Survey Questionnaire for Aerodrome Assistance in APAC States

Introductory Notes

The survey is developed by the ICAO Asia/Pacific Aerodrome Assistance Working Group to establish the assistance requirements for States which have not completed the certification of aerodromes used for international operations, have AGA EI below 75% and/or AOP air navigation deficiencies.

Information of the State

Name of the State
Name and Post of key person (DASS)
Email Address of key Person (DASS)
USOAP CMA EI in AGA area (%)
Any AOP Air Navigation Deficiencies?	Yes / No
No. of aerodromes used for international operations	Total: ( ); Certified: ( )
No. of other aerodromes	Total: ( ) Certified: ( )

Questionnaire

Please select Yes or No and provide remarks / explanatory notes as appropriate.

S/N
CE-1	Primary aviation legislation.
1-1	Are there any “Primary Aviation Legislation” in your State on the provision of aerodromes to facilitate international air navigation?
Yes/No Remarks:
1-2	Is an empowered CAA established under the primary aviation legislation, notably in relation to aerodrome safety oversight and its certification?
Yes/No Remarks:
1-3	Does Primary aviation legislation empower appropriate authority to:
promulgate and amend specific operating regulations. grant the necessary access and inspection powers to the State’s inspectors.
Yes/No Remarks:
1-4	Does primary aviation legislation contain the legal basis for enforcement, including the ability to impose operating restrictions, suspend or revoke licenses, certificates, authorizations or approvals as well as impose financial penalties?
Yes/No Remarks:
1-5	Does Primary aviation legislation require the immediate notification of accidents and serious incidents by Aerodrome operators to relevant authorities?
Yes/No Remarks:
CE-2	SPECIFIC OPERATING REGULATIONS
2-1	Has the State promulgated regulations for standardized operational procedures, services, equipment and infrastructures in conformity with the Annex 14 Vol I to the Convention on International Civil Aviation?
Yes/No Remarks:
2-2	Do your specific operating regulations contain sufficient details that are consistent with your own legal frameworks, including the non-aviation areas such as agriculture authorities, wildlife and forest authorities, military authorities, local authorities, etc.
Yes/No Remarks:
2-3	Has the State developed and implemented the process to ensure the timely amendment of these specific operating regulations in order to keep pace with the amendments to the Annex 14 Vol I to the Convention?
Yes/No Remarks:
2-4	Does the amendment process ensure that regulations are repealed when replaced by new ones?
Yes/No Remarks:
2-5	Do the State’s regulations govern the issuance or validation of licenses / ratings / certificates / approvals, as applicable?
Yes/No Remarks:
2-6	Has the state established process for exemptions / exceptions? Is the process supported by safety risk assessments or aeronautical studies, and provide for imposition of limitations, conditions or mitigation measures?
Yes/No Remarks:
2-7	Does the State require a safety risk assessment or aeronautical study to be conducted by the aerodrome operator to assess safety concerns arising from, inter alia, deviations from standards and applicable regulations, identified changes at an aerodromes, or when any other safety concerns arise?
Yes/No Remarks:
2-8	Is there a review and acceptance process of such an assessment (as referred to in the previous question) or study that should be performed by the CAA at the appropriate level?
Yes/No Remarks:
2-9	Has the State established requirement for publication of such exemption, such as on the CAA website, AIP and/or in aerodrome manual?
Yes/No Remarks:
CE-3	STATE SYSTEM AND FUNCTIONS
Establishing a State civil aviation system
3-1	Has the State established national legislation to provide for an appropriately organized, funded and empowered civil aviation system to fulfil the tasks of aerodrome safety oversight?
Yes/No Remarks:
3-2	Has the State employed the adequate personnel, including technical and support staff, to carry out its aerodrome safety oversight functions and duties?
Yes/No Remarks:
3-3	Does the aerodrome regulatory establishment address all the technical areas applicable to safety oversight and safety data analysis?
Yes/No Remarks:
Staffing requirements
3-4	Does State provide credentials to its technical personnel authorized to perform licensing, certification, approval and/or surveillance functions. Do credentials include the empowering legislation?
Yes/No Remarks:
3-5	Do these technical personnel have rights to unlimited and unrestricted access to aerodromes and its relevant facilities, documents and the associated inspection powers?
Yes/No Remarks:
3-6	Has the State established a methodology to determine its staffing needs for personnel performing safety oversight functions and covering all technical disciplines required for effective safety oversight in the aerodrome areas?
Yes/No Remarks:
Establishment of service providers
3-7	Is there a clear separation of functions and responsibilities between the regulatory authority and the aerodrome service provider?
Yes/No Remarks:
CE-4	QUALIFIED TECHNICAL PERSONNEL
Initial qualification and experience requirements for technical personnel
4-1	Has the State established the minimum qualifications and experience required for the position of technical staff to be filled?
Yes/No Remarks:
Training of technical personnel
4-2	Has the State established a training system with a documented training policy and signed by the State authorities?
Yes/No Remarks:
4-3	Does the training policy commit to provide necessary training to technical personnel in all areas, including initial training i.e. induction and basic training, on-the-job training (OJT), recurrent training and specialized or advanced training?
Yes/No Remarks:
4-4	Has the State established a training programme for each technical staff position and training plans for each technical staff member??
Yes/No Remarks:
CE-5	TECHNICAL GUIDANCE, TOOLS AND PROVISION OF SAFETY-CRITICAL INFORMATION
5-1	Has the state provided Inspectors and staff with the necessary tools, such as transportation, offices, communication facilities, internet and access to technical or an electronic library?
Yes/No Remarks:
5-2	Has the States developed aerodrome certification procedural manual, aerodrome inspectors handbook, and other technical guidance materials addressing all activities / tasks to be performed by its technical staff?
Yes/No Remarks:
5-3	Has the state published inspector’s handbook detailing various procedures, including appropriate checklists and templates?
Yes/No Remarks:
5-4	Is there a process to regularly review exceptions / exemptions so as to remove exceptions / exemptions, where possible, or check the validity of the mitigating measures in place?
Yes/No Remarks:
5-5	Has the state developed guidance for the industry? Does the guidance include templates and standard format for documents to be established by each service provider concerned?
Yes/No Remarks:
CE-6	LICENSING, CERTIFICATION, AUTHORIZATION AND APPROVAL OBLIGATIONS
General considerations
6-1	Has the State established the procedure for certification / licensing of its aerodromes with the following elements:
Dealing with the expression of interest Review of initial documents On-site verification of facilities Exemption process with safety risk assessment / aeronautical study, where applicable Process for assessment of corrective action plans (CAPs) Renewal or review of the continuing validity of aerodrome certificate Transfer or surrender of aerodrome certificate That all non-compliances are resolved or addressed by CAPs prior to the issuance of aerodrome certificate
Yes/No Remarks:
6-2	Has the State approved the outsourced specialists working methodologies, defined deliverables and validate results of evaluations, and evaluation reports are maintained?
Yes/No Remarks:
6-3	Is there a requirement to properly complete and record checklists used in the aerodrome certification evaluation process with relevant references?
Yes/No Remarks:
6-4	Are records maintained to prove the effectiveness and ensure traceability of the certification / licensing / approval activities performed and follow-up actions carried out?
Yes/No Remarks:
6-5	Does the certification file include the following areas?
certification application and associated documents; aerodrome manual; audit/inspection records; corrective action plans and evidence of implementation; exception or exemption records; and copy of the certificate/license/authorization certificates and approvals
Yes/No Remarks:
6-6	Are the procedures for certification and approval activities comprehensive, formal and documented?
Yes/No Remarks:
CE-7	SURVEILLANCE OBLIGATIONS
7-1	Has the State established and implemented documented surveillance process, by defining and planning inspections, audits and monitoring activities on a continuous basis, to proactively ensure that aviation licence, certificate, authorization and approval holders continue to meet the established requirements?
Yes/No Remarks:
7-2	Does the CAA conduct on-site inspections (announced and unannounced visits), the review of documents submitted by the service providers, meetings with concerned parties and analyses of available safety information?
Yes/No Remarks:
7-3	Is there a surveillance programme and a surveillance plan including each certified aerodromes in the following areas?
the types of surveillance activities (e.g. audits, inspections, tests, safety events analyses, etc.); the timeframe or frequency of the activities; items to be covered or scope of the activities; and related methodology/procedures, job aids and guidance on how the full-cycle activity should be performed,
Yes/No Remarks:
7-4	Are appropriate procedures, templates and job aids developed and used for surveillance activities?
Yes/No Remarks:
7-5	Has the CAA established and implemented a system for record-keeping and filing for surveillance activities?
Yes/No Remarks:
CE-8	RESOLUTION OF SAFETY ISSUES (CE-8)
8-1	Does the State ensure that identified safety issues are resolved in a timely manner through a system which monitors and records progress, including actions taken by aerodrome operators?
Yes/No Remarks:
8-2	Does the system mentioned in the previous question include the following areas?
non-compliances and other deficiencies identified by the CAA; analyses of reported safety events; negative safety trends e.g. rise of bird strike cases, decreased serviceability of airfield ground lighting, etc.; and results (including safety recommendations) of aircraft accident and incident investigations.
Yes/No Remarks:
8-3	Does the State ensure that aerodrome operators report all the safety events through the State’s mandatory reporting system? Is this system established by the legislation?
Yes/No Remarks:
Follow-up of safety issues
8-4	Does the CAA
Promptly advise the aerodrome operator of the deficiency observed;
Provide deadlines for the submission of the corrective action plans;
Verify that corrective actions and related timeframes are appropriate; and
Initiate appropriate follow-up actions to verify the effective implementation of the corrective actions?
Yes/No Remarks:
Enforcement
8-5	In the absence of a resolution, does CAA take the appropriate enforcement measures, such as the imposition of limitations, the suspension or revocation of certificates / licences, or the imposition of financial penalties?
Yes/No Remarks:
8-6	Are enforcement actions commensurate with the safety risks caused by non-compliances or violations?
Yes/No Remarks:
8-7	Based on the State’s legislation and procedures, has the CAA established and implemented clear, comprehensive and detailed enforcement policies and procedures for use by its staff?
Yes/No Remarks:
Follow-up of safety recommendations
8-8	Has the State established and implemented a structured process for follow-up of the safety recommendations out of accident / incident investigations?
Yes/No Remarks: