provisions contained in the ICAO Annexes. However, these technical directives are not in line with the ICAO Annex SARPs. In addition, the Ethiopia Civil Aviation Authority (ECAA) has not established a formal procedure to address the amendments to the ICAO Annex SARPs and for the identification and notification of differences to ICAO. The ECAA has not published significant differences in the Aeronautical Information Publication (AIP) of Ethiopia, as required by Annex 15.

STATE’S COMMENTS AND OBSERVATIONS∗

ECAA agrees with the finding of ICAO audit team.. However, the wording ''some of the technical directives are not in line with the ICAO Annex SARPS'' should be specific. Regarding amendment procedures though there was no proper amendment procedure developed by ECAA, the technical directives have been revised in accordance with the latest amendments to ICAO Annex SARPs.

CORRECTIVE ACTION(S) PROPOSED∗ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S) Revision of existing technical Directives with the aim of

covering all relevant provisions of ICAO Annex SARPs which are relevant to Ethiopia.

ECAA

30 December 2007

Establish a system for the review of the amendments to the ICAO Annex SARPs and for their timely implementation in reference to the recommendation of the finding.

ECAA

30 December 2007

Develop procedure for the revision of legislations and national standards.

ECAA Legal

Service

30 June 2007

Develop procedure for the identification and notification of differences to ICAO.

ECAA Legal

Service

30 June 2007

Notify differences to ICAO SARPs through amendment to AIP Ethiopia.

ECAA Before the end of 2007

∗ Text reproduced as submitted by Ethiopia

APPENDIX 3-1-2




Article 17 of the Ethiopian Civil Aviation Authority Re-establishment Proclamation (Proclamation No. 273/2002) makes reference to the Penal Code for specified penalties to be imposed in the event of a contravention of the Proclamation or the technical directives. However, the penalties specified in the Penal Code are not sufficient to be considered an economic deterrent. In addition, Ethiopia has not yet established a policy and procedures for the enforcement of aviation regulations in the State.


Economic Impact of penalties should be seen in line with the economic development of a nation. The penalties provided in the penal code and in the newly developed draft aviation proclamation are sufficient to be considered as economic deterrent. Regarding policy and procedure for enforcement there is a national policy and procedure for enforcement of national laws and regulations. However, there is a need to establish coordination procedure among law enforcement officers and ECAA. In this regard development of policy and procedure is recommendable.



DATE(S) • Enactment of new comprehensive aviation proclamation.

ECAA

Before the end of December 2007

• Develop Policy and procedures for the enforcement of the

aviation regulations applicable to Ethiopia

ECAA

March 2008


APPENDIX 3-1-3




Ethiopia has ratified Article 83 bis to the Chicago Convention on 25 June 1981. However, the primary aviation legislation and national regulations do not provide for the transfer of its duties and responsibilities as State of Registry to the State of the Operator, and as State of the Operator accept the duties and responsibilities of a State of Registry.


Under Ethiopian law, any international agreement becomes national law directly after its ratification. Hence it is not a requirement to issue new legislation. However although ECAA is responsible for the implementation of international agreements to which Ethiopia is a party, it has not developed procedure and guidance for the implementation of Article 83 bis.



DATE(S) • Enactment of new comprehensive aviation proclamation. ECAA

Before the end of December 2007

• Develop guidance and procedures for the transfer and

acceptance of tasks and functions in accordance with Art. 83 bis

ECAA

Before end of 2007


APPENDIX 3-2-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/01

Ethiopia has not established a clear separation of authority between the regulatory and service provision functions for the air traffic services (ATS) and aeronautical information services (AIS). This creates a potential conflict of interests between the regulatory enforcement functions and the service provision functions.


ECAA agrees with the finding of the ICAO Audit team.



DATE(S) Establish within the Authority a well defined separate and responsible body to regulate the service provision in the areas of AIS and ATS.

Establish minimum requirements

Develop job descriptions

Improve the organizational chart

Develop Delegation of Authority

Recruit, select and assign qualified regulatory technical staff in the area of AIS and ATS.

Provide the necessary training.

ECAA

15 June 2007


APPENDIX 3-2-2



The ECAA provides training to its technical staff; however, in the area of airworthiness, recurrent training is not being provided. In addition, the ECAA has not established formal training programmes and policies that make a commitment to provide initial, recurrent, on-the-job (OJT) and specialized training for the regulatory staff dealing with personnel licensing, aircraft operations, accident and incident investigations, aerodromes and air navigation services (ANS)





DATE(S)

Assess training needs which require study of detailed job description and analysis of skill, knowledge and qualifications to identify the required training in the regulatory area.

Develop formal training policies that make a commitment to provide initial, recurrent, OJT and specialized training for the regulatory staff dealing with personnel licensing, Aircraft Operations, Accident and Incident Investigations, Airworthiness, Aerodromes and ANS.

Develop an annual training plan to reflect the new policy and program and commence training as required in accordance with the established training plan.

Provide training to all technical staff in order to achieve the minimum level of training as specified in the new policy and in accordance with the training program.

ECAA

30 June 2007


APPENDIX 3-2-3



The ECAA does not have sufficient qualified technical staff to carry out its safety oversight function in the areas of airworthiness; aircraft operations; ATS; Procedures for Air Navigation Services - Aircraft Operations (PANS-OPS); AIS; aeronautical maps and charts (MAP); communications, navigation and surveillance (CNS); and search and rescue (SAR).





DATE(S)

Recruit and select regulatory qualified technical staff in the fields of Airworthiness, Aircraft Operations, ATS, PANS-OPS, AIS Cartography, CNS and SAR, in order to implement the states responsibility for safety oversight.

Provide the necessary training to upgrade and develop

them to carry out their responsibilities.

ECAA

ECAA

30 June 2007

30 June 2007


APPENDIX 3-3-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO PERSONNEL LICENSING AND TRAINING

AUDIT FINDING PEL/01

Ethiopia has not developed a procedure for an individual to appeal a decision made by the ECAA concerning licensing.





DATE(S) A procedure for an individual to appeal a decision made by the ECAA concerning Licensing shall be developed accordingly following the approval of the new ECAA Proclamation.

ECAA

30 August 2007


APPENDIX 3-3-2



The ECAA has not established a procedure to gather sufficient evidence to demonstrate that a flight crew member has not performed his/her duties in accordance with the prescribed procedures, as personnel licensing inspectors do not review the reports of flight examinations performed by designated pilot examiners.





DATE(S) Surveillance procedure shall be developed that Personnel Licensing Inspectors receive and review all reports of flight examinations by designated flight examiners in order to ensure that flight crew members perform their duties in accordance with the prescribed procedures

ECAA 30 August 2007


APPENDIX 3-3-3



The ECAA has not implemented an adequate system for the designation and surveillance of flight examiners performing examinations on all of the types of aircraft on the Ethiopian registry.





DATE(S) • Develop further the existing procedure for flight

examiners designation.

ECAA

30 July 2007

• Surveillance and other procedures pertaining to flight examiners performing flight examinations on all types of aircraft on the Ethiopian registry shall be developed.

ECAA

30 August 2007


APPENDIX 3-3-4



The ECAA does not ensure that the confidentiality and security of the individual records of licence holders is maintained in the Personnel Licensing Division. The ECAA does not require flight examiners to submit reports of flight examination failures. In addition, the ECAA has not established a system for the closing and archiving of personal files and records maintained by the Personnel Licensing Division.





DATE(S) • Pertaining to the security and confidentiality of

individual records of licence holders, it is the full responsibility of the inspector on duty. However lockers are being prepared and are in place.

ECAA

30 July 2007

• We shall ensure that the designated flight examiners submit reports of flight examination failures to the Authority accordingly.

PEL

30 August 2007

• Procedure in regard to closing and archiving of Personal Files that are not active shall be developed accordingly.

PEL 30 August 2007


APPENDIX 3-3-5



The ECAA has established a system for the certification of aviation training organizations, including a system for ensuring the qualification and competency of the instructors in all aviation training organizations. However, this system is not comprehensive and does not conform with the provisions of Annex 1, Appendix 2. In addition, the ECAA has not established an effective surveillance programme to ensure continuing regulatory compliance by approved training organizations.


There is a system for the certification of both the pilot and the aircraft maintenance technician training schools in place, being used for a long time and this; the Audit Mission has already seen. Our observation is that it has to be developed further.



DATE(S) Develop regulation by making use as a reference of pertinent ICAO documents pertaining to both flight crews and Aircraft Maintenance Technicians Training Schools and also a procedure to ensure the qualifications and competency of instructors.

ECAA 30 August 2007


APPENDIX 3-3-6



The ECAA has not established a surveillance programme for conducting oversight of the aircraft maintenance technicians/engineers/mechanics licences issued.





DATE(S) Conduct an amendment of Technical directives Chapter 6.1 & 6.2 to include the standards and recommendations in Annex 6 that are relevant and ECAA does not have a difference.

Flt. Ops 20 September 2007


APPENDIX 3-4-1

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

AUDIT FINDING OPS/01

Ethiopia has not developed and promulgated operating regulations that are in conformance with the provisions of ICAO Annex 6. In practice, various Annex 6 provisions are being implemented; however, there is no technical directive or regulation requiring such implementation. The Ethiopian regulations do not include, among other requirements, the following: a) preservation and retention of flight recorders and records in case of an accident or incident; b) training for avoidance of controlled flight into terrain (CFIT); c) flight manuals revisions and parameters of flight data recorders; d) implementation of a system for providing flight information to operations staff and flight crew; e) aircraft certification and operating limitations; f) required training for flight operations officers; g) requirement for a non-punitive flight data analysis programme; h) adequate ground and flight training facilities and training devices; i) minimum requirements and training for cabin crew instructors and examiners; j) mandatory flight crew reporting of volcanic activity; k) providing crews with pre-flight information, including notices to airmen (NOTAM), AIP and

aeronautical information regulation and control (AIRAC) data; l) approvals of method of determination of operating minima for aeroplane operators; m) requirements for aircraft ground handling manuals and air operator responsibilities; n) required documents to be on board leased aircraft; and o) requirements for discreet communication between flight and cabin crew in case of suspicious activity.


ECAA agrees with the finding of the ICAO audit team. Nevertheless, it shall be understood that the ECAA has developed and has been using technical directives that carry most of the provisions of Annex 6.



DATE(S) Procedure for the conduct of an oversight of licensed aircraft maintenance technicians Shall be developed.

ECAA 30 August 2007


APPENDIX 3-4-2



The Flight Operations Division of the ECAA has not developed a formal surveillance inspection programme that includes all the types and frequency of inspections required for proper oversight of air operator certificate (AOC) holders. There is no surveillance of station facilities or oversight of all the designated pilot examiners authorized to perform examinations on behalf of the ECAA. In addition, there is no surveillance over cabin crew instructors and examiners, and no comprehensive surveillance over flight crew and cabin crew duty and rest periods.


ECAA agrees with the finding of the ICAO audit team except that ECAA has been and is still exercising surveillance activity over flight crew and cabin crew duty and rest periods.



DATE(S) ECAA has already employed an Air Crew Program Manager (APM) for the B767/757 fleet and it is in the process of employing an APM for the Fokker 50 and Boeing 737 aircraft fleet.

ECAA December 2008

ECAA will start surveillance of station facilities and will increase inspection frequencies of all types to the minimum required by ICAO for the proper safety oversight control of ECAA aircraft operator certificate (AOC) holders.

Flt. Ops

Starting from September 2007

Establish a formal surveillance program.

Flt. Ops

30 August 2007


APPENDIX 3-4-3



There is no system in place in the Flight Operations Division of the ECAA for the monitoring and tracking of the deficiencies discovered during the conduct of inspections. Information on the deficiencies is provided to the operator in a written report; however, there is no mechanism in place for ensuring that deficiencies are addressed in a reasonable time, or that they have been satisfactorily corrected.


ECAA agrees with the finding of the ICAO audit team.



DATE(S) Develop and implement a system using computer program for tracking and monitoring deficiencies discovered during inspections.

ECAA 30 July 2007


APPENDIX 3-4-4



The technical guidance material provided to the inspectors of the Flight Operations Division does not contain adequate and up-to-date guidance to ensure that inspectors are able to effectively and uniformly carry out their safety oversight duties and responsibilities.


ECAA agrees with the finding of the ICAO audit team..



DATE(S) Update Flight Operations Inspectors Handbook

Flt. Ops 30 August 2007


APPENDIX 3-4-5



Ethiopia has not established regulatory requirements for aircraft leasing arrangements. In addition, sufficient procedures for the acceptance or approval of leasing arrangements, to be used by the inspectors of the Flight Operations Division, have not been developed.


This finding is accepted by ECAA.



DATE(S) Establish regulatory requirements for aircraft leasing arrangements.

ECAA March 2008

Update the existing aircraft leasing procedure manual with sufficient information for the acceptance or approval of leasing arrangements.

Flt. Ops 30 August 2007


APPENDIX 3-5-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/01

The ECAA has not established procedures for the validation of the type certificate for aircraft registered in Ethiopia.


The Ethiopian Civil Aviation Authority (ECAA) agrees with the findings of ICAO audit team.



DATE(S) • The Ethiopian civil Aviation Authority Technical

Directive Chapter 4 Article 4.14.2 shall be amended to read that ECAA provides for the acceptance of a type certificate based on satisfactory evidence that the aircraft type is in compliance with the mandatory requirements and design standards of the state of design.

ECAA 30 August 2007

• Develop procedures in line with the above requirements.

Aircraft Registration

and Airworthiness Certification Directorate

30 August 2007


APPENDIX 3-5-2



Ethiopia has established a requirement for aeroplanes involved in international air transport to be in conformance with the noise certification Standards contained in ICAO Annex 16, Volume I. In addition, the ECAA has developed procedures for the granting or validation of the noise certificate; however, these procedures have not yet been implemented.





DATE(S) ECAA has implemented the procedure for the granting or validation of noise certificate.

ECAA 15 January 2007


APPENDIX 3-5-3



There is no document control for the review of the operator’s maintenance control manuals (Technical Policy and Procedure Manual), as part of the process for the issuance of the AOC, and for the review of the maintenance procedures manual, as part of the process for the approval of a maintenance organization.





DATE(S) Document control (check list) shall be developed and implemented: • For the review of operator’s manual • For the review of Aircraft Maintenance Organization

(AMO) maintenance procedure manual.

ECAA

30 August 2007


APPENDIX 3-6-1

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

AUDIT FINDING AIG/01

The Proclamation and the technical directives do not provide for the independence of the accident investigation authority in charge of conducting aircraft accident and incident investigations in the territory of Ethiopia. The Proclamation states that the ECAA will “conduct and coordinate a search for rescue operations of any civil aircraft, investigate aircraft accidents and incidents; prepare and issue investigation reports”. In addition, Technical Directive, Chapter 13 establishes that “the leader/chairman of the team/committee shall be the Accident prevention and investigation co-ordination bureau” within the ECAA, and paragraph 10.1 requires the report to be submitted to the Director General of the ECAA upon completion of the investigation, which implies a potential conflict of interests.


In regard to the independency of Accident Investigation, in which any accident investigate independently with out any potential conflict of interest. However, in the near future, it is planned to be organized independently from CAA.



DATE(S) Amend ECAA Technical Directive Chapter 31 Investigation of Air Accidents and Incidents to read “The Ministry of Transport and Communication shall establish on Ad-hoc committee to work with the Accident Investigation Bureau”. The Accident Prevention and Investigation Bureau was organized under the Ethiopian Civil Aviation Authority in-charge of conducting aircraft accident and incident investigation. However the Ministry of Transport and Communication has now decided that a study has to be made on the establishment of an independent Agency to accomplish the duty of Accident Prevention and Investigation issues. It is expected that the Agency shall be an independent entity separate from the Ethiopian Civil Aviation Authority reporting to a ministerial level in accordance with ICAO Annex 13 Article 5.4.

AIG 30 September 2008


APPENDIX 3-6-2



Although funding may be provided to the accident investigation authority when an accident or incident investigation is initiated, the ECAA has not established a formal procedure or a process to request funding and supplementary funding, when applicable, for the Accident Prevention and Investigation Co-ordination Bureau.





DATE(S) Establish a process of funding in the Technical Directive Chapter 31 for the accident and incident investigation which fall into its area of responsibility including supplementary funding when applicable.

AIG 30 July 2007


APPENDIX 3-6-3



The ECAA has not established a means to ensure that the proper delegation of authority is provided to the various participants in an accident investigation. In addition, the credentials provided to accident investigators do not appropriately identify them as such, nor do they reflect their legal authority as accident investigators.





DATE(S) Develop a means to ensure proper delegation of Authority is provided to the various participants in accident investigation including appropriate accident investigator credential

AIG

30 July 2007


APPENDIX 3-6-4



A letter authorizing inspectors from different sections within the ECAA is issued to allow their participation as accident investigators. However, the Accident Prevention and Investigation Co-ordination Bureau has not established measures to avoid possible conflict of interests when acting as accident investigators.





DATE(S) Establish adequate MOU and procedure to avoid possible conflicts of interest when inspectors from different sections within the ECAA are acting as accident investigators, in the Technical Directive Chapter 31.

AIG 30 July 2007


APPENDIX 3-6-5



The ECAA has not provided the Accident Prevention and Investigation Bureau investigators with adequate equipment to enable the conduct of investigations, including adequate means of communication and transportation, protective equipment against biological hazards and other hazards at accident sites, and investigation field kits with essential personal items packed and ready so that they can proceed without delay to the accident site.





DATE(S) Avail the provision of adequate equipment to enable the conduct of investigations, including: means of communication and transportation, protective equipment against biological hazards and other hazards at accident sites and investigation field kits with essential personal items packed and ready to proceed without delay to the accident site. The provision of at least one global positioning system shall be considered.

AIG 30 June 2007


APPENDIX 3-6-6



The Manual on Accident Investigation approved by the EACC provides basic guidance on the development of a plan to manage a major accident investigation, including the organization of investigation groups. However, the manual is not detailed in establishing the various types of investigations and the development of procedures for serious incidents or minor accident investigations.





DATE(S) Amend the existing Accident investigation Manual to include adequate guidance and procedures for the investigation of the various types of investigation in the aircraft accident investigation manual including those such as serious incidents or minor accident investigations.

AIG 30 June 2007


APPENDIX 3-6-7



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for providing the State conducting the investigation with, as applicable, any relevant information regarding the aircraft and flight crew involved in an accident or serious incident as soon as possible. In addition, no procedures have been established for providing the State conducting the investigation with the details of dangerous goods on board the aircraft with a minimum of delay and by the most suitable and quickest means available.





DATE(S) Amend the existing Accident investigation Manual to include adequate guidance and procedures for the investigation of the various types of investigation in the aircraft accident investigation manual including those such as serious incidents or minor accident investigations.

AIG 30 June 2007


APPENDIX 3-6-8



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for informing the aviation security authorities immediately if an act of unlawful interference was involved or is suspected. In addition, the Manual on Accident Investigation does not include procedures for establishing of means (e.g., procedures or Memoranda of Understanding [MOUs]) to facilitate the co-ordination between the investigator-in-charge (IIC) and the judicial authorities, when applicable.





DATE(S) Establish procedures in the Technical Directive Chapter 31 for informing the aviation security authorities immediately if an act of unlawful interference was involved or is suspected. Procedures shall also include establishing co-ordination means (e.g., procedures or MOUs) between the IIC and the judicial authorities when applicable.

AIG 30 August 2007


APPENDIX 3-6-9



The Manual on Accident Investigation of the Accident Prevention and Investigation Co-ordination Bureau of the EACC does not include procedures for Ethiopia, as the State conducting the investigation, for inviting to participate in the investigation: a) the operator, when neither the State of Registry nor the State of the Operator appoints an accredited

representative; b) the organizations responsible for the type design and the final assembly of the aircraft, when neither

the State of Design nor the State of Manufacture appoints accredited representatives; and c) experts of States which have special interest in an accident by virtue of fatalities or serious injuries to

its citizens, in conformance with ICAO Annex 13.





DATE(S) Establish procedure to be included in the Manual of Aircraft Accident Investigation, as the State conducting the investigation, for inviting to participate in the investigation: a) The Operator, when neither the State of Registry nor the

State of the Operator appoints an accredited representative; b) The organizations responsible for the type design and the

final assembly of the aircraft, when neither the State of Design nor the State of Manufacture appoints accredited representatives; and

c) Experts of States which have special interest in an accident by virtue of fatalities or serious injuries to its citizens, in conformance with ICAO Annex 13.

AIG

30 August 2007


APPENDIX 3-6-10



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for ensuring compliance with occupational health and safety legislation during the investigation process.





DATE(S) Establish implementation procedures for ensuring compliance with occupational health and safety legislation during the investigation process in the Technical Directive Chapter 31.

AIG 30 December 2007


APPENDIX 3-6-11



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for providing relevant and timely information to the families and accident survivors.





DATE(S) Establish procedures for providing relevant and timely information to the families and accident survivors in the aircraft accident investigation manual.

AIG 30 August 2007


APPENDIX 3-6-12



The Accident Prevention and Investigation Co-ordination Bureau of the ECAA has not established procedures for appointing an accredited representative, in particular when specifically requested to do so by the State conducting an investigation (for an accident to an aircraft of a maximum mass of over 2 250 kg). In addition, the Bureau has not established procedures for appointing advisers proposed, as applicable, by the operator or by the organizations responsible for the type design and the final assembly of the aircraft.





DATE(S) Amend the aircraft accident investigation manual for - Appointing an accredited representative, in particular

when specifically requested to do so by the State conducting an investigation (for an accident to an aircraft of a maximum mass of over 2250 kg); and

- Appointing advisers proposed, as applicable, by the operator or by the organizations responsible for the type design and the final assembly of the aircraft.

-

AIG

30 August 2007


APPENDIX 3-6-13



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for Ethiopia, as a State having suffered fatalities or serious injuries to its citizens, for sending an expert to the State of Occurrence.





DATE(S) Establish procedures for Ethiopia as a State having suffered fatalities or serious injuries to its citizens, for sending an expert to the State of Occurrence in the aircraft accident investigation manual

AIG 30 July 2007


APPENDIX 3-6-14



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established, in its Manual on Accident Investigation, procedures for: a) consultation on the draft final report with all States which participated in the investigation, inviting

their substantiated comments on the report within sixty days from the date of the transmittal letter; b) sending a copy of the draft final report for comments through the State of the Operator to the operator

and through the State of Design and State of Manufacture to the organizations responsible for the type design and the final assembly of the aircraft;

c) either amending the draft final report to include the substance of the comments received or, if desired by the State which provided the comments, appending the comments to the final report; and

d) sending the final report to all States involved, including any State having suffered fatalities or serious injuries to its citizens and any State which provided relevant information, significant facilities or experts.





DATE(S) Establish procedure in the accident investigation manual:- - for consultation on the draft final report with all States

which participated in the investigation, inviting their substantiated comments on the report within sixty days from the date of the transmittal letter;

- for sending a copy of the draft final report for comment through the State of the Operator to the operator and through the State of Design and State of Manufacture to the organizations responsible for the type design and the final assembly of the aircraft;

- for either amending the draft final report to include the substance of the comments received or, if desired by the State which provided the comments, appending the comments to the final report; and

- for sending the final report to all States involved, including any state having suffered fatalities or serious injuries to its citizens and any State which provided relevant information, significant facilities or experts.

AIG

30 August 2007


APPENDIX 3-6-15



The Accident Prevention and Investigation Co-ordination Bureau of the EACC has not established procedures for Ethiopia, as the State receiving safety recommendations from other States, to inform the proposing State of the preventive action taken or under consideration or the reasons why no action will be taken.





DATE(S) Develop procedure in the accident investigation manual to inform, as the State receiving safety recommendations from other States, the proposing State of the preventive action taken or under consideration or the reasons why no action will be taken.

AIG 30 July 2007


APPENDIX 3-6-16



The ECAA does not prepare and send preliminary reports to all involved States and ICAO when the aircraft involved in an accident is of a maximum mass of over 2 250 kg. (only for those over 5 700 kg.). In addition, the ECAA does not prepare and send accident data reports to ICAO, involving aircraft of a maximum mass of over 2 250 kg, as soon as practicable after the investigation is concluded.





DATE(S) Amend accident investigation manual to include sending of preliminary reports to all involved States and ICAO when the aircraft involved in an accident is of a maximum mass of over 2250 kg. In addition, the ECAA should prepare and send accident data reports to ICAO, involving aircraft of a maximum mass of over 2250kg, as soon as practicable after the investigation is concluded.

AIG 30 June 2007


APPENDIX 3-6-17



The ECAA has not established adequate incident reporting systems and occurrence database to include: a) a mandatory incident reporting system to facilitate the collection of information on actual or potential

safety deficiencies; b) a voluntary incident reporting system to facilitate the collection of information for when information

that may not be captured by a mandatory incident reporting system; c) an accident and incident database for facilitating the effective analysis of information obtained,

including that from its accident and incident reporting systems; and c) the analysis of the information contained in its accident/incident reports and the database to determine

any preventative actions required.





DATE(S) Amend the accident investigation manual on incident reporting systems and occurrences database to include: - mandatory incident reporting system to facilitate the

collection of information on actual or potential safety deficiencies;

- a voluntary incident reporting system to facilitate the collection of information for when information that may not be captured by a mandatory incident reporting system;

- An accident and incident database for facilitating the effective analysis of information obtained, including that from its accident and incident reporting systems; and

- The analysis of the information contained in its accident/incident reports and the database to determine any preventative actions required.

AIG

30 July 2007


APPENDIX 3-7-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/01

Ethiopia has started the process of developing a safety oversight system in the air navigation fields, including the appointment of some inspectors. However, Ethiopia has not yet established a system required for the provision of safety oversight for ANS, including an organizational structure in place for the safety oversight of ANS, job descriptions, functions, delegation of authority, procedures and manual/handbooks.


ECAA agrees with the finding of the ICAO team.



DATE(S) ECAA shall expedite the process for the establishment and implementation of a safety oversight system for ensuring the effective implementation of safety related policy and procedures in the ANS fields.

Develop functions and responsibilities.

ECAA 30 June 2007

Include all ANS safety oversight fields in the ECAA organizational structure.

ECAA

30 June 2007

Develop job descriptions for all the inspectorates. ECAA

30 June 2007

Provide delegation of authority.

ECAA 10 July 2007

Develop procedures and manuals/hand books.

ECAA 30 July 2007


APPENDIX 3-7-2



The ECAA has not developed a policy and procedures for: a) determining the capacity of the ATS system, including the number of staff required to ensure the

provision of adequate ATS system and their job descriptions; b) establishment of a training programme and maintaining training records for its ATS staff; c) human factors principles; and d) ensuring the continued competency of air traffic controllers on new equipment, procedures and

updated communications.


ECAA agrees with the finding of the ICAO team. However policy and procedure for determining the capacity ATS system including the number of staff required has been developed.



DATE(S) a) Ensure that policy and procedures for determining the

capacity of the ATS system, including the number of staff required which has been developed is adequate.

ANS inspectorate

30 July 2007

b) Ensure that the job descriptions in use for the ATS staff are appropriate.

ANS inspectorate

30 July 2007

c) Ensure establishment of a training programme and maintenance of training records for ATS staff.

ANS inspectorate

10 August 2007

d) Ensure development and implementation of human factors in ATS.

ANS inspectorate

30 August 2007

e) Ensure the continued competency of air traffic controllers on new equipment, procedures and updated communications.

ANS inspectorate

30 July 2007


APPENDIX 3-7-3



The ECAA has not established a properly organized quality system in the AIS.





DATE(S) Establish a properly organized quality system in the AIS field

ECAA 1 January 2008


APPENDIX 3-7-4



The ECAA and the Ethiopia National Meteorological Services Agency have signed an agreement for the provision of MET services for air navigation. However, the agreement between the ATS authority and the MET authority does not specify the authority responsible for carrying out safety oversight of the MET office.





DATE(S) Ensure that the agreement between the ATS Authority and the MET Authority specifies the Authority responsible for carrying out safety oversight of the MET office.

ECAA/MET Agency

30 July 2007


APPENDIX 3-7-5



Ethiopia does not ensure that the entity providing MET services has established a properly organized quality system and maintains training records or files for their technical staff.





DATE(S) Ensure that the entity providing MET services establishes

a properly organized quality system. MET

Inspectorate 1 January 2008

Maintain training records or files for their technical staff. MET Inspectorate

30 July 2007


APPENDIX 3-7-6



Ethiopia does not ensure that the entity providing MET services has developed job descriptions and established a training programme for its technical staff.





DATE(S) Ensure that the entity providing MET services establishes job descriptions and a training programme for its technical staff.

MET Inspectorate

10 August 2007


APPENDIX 3-7-7



Ethiopia does not ensure that MET offices issue wind shear warnings for aerodromes where wind shear is considered as a safety factor.





DATE(S) Ensure that the MET office issues wind shear warnings for aerodromes where wind shear is considered as a safety factor.

MET Inspectorate

30 November 2007


APPENDIX 3-7-8



Ethiopia has not established a mechanism/system with time frame for elimination of deficiencies identified by PANS-OPS, AIS, cartographic, CNS, MET and SAR inspectorates staff.





DATE(S) Establish a mechanism/system with time frame for elimination of deficiencies identified by PANS-OPS, AIS, Cartographic, CNS, MET and SAR inspectorate staff

ECAA 30 August 2007


APPENDIX 3-7-9



The airspace depicted in the Enroute Chart-ICAO published in the Ethiopia AIP is not in accordance with the requirements of the AFI Basic Air Navigation Plan (ANP) contained in the ICAO Regional Supplementary Procedures (Doc 7030).


"ECAA does not agree with the above finding." The finding directly concerns "establishment of the Asmara FIR". Considering the decisions of the ICAO Council and the failure of the Cairo meeting on the issue and the letters originated by the then President of the Council, "Asmara FIR is not officially established". The inclusion in the ANP was done unilaterally by the ESAF and Cairo Regional Offices' Secretariats without any legal or procedural basis. The boarder between the two states has not yet been delineated making it impossible for the said FIR to be formulated. This is more of a political case and delicate matter than a technical audit issue. It remains so, for a long time in the absence of a viable agreement between the two States. This politically sensitive and critical issue was explained in detail to the Auditor, but he elected to ignore it. Therefore, 'the finding' shall not be acceptable on our part.



DATE(S) No action ICAO/ECAA

No definite date can be

envisaged as indicated in the above state

comments.


APPENDIX 3-7-10



The ECAA constructs approach procedures and validates them in simulation and actual flight tests with the assistance of Ethiopian Airlines before publication. However, the ECAA does not ensure that flight inspections of instrument flight procedures, including obstacle checks, are carried out. In addition, there are no regulatory requirements for flight inspections and periodical flight inspections for navigational aids.


ECAA agrees with the finding of the ICAO Audit Team. However, ECAA constructs approach procedures and validates them in simulation and actual flight test before publication.



DATE(S) Ensure that: a) flight inspections of instrument flight procedures,

including obstacle checks, are carried out.

PANS-OPS Inspectorate

30 August 2007

b) establish requirements for flight inspection and periodical flight inspections for navigational aids.

NAV Inspectorate

30 July 2007


APPENDIX 3-7-11



The service provision of the ECAA has developed a safety management system manual. However, Ethiopia has not implemented an ATS safety programme or developed guidelines to implement such programme. In addition, Ethiopia has not: a) established criteria for determination of safety performance indicators and safety performance targets

to be used for monitoring of safety performance and the assessment of safety or new systems and procedures within the ATS system;

b) established an approval process for ATS provider safety management system; c) carried out oversight of the ATS safety management system; d) established and implemented a system for reporting ATC incidents; and e) established and implemented a runway safety programmes.





DATE(S) ECAA shall implement ATS safety programs and develop guidelines to implement such programs

a) Establish criteria for determination of safety performance and the assessment of safety of new systems and procedures within the ATS system.

ATS Inspectorate

30 July 2007

b) Establish an approval process for ATS safety management system.

ATS Inspectorate

30 August 2007

c) Carry out oversight of the ATS safety management system.

ATS Inspectorate

30 September 2007

d) Establish and implement a system for reporting ATC incidents, and.

ATS Inspectorate

30 July 2007

e) establish and implement a run way safety program. ATS Inspectorate

30 July 2007


APPENDIX 3-7-12



Ethiopia has established a Rescue Coordination Center (RCC) staffed by personnel from the ECAA. However, the regulatory provisions of the ECAA do not ensure that each RCC: a) develops written job description for each of its technical staff; b) establishes a training programme for its staff, including the regular training for appropriate SAR

exercises; c) employs sufficient workforce skilled in coordination and operational functions; d) maintains training records or files for its technical staff; and e) ensures that personnel involved in the conduct of radiotelephony communications are proficient in the

use of the English language.





DATE(S) ECAA shall ensure that the RCC:

a) develops written job description for each of its technical staff.

SAR Inspectorate

30 July 2007

b) establishes a training program for its staff, including the regular training for appropriate SAR exercises.

SAR Inspectorate

30 August 2007

c) employs sufficient workforce skilled in co-ordination and operational functions.

SAR Inspectorate

30 August 2007

d) maintains training records or files for its technical staff, and

SAR Inspectorate

30 August 2007

e) ensures that personnel involved in the conduct of radio telephony communications are proficient in the use of the English language.

SAR Inspectorate

30 March 2008


APPENDIX 3-7-13



Ethiopia has designated the ECAA as the SAR unit responsible, among other things, for the coordination with SAR units of neighbouring States and has established procedures for other available facilities to assist any aircraft or its occupants who are or appear to be in a state of emergency. However, SAR agreements have not yet been signed with the SAR organizations of Djibouti, Kenya and Somalia. In addition, the ECAA has not formalized any agreements with other entities, local services and facilities for ensuring full cooperation and for extending any possible assistance including their involvement during SAR operations.





DATE(S) ECAA shall conduct SAR agreements with:

a) Kenya ECAA 30 December 2007

b) Djibouti ECAA 30 January 2007

c) Somalia ECAA 1 January 2008

d) Establish agreements between ECAA and other entities, local services and facilities.

SAR Coordinator

30 July 2007


APPENDIX 3-8-1

CORRECTIVE ACTION PLAN PROPOSED BY ETHIOPIA RELATED TO AERODROMES

AUDIT FINDING AGA/01

The Proclamation requires all international and public use aerodromes to be certified; however, to date, only Addis Ababa Bole International Airport has been certified.


The ECAA agrees with the finding of the ICAO audit team. However, the process has already been started.



DATE(S) • The ECAA by making a time table, has ordered the operator

to submit Aerodrome Manuals for certification Therefore, starting May 07,2007, all aerodromes will be certified with in two years.

• Certification of three International Aerodromes. • Certification of the rest Domestic Aerodromes.

ECAA

6 May 2008 6 May 2009


APPENDIX 3-8-2



The ECAA does not ensure that the aerodrome operator's plan for lighting, signs and markings meets the national requirements and is in conformance with ICAO Annex 14 SARPs. In addition, the ECAA does not ensure that aerodrome operators integrate its plan for lighting, signs and markings in the aerodrome runway incursion and collision avoidance strategy.





DATE(S) • Provision of guidelines to the operator so that their plan

meets the National requirements and is in accordance with the ICAO SARPS.

ECAA

30 June 2007

• Ensure that Aerodrome operators integrate its plan for lighting, signs and markings in the aerodrome runway incursion and collusion avoidance strategy.

.

ECAA

20 August 2007

• Amend the AIP accordingly

ECAA

20 August 2007


APPENDIX 3-8-3



The ECAA requires all domestic and international aerodrome operators to acquire a friction measurement device. However, the ECAA does not ensure that aerodrome operators have a process for determining and providing relevant information that a runway, or part of, may be slippery when wet, including the minimum friction level for reporting slippery runway conditions and the type of friction measuring device used.





DATE(S) • Ensure that aerodrome operators establish the process for

determining and providing relevant information that a runway, or part of, may be slippery when wet, including the minimum friction level for reporting slippery runway conditions and the type of friction measuring device.

ECAA 30 November 2007


APPENDIX 3-8-4



The ECAA does not ensure that aerodrome operators provide rescue and fire fighting (RFF) personnel with appropriate training in compliance with the national regulations, including live fire drills with pressure-fed fuel fires. In addition, the ECAA does not ensure the implementation of requirements for the availability and coordination of specialist rescue services to be included in the emergency plans of aerodromes close to water, swampy areas or difficult terrain.





DATE(S) • Ensure that aerodrome operators provide RFF personnel

with appropriate training in accordance with the national regulations, including live fire drills with pressure-fed fuel fires.

ECAA 30 May 2008

• Ensure implementation of requirements for the availability and coordination of specialist rescue services to be included in the emergency plans of aerodromes close to water, swampy areas of difficult terrain.

ECAA 30 October 2007


APPENDIX 3-8-5



Ethiopia has not promulgated a regulatory statement which defines the circumstances and rationale for use of aeronautical studies/risk assessments. In addition, the ECAA has not developed and issued a technical guidance to its regulatory staff and to the aerodrome operators on the use of aeronautical studies/risk assessments and their evaluation.





DATE(S) • Develop and issue a technical guidance material to the

aerodrome operator and its regulatory staff on the use of Aeronautical studies/risk assessments and their evaluation.

ECAA 30 May 2008

• Promulgate a regulatory statement which defines the circumstances and rationale for use of aeronautical studies/risk assessments.

ECAA 30 June 2008


APPENDIX 3-8-6



The ECAA has not established a procedure to enable the exchange of safety information across the aerodrome industry.





DATE(S) Develop procedures to enable exchange of safety information across the aerodrome industry.

ECAA

30 August 2007

— END —


Documents

ICAO-USOAP Final Audit Reportcfapp.icao.int/fsix/AuditReps/CSAfinal/Ethiopia_Final_Audit_Report... · AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ... 1.1.4 In accordance with Assembly