summary report on the safety oversight audit follow-up of the civil aviation...

ICAO Universal Safety Oversight Audit Programme

SUMMARY REPORTON THE SAFETY OVERSIGHT

AUDIT FOLLOW-UPOF

THE CIVIL AVIATION AUTHORITIESOF THE NETHERLANDS

ANDTHE NETHERLANDS ANTILLES

(Amsterdam and Curaçao, 14, 17, 18, 20 and 21 March 2003)

International Civil Aviation Organization

Audit follow-up summary report — The Netherlands and the Netherlands Antilles July 2003

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

Summary Report on the Safety Oversight Audit Follow-upof the Civil Aviation Authorities

of the Netherlands and the Netherlands Antilles

(Amsterdam and Curaçao, 14, 17, 18, 20 and 21 March 2003)

1. INTRODUCTION

1.1 Background

1.1.1 The Kingdom of the Netherlands, including the Civil Aviation Authority(CAA) — Rijksluchtvaartdienst (RLD) of the Netherlands and the Department of Civil Aviation (DCA) ofthe Netherlands Antilles, was audited from 16 October to 2 November 2000 by an ICAO safety oversightaudit team in accordance with the Memorandum of Understanding (MOU) agreed to on 5 October 2000between the Kingdom of the Netherlands and ICAO. The audit was carried out pursuant to AssemblyResolution A32-11, with the objective of ascertaining the safety oversight capability of the RLD of theNetherlands and the DCA of the Netherlands Antilles and to ensure that it was in conformity with ICAOStandards and Recommended Practices (SARPs), as contained in Annexes 1, 6 and 8 to the Convention onInternational Civil Aviation (Chicago Convention) and related provisions in other Annexes, guidance materialand relevant safety-related practices in general use in the aviation industry.

1.1.2 On 12 March 2001, the Kingdom of the Netherlands submitted a corrective action planaddressing all the findings and recommendations contained in the audit interim report and also containingcomments and clarifications of some of the items mentioned in the audit interim report. The action plansubmitted, comprised of actions proposed by the Rijksluchtvaartdienst (RLD) of the Netherlands and actionsproposed by the Department of Civil Aviation (DCA) of the Netherlands Antilles, was reviewed by the SafetyOversight Audit (SOA) Section and was found to be satisfactory. The action plan and comments providedwere taken into consideration in the preparation of the final and summary reports. The summary report wasdistributed to all Contracting States by State letter AN 19/1-01/99 in October 2001.

1.2 Objectives and activities of the audit follow-up mission

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

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2. CIVIL AVIATION ACTIVITIES

2.1 Netherlands

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

a) number of technical staff employed by the organization at Headquarters 63

b) number of regional offices 0

c) number of technical staff employed at regional offices 0

d) number of active pilot licences 12 569

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

219

f) number of aviation training establishments 68

g) number of active licences other than flight crew licences 1 700

h) number of commercial air transport operators 29

i) number of air operator certificates (AOCs) issued 27

j) number of aircraft operations inspectors 18

k) number of aircraft registered in the Netherlands 1 058

l) number of currently valid certificates of airworthiness issued 986

m) number of approved maintenance organizations (AMOs) 56

n) number of non-approved aircraft maintenance organizations 0

o) number of design organizations 5

p) number of aircraft manufacturing organizations 0

q) number of aircraft parts or equipment manufacturing organizations 13

r) number of aircraft type certificates issued 4

s) number of type certificates other than aircraft issued 0

t) number of aircraft airworthiness inspectors 40

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2.2 Netherlands Antilles

At the time of the audit follow-up mission, civil aviation activities in the Netherlands Antillesincluded:

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

b) number of regional offices 1

c) number of technical staff employed at regional offices 1

d) number of active pilot licences 133

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

0

f) number of aviation training establishments 0

g) number of active licences other than flight crew licences 120

h) number of commercial air transport operators 7

i) number of air operator certificates (AOCs) issued 4

j) number of aircraft operations inspectors 3

k) number of aircraft registered in the Netherlands Antilles 25

l) number of currently valid certificates of airworthiness issued 25

m) number of approved maintenance organizations (AMOs) 2

n) number of non-approved aircraft maintenance organizations 0

o) number of design organizations 0

p) number of aircraft manufacturing organizations 0

q) number of aircraft parts or equipment manufacturing organizations 0

r) number of aircraft type certificates issued 0

s) number of type certificates other than aircraft issued 0

t) number of aircraft airworthiness inspectors 3

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3. EXECUTIVE SUMMARY

3.1 In the area of civil aviation legislation and regulations, the CAA of the Netherlands is leadinga coordination process among the three States which form the Kingdom of the Netherlands, namely theNetherlands, the Netherlands Antilles and Aruba, to ensure that an adequate harmonization of implementationof ICAO SARPs is being carried out by the three States as well as the notification to ICAO of the existingdifferences to SARPs. Each State has enacted primary civil aviation laws and related regulations establishingits civil aviation system with respect to ICAO Contracting States obligations. The Netherlands continues theintroduction of Joint Aviation Requirements (JARs) technical provisions, and the Netherlands Antilles haveissued a new Aviation Code enacted by Parliament and also recently published a Governor’s Decree relatingto the State’s safety oversight tasks and functions containing means of application of the provisions of theAviation Act. These new provisions provide for the establishment of a Directorate of Civil Aviation with thenomination of a Director of Civil Aviation and specify its authority. They also provide adequate authorityto the Director of Civil Aviation and the aviation safety inspectors to supervise civil aviation activities. Inaddition, the Aviation Act contains adequate provisions allowing the transfer and acceptance of tasks andfunctions relating to the State of Registry in case of aircraft leasing and arrangements concluded under Article83 bis of the Convention on International Civil Aviation.

3.2 Good progress has been achieved in strengthening the civil aviation organizational structuresof the audited States of the Kingdom of the Netherlands. With the recent reorganization of the CAA, profilesfor each position have been developed and the CAA has been enabled to fill the vacant positions. The varioussections of the CAA have established procedures manuals to guide their technical and administrative staff.However, these manuals were under revision at the time of the audit follow-up mission, to take intoconsideration the recent reorganization of the CAA, and some procedures were yet to be developed. Inaddition, each section has defined a training programme for its personnel although no organization-widetraining policy has been formally introduced.

3.3 With respect to the Netherlands Antilles, the DCA is adequately equipped and staffed for thepresent level of aviation activity in the State and has established a comprehensive training policy andprogramme for all flight operations and airworthiness inspectors in their core functions as well as inmanagement and administrative tasks. The DCA has also reviewed and updated the procedures manual whichnow contains the processes, procedures and forms relating to all technical functions in operations andairworthiness. The use of the procedures manual as a reference in addition to the inspections and surveillancechecklists is made mandatory by a Director’s Order. The DCA’s financial requirements are fully covered bythe State’s budget which is adequate to meet the DCA’s resources without problems.

3.4 Significant progress has been achieved in personnel training and licensing matters in theNetherlands. The CAA has established a system for the approval and supervision of training schools/centresand programmes and is carrying out a comprehensive oversight of flight and practical test delivery. Thesurveillance system is based on an extensive and systematic use of guidance and forms established by thelicensing team and their systematic assessment by the senior examiners in addition to random inspectionsconducted by the flight operations inspectors in order to assess the consistency and reliability of testing bythe designees.

3.5 With respect to the Netherlands Antilles, personnel licensing matters are still carried out byoperations and airworthiness inspectors. For medical examinations, two medical examiners have received

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appropriate training in aviation medicine and have been designated by the Government. However, theNetherlands Antilles have not established a formal system for the designation and continuous surveillanceof these two medical examiners.

3.6 In the area of aircraft operations, the Kingdom of the Netherlands, the Netherlands and theNetherlands Antilles have made significant progress in the implementation of the corrective action plan. TheFlight Operations Section within the CAA is now adequately staffed with flight operations inspectors whoare current on at least one aircraft type and their qualifications are compatible with aircraft types and type ofoperations conducted by national AOC holders. The Flight Operations Section has also established a policyand a comprehensive and well-documented surveillance system including a yearly programme for thecontinuing surveillance of AOC holders, according to JAR-OPS 1 and JAR-OPS 3 in addition to ICAOprovisions contained in Doc 8335. A procedures manual and comprehensive checklists have been preparedand currently used for these inspections, and a follow-up is performed by a well-established computerizedsystem.

3.7 The Netherlands Antilles have implemented most of the ICAO SARPs relating to aircraftoperations. Some progress has been achieved in the conditions of employment and training of the flightoperations inspectors. Their flight experience and qualifications allow them to ensure adequate surveillanceof the existing operations conducted by the two AOC holders.

3.8 Some progress has been made in the area of airworthiness in the Netherlands. Regulationshave been updated to cover noise certification standards and regulations and procedures for ferry flightpermits have been developed but still require formal approval. No progress has been made in the area oftransmission of airworthiness information to the State of Design and the approval of the maintenanceprogrammes of AOC holders. The level of involvement of the Airworthiness Section and the internalprocedures to be followed for activities under the responsibility of the Flight Operations Section, such asminimum equipment list (MEL) approval, extended range operations by twin-engined aeroplanes (ETOPS)or all weather operations, have not yet been defined.

3.9 With respect to the Netherlands Antilles, the DCA has complied with all therecommendations made during the audit relating to airworthiness of aircraft, and provisions have beenincorporated in the regulations to issue airworthiness directives (ADs) and to require all aeroplanes to complywith noise certification standards contained in Annex 16. The forms of certificates of airworthiness and flightpermits have been revised to cover the necessary content in accordance with the Standards of Annex 8 andrelevant guidance material. In addition, reporting requirements for both the authority and the airoperators/maintenance organizations have been finalized.

4. RESULTS OF THE AUDIT FOLLOW-UP MISSION

4.1 Primary aviation legislation and civil aviation regulations

4.1.1 a) Action proposed by State. With respect to the need for the Kingdom of theNetherlands to establish an overall regulatory system to commonly regulate all civilaviation activities in all parts of the Commonwealth forming the Kingdom, the RLDindicated in its action plan that the intention exists within the Kingdom to equalize,

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where possible, the aviation rules and regulations within the Kingdom. This aim issupported by the decision of the non-European parts of the Kingdom to voluntarilyadopt the JAA system, although these partners in the Kingdom are not part of theJAA. Also, these parts of the Kingdom have both decided to equalize all otheraviation legislation which is not addressed by the JAA, with that of the Netherlands.The RLD advised that these matters will be studied in order to establish to whatextent these intentions and actions are feasible and how they can be coordinatedbetween the parts of the Kingdom. The study will take about one year and work willcommence immediately to ensure further coordination and a more uniformapproach. Any differences which exist between local regulations and ICAO SARPswill be filed with ICAO in accordance with Article 38 of the Chicago Convention.

b) Validation of action proposed. After the safety oversight audit of the Kingdom ofthe Netherlands, the Netherlands CAA took the lead for coordination within theKingdom in order to assess the level of implementation of ICAO provisions andconducted a study as proposed in the action plan submitted to ICAO. Coordinationhas been already initiated between the Netherlands and the Netherlands Antilles andAruba has been fully associated to the actions carried out. Each of the threeindependent States has enacted primary civil aviation laws and related regulationsestablishing their respective civil aviation system in respect with ICAO ContractingState obligations. The Constitution of the Kingdom specifies that the establishmentof regulations is an internal affair and remains the responsibility of each State;however, the international policy matters such as the international air transportagreements and the coordination with the international bodies such as ICAO mustbe coordinated within the Kingdom. The ICAO recommendation has been compliedwith.

4.1.2 a) Action proposed by State. With respect to differences which may exist between theJARs and ICAO SARPS, the RLD advised that the JAA has draftedJAR-11 — Rule-making Procedures which includes a procedure to verifycompliance of JAA rules with ICAO Annexes. Any resulting differences will bereported before the adoption of the final rule by June 2002.

b) Validation of action proposed. The CAA continues to progressively introduce JARtechnical provisions and has already incorporated in its regulatory frameworkrelevant requirements, procedures and guidelines related to personnel licensing,aircraft operations, maintenance and continued airworthiness. The CAA hasestablished a process for the introduction of ICAO amendments to Annexes but hasnot yet established a formal procedure. It has not yet assessed its regulatoryframework to verify the compliance of the established regulations with ICAOprovisions and notify ICAO of the existing differences. The ICAO recommendationremains open.

4.1.3 a) Action proposed by State. Concerning the need for the authorities of allCommonwealth States of the Kingdom to develop a procedure to review theirregulations and amendments to identify differences which may exist with the

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provisions of ICAO Annexes and to inform the Kingdom forthwith of any suchdifferences, the RLD indicated that actions will take place to regularly monitor andupdate the differences with ICAO SARPs and to file differences which cannot beeliminated. Differences will be filed by the Kingdom of the Netherlands based onan established procedure for the Netherlands, the Netherlands Antilles and Aruba.

b) Validation of action proposed. The CAA is leading a coordination process amongthe three States which form the Kingdom of the Netherlands and has already drafteda comprehensive procedure to ensure that appropriate actions will be taken by thethree States in processing ICAO State letters or amendments to the Annexes.According to the proposed procedure, each State will implement its own procedurefor processing ICAO State letters, and the coordination will be established throughthe CAA to allow the timely notification of ICAO when needed. The CAA expectsto finalize the coordination process and the adoption of this procedure by the end ofDecember 2003. The ICAO recommendation remains open.

4.1.4 a) Action proposed by State. Concerning the need for the DCA of the NetherlandsAntilles to establish a procedure for implementing amendments to SARPs ofAnnexes 1, 6 and 8 and for listing and notifying ICAO, through the Kingdom, of itsdifferences, the DCA indicated in its action plan that a procedure will be establishedto ensure the implementation of the SARPs of Annexes 1, 6 and 8 and thenotification of any differences to ICAO through the Kingdom. The system for thenotification of differences will be accomplished in consultation with theNetherlands. The full implementation of this recommendation will depend on thecoming into force of the draft Civil Aviation Act which was presented to Parliamentby the Minister of Transport and Communications on 12 December 2000.

b) Validation of action proposed. The Netherlands Antilles have issued a newAviation Code enacted by Parliament and recently published by a Governor’sDecree. In addition, a Government’s Decree relating to the State’s safety oversighttasks and functions has been issued and contains means of application of theprovisions of the Aviation Act. The Aviation Code also provides for theestablishment of a Directorate of Civil Aviation (DCA) with the nomination of aDirector of Civil Aviation and specifies its authority. The DCA has established aprocedure for processing ICAO State letters and for implementing their provisions.The Aviation Act and the Government’s Decree provide for the adoption andpromulgation of air navigation regulations and confirm the applicability of civilaviation regulations already implemented. However, these regulations have not beenamended yet and have not kept pace with recent amendments of the ICAO Annexes,and the existing differences to ICAO SARPs are not identified and have not beennotified to ICAO. The DCA intends to coordinate with the two other States partiesof the Kingdom for the notification of differences to SARPs through the procedureunder adoption, after the publication of the drafted amendments to the civil aviationregulations. The ICAO recommendation remains open.

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4.1.5 a) Action proposed by State. With respect to the need for the Government of theNetherlands Antilles to amend its Civil Aviation Act to specifically empower itsDCA inspectors and to prevent any person from exercising the privileges of anyaviation licence for just cause, the DCA indicated that the draft Civil Aviation Actcontains provisions to be executed by the Minister to prevent any person fromexercising the privileges of an aviation licence and to withdraw aircraft certificates.

b) Validation of action proposed. The provisions of the new Aviation Act give theadequate authority to the Director of Civil Aviation and the aviation safetyinspectors to supervise the aviation activities and grant an unlimited access to alloperators and maintenance organizations facilities. The ICAO recommendation hasbeen complied with.

4.1.6 a) Action proposed by State. With respect to the need for the Government of theNetherlands Antilles to amend its Civil Aviation Act to contain provisions based onthe ratification of Article 83 bis, the DCA indicated that the draft Act now containsthe necessary provisions and will further consult with the Netherlands in order toexpand on these provisions, as required.

b) Validation of action proposed. The new Aviation Act contains adequate provisionsallowing the transfer and acceptance of tasks and functions relating to the State ofRegistry in case of aircraft leasing and arrangements concluded under Article 83 bisof the Chicago Convention. The ICAO recommendation has been complied with.

4.2 Organization of civil aviation

4.2.1 a) Action proposed by State. Concerning the need for the RLD to continue thereorganization process to further define the division of responsibilities among, andwithin, the three Directorates, the RLD indicated that the reorganization process iscontinuing and would be concluded in June 2001. Organization and developmentreports, including responsibilities for technical positions, would be written by thistime and written policies and inspector procedures would be developed byDecember 2001. In addition, a database would be developed by December 2001, inaccordance with the European Union directive on occurrence reporting.

b) Validation of action proposed. Procedures manuals to guide technical andadministrative staff have been developed separately in each section but have not yetbeen completed. Each discipline uses its own enforcement database, which has beenimproved since the ICAO audit of 2000, and a project has been initiated to combinethese databases into one. With the completion of the reorganization, a final reporthas been issued in 2001. This report describes the new organization structure and,in general terms, the functions and responsibilities of the various sections. Itprovides a detailed description of each position in the organization includingrequired qualifications and a remuneration scale. However, this report which iscurrently used as the basic organization manual was not designed in a format whichwould reflect the ongoing changes of the organization and has not been revised. As

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a result, it does not reflect the organizational changes made after its initialpublication. Furthermore, the report does not contain any corporate commitment bythe executive management concerning the strengthening of the expertise within theorganization as well as the standardization of actions carried out along the safetyoversight process. In particular, it does not address the harmonization andcoordination of tasks, actions and initiatives launched by the Head of Sections in theareas of technical staff training and establishment of procedures and checklists. Theassessment of the competency level has been delegated to the Heads of Sections, andno organization-wide policy or guidance exists yet to assist them in this criticalevaluation and to ensure that the available competency within the CAA fulfills theoverall demand of the entire organization. The ICAO recommendation remainsopen.

4.2.2 a) Action proposed by State. With respect to the recommendation that minimumrecruitment qualifications be specified for all technical staff and that action be takento fill the vacant positions in the RLD, the RLD indicated that the recruitment ofnew personnel started at the beginning of January 2001. Minimum qualifications forthe recruitment of staff will be defined for each position. It is expected to take atleast a year to fill all vacant positions.

b) Validation of action proposed. Detailed minimum qualifications have been definedfor each individual position in the organization, and an intensive recruitment processhas been performed which allowed to fill the vacant positions. The current status ofstaffing has been reviewed by the ICAO audit follow-up team and was found to beadequate. The ICAO recommendation has been complied with.

4.2.3 a) Action proposed by State. With respect to training for inspector staff, the RLDindicated that a system will be developed by December 2001 to establish andmonitor the requirements for initial, on-the-job and recurrent training for eachinspector technical function. The system will be controlled by the PersonnelLicensing Section, in close cooperation with management, and will be placed withina new Quality Assurance system once it is developed.

b) Validation of action proposed. Establishment of technical staff training has beenassigned to the relevant division managers. They have to coordinate with theexecutive management of the CAA for the availability of financial resources for theestablished training programme. The training provided to the technical staff duringthe year 2002 as well as the training schedules for 2003 have been reviewed by theICAO audit follow-up team and were found to be adequate. However, noorganization-wide training policy exists to give a framework and guidance toresponsible managers and staff on the implementation of individual trainingprogrammes including the control of the schedule completion. The ICAOrecommendation remains open.

4.2.4 a) Action proposed by State. With respect to the recommendation that the DCA beprovided with additional funding to allow for the acquisition of additional computers

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with widespread Internet access, to implement a comprehensive inspector trainingprogramme and to ensure that the DCA becomes a competitive employer in alltechnical fields, the DCA indicated that Internet access would be provided by 1 July2001. In addition, a comprehensive inspector training programme would beestablished for a three-year period starting 1 January 2002. Finally, the DCAindicated that the Government has recently set up a committee to study the issue ofsalaries and other conditions offered to public servants in higher skilled positions.The DCA noted that, in spite of the lower salaries being provided, it is currentlystaffed with qualified and experienced inspectors.

b) Validation of action proposed. The DCA is a Government entity and dependsentirely on the State’s budget which constitutes its unique source of income. TheDCA is provided with sufficient resources and does not presently experience anyfinancial difficulty related to budget limitation. The principles guiding the allocationof financial resources to the DCA are mostly the priorities of the sector and theconsensus between the Government and the Director of the DCA who has toestablish and submit its financial needs yearly to the Ministry of Transport andCommunications for adoption by Parliament. The Director of the DCA has the fullauthority on the allocated resources and also the possibility to split between budgetitems within a limit. The DCA is now adequately equipped and the inspectors haveindividual computers in addition to two digital cameras and a video camera usedduring the inspections. The ICAO recommendation has been complied with.

4.2.5 a) Action proposed by State. With respect to the need for the DCA to develop andimplement a comprehensive training policy and programme for all inspectorpersonnel, the DCA indicated that the comprehensive standardized training policyand programme being developed for inspectors will include training files containingthe inspector’s initial indoctrination, on-the-job training (OJT) and recurrenttraining, specific courses for various ratings, and additional courses to prepareinspectors for more advanced responsibilities. Enforcement procedures, accidentinvestigation, aircraft specific training, cabin safety, human factors, dangerousgoods and cockpit resource management will also be included. Relevant training,including OJT, will be recorded in the training files which will also show theinspector’s competence for each job function. The training programme will beimplemented by the end of December 2001.

b) Validation of action proposed. The Director of the DCA has established a trainingpolicy which will progressively strengthen the technical competency of its staff andwill be compatible with the State’s present level of activity. A formal initial trainingprogramme has been established and a recurrent training programme is establishedon a yearly basis. The training programme carried out in 2002 included trainingprovided to all flight operations and airworthiness inspectors in their core functionsas well as in management and administrative tasks. The training records are keptboth in the individual file of the inspector and in the administrative file of the DCA.The ICAO recommendation has been complied with.

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4.2.6 a) Action proposed by State. With respect to the need to update and revise theAviation Inspector Manual, the DCA indicated that relevant handbooks are beingloaded in the computer system. A system will be established by 1 September 2001for all inspection disciplines to provide for updating, revising and implementing thepolicies incorporated in the Aviation Inspector Manual.

b) Validation of action proposed. The DCA has reviewed and updated Volumes Iand II of the Aviation Inspector Manual which has been formally issued by theDirector. The procedures manual now contains the processes, procedures and formsrelating to all technical functions in operations and airworthiness. The use of themanual as a reference in addition to the inspections and surveillance checklists ismade mandatory by a Director’s Order. A weekly meeting with the operators allowsfor discussion and set up of action plans to resolve deficiencies found by theinspectors during their inspections. The ICAO recommendation has been compliedwith.

4.2.7 a) Action proposed by State. Regarding the need for dangerous goods training to beprovided to appropriate DCA personnel and for an inspection programme to beimplemented to ensure compliance with the provisions of Annex 18, the DCAindicated that an inspector will be attending a dangerous goods training course at theUnited States FAA Academy in Oklahoma City in April 2001 and an InternationalAir Transport Association (IATA) course in June 2001. By the end of October 2001,an inspection protocol will be established and an inspection programme will startshortly after completion of the training courses.

b) Validation of action proposed. The legislative framework of the NetherlandsAntilles, consisting of the Aviation Act and the Civil Aviation Decree recentlypromulgated, requires prior approval for the transport of dangerous goods by air andintegrated the ICAO Technical Instructions for the Transport of Dangerous Goodsby Air (Doc 9284) as part of the regulation as well as appropriate penalties forviolations. The recent updated version of this manual is kept by flight operationsinspectors as a working document. In addition, the Director of the DCA hasappointed a national coordinator for the transport of dangerous goods who has alsoreceived appropriate training during the year 2002. None of the two AOC holdershave been authorized for the transport of dangerous goods; however, their trainingprogramme reviewed by the flight operations inspectors and approved by the DCAcontains the essential elements relating to this activity. The ICAO recommendationhas been complied with.

4.3 Personnel licensing and training

4.3.1 a) Action proposed by State. With respect to the recommendation that the RLDestablish a system and implement procedures to supervise, monitor and control theperformance of designated examiners and to monitor the delivery of flight andpractical tests performed by such examiners, the RLD indicated that examiners aremonitored for each authorization every three years and that this is considered

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adequate. Contrary to the ICAO recommendation and to ICAO Doc 8335,paragraph 9.6.32(c), the RLD advised that it does not believe that there is a need foradditional or more frequent monitoring.

b) Validation of action proposed. The CAA has implemented JAR-FCL 1, 2, 3 and 4provisions and is operating its licensing system accordingly. It has also establisheda system for the supervision and control of flight and practical test delivery as wellas procedures for the supervision and control of designated flight test examiners. Atotal of seventy-two senior examiners have been appointed, in addition to CAAflight operations inspectors, to carry out routine surveillance in order to assess thestandardization of the delivery of flight and practical tests performed by thedesignated examiners. The licensing team within the Personnel Licensing Sectionhas established procedures for the assignment and authorization of the designatedexaminers in addition to examiner guidelines consisting of procedures and forms tobe filled by the examiners. The surveillance system is based on an extensive andsystematic use of these forms and their systematic assessment by the seniorexaminers and also on random inspections conducted by the flight operationsinspectors in order to assess the consistency and reliability of testing by thedesignees. Supervision records of the designated examiners are kept by the FlightOperations Section. Routine standardization meetings, involving CAA flightoperations inspectors, senior examiners and designated examiners, are held twice ayear to ensure the uniform application of guidance material. The ICAOrecommendation has been complied with.

4.3.2 a) Action proposed by State. Regarding the recommendation that a comprehensivesystem and detailed procedures be established to supervise, monitor and control theperformance of flight training organizations, the RLD indicated that additionalcapacity will be made available to establish detailed procedures for surveillance offlight training organizations by December 2002. An additional flight inspector, whowill be made partly available to supervise flight training organizations, is to be hiredby December 2001.

b) Validation of action proposed. The CAA has established a system for thecertification and inspection of aviation training centres and organizations for bothtype rating training and ab initio flight training, in line with the implementation ofthe JAR-FCL provisions, and has developed a more detailed monitoring policy andprocedures to carry out these inspections as well as a detailed supervision checklist.The CAA has also implemented a yearly inspection programme for all trainingactivities carried out by these approved training organizations. The inspectionprogramme is conducted by flight operations inspectors who attend some trainingcourses to ensure their consistency with those approved by the CAA. The ICAOrecommendation has been complied with.

4.3.3 a) Action proposed by State. With respect to the recommendation that a system beestablished for the supervision and control of medical examiners, the DCA indicated

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that two proposals are currently being studied and a system will be developed inconjunction with the Netherlands authorities by 1 December 2001.

b) Validation of action proposed. Two medical examiners who have receivedappropriate training in aviation medicine have been designated by the Government,one located in Curaçao Island and one in St Martin Island. The Netherlands Antilleshave not established a formal system for the designation and continuous surveillanceof these two medical examiners. The medical examiners have been proposed by theDirector of the DCA who can also initiate the suspension or revocation of theirdesignation by the Government of the Netherlands Antilles. The DCA has notprepared an application form but provides to each flight crew member a bookletwhere the medical examiner has to indicate the medical results based on theapplication declaration. The booklet clearly specifies that anyone from the DCAmay take appropriate action in case of false declaration by the applicant. The DCAhas not established procedures for a review and, as appropriate, the issuance of amedical assessment for cases in which the established medical standards are not met.In practice, in such cases the medical examiner has only given a recommendationto the Director of the DCA and has to coordinate with him for any further action tobe taken including additional medical examinations. The ICAO recommendationremains open.

4.4 Aircraft operations certification and supervision

4.4.1 a) Action proposed by State. Concerning the need for the Director General of theRLD to review its staffing requirements, the RLD indicated in its action plan thatthe staffing plan for flight operations personnel has been reviewed, resulting in anextra budget to hire one flight inspector and two ground inspectors byDecember 2001. If necessary, a new remuneration schedule would be discussed.

b) Validation of action proposed. Inspections relating to both certification andsurveillance of air operators in the area of aircraft operations in the Netherlands areunder the responsibility of the Flight Operations Section within the OperationsDepartment. This section is now adequately staffed with nine flight operationsinspectors including the Chief and nine ground operations inspectors. All flightoperations inspectors are current at least on one aircraft type and are allowed to flyunder agreements between the CAA and the national AOC holders one day a weekto keep their competency in flying techniques. Qualifications and type rating ofexisting flight operations inspectors cover all aircraft types and types of operationsexcept the B-747-400 operated by a major airline for which alternative acceptablemeasures have been adopted until the introduction by the airline of the B-777expected by the end of the year 2003. Route and aerodrome inspections forB-747-400 aircraft type are carried out by flight inspectors having a wide experienceon flight operations conducted with large aircraft as well as types of operations androutes flown. The ICAO recommendation has been complied with.

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4.4.2 a) Action proposed by State. With respect to the need for the Flight OperationsSection to maintain records of inspector flight currency or OJT, the RLD indicatedin its action plan that, by December 2001, the filing system for inspector personnelwould be expanded and would include records of OJT completed.

b) Validation of action proposed. The Head of the Flight Operations Section of theCAA has established a training programme for all flight and ground operationsinspectors comprising initial and recurrent training and has established a filingsystem which includes all training carried out by the inspectors. The ICAOrecommendation has been complied with.

4.4.3 a) Action proposed by State. With respect to the recommendation that acomprehensive surveillance programme be developed taking into consideration thesize, scope and complexity of air operators’ operations, the RLD indicated thatadditional capacity will be made available to develop detailed policies andprocedures for surveillance. The number of inspections will be increased, althoughmore emphasis will be placed on process control than on flight inspections. Inaddition, the present system of spot checks on foreign aircraft by means of rampchecks will be extended to also include ramp checks on aircraft registered in theNetherlands.

b) Validation of action proposed. The Flight Operations Section of the CAA hasestablished a surveillance system and a yearly programme for the continuingsurveillance of AOC holders. Both the certification and surveillance of air operatorsare carried out according to JAR-OPS 1 and JAR-OPS 3 in addition to ICAOprovisions contained in Doc 8335. The Flight Operations Section has alsoestablished a policy to ensure at least the surveillance of 0.1 per cent of the AOCholders activities on its own yearly, without delegating any part to the operators,with a minimum of four and a maximum of eight inspections covering all areas ofaircraft operations for each AOC holder. A procedures manual and comprehensivechecklists have been prepared and are currently used for these inspections. Inaddition to the information produced by the European Union database, a groundinspector carries out the monitoring of operators’ financial conditions. An inspectionprogramme is established and a follow-up is done by a well-establishedcomputerized system. The ICAO recommendation has been complied with.

4.4.4 a) Action proposed by State. With respect to the recommendation that the operationsregulations be amended in order to implement all of the SARPs contained inAnnex 6, including threshold crossing heights, flight preparation, flight crew duties,aircraft icing, ETOPS, carry-on baggage, composition of flight crew, crew resourcemanagement (CRM), human factors, flight operations officers and ground proximitywarning system (GPWS), the DCA indicated that a procedure will be developed toensure the implementation of ICAO SARPs and the notification of any differencesto ICAO through the Kingdom. The system for notification of differences will beestablished after consultation among the authorities of the Netherlands, theNetherlands Antilles and Aruba.

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b) Validation of action proposed. Most of the ICAO SARPs relating to aircraftoperations have been implemented in the Netherlands Antilles through the AviationCode, the Government’s Decree relating to safety oversight issued in March 2003and Ministerial Decree No. 111 of 1995. However, the recent amendments issuedby ICAO have not yet been implemented in the Netherlands Antilles, andparticularly all those concerning controlled flight into terrain (CFIT) aspects. TheICAO recommendation remains open.

4.4.5 a) Action proposed by State. With respect to the issue of remuneration for operationsinspectors, the DCA indicated that the Government has recently established acommittee to study the issue of salaries and other conditions offered to publicservants in higher skilled positions.

b) Validation of action proposed. Since the ICAO audit of 2000, some progress hasbeen achieved concerning the working conditions of the flight operations inspectors.However, the remuneration level of DCA technical staff compared to thoseemployed in industry is relatively low. This has no direct impact on the recruitmentof flight operations inspectors nor on existing competency and experience amongthe team of inspectors for the present level of activity of the DCA. The Governmenthas already launched a study which will allow additional compensation for the entireorganization. The ICAO recommendation has been complied with.

4.4.6 a) Action proposed by State. With respect to the recommendation that a system beestablished for providing flight currency for all operations inspectors on largeaircraft, the DCA indicated that a proposal is being made for DCA operationsinspectors to log a number of hours on a yearly basis, alternating on the MD-80 andDHC-8 simulators. This is expected to be implemented by 1 September 2001.

b) Validation of action proposed. The DCA is presently providing its flightoperations inspectors with recurrent training on flight simulator for the MD-80 andthe Dash 8 which are the main aircraft operated by the major AOC holder. Theirflight experience and qualifications presently allow them to ensure adequatesurveillance of the existing operations conducted by the two AOC holders. Inaddition, the Director of the DCA has the possibility of part-time employment of aflight examiner or arrangements with other CAAs within the Kingdom tocompensate the gap of expertise if other specific operations or additional tasksrequire qualifications not available within the DCA. The ICAO recommendation hasbeen complied with.

4.4.7 a) Action proposed by State. Concerning the need for the DCA to improve its filingsystem for operations inspectors, the DCA indicated that the system would beupgraded by 1 September 2001 to include records of OJT, inspector’s proficiency,proficiency checks and recent flight hours for each operations inspector.

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b) Validation of action proposed. The DCA has established a filing system for alltechnical staff including the flight operations inspectors. The individual files containproof of recurrent training carried out as well as all information concerning thecompetency and recency of experience of flight operations inspectors. The ICAOrecommendation has been complied with.

4.5 Airworthiness of aircraft

4.5.1 a) Action proposed by State. With respect to the recommendation that the RLDestablish a policy and adequate procedures to ensure its direct involvement in theapproval process of maintenance programmes, the RLD indicated that it does notintend to implement the ICAO recommendation, notwithstanding the requirementof Annex 6, Part I, paragraph 8.3.1. The RLD will file a difference to ICAO afterconsultation with the JAA by June 2001.

b) Validation of action proposed. A procedure is currently under development toprovide guidance on the approval of maintenance programmes. This procedure willbasically consist of the relevant JAA implementation procedures and will be usedto approve maintenance programmes for aircraft types newly introduced into fleetsof AOC holders. Due to lack of human resources, no activities have been initiatedto approve maintenance programmes for aircraft already used by AOC holders. TheICAO recommendation remains open.

4.5.2 a) Action proposed by State. With respect to the recommendation that a policy andadequate procedures be established to ensure sufficient technical coordinationbetween airworthiness and operations inspectors for matters such as ETOPS,reduced vertical separation minimum (RVSM), CAT II and CAT III and MEL, theRLD indicated that the relevant policy and procedures will be developed within theFlight Operations Section and Airworthiness Section by December 2001.

b) Validation of action proposed. A procedure has been developed in the FlightOperation Section to describe the necessary coordination between the FlightOperations Section and the Airworthiness Section. However, the AirworthinessSection has not yet completed guidance for ETOPS approvals which will be coveredunder the subpart entitled Variation of AOC in the revised HOP (HandleidingOrganisatie Procedures) handbook. The CAA expects to comply with ICAOrecommendation by 1 May 2003. The ICAO recommendation remains open.

4.5.3 a) Action proposed by State. With respect to the transmission of mandatorycontinuing airworthiness information to the respective State of Design, the RLDindicated that a written procedure would be developed within the AirworthinessSection by December 2001.

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b) Validation of action proposed. No procedure for the transmission of mandatorycontinuing airworthiness information to the respective State of Design has beendeveloped yet. The ICAO recommendation remains open.

4.5.4 a) Action proposed by State. With respect to establishing a procedure to cover theissuance of ferry flight permits for aircraft which are not airworthy but need to beflown for maintenance, the RLD indicated that new legislation which includes thepossibility of issuing such a permit will be in force from July 2001.

b) Validation of action proposed. A new legislation has been developed to supportthe issuance of ferry flight permits. Furthermore, an internal procedure has beenprepared and approval templates have been updated to be in compliance with thenew directions. However, the proposed change has not yet been published as itrequires approval of the Ministry of Transport and Communications before it can bepublished. The ICAO recommendation remains open.

4.5.5 a) Action proposed by State. Regarding the need to require type certificate holdersto provide air operators with information concerning a least-risk bomb location forincorporation in the flight manual, the RLD indicated that it does not intend toimplement the ICAO recommendation, notwithstanding the requirement of Annex 8,Part III, paragraph 9.3.5. This item will be discussed within the JAA and the resultwill be the basis of further actions, like the incorporation of the least-risk bomblocation issue in JAR-25.

b) Validation of action proposed. Within the JAA, a JAR-25 Notice of ProposedAmendment (NPA) has been initiated to cover the requirement concerning theleast-risk bomb location. Due to the transfer of responsibility of all type certificationactivities to the European Aviation Safety Agency (EASA), the CAA does notintend to initiate any further action at the moment. The ICAO recommendationremains open.

4.5.6 a) Action proposed by State. With respect to developing regulations and proceduresregarding noise certification standards, the RLD indicated that new legislation andprocedures will be developed by December 2001 to provide for the issuance of anoise certificate in accordance with Annex 16, Volume I.

b) Validation of action proposed. The relevant parts of the Aviation Act have beencomplemented to adequately cover ICAO Standards concerning noise certification.The new regulations have just recently been published in the official gazette, theStaatsblad, and furthermore contain the requirement to carry the noise certificate onboard the aircraft. The ICAO recommendation has been complied with.

4.5.7 a) Action proposed by State. With respect to the recommendation that air operatorsbe required to comply with each applicable AD issued by the country of origin ofthe affected aircraft, the DCA noted that, although not required by law, all airoperators have in fact complied with each applicable AD. This requirement will now

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be stipulated in a proposed amended Airworthiness Decree to be presented by theDirector of the DCA to the Minister of Transport and Communications by the endof April 2001.

b) Validation of action proposed. Article 66 of the Government Decree on CivilAviation Safety Oversight enables the DCA to issue ADs called NABLA. InMarch 2003, a generic AD (AD 200301) has been issued which formally requiresall operators to comply with each applicable AD-note issued by the State ofDesign/manufacturer. Checklists for the renewal of the certificate of airworthinesscontain the requirement to verify the AD-note status of the aircraft. The ICAOrecommendation has been complied with.

4.5.8 a) Action proposed by State. With respect to amending the certificate ofairworthiness, the DCA indicated that the certificate of airworthiness is beingrevised to add the applicable airworthiness code in accordance with Article 10 of theAirworthiness Decree. The Inspectors’ Handbook will also be revised accordinglyand certificates of airworthiness will be replaced by June 2001.

b) Validation of action proposed. The layout of the certificate of airworthiness hasbeen revised and now covers a reference to the applicable airworthiness code. Actualcertificates of airworthiness have been reviewed by the ICAO audit follow-up teamand were found to be acceptable. The ICAO recommendation has been compliedwith.

4.5.9 a) Action proposed by State. With respect to the recommendation that regulations andprocedures be developed to require air operators and maintenance organizations totransmit information on aircraft faults, malfunctions and defects to the organizationsresponsible for the design of the aircraft, the DCA indicated that, although notrequired by law, this has been common practice up until now. This requirement willbe stipulated in the proposed amended Airworthiness Decree to be presented by theDirector of the DCA to the Minister of Transport and Communications by the endof April 2001. The Inspectors’ Handbook incorporates relevant procedures on thismatter in Chapter HLI 2326.

b) Validation of action proposed. Order 2003/04 has been developed and issued bythe Director of the DCA. It requires air operators and maintenance organizations totransmit to the organizations responsible of an aircraft’s type design information onfaults, malfunctions, defects and other occurrences which might cause adverseeffects on continuing airworthiness. The Maintenance Control/Procedure Manualof the main operator has just recently been revised to adequately cover the reportingrequirement. The relevant part of the manual has been reviewed by the ICAO auditfollow-up team and was found to be acceptable. The ICAO recommendation hasbeen complied with.

4.5.10 a) Action proposed by State. In order to ensure that air operators are advised that aspecial flight authorization must be validated by the foreign CAA within whose

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airspace the aircraft will be operated, the DCA indicated that this is now stipulatedin the conditions under which a special flight may be executed. The sample form inthe Inspectors’ Handbook has also been revised accordingly. This amendment hasbeen carried out during the ICAO audit on 24 October 2000.

b) Validation of action proposed. The relevant part of the Inspectors’ Handbook hasbeen updated to ensure that operators are advised that validation of flight permits bythe foreign CAA within whose airspace the aircraft will be operated is required. Arecent flight permit has been reviewed by the ICAO audit follow-up team and wasfound to be adequate. The ICAO recommendation has been complied with.

4.5.11 a) Action proposed by State. With respect to the recommendation that a writtenprocedure be established for the transmission of mandatory continuing airworthinessinformation to the respective States of Design, the DCA indicated that theInspectors’ Handbook incorporates relevant procedures under Chapter HLI 2327 butthat the current practice will be more concisely defined in the proposed amendedAirworthiness Decree to be presented by the Director of the DCA to the Minister ofTransport and Communications by the end of April 2001.

b) Validation of action proposed. Article 66 of the Government Decree on CivilAviation Safety Oversight enables the DCA to issue ADs called NABLA. TheInspectors’ Handbook (HLI 2111A) has been revised to ensure the transmission tothe State of Design of all mandatory continuing airworthiness information originatedin the Netherlands Antilles. The ICAO recommendation has been complied with.

4.5.12 a) Action proposed by State. With respect to the need for the Government of theNetherlands Antilles to amend its national regulations and develop procedures toensure that all aeroplanes comply with the noise certification standards of Annex 16,Volume I, the DCA indicated that the regulations would be amended to require allaircraft to comply with the noise certification standards of Annex 16, Volume I.Article 66 of Ministerial Decree No. 111/1995 would be amended to require thenoise certificate to be carried on board the aircraft. It is expected that the proceduresto ensure that all aircraft comply with noise certification standards, and proceduresfor granting and validating noise certificates as part of the certificate ofairworthiness issue/reissue or part of aircraft registration requirements, would be inplace by the end of June 2001.

b) Validation of action proposed. Article 81 of the Government Decree on CivilAviation Safety Oversight requires all aircraft to comply with the noise certificationstandards of Annex 16. An appropriate statement attesting the compliance with theapplicable noise standards has been introduced in the certificate of airworthiness,and guidance to inspectors is given in the Inspectors’ Handbook (HIL 2102) onvalidating noise certificates. The ICAO recommendation has been complied with.

5. UPDATE ON DEPARTURES FROM ICAO SARPs

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During the audit follow-up mission, an updated list on the status of implementation anddifferences existing between the national regulations and Annexes 1, 6 and 8 SARPs and/or SARPs notimplemented was not provided to the audit follow-up team. As such, the Netherlands and theNetherlands Antilles are urged to conduct a thorough review of their national legislation and regulations andto notify ICAO of any differences as required under Article 38 of the Chicago Convention.

6. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD)

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

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

— — — — — — — —

CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM (Doc 9734 Refers)LACK OF EFFECTIVE IMPLEMENTATION (%) — NETHERLANDS, KINGDOM OF THE

GLOBAL: 181 (29.59%) Audit: (36.94%) Follow Up: (4.59%)

PrimaryAviation

Legislation

SpecificOperating

Regulations

CAA Structure andSafety Oversight

Functions

TechnicalGuidanceMaterial

QualifiedTechnicalPersonnel

Licensing andCertificationObligations

ContinuedSurveillanceObligations

Resolutionof SafetyIssues

95

90

85

80

75

70

65

60

55

50

45

40

35

30

25

20

15

10

5

0

limited to reflecting the progress made in implementing the ICAO recommendations made during the initial audit.Note.- The above graphic representation of the situation in the State at the time of the audit follow-up mission is

summary report on the safety oversight audit follow-up of the civil aviation...

Documents