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ICAO Universal Safety Oversight Audit Programme FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT OF THE CIVIL AVIATION SYSTEM OF THE KINGDOM OF LESOTHO (18 to 24 July 2007) International Civil Aviation Organization

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Page 1: Lesotho CSA Final Report...Final Safety Oversight Audit Report — Lesotho June 2008 ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME Final Report on the Safety Oversight Audit of the

ICAO Universal Safety Oversight Audit Programme

FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT

OF THE CIVIL AVIATION SYSTEM

OF THE KINGDOM OF LESOTHO

(18 to 24 July 2007)

International Civil Aviation Organization

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Final Safety Oversight Audit Report — Lesotho June 2008

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 ............................................................. 5 3.3 Critical element 3 — State civil aviation system and safety oversight functions ................... 7 3.4 Critical element 4 — Technical personnel qualification and training .................................... 9 3.5 Critical element 5 — Technical guidance, tools and the provision of safety critical information .......................................................................................................................... 10 3.6 Critical element 6 — Licensing, certification, authorization and/or approval obligations ... 11 3.7 Critical element 7 — Surveillance obligations .................................................................... 12 3.8 Critical element 8 — Resolution of safety concerns ............................................................ 13

4. VISITS TO THE INDUSTRY/SERVICE PROVIDERS ....................................................... 14 5. AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ........................................ 14 6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ) ............................................. 15 7. COMPLIANCE CHECKLISTS (CCs) .................................................................................... 15 8. FOLLOW-UP ACTION ............................................................................................................ 15 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 Lesotho

— — — — — — — —

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Final Safety Oversight Audit Report — Lesotho June 2008

ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

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

(18 to 24 July 2007)

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 Dr. RoseMarie Heftberger, team leader, primary aviation legislation (LEG)/airworthiness of aircraft (AIR)/aircraft accident and incident investigation (AIG); Mr. Papa Issa Mbengue, team member, personnel licensing (PEL)/aircraft operations (OPS); Mr. Kim Nguyen, team member, aerodromes (AGA); and Mr. Prosper Zo’o Minto’o, team member, on-the-job-training (OJT)/civil aviation organization (ORG)/air navigation services (ANS).

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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 the Kingdom of Lesotho was carried out from 18 to 24 July 2007 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 28 June 2006 between the Kingdom of Lesotho 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 Lesotho in implementing these provisions. 2.3 The audit team reviewed the SAAQ and the CCs submitted by Lesotho 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 Lesotho 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 the Kingdom of Lesotho as assessed by the audit team. They are thus based on evidence gathered during interviews by the audit team with Lesotho’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 Along with the Constitution of the State, the Aviation Act, 1975 (also known as the Aviation Act or the Act), enacted by Parliament and given assent by the King of Lesotho on 17 February 1976, constitutes the primary aviation legislation in the Kingdom of Lesotho. However, the Act has not been amended since its promulgation; a draft Aviation Act, 2007 has been developed, but this has not been promulgated. The objective of the Act is to “provide for the control, regulation and development of civil aviation in Lesotho and for matters incidental thereto” and to give effect to the Chicago Convention and the International Air Services Transit Agreement (also known as the Transit Agreement) signed in Chicago on 7 December 1944. The primary aviation legislation and the associated operating regulations are available to all users in print via the Government Gazette and can also be obtained from the Department of Civil Aviation (DCA) of Lesotho. 3.1.2 The Aviation Act, 1975 stipulates that the Minister in charge of civil aviation, namely the Minister of Public Works and Transport, “shall be responsible for the administration of this Act and for carrying out the Chicago Convention and the Transit Agreement and may issue such instructions or orders as he considers necessary for such purposes.” Although the Minister may, “by general or special order, exempt any aircraft or class of aircraft or person from any provision of the Act on a specific occasion or until the exemption is withdrawn,” there are no corresponding policy and procedure in place to this effect. 3.1.3 The Aviation Act, 1975 ensures enforcement of applicable legislation and regulations by establishing criminal liability and fines for non-compliance with any provisions of this Act or those of the Chicago Convention. Aside from the penalty imposed, a person may also have his or her licence, certificate or rating suspended for a specific period of time if convicted of contravening the provisions of this Act. The Act also empowers the Director of Civil Aviation or a person authorized by him to detain an aircraft for just cause. In addition, it also states that any regulation made under the Act “may provide for the detention of an aircraft to secure compliance with the Act and may contain such further provision as appears to the Minister [of Public Works and Transport] to be necessary for ensuring such detention.” 3.1.4 The Aviation Act, 1975, under Section 23, empowers the Minister of Public Works and Transport to make regulations. It also allows for the issuance of orders, directives and/or instructions in support of safety oversight activities However, the related regulatory materials are issued, approved and signed by the Director of Civil Aviation without the corresponding authority entrusted on the Director. 3.1.5 Neither the Aviation Act, 1975 nor any other legislation provides for the establishment of the civil aviation organizations in Lesotho. The Director of Civil Aviation is mentioned in some provisions, but no formal appointment of the Director or clear delegation of authority to the Director has been established. The applicable legislation and regulations also do not provide for clear delegation of authority from the Director of Civil Aviation to the inspectors. Inspectors are not formally appointed to carry out their assigned tasks. 3.1.6 Lesotho has not ratified Article 83 bis to the Chicago Convention.

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3.1.7 The formulation of regulations pertinent to personnel licensing is inferred in Section 23 (2) (m) of the Aviation Act, 1975, in which the Minister is authorized to make regulations with respect to the “manner and conditions of the issue, validation and Agreement, including the examination and tests to be undergone, and the form, custody, production, cancellation, suspension, endorsement and surrender of any such certificate or licence.” Section 10 (2) (e) further provides for the appointment of a Licensing Authority with powers “to grant or renew licences” as well as “to amend, revoke or require the surrender of licences.” Meanwhile, the penalty provision set forth in Section 21 of the Act also applies to holders of licences, certificates and ratings for licence holders “issued or rendered valid under this Act.” 3.1.8 With respect to aircraft operations, Section 10 of the Aviation Act, 1975 addresses the formulation by the Minister of regulations pertaining to commercial air operations. It authorizes the Director of Civil Aviation to issue a permit for non-scheduled flight operations. Instead of an air operator certificate (AOC), it mentions “a system of licensing for the operation of scheduled air transport services from and to any point in Lesotho” and introduces a Licensing Authority authorized to grant, renew or revoke licences for aircraft operations. Section 10 (2) (h) of the Act states that as part of the licensing requirements of an applicant for air operations, aside from “his qualifications and competence in regard to providing a safe and reliable air service,” the Licensing Authority should be furnished with “a certificate by the Director of Civil Aviation as to the adequacy of the applicant’s technical organization and competence” to carry out air transport services. The Act does not specifically refer to dangerous goods but Section 23 (2) (f) empowers the Minister to make regulations “prohibiting or regulating the carriage by air of such goods or classes of goods as he may specify.” 3.1.9 With respect to airworthiness, the Aviation Act, 1975, under Section 23 (2) (a), generally empowers the Minister of Public Works and Transport to make regulations for the purpose of “the carrying out of, and giving effect to the provisions of the Chicago Convention, Annexes thereto, including amendments thereof and the Transit Agreement.” Registration of aircraft in Lesotho and all related matters, including the maintenance of a register of aircraft, is addressed in Section 23 (2) (b) of the Act. 3.1.10 With respect to ANS, the Aviation Act, 1975 addresses the issue in several sections, such as:

a) Section 4 (2), which sets forth the Minister’s functions and duties “for organizing and carrying out measures for control of the use of the airspace of Lesotho so as to secure proper standards of safety in air navigation;”

b) Section 8 (b), which states that the Minister may “provide air navigation services and other facilities, including radio and electronic apparatus and equipment;”

c) Section 17, which addresses search and rescue operations; d) Section 23 (2), which sets forth the Minister’s powers to make regulations for:

(2) (a) the implementation and promulgation of the provisions of the Chicago

Convention and any Annexes, including their amendments: , (2) (v) the provision of “the signals and other communications which may or shall be

made by or to aircraft and persons carried therein and the acknowledgement of and compliance with such signals or communications;” and

(2) (w) “the prevention or the minimizing of interference with the use of effectiveness of radio or electronic apparatus used as aids to safety in air navigation.”

3.1.11 With respect to aerodromes, the Aviation Act, 1975 enables the Minister to make regulations regarding the use, the licensing, the inspection, the maintenance and the management of aerodrome. Section 7 of the Act specifies that “no person shall use any land or buildings as, or as part of an aerodrome unless it has been approved, registered or licensed under the regulations.” Section 23 empowers the Minister to make

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regulations for the control and management of aerodromes belonging to the State. These regulations however do not reflect the SARPs of ICAO Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations and Volume II — Heliports. 3.1.12 Lesotho’s primary aviation legislation addresses the issue of aircraft accident and incident investigation through Section 13 of the Aviation Act, 1975, which empowers the Minister of Public Works and Transport to “appoint one or more persons as an Accident Inquiry Board, to make an investigation into the cause and circumstances of the accident and report to him thereon,” in addition to an inquiry by a civil aviation official. Furthermore, Section 13 states that “the Board shall have power to summon and examine witnesses on oath and to call for the production and inspection of books, logs, certificates, licences and other documents.” However, the Act does not provide sufficient details about the accident inquiry board or the inquiry by a civil aviation officer. The provisions outlined in the legislation are also insufficient to provide for the effective conduct of aircraft accident and serious incident investigation in Lesotho. 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.

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 The civil aviation regulations in Lesotho are the Air Navigation Regulations 1980 (ANRs) and the Aviation (Moshoeshoe I International Airport) Regulations, 1986, both of which have not been amended since their publication. These regulations also do not reflect all provisions of the ICAO Annexes. An updated ANRs 2007 has been drafted but not yet promulgated. 3.2.2 The ANRs and additional regulatory materials, such as Safety Instructions, Advisory Circulars, Standards, Aeronautical Information Circulars (AICs) and Notices to Airmen (NOTAMs), are enforced through administrative and criminal proceedings. However, not all of these supporting regulatory materials have been approved and endorsed. 3.2.3 No procedures have been established for the amendment of Lesotho’s specific operating regulations as well as for the identification and notification to ICAO of differences existing between ICAO SARPs and Lesotho’s regulations and practices. In addition, the Aeronautical Information Publication — Lesotho (AIP-Lesotho), last amended in 2003, does not outline all the existing significant differences with ICAO Standards. 3.2.4 With respect to personnel licensing and training, regulations pertaining to the issuance of personnel licences are as follows:

1) ANRs, Part IV (“Airworthiness and Equipment of Aircraft”): a) Rule 13 (“Licensing of maintenance engineers”);

2) ANRs, Part V (“Aircraft Crew and Licensing”); 3) ANRs, Part IX (“Control of Air Traffic”):

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a) Rule 65 (“Licensing of air traffic controllers, student air traffic controllers and aerodrome flight information service officers”),

b) Rule 66 (“Prohibition of unlicensed air traffic controllers”). c) Rule 67 (“Aerodrome flight information services manual”), and d) Rule 68 (“Incapacity of air traffic controllers”);

4) ANRs, Schedule 4 (“Maintenance Engineers: privileges of licences”); 5) ANRs, Schedule 9 (“Flight crew of aircraft: Licences and Ratings”); and 6) ANRs, Schedule 10 (“Air traffic controllers: ratings”).

3.2.5 With respect to aircraft operations, ANRs, Part III (“Air Operators’ Certificates”), Part VI (“Operation of Aircraft”), and Part VII (“Fatigue of Crew”) as well as the associated schedules outline the regulations pertaining to ICAO Annexes 6 and 18. ANRs, Part III, Rule 7 (“Issue of air operators’ certificate”) stipulates that the Director of Civil Aviation may issue an AOC to an air operator with the necessary technical competence. ANRs, Part VIII (“Documents and Records”), Rule 62 (“Revocation, suspension and variation of certificates, licences and other documents”) specifies the power of the Director of Civil Aviation to amend, suspend or revoke AOCs, licences and other related documents. ANRs, Schedule 11 (“Public transport — Operational requirements”) sets forth the operational requirements related to operation manuals, crew training and tests, and training manuals required of air operators. The transport of dangerous goods by air is addressed in ANRs, Part VI, Rule 44 (“Carriage of dangerous goods”). As a supplement to the ANRs, the DCA has developed the Standards for Commercial Air Operations which comes in three volumes, namely: Part I: Aeroplanes Over 5 700 kg Maximum Certificated Take-Off Weight (MCTOW), Part II: Aeroplanes Under 5 700 kg MCTOW, and Part III: Helicopters. The ANRs have not been amended in compliance with ICAO Annexes 6 and 18. 3.2.6 With respect to airworthiness, ANRs, Part II (“Registration and Marking of Aircraft”) sets forth the provisions on the registration and marking of aircraft. Regulations on airworthiness and equipment of aircraft are found in ANRs, Part IV and throughout the 15 Schedules of the ANRs, 1980. 3.2.7 With respect to the provision of ANS, ANRs, Part IX and Schedules 14 (“Rules of the Air and Air Traffic Control”) and 15 (“Air Navigation (General) Rules”) provide the regulatory framework for the implementation and operation of air navigation services in Lesotho. However, Lesotho has not promulgated specific operating regulations which comply with the ANS-related provisions in the ICAO Annexes and which are consistent with the ICAO’s Air Navigation Plans for the Africa-Indian Ocean Region (Doc 7474). A Manual of Air Traffic Services Instructions (MATSI) has been developed by Lesotho for use by the units providing air traffic services within its airspace. However, the existing regulatory provisions do not require the units providing ANS to implement safety management systems (SMS) or quality management systems (QMS) in accordance with ICAO Annex 3, Annex 11 and Annex 15 — Aeronautical Information Services. 3.2.8 With respect to aerodromes, the Aviation Act is complemented by the Aviation (Moshoeshoe I International Airport) Regulations, 1986 which was promulgated in 1986. These regulations address the appointment and powers of the Airport Manager, the establishment of airport zones, measures for safe and efficient navigation of aircraft in the vicinity of the airport, as well as requirements about markings and lights in the aerodrome. The aerodrome specifications however do not meet the ICAO Annex 14 Standards and have not kept pace with the subsequent amendments. Currently, there are no regulatory requirements for compliance with most of the ICAO Annex 14 SARPs. Although the primary legislation provides for the establishment of an aerodrome through a process of approval, registration and licensing of aerodrome, it does not require a formal aerodrome certification process. As such, Lesotho has not promulgated regulations for the certification of aerodromes or established the corresponding criteria.

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3.2.9 With respect to accident and incident investigation, ANRs, Part X (“General”), Rule 74 (“Mandatory Reporting”) and Paragraph 11 of Schedule 15 (“Air Navigation (General) Rules”) require the reporting to the Director of Civil Aviation of “any reportable occurrence,” i.e. “any incident” relating to an aircraft or “any defect in or malfunctioning of such an aircraft or any part or equipment of such an aircraft” as well as “any defect in or malfunctioning of any facility on the ground” used or intended to be used for aircraft operation which would endanger the aircraft, its occupants or any other person. However, these requirements are insufficient to provide for the effective and prompt reporting of aircraft accidents and incidents. 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 The DCA was established within the Ministry of Public Works and Transport without a legal basis. Although there is no clear delegation of authority by the Minister of Public Works and Transport to the Director of Civil Aviation, the DCA is charged with the coordination of ICAO-related matters in Lesotho. 3.3.2 Other authorities dealing with civil aviation matters in Lesotho are

• the Department of Water Affairs (Lesotho Meteorological Services) (under the Ministry of Water, Energy and Mining);

• the Department of Lands, Surveys and Physical Planning (under the Ministry of Local Government and the Lesotho Telecommunications Authority); and

• the Moshoeshoe I International Airport. 3.3.3 Among all the national authorities dealing with civil aviation matters, no clear coordination has been established, including the coordination of regulatory and safety oversight functions and responsibilities. 3.3.4 All the entities within Lesotho’s civil aviation system do not have well-defined organizational structures. Safety oversight functions and responsibilities for ANS (including aeronautical meteorological services [MET]) have not been established. Furthermore, there is no distinct separation between the ANS regulatory entities and the ANS providers. 3.3.5 Headed by the Director of Civil Aviation who is assisted by a Deputy Director, the DCA is composed of the following sections under their respective general managers:

1) Airworthiness Inspectorate (SAE), 2) Flight Operations (FOI), 3) Air Traffic Services (CATCO), 4) Aeronautical Information Services (CAISO),

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5) Telecommunications and Navigational Aids (TE), 6) Aerodromes (AE), 7) Information Technology (NSA), 8) Administration (SAS), 9) Moshoeshoe I (AGM), and 10) Air Transport (ATO).

3.3.6 Both the DCA and the Department of Water Affairs (Lesotho Meteorological Services) depend entirely on State budget allocations to fund their operations. However, their financial resources are not sufficient to enable them to accomplish their functions and responsibilities with regard to safety oversight. The DCA does not have sufficient qualified and experienced technical staff in all areas due to high rates of vacancy and turnover. In general, the DCA is unable to recruit and retain the technical staff needed to fulfil its safety oversight responsibilities. 3.3.7 Personnel licensing functions are shared by the FOI, which issues pilot licences; the SAE, which issues aircraft maintenance engineers’ (AMEs) licences; and the CATCO, which issues air traffic controllers’ licences. 3.3.8 The FOI reports to the Director of the DCA. However, the organizational chart that establishes this section has not been officially approved, and its functions and responsibilities not clearly defined. 3.3.9 Within the DCA, the SAE was established to meet Lesotho’s airworthiness obligations and it is mainly responsible for airworthiness-related issues outlined in ICAO Annexes 6, 7, 8 and 16 — Environmental Protection. Although the organizational chart of the DCA does not identify the entity responsible for aircraft registration and its corresponding functions, it is the SAE that carries out duties related to the State’s aircraft registry. Additionally, two airworthiness inspectors deal with the certification of aircraft and of aeronautical product as well as the acceptance of approved modifications and repairs. These inspectors have been issued credentials to facilitate the accomplishment of their duties. One of them also takes care of incident and accident investigation tasks in coordination with the inspectors of FOI. Job descriptions have been developed for the airworthiness inspectors. 3.3.10 Within the Lesotho civil aviation system, the following agencies are involved in ANS:

1) the Ministry of Public Works and Transport, 2) the DCA, 3) the Moshoeshoe I International Airport, 4) the Department of Water Affairs (Lesotho Meteorological Services), 5) Lesotho Telecommunications Authority, and 6) the Department of Lands, Surveys and Physical Planning.

Except for meteorological services for air navigation, the DCA is the authority responsible for the overall administration of the ANS provided to international civil aviation in Lesotho. These include: air traffic services (ATS), flight procedures, aeronautical information services (AIS), aeronautical maps and charts (MAP), aeronautical telecommunications, and search and rescue (SAR) operations. 3.3.11 The CATCO of the DCA is responsible for the provision of ATS by the Maseru Approach Control Service and the Maseru Aerodrome Control Tower situated at the Moshoeshoe I International Airport to aircraft (under both instrument flight rules and visual flight rules) within the Maseru terminal control area and the aerodrome control zone. Aerodrome flight information service is available in support of the safe and

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efficient conduct of flights in the aerodrome traffic zones of Lesotho. The Moshoeshoe I International Airport attends to an average of ten aircraft movements daily. So far, the DCA has not set up organizational units tasked with flight procedures- and MAP-related activities. 3.3.12 The CAISCO under the DCA is responsible for the collection and dissemination of information for the entire territory of Lesotho and for the airspace under the jurisdiction of Lesotho for air traffic control purposes. The TE Section is responsible for the provision of communications, navigation and surveillance (CNS) and the application of related regulatory provisions in coordination with the Lesotho Telecommunications Authority. The Lesotho Meteorological Services provides MET services for international air navigation at the Meteorological (Weather) Office located at the Moshoeshoe I International Airport, while area meteorological watch for the territory of Lesotho is provided by the Bloemfontein Meteorological Office in South Africa. Lesotho has not established ANS inspectorates to carry out safety oversight tasks and regulatory functions over ANS provided in its territory. No job descriptions have been established for the ANS inspectors. 3.3.13 SAR operations in Lesotho are organized by the DCA in collaboration with the Defence Force, the Mounted Police Service, the Ministry of Health, the Ministry of Public Works and Transport, the Ministry of Home Affairs, and Defence Force Air Wing of Lesotho and with the Department of Transport of South Africa. Lesotho has established a Rescue Sub-Centre (RSC) at the Moshoeshoe I International Airport, developed an SAR Operations Manual, and signed a cooperation agreement with another Contracting State responsible for the search and rescue region covering its territory. However, Lesotho has not established a legal framework for its SAR organization and operation. 3.3.14 With respect to aerodromes, there is no distinct separation of responsibilities between the regulatory body and the aerodrome operator. Currently, the aerodrome operator’s functions are carried out by the State, while the Moshoeshoe I International Airport, the only international airport in Lesotho, is a division of the DCA. Lesotho does not have an entity or organization responsible for the safety oversight of airport certification and surveillance activities. Consequently, the DCA has not established the related functions and responsibilities, allocated human resources, and developed relevant job descriptions, including the issuance of credentials to aerodrome inspectors to allow them full access to aerodrome facilities. 3.3.15 Lesotho has not adopted any policy on the investigation of aircraft accidents and serious incidents, including the delegation of investigations to another State and the organization to be put in place in Lesotho for the conduct of such investigations. No entity or personnel within the DCA has been formally designated to perform investigation-related tasks, including the notification of accidents and incidents. No budget has been planned to ensure that the initial phase of an accident investigation can be adequately carried out. In practice, the airworthiness inspectors, in cooperation with operations inspectors, are the persons who would potentially be involved in investigation activities when needed. However, the inspectors’ job descriptions do not include aircraft accident and incident investigation. 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 Lesotho’s civil aviation authorities have not developed and implemented comprehensive training policies that make a commitment to provide initial, recurrent and specialized training to regulatory

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staff in all areas of civil aviation. No training programmes detailing the type of training to be provided to technical staff in each position have been developed in any of the areas, and except for airworthiness, no periodic training plans have been established. Lesotho has not established a mechanism to enable the DCA to maintain a qualified workforce. In addition, the DCA has not established a system for the filing and maintenance of training records. 3.4.2 The DCA has established the minimum qualification and experience requirements for the technical staff in the areas of personnel licensing and aircraft operations. 3.4.3 With respect to airworthiness, the minimum qualification and experience requirements for airworthiness inspectors have been established, but no requirements have been laid down regarding specific knowledge and skills in human factors and its limitations. 3.4.4 As far as ANS is concerned, no minimum qualification and experience requirements for the technical staff have been established. 3.4.5 In the area of aerodrome, the DCA does not have qualified and experienced aerodrome regulatory staff and has not established the related minimum qualification and experience requirements. Its technical regulatory staff is not well-versed on topics about aerodrome SMS, risk assessments and aeronautical studies, methodologies and evaluation, human factors and bird hazard control. 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 staff of Lesotho’s civil aviation authorities is not provided with adequate facilities, tools, equipment (such as high performance information and communication technology) and means of transportation to assist them in carrying out their duties and responsibilities effectively. 3.5.2 While the DCA has a central technical library, the ICAO documents and other relevant technical publications for the aeronautical products found in Lesotho’s registry are either not available or not kept up to date. In addition, Internet access is limited, and the technical staff is not provided with the means to access essential documents. 3.5.3 For personnel licensing, the guidance material “Personnel Licence Procedures Manual” outlines the procedures for the issuance of licences to pilots, while Safety Directives 18 and 21 are used for the issuance of AME licences. There is however no guidance material for the licensing of aviation medical examiners. 3.5.4 With respect to aircraft operations, the DCA has developed procedures for the certification of air operators through a Flight Operations Code and a booklet entitled Air Operators’ Certificate (AOC), which also outlines information on the application for an AOC. While the existing procedures cover the current scope of civil aviation activity in Lesotho, they do not include checklists for the approval of operations manuals and

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for the transport of dangerous goods by air. Reference is made to an Inspection Manual, but no copy of the manual was available. 3.5.5 With regard to airworthiness, the applicable regulations and some guidance material are readily available to the SAE staff. Internal procedures and checklists have been compiled into a handbook for inspectors. However, many procedures and checklists are still missing or have not been updated. There is also no clear guidance provided to the industry about the authenticity and serviceability of aircraft parts. 3.5.6 With respect to ANS, Lesotho has published the AIP-Lesotho, which sets forth the basic aeronautical information for Lesotho. However, this AIP was last amended in November 2003 and was not published in three parts in accordance with ICAO Annex 15 requirements. The relevant ICAO documents as well as the other technical and regulatory information on ANS are not up-to-date or readily available to ANS personnel and the industry. While Lesotho has established procedures aimed at ensuring the continuity of service in the event of emergency and disruption or potential disruption of ATS and related supporting services, these procedures have not been coordinated with the bordering Contracting State or published in the AIP. 3.5.7 With respect to aerodromes, the DCA has not defined the responsibilities for the development of aerodrome standards and guidance material, and there is no guidance material (including processes and procedures) for the regulatory staff and the aerodrome operator. The aerodrome regulatory staff is not provided with the necessary tools, office equipment and means of transportation to enable them to conduct their duties. In addition, safety critical information is not disseminated through the various channels such as the AIP, the AICs, manuals and handbooks. 3.5.8 As far as aircraft accident and incident investigation is concerned, the DCA staff is not provided with the facilities, equipment and tools necessary to carry out their investigation-related functions. In addition, no procedures on the investigation process have been developed within the DCA. There is also no evidence of any investigation completed in the last decade. 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 The main personnel licensing activity in Lesotho is the conversion and validation of foreign licences, with the exception of air traffic controllers’ licences which are issued directly by the DCA after the applicants have completed training at the Aviation Training Academy in Johannesburg, South Africa, passed an examination, and underwent OJT. For licence conversion, applicants have to take an air law examination. To obtain a pilot licence, a certificate of test is required; in the case of a private pilot licence, a statement of recent experience may be accepted. Personnel licensing activities in Lesotho is limited, with only 5 pilot licences and 2 validations of pilot licences issued in the recent past, along with 3 conversions and 2 validations of AME licences. Three flight examiners and two aviation medical examiners have been designated. The DCA uses its own examiners when issuing licences for AMEs and air traffic controllers. 3.6.2 With respect to aircraft operations, only one AOC, with the associated operational specifications, has been issued to the sole air operator in Lesotho. However, this air operator does not operate

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commercial flights and its AOC is restricted to non-commercial operations in Lesotho and its neighbouring State. An air operator from another Contracting State operates international flights. Specific authorization for the transport of dangerous goods by air is included in the operational specifications that have been issued, but no assessment has been made. 3.6.3 With respect to airworthiness, some essential procedures for the certification of aeronautical activities are not implemented while actual implementation of the relevant standards is not verified prior to the issuance and renewal of approval certificates. Records (including copies of documents issued) are kept. The SAE maintains an aircraft register in both paper and electronic forms. The SAE does not issue aircraft maintenance organization (AMO) approvals, does not approve or accept the maintenance control manual as part of the AOC issuance process, and does not review and approve maintenance programmes. It is however in charge of the issuance of certificates of airworthiness (C of As) (with a validity period of one year), special flight authorizations, and export airworthiness approvals. No documents attesting to noise certification are issued. With respect to type certification activities, the SAE issues type acceptance certificates and validates type certificates, and it also accepts approved modifications and repairs. Lesotho has no approved design and production organizations. 3.6.4 With respect to ANS, the DCA addresses the requirements for the certification and licensing of aeronautical telecommunication stations in conjunction with the Lesotho Telecommunications Authority. The conduct of flight tests and calibration of radio navigation aids is carried out from time to time in cooperation with another Contracting State. 3.6.5 With respect to aerodromes, no regulations and procedures have been developed for the certification of aerodromes, and no criteria has been established to determine if an aerodrome should be certified or not. Key elements of the aerodrome certification process have not been implemented, including the submission of an aerodrome manual and the use of the manual as a key safety assurance document; the operation of SMS at a certified aerodrome, and the assessment of the personnel employed by the aerodrome operator to perform the critical activities for aerodrome operations and maintenance. 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 Regarding personnel licensing and training, the FOI does not conduct any surveillance activities. 3.7.2 With respect to aircraft operations, inspections of air operators are carried out by the FOI inspectors. There is however no formal surveillance programme. 3.7.3 In the airworthiness area, the SAE conducts regular inspections of AOC holders based on a formal inspection procedure, including scheduling, checklists, random inspections and ramp checks. However, no formal periodic surveillance programme has been established for the continuing surveillance of the operations conducted by air operators. In case of deficiencies identified during the conduct of surveillance, the inspector communicates directly with the air operator. All deficiencies identified are rectified in a timely

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Final Safety Oversight Audit Report — Lesotho June 2008

manner. The SAE verifies systematically that the mass and balance of the aircraft is checked periodically. 3.7.4 With respect to ANS, Lesotho has not established the mechanisms to meet its surveillance obligations. Within the framework of the Africa-Indian Ocean (AFI) Reduced Vertical Separation Minimum (RSVM) Implementation Programme, Lesotho’s ATS units manage a controlled airspace below flight level FL145. Furthermore, Lesotho has developed a National Safety Plan (NSP) in coordination with the Contracting State managing the Johannesburg Flight Information Region. The coordinated NSP has been submitted to the relevant Regional Monitoring Agency. 3.7.5 With respect to aerodromes, Section 23 (g) of the Aviation Act authorizes the Minister to make regulations for the “licensing, inspection and regulation” of aerodromes. However, the DCA has not carried out inspection and continuing surveillance of the Moshoeshoe I International Airport. Since the requirement for an aerodrome manual is not implemented, there is no process established to review such a manual and to use it as a key safety assurance to assess both the initial and the continuing organizational competence of an aerodrome operator. Lesotho has also not put in place a surveillance system for the aerodrome operator and its personnel. Currently, there is no continuing surveillance of the Moshoeshoe I International Airport or of its equipments and ground aids. 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 Sections 16, 21 and 23 (5) of the Aviation Act provide for the enforcement of the applicable legislation and regulations by establishing criminal actions and imposing financial penalties for cases of violations. For all areas in civil aviation except in airworthiness, the DCA has not established comprehensive policies, procedures or guidelines to be followed to ensure the effective application of the legislation and regulations. In particular, the DCA has not specified the specific actions to be taken in cases where deficiencies identified during inspections are not rectified within a reasonable period of time. 3.8.2 Regarding personnel licensing, the Director of Civil Aviation has the authority to suspend or revoke licences and ratings. However, the lack of approved procedures limits the effective resolution of safety concerns. 3.8.3 With respect to aircraft operations, the Director of Civil Aviation has the authority to suspend or revoke AOCs. However, the scope of the industry and the lack of approved procedures limit the effective resolution of safety concerns. 3.8.4 In the airworthiness area, any relevant findings made during an inspection of an AOC holder or ramp checks are addressed accordingly and follow-up actions performed in a timely manner. All deficiencies have thus been rectified in a timely manner. Through Advisory Circular No. 10, the SAE has a system in place for transmitting information on faults, malfunctions and defects to the organization responsible for the type design. Forms are provided to the air operator and implementation of the requirements of Advisory Circular No. 10 is verified.

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3.8.5 Lesotho adopts mandatory continuing airworthiness actions issued by other States of Design for aircraft on Lesotho’s registry. Lesotho’s regulations do not allow for the issuance of its own mandatory continuing airworthiness actions. 3.8.6 With respect to ANS, Lesotho has not established a formal procedure to address the ANS deficiencies identified within the framework of the AFI Planning and Implementation Regional Group (APIRG) or through another mechanism. 3.8.7 With respect to aerodromes, the DCA has not developed and implemented procedures to deal with deficiencies related to aerodromes and to their maintenance and operations found during inspections and to define the actions to be taken in cases where deficiencies are not rectified in a timely manner. 3.8.8 As far as aircraft accident and incident investigation is concerned, no documented procedures, policies or guidance material have been implemented for the issuance of safety recommendations or for the completion and submission of preliminary reports and data reports to the States concerned and to ICAO. Lesotho does not implement an effective mandatory incident reporting system or a voluntary reporting system. In addition, accident and incident information received by the DCA are not stored in a database and no analyses of such information has been carried out by the DCA. 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 Lesotho, the audit team visited the following organizations:

1) Mission Aviation Fellowship (MAF) (PEL, OPS and AIR); 2) Moshoeshoe I International Airport (MIA): Approach Control and Aerodrome Control

(APP/TWR) and Rescue Sub-Centre (RSC) (ANS); 3) AIS Briefing Office (ANS); 4) MET Briefing Office (ANS); and 5) Moshoeshoe I International Airport (MIA) (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 Lesotho 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.

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6. STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ) 6.1 The SAAQ is one of the major tools required for conducting a comprehensive systems 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 activities. Lesotho 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. Lesotho has partially 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 Lesotho and ICAO, Lesotho submitted an action plan on 22 January 2008 and comments on 13 May 2008. The action plan submitted was reviewed by the Safety Oversight Audit (SOA) Section and was found to partially address some 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.

— — — — — — — —

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APPENDIX 1

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2�����/��(���� ��*( �( ����$$� �&�&�0$������01��#��7�(���(����� ��(������ ��!��� ��������#�&������

���������"�������

4#��������/��(���� ��*( �&�0$������01��#��7�(������&� ���(���&&��#�&�32�6��� �� ,�( �����$$� �(��� �

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APPENDIX 2

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CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEMLACK OF EFFECTIVE IMPLEMENTATION (%)

28.24

37.97

47.12

60.02

43.71

35.96

45.54

49.39

72.00

78.8776.58

90.12

83.11

68.62

76.32

86.05

0

10

20

30

40

50

60

70

80

90

100

Primary AviationLegislation

Specific OperatingRegulations

Civil Aviation Systemand Safety Oversight

Functions

Qualification andTraining of Technical

Staff

Procedures andTechnical Guidance

Licensing andCertificationObligations

SurveillanceObligations

Resolution of SafetyConcerns

Global: (96) Audited States: 43.49% Audit of: LESOTHO 78.95%

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APPENDIX 3

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APPENDIX 3-1-1

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/01

Lesotho promulgated the Aviation Act, 1975 (also known as the Aviation Act or the Act) to ensure that Lesotho meets its obligations as a signatory to the Convention on International Civil Aviation. This Act has not been updated since its promulgation. Lesotho also promulgated the Air Navigation Regulations, 1980 (ANRs) in 1980 and the Aviation (Moshoeshoe I International Airport) Regulations, 1986 in 1986; both have never been amended and they do not reflect all the provisions of the ICAO Annexes. A draft Aviation Act 2007 and a draft ANRs 2007 have been developed but both have not been promulgated. Lesotho has also not established procedures for the amendment of its specific regulations and for the identification and notification to ICAO of differences existing between the ICAO SARPs and Lesotho’s regulations and practices. In addition, the Aeronautical Information Publication - Lesotho (AIP-Lesotho), last amended in 2003, does not contain all existing significant differences.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Amend and promulgate the Aviation Act 1975

LEGAL By 31st July 2008

Amend and promulgate the ANRs 1980 and the Aviation (Moshoeshoe 1 International Airport) Regulations 1986.

LEGAL By May 2008

Ensure that the air navigation services (ANS) called for under Article 28 of the Chicago Convention are provided adequately and safely and that ANS-related regulations are included to enable the State to implement the provisions of ICAO Annexes.

NAVAIDS By May 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-1 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish procedures to:

(a) systematically verify the conformance of the applicable regulations with the ICAO Annexes and to amend the regulations in an effective and timely manner, when needed, in order to transpose the amendments of the ICAO Annexes;

LEGAL

Before December 2008

(b) Ensure the identification and notification to ICAO of all existing differences between the ICAO SARPs and the Lesotho regulations and practices;

AIR TRANSPORT

OFFICER (ATO)

Before December 2008

(c) ensure that the applicable regional air navigation requirements outlined in the ICAO air Navigation Plans: Africa-Indian Ocean Region (Doc 7474) and Regional Supplementary Procedures (Doc 7030) are reflected in Lesotho’s relevant regulations;

Air Traffic Services (ATS)

Before December 2008

(d) ensure that all existing significant differences between the ICAO SARPs and Lesotho’s regulations and practices and published in the AIP.

AIS By December 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-2

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/02

Neither the Aviation Act, 1975 nor another legal instrument provides for the establishment of the civil aviation organizations in Lesotho and for the appointment of the Director of the Department of Civil Aviation (DCA). No clear delegation of authority to the Director of the DCA has been established, and no provisions have been stipulated for the assignment of corresponding responsibility to the Director of the DCA to develop, issue and revise operating regulations consistent with the provisions of the ICAO Annexes to the Chicago Convention.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Promulgate at the level of primary aviation legislation provisions for the following;

Before September 2005

(a) Establishment of the civil aviation organizations and the appointment of the Director of the DCA;

LEGAL By 31st July 2008

(b) Clear delegation of authority to the Director of the DCA; and

LEGAL By 31st July 2008

(c) The assignment of corresponding responsibility to the DCA to develop issue and revise operating regulations consistent with the provisions of the ICAO Annexes to the Chicago Convention.

LEGAL By 31st July 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-3

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/03

Lesotho’s legislation and regulations provide for the issuance by the Minister of Public Works and Transport of additional orders/directives and/or instructions in support of the safety oversight activities. However, regulatory materials, such as Safety Instructions, Advisory Circulars, Standards, Aeronautical Information Circulars (AICs), and Notices to Airmen (NOTAMS), are issued, approved and signed by the Director of Civil Aviation without the Director being delegated the corresponding authority. Furthermore, not all of these regulatory materials have been approved and endorsed. Moreover, Lesotho’s Aviation (Moshoeshoe I International Airport) Regulations, 1986 empowers the Airport General Manager, appointed by the Minister of Public Works and Transport, to issue directives and rules as necessary, whereas the AIP sets out that the administration of all aerodromes is the responsibility of the Director of Civil Aviation (AIP-Lesotho, AGA 0-1 refers). The current framework therefore does not ensure that there will be no conflict or overlap between the functions of the Director of Civil Aviation and the Airport Manager of the Moshoeshoe I International Airport.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should provide the delegation of authority to the Director of the DCA for the issuance of additional orders/ directives and /or instructions in support of safety oversight activities. In addition, the Director of the DCA should ensure that all regulatory materials in support of safety oversight activities have been approved and endorsed.

LEGAL By 31st July 2008

Furthermore, Lesotho should ensure clear coordination between all national authorities dealing with civil aviation matters, including coordination of regulatory and safety oversight functions and responsibilities, and that there is no overlap of responsibilities.

DCA Before July 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-4

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/04

Although Lesotho’s legislation and regulations provides for the issuance of exemptions, the corresponding policy and procedures have not been established.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

(a) Establish a policy and procedures for the issuance

of exemptions and ensuing limitations and ensure that exemptions are systematically recorded.

DCA Before July 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-5

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/05

Lesotho has not promulgated regulations regarding the interception of civil aircraft above its territory in accordance with Article 3 bis of the Convention on International Civil Aviation. Related directives published in Lesotho’s AIP do not reflect the relevant provisions outlined in ICAO Annex 2. Furthermore, there are no regulatory provisions to make compliance to interception orders from other States mandatory for any civil aircraft under its registry or operated by its operators.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should promulgate and publish in its AIP regulations regarding the interception of civil aircraft above its territory in accordance with Article 3 bis of the Convention on International Civil Aviation, including regulatory provisions to make compliance to interception orders from other States mandatory for any civil aircraft under its registry or operated by its operators.

AIS By May 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-6

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/06

The Aviation Act, 1975 provides for the enforcement of the applicable legislation and regulations, but Lesotho has not established the corresponding policy and procedures for enforcement.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should establish a policy and procedures for the enforcement of applicable legislation and regulations.

LEGAL Before December 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-7

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/07

The DCA has established official credentials for the inspectorate staff, notably for the airworthiness, operations and ANS inspectors, but not for aerodrome inspectors. In addition, the credentials that have been established do not include an expiration date.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA should ensure that aerodrome inspectors are provided with credentials allowing them full access to aerodrome facilities. Furthermore, the DCA should include the expiration date on all official inspectorate staff credentials.

DCA & Airport General Manager

Before July 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-8

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/08

Lesotho’s primary legislation (Aviation Act, 1975) and the applicable regulations (ANRs, 1980) include provisions for the following: a) unrestricted and unlimited access to aircraft and aviation facilities; b) access to and inspection of aviation documents; c) delegation of authority to access and inspect aircraft, aviation facilities and aviation documents; d) the right to detain aircraft for just cause; and d) the right to prohibit any person from exercising the privileges of any aviation licence, certificate

or document for just cause. However, all these provisions are addressed to the Director of Civil Aviation or to officers or any authorized person appointed by the Director, without clear delegation of authority to them. Furthermore, no inspector has been formally appointed by the Director of Civil Aviation.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA should ensure that the applicable legislation and regulations clearly delegate authority to inspectors for the following purposes:

(a) unrestricted and unlimited access to aircraft and aviation facilities;

LEGAL 31st May 2008

(b) access to and inspection of aviation documents LEGAL 31st May 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-8 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

(c) delegation of authority to access and inspect

aircraft, aviation facilities and aviation documents

LEGAL 31st May 2008

(d) the right to detain aircraft for just cause; and

LEGAL 31st May 2008

(e) the right to prohibit any person from exercising the privileges of any aviation licence, certificate or document for just cause.

LEGAL 31st May 2008

Furthermore, the DCA should ensure that inspectors are formally appointed to carry out their assigned tasks.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-9

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/09

Lesotho has not established requirements with respect to the specific units of measurement to be used in air and ground operations in accordance with ICAO Annex 5, and no specific units of measurement are used.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should promulgate requirements with respect to the specific units of measurement to be used in air and ground operations in accordance with ICAO Annex 5.

AIS By May 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-1-10

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO PRIMARY AVIATION LEGISLATION AND

CIVIL AVIATION REGULATIONS

AUDIT FINDING LEG/10

In accordance with the ICAO’s Air Navigation Plans: Africa-Indian Ocean Region (Doc 7474): a) Lesotho airspace is situated within the Johannesburg flight information region (FIR). Air traffic

control is provided to IFR and VFR aircraft in the Maseru terminal control area and the aerodrome control zone by the Maseru approach control service and the Maseru aerodrome control tower at the Moshoeshoe I International Airport. Flight information service, area control service and alerting service are provided for all aircraft flying within the boundaries of the Kingdom of Lesotho by the DCA, in coordination with the Johannesburg area control centre/flight information centre;

b) Lesotho’s territory forms part of the Johannesburg Search and Rescue Region (SRR); c) the Maseru aeronautical fixed telecommunication network (AFTN) station is tributary to

Johannesburg’s main AFTN centre; and d) area meteorological watch is provided for the territory of Lesotho by the Bloemfontein

Meteorological Office in South Africa. The regulations promulgated by the other Contracting State providing ANS to international air navigation in accordance with ICAO’s Air Navigation Plans: Africa-Indian Ocean Region (Doc 7474) are applicable in Lesotho. However, Lesotho has not established formal coordination procedures to ensure that its regulations pertaining to ANS are amended in conjunction with those of the other Contracting State providing ANS. Furthermore, no safety oversight is conducted over those ANS.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should amend its regulations pertaining to ANS in order to implement or adopt the applicable provisions of the ANS provider State within Lesotho’ national legal framework. Furthermore, safety oversight should be conducted over those ANS provided by another Contracting State within its territory.

NAVAIDS By May 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-1

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/01

The DCA within the Ministry of Public Works and Transport is responsible for the coordination of all ICAO-related matters in Lesotho. However, Lesotho has not established coordination procedures between the DCA and other national authorities dealing with civil aviation matters, such as the Department of Water Affairs (Lesotho Meteorological Services) (under the Ministry of Water, Energy and Mining), the Department of Lands, Surveys and Physical Planning (under the Ministry of Local Government), and the Lesotho Telecommunications Authority.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Establish administrative coordination procedures

between DCA and Department of Water Affairs Meteorological Services (MET), Department of Lands Surveys and Physical Planning (LSPP) and Lesotho Telecommunications Authority (LTA);

DCA Before July 2009

2. Coordinate regulatory and safety oversight functions between DCA and MET, LSPP and LTA;

DCA Before July 2009

3. Ensure responsibilities of DCA, MET, LSPP and LTA.

DCA Before July 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-2

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/02

The master organizational structure of the DCA is not documented in sufficient detail to provide for a clear definition of the regulatory functions and responsibilities related to personnel licensing (PEL), aircraft operations (OPS), airworthiness (AIR), aerodromes (AGA) and ANS (including aeronautical meteorological services [MET]), flight procedures for aircraft operations, search and rescue (SAR), aeronautical information services (AIS), aeronautical maps and charts (MAP), and aeronautical telecommunications. Furthermore, Lesotho has not established safety oversight functions and responsibilities for ANS, including MET. In addition, there is no guarantee of distinct separation between ANS regulatory entities and service providers.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. The Organization Chart is to be amended to provide clearly functions and responsibilities of sections of the Department of Civil Aviation. In addition, Personnel Licensing (PEL) and Accident Investigation (AIG) sections are going to be established.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Amend master organizational structure of DCA

– outlining clear definition of the regulatory functions with respect to PEL, OPS, AIR, AGA, ANS, MET, PANS/OPS, SAR, AIS and CNS;

HR By April 2009

– establishing clear definition of the responsibilities with respect to PEL, OPS, AIR, AGA, ANS, MET, PANS/OPS, SAR, AIS and CNS;

HR By April 2009

– establishing safety oversight responsibilities and functions for ANS and MET.

HR By April 2009

– Provide for distinct separation between ANS regulatory entities and service providers

HR By April 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-3

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/03

The DCA, established within the Ministry of Public Works and Transport, and the Department of Water Affairs (Lesotho Meteorological Services), established within the Ministry of Water, Energy and Mining, depend entirely on State Budget allocations to fund their operations. However, their financial resources are not sufficient to enable them to fulfil the State’s responsibility for safety oversight. The DCA and the Lesotho Meteorological Services do not have sufficient qualified and experienced technical staff to adequately fulfil the State’s safety oversight responsibilities in all civil aviation areas due to high rates of vacancy and turnovers.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Allocate sufficient financial resources to civil

aviation system authorities to adequately fulfil the State’s safety oversight responsibilities;

ACCOUNTS By April 2009

2. Have and retain sufficient number of qualified and experienced technical staff in all safety oversight areas through revised remuneration polices, etc

ACCOUNTS By April 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-4

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/04

Lesotho civil aviation authorities have not developed and implemented comprehensive training policies that make a commitment to provide initial, on the job, recurrent and specialized training to the regulatory and technical staff providing services in all areas of civil aviation. No training programmes detailing the type of training to be provided to technical staff in each position have been developed, and except for airworthiness, no periodic training plans have been established. In general, the training provided to technical staff is insufficient to establish and maintain a qualified workforce, and no training records are kept.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

For regulatory staff in all areas of civil aviation

1. develop comprehensive training policies;

HR By April 2009

2. develop comprehensive training programmes regarding initial, recurrent and specialized training;

HR By April 2009

3. develop periodic training plans;

HR By April 2009

4. keep training records for all technical staff. HR By April 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-5

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/05

The technical staff of Lesotho civil aviation authorities is not provided with adequate tools and equipment (e.g. high performance information and communication technology and transportation facilities) to assist them in carrying out their duties and responsibilities effectively.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Provide technical and administrative staff of Lesotho CAAs with adequate tools, equipment and facilities such as

1. high performance internet access and computers;

NSA By April 2009

2. communications equipment (i.e. mobile phones);

NSA By April 2009

3. printing facilities;

NSA By April 2009

4. transportation, etc HR By April 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-2-6

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO CIVIL AVIATION ORGANIZATION

AUDIT FINDING ORG/06

The DCA has established a central technical library stocked with some relevant ICAO documents and other technical and regulatory publications, both in hard copy and electronic format via the Internet. However, the access to electronic documents is not ensured due to restricted Internet access. Furthermore, a random sampling of the technical publications showed that: a) most of the ICAO Annexes and ICAO documents are outdated or not available; b) certain essential manuals are not available, in particular current aircraft flight manuals,

maintenance manuals and structural repair manuals; and c) the technical staff of the DCA is not always aware of all the ICAO and other technical documents,

which are relevant to their areas of expertise.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. For the type of aircraft on register, viz. Cessna Tu206, there is no structural repair manual -structural repairs take a section in the service manual.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Make available all ICAO documents and other

relevant technical documents and keep them up to date;

TRO By April 2009

2. Make available all design organisation documentation and continuing airworthiness information for the type of aircraft on the Lesotho registry;

TRO By April 2009

3. Establish indexes for all areas of civil aviation safety oversight so that the staff is aware of all relevant ICAO and other technical documents in their areas.

TRO By April 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-3-1

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

AUDIT FINDING PEL/01

Lesotho has not set forth the requirements for limits of the validity of licences in accordance with ICAO Annex 1 and the DCA has not established a system for the re-instatement of the privileges of expired licences. Furthermore, the medical class assessments issued by Lesotho do not conform to ICAO Annex I requirements.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho does not currently issue any flight crew licences.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish requirements for the limits of validity of licences in accordance with ICAO Annex 1 and establish a system for the re-establishment of privileges of expired licences and medical class limits requirements for their issuance.

FO December 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-3-2

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

AUDIT FINDING PEL/02

Lesotho has not established requirements for the conversion and validation of commercial and air transport pilot licences. In addition, the DCA does not ensure that the original licence is in full compliance with ICAO Annex 1 and does not contact the issuing authority to confirm the validity of the original licence.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Draft documents are available for these requirements

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish requirements for the conversion or validation of commercial and air transport pilot licences and ensure that the original licence is in full compliance with Annex 1 and is valid through contact made with the issuing authority.

FO March 2008

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APPENDIX 3-3-3

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

AUDIT FINDING PEL/03

Lesotho has not set forth regulations for aviation medical examiners on how to conduct examinations for medical assessment for the various licences and ratings. It has also not established a system for the possible issuance of a medical assessment in cases where the medical standards prescribed in ICAO Annex 1 are not fully met and has not described the circumstances under which a medical examination may be deferred.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The DCA agrees with the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will establish the Personnel Licensing Standards for medical examiners on how to conduct examinations for medical assessment for the various licences and ratings.

FO March 2008

The DCA will establish a system for the possible issuance of a medical assessment for cases in which medical standards prescribed in ICAO Annex 1 are not fully met; and circumstances in which a medical examination can be differed.

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APPENDIX 3-3-4

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

AUDIT FINDING PEL/04

The DCA does not use a medical assessor and does not ensure the evaluation of medical reports and the conditions of their confidentiality. It has not defined the proper action to be taken in case of a false declaration by an applicant to aviation medical examiner.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will introduce the use a medical assessor to ensure the evaluation of medical reports and ensure the conditions of their confidentiality.

FO March 2008

The DCA will establish the proper action to be taken in case of a false declaration by an applicant to a medical examiner.

March 2008

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APPENDIX 3-3-5

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

AUDIT FINDING PEL/05

The DCA has not established a system to designate and supervise aviation medical examiners in order to ensure that they have the required training and competency in aviation medicine and that they perform their duties in accordance with prescribed procedures.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The DCA agrees with the findings of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will establish a system for the designation and supervision of medical examiners that ensure they have the required training and competency in aviation medicine and that they perform their duties in accordance with prescribed procedures.

FO April 2008

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APPENDIX 3-3-6

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

AUDIT FINDING PEL/06

The DCA has not implemented a system to designate and supervise flight and practical examiners in order to ensure that flight examiners meet the knowledge and skills requirements specified for the licence and rating to be issued and that they deliver consistent and reliable tests.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will implement a system for the designation and the supervision of flight and practical examiners to ensure accordingly that flight examiners meet requirements of knowledge and skills specified for the licence and rating to be issued, and that they deliver consistent and reliable testing.

FO January 2008

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APPENDIX 3-3-7

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

AUDIT FINDING PEL/07

Lesotho has not established requirements, along with a corresponding implementation plan, for aviation personnel to demonstrate their ability to speak and understand the language used for radiotelephony communications.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will establish requirements and a relevant implementation plan for aviation personnel to demonstrate their ability to speak and understand the language used for radiotelephony communications.

FO and ATS July 2008

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APPENDIX 3-3-8

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

AUDIT FINDING PEL/08

Though records are kept for licence holders, the DCA has not established filing procedures for each applicant and licence holder, with the required confidentiality and security conditions. In addition, the DCA has not established a system for closing and archiving personal files and records.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The DCA has a filing system for flight crew personnel records.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop written filing procedures for each applicant and licence holder with the required confidentiality and security conditions.

FO, Airworthiness

and ATS

April

The DCA will establish a system for closing and archiving personal files and records.

FO, Airworthiness

and ATS

April

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APPENDIX 3-3-9

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

AUDIT FINDING PEL/09

The DCA has not developed and implemented procedures regarding the measures to be taken in the event that sufficient evidence exists to demonstrate that a licence holder, a flight examiner or an aviation medical examiner has not performed his/her duties in accordance with his/her licence privileges and/or prescribed procedures.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop and implement procedures as to the measures to be undertaken in the event that sufficient evidence exists to demonstrate that a licence holder, a flight examiner or a medical examiner has not performed his/her duties in accordance with his/her licence privileges and/or prescribed procedures.

FO March 2008

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APPENDIX 3-3-10

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

AUDIT FINDING PEL/10

The ANRs (i.e. Rule 13 and Schedule 4) specify the privileges of an aircraft maintenance engineer (AME) licence. However, the regulations do not describe the conditions to be observed in the exercise of these privileges.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will adopt regulations that specify the conditions to be observed in exercising the privileges of an aircraft maintenance engineer licence.

APRIL 2008

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APPENDIX 3-3-11

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

AUDIT FINDING PEL/11

The DCA has not made readily available to the public all applicable and up-to-date regulatory documents pertaining to personnel licensing. Moreover, there is no procedure established for appealing DCA decisions on licensing.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will make readily available to the public all applicable and up-to-date regulatory documents pertaining to personnel licensing and will establish a procedure for appealing DCA decisions on licensing.

FO June 2008

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APPENDIX 3-3-12

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

AUDIT FINDING PEL/12

The DCA has not established minimum qualifications and experience requirements for its personnel licensing staff and has not developed job descriptions for them.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will establish requirements with regard to minimum qualifications and experience for its personnel licensing staff and will develop job descriptions.

FO March 2008

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APPENDIX 3-4-1

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

AUDIT FINDING OPS/01

The DCA has not developed the following for its flight examiners: a) competency requirements; b) procedures for defining the delegated tasks to flight examiners; and c) the criteria for designating flight examiners and renewing their mandates. In addition, the DCA does not conduct oversight of the delegated tasks.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop requirements for competency and procedures for the definition of the delegated tasks to flight examiners and the criteria for their designation and the renewal of their mandate.

FO April 2008

The DCA will conduct oversight of the delegated tasks and establish a process for the resolution of identified deficiencies.

July 2008

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APPENDIX 3-4-2

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

AUDIT FINDING OPS/02

The DCA has developed a Flight Operations Code used by the operations inspectors as guidance material and procedures to carry out their functions. However, it does not contain guidelines on coordination, the follow-up of discrepancies, and enforcement actions.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop and approve procedures on coordination, follow up discrepancies, enforcement actions and resolution of safety concerns for the use of operations inspectors.

FO July 2008

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APPENDIX 3-4-3

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

AUDIT FINDING OPS/03

The DCA does not ensure that an applicant for an Air Operator Certificate (AOC) establishes and maintains a flight safety documentation system.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will ensure that an applicant for an AOC establishes and maintains a flight documentation system in compliance with ICAO Annex 6 provisions.

FO June 2008

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APPENDIX 3-4-4

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

AUDIT FINDING OPS/04

Even though the Flight Operations Code and the booklet entitled AOC Commercial Operation of Aircraft both make reference to ICAO’s Manual of Procedures for Operations Inspection, Certification and Continued Surveillance (Doc 8335) and Preparation of an Operations Manual (Doc 9376), the DCA has not developed requirements and approved procedures to review, accept or approve, as applicable, all the contents of an applicant’s operations manual and to ensure that it is organized in compliance with the provisions ICAO Annex 6, Part I, Appendix 2. Moreover, up-to-date regulatory documents on the certification of air operators are not readily available to the public.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop and formally approve procedures to review, accept or approve, as applicable, all the content of an applicant’s operation manual and to ensure that it is organized with an adequate structure, as provided for in Appendix 2 of ICAO Annex 6, Part 1. Additionally, the DCA should make readily available to the public regulatory documents for the certification of air operators.

FO April 2008

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APPENDIX 3-4-5

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

AUDIT FINDING OPS/05

The regulations on dangerous goods as promulgated by Lesotho do not incorporate all the provisions of ICAO Annex 18 - The Safe Transport of Dangerous Goods by Air and the related Technical Instructions. Although, the staff of the Flight Operations Section (FOI) of the DCA carries out some functions with regard to dangerous goods, Lesotho has not designated and notified to ICAO the appropriate authority responsible for the transport of dangerous goods by air nor has it nominated a specific department or official for this function. In addition, the inspectors within FOI do not have sufficient knowledge and authority to grant exemptions for the transport of dangerous goods by air and although some approval procedures have been developed, they are not sufficiently detailed and are not always followed during the process for granting specific authorizations for the transport of dangerous goods by air.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho should promulgate regulations on dangerous goods in order to incorporate all provisions of ICAO Annex 18 and the related Technical Instructions. In addition, Lesotho should designate and notify to ICAO the appropriate authority responsible for the transport of dangerous goods by air and nominate a specific department or official.

FO October 2008

Furthermore, the Department of Civil Aviation (DCA) should ensure that the relevant staff dealing with dangerous goods duties and responsibilities has sufficient knowledge and has comprehensive procedures available to assist them in carrying out their functions.

FO November 2008

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APPENDIX 3-4-6

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

AUDIT FINDING OPS/06

Even though the DCA has developed some inspection, surveillance and enforcement procedures for the safe transport of dangerous goods by air, these procedures are not comprehensive. Furthermore, the DCA does not conduct inspections related to dangerous goods and has not established penalties for violations relating to their transport.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA should

– require that air operators establish procedures for the safe transport of dangerous goods;

FO July 2008

– conduct inspections related to dangerous goods; and

FO July 2008

– establish penalties for the violations relating to the transport of dangerous goods.

FO July 2008

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APPENDIX 3-4-7

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

AUDIT FINDING OPS/07

The DCA has not developed a formal inspection policy and corresponding procedures. In addition, no surveillance programme for aircraft operators has been established and implemented.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will develop a formal inspection policy and corresponding procedures. In addition, a surveillance programme for aircraft operators will be established and implemented.

FO March 2008

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APPENDIX 3-5-1

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/01

Lesotho has promulgated the Air Navigation Regulations, 1980 (ANRs) as national regulations. However, the current ANRs do not enable Lesotho to implement all the airworthiness-related provisions of ICAO Annexes 6, 7, 8 and 16. Furthermore, Lesotho has not issued a comprehensive and detailed code of airworthiness nor adopted and promulgated the code of another Contracting State.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. Air Navigation Regulations 1980 is in the advanced stage of being amended. Draft ANR provides for and adopts all revisions, especially airworthiness-related provisions of ICAO Annexes 6, 7, 8 and 16 as stated in this recommendation.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Amend and promulgate ANRs 1980 to include all airworthiness-related provisions of ICAO Annexes 6, 7, 8 & 16

AWI By 31 May 2008

Adopt and promulgate the code of airworthiness of another Contracting State in stages

a) prepare guidelines material AWI By February 2008 b) insert code of airworthiness into C of A AWI March 2008 c) include code of airworthiness in the ANR AWI By July 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-5-2

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/02

The DCA has established minimum qualifications and experience requirements for airworthiness inspectors. However, specific knowledge and skills in human factors and its limitations are not addressed.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Include specific knowledge and skills in human performance and its limitations in evaluation of inspectors.

AWI By February 2008

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APPENDIX 3-5-3

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/03

Lesotho has promulgated some requirements for the airworthiness approvals issued. However, the following requirements have not been established or are not comprehensive: 1) the associated requirements to accept or validate type certificates; 2) requirements for operations-derived equipment, such as emergency locator transmitter (ELT),

ground proximity warning systems (GPWS), and equipment for VFR flights; 3) requirement for all aeroplanes to comply with the noise certification standards in ICAO Annex

16; 4) requirements for document attesting to noise certification to be carried on board aircraft; 5) requirement for approval of modifications and repairs and the conditions for such approval; 6) procedures for the issuance of additional mandatory airworthiness action; 7) export approval of aeronautical products; 8) requirement that an operator can only operate an aircraft if it has been maintained and released to

service by an approved maintenance organization (AMO); 9) requirement for air operators to submit an operator’s maintenance control manual for review and

acceptance to the State of Registry and the State of the Operator; 10) requirement for air operators to prepare a minimum equipment list (MEL) based on the master

minimum equipment list for review and approval; 11) requirement for the approval of a lease among commercial air transport operators; 12) requirements for obtaining a maintenance organization approval; 13) requirements for a maintenance release; and 14) requirements for human factors principles to be observed in the design and application of

maintenance programmes.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Amend and promulgate associated requirements

to accept or validate type certificates; AWI By March 2008

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APPENDIX 3-5-3 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

2. i. Amend requirements for emergency locator

transmitter (ELT); AWI By February 2008

ii. establish and promulgate requirements for ground proximity warning systems (GPWS);

AWI By February 2008

iii. establish and promulgate requirements for VFR flights.

AWI By February 2008

3. Establish and promulgate requirements for all aeroplanes to comply with the noise verification standards in Annex 16;

AWI By January 2008

4. Establish and promulgate a document attesting to noise certification to be carried on board;

AWI By January 2008

5. Amend requirements for modifications and repairs;

AWI By January 2008

6. Establish requirements to issue additional mandatory airworthiness action;

AWI By January 2008

7. Establish and promulgate requirements for export approval of aeronautical products;

AWI By March 2008

8. Establish and promulgate requirements that an operator can only operate an aircraft if it has been maintained and released to service by an AMO;

AWI By March 2008

9. Establish and promulgate requirement for operators to submit an operator maintenance control manual for review and acceptance to the State of Registry and the State of the Operator;

AWI Before June 2008

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APPENDIX 3-5-3 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

10. Amend the requirement for operators to prepare a

minimum equipment list (MEL) on the basis of the master minimum equipment list for review and approval;

AWI By January 2008

11. Establish and promulgate approval of lease among commercial air transport operators;

AWI By May 2008

12. Amend requirements for obtaining a maintenance organization approval;

AWI Before February 2008

13. Establish and promulgate requirements for maintenance release;

AWI By April 2008

14. Establish and promulgate requirements for human factors principles to be achieved in the design and application of maintenance programmes.

AWI By March 2008

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APPENDIX 3-5-4

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/04

The Airworthiness Inspectorate of the DCA has recently developed an airworthiness procedures manual, along with corresponding checklists, to enable it carry out its functions. However, not all essential procedures have been developed and many existing procedures need to be amended to add the required level of detail.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. The second edition of the airworthiness procedures manual shall, when issued in April 2008, incorporate all procedures in a more comprehensive form.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Ensure that inspectors are provided with

procedures for the operator’s maintenance control manual review and approval;

AWI By March 2008

2. Ensure that inspectors are provided with procedures for the granting or validation of noise certification;

AWI By March 2008

3. Ensure that inspectors are provided with procedures for the acceptance of approved modifications and repairs;

AWI By March 2008

4. Ensure that inspectors are provided with amended procedures for the issuance/renewal of a certificate of airworthiness (C of A);

AWI By March 2008

5. Ensure that inspectors are provided with procedures for the development of Lesotho’s own mandatory airworthiness action on products for which Lesotho is not the State of design;

AWI By March 2008

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APPENDIX 3-5-4 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

6. Ensure that inspectors are provided with amended

procedures for the issuance of a special flight permit;

AWI By March 2008

7. Ensure that inspectors are provided with amended procedures for the issuance of export airworthiness approvals;

AWI By March 2008

8. Ensure that inspectors are provided with procedures for the review and approval of an operator’s maintenance control manual;

AWI By March 2008

9. Ensure that inspectors are provided with amended procedures for the approval of maintenance programmes;

AWI By March 2008

10. Ensure that inspectors are provided with procedures for approving a minimum equipment list (MEL);

AWI By March 2008

11. Ensure that inspectors are provided with procedures for the approval of leases among commercial air transport operators; and

AWI By May 2008

12. Ensure that inspectors are provided with procedures for the approval of a maintenance organization.

AWI By January 2008

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APPENDIX 3-5-5

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/05

The DCA has not implemented the procedures for the following: a) the issuance of a first C of A for an aircraft type; b) the acceptance of approved modifications and repairs; c) the issuance of an export airworthiness approval; d) the review and approval/acceptance of the maintenance control manual as part of the AOC

issuance process; and e) the review and approval of a maintenance programme.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. Safety Directives shall be amended during the first half of 2008 to address these issues of AIR/05. For the present, INFORMATION MANUAL (H model) and PILOT’S OPERATING HANDBOOK (G model), provided by the Cessna manufacturer for the TU206 aircraft operated by the only licensed public transport operator in Lesotho adequately serve as both the maintenance schedule and the maintenance programme.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA should implement the procedures for the – issuance of a first certificate of airworthiness for

an aircraft type; AWI By March 2008

– acceptance of approved modifications and

repairs; AWI

By March 2008

– issuance of an export airworthiness approval; AWI By March 2008 – review and approval/acceptance of the

maintenance control manual as part of the AOC issuance process;

AWI

By March 2008

– review and approval of the maintenance programme.

AWI

Before June 2008

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APPENDIX 3-5-6

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/06

The C of As issued do not include reference to the airworthiness code on which they are based because Lesotho does not have a national code of airworthiness and has not adopted the code of another Contracting State.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Similar to AIR/01, the code of airworthiness will be done in stages: the code shall be promulgated, adopted, inserted in the C of A and comprehensive guideline material be developed. New procedures for use by inspectors will also be developed.

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APPENDIX 3-5-7

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/07

Even though the Airworthiness Inspectorate of the DCA has developed Safety Directives providing some information on the authenticity and serviceability of aircraft parts, there is no clear guidance developed and provided to the industry on the proper usage of parts removed from an aircraft that is no longer in service and for the disposal of scrapped parts. Furthermore, no guidelines have been developed regarding qualification procedures for specialized maintenance activities, such as the welding of aeronautical products and non-destructive testing (NDT).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Develop procedures for industry guidelines on

proper usage of parts removed from an aircraft that is no longer in service;

AWI By May 2008

2. Develop procedures for industry guidelines on proper disposal of scrapped parts ;

AWI By May 2008

3. Develop qualification procedures for specialized maintenance activities such as welding of aeronautical products and non-destructive testing (NDT).

AWI By May 2008

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APPENDIX 3-5-8

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIRWORTHINESS OF AIRCRAFT

AUDIT FINDING AIR/08

The Airworthiness Inspectorate of the DCA has developed a formal inspection procedure to be used by airworthiness inspectors for conducting inspections of AOC holders, including guidelines for scheduling inspections, checklists, random inspections and ramp checks. These inspections are carried out with an acceptable frequency. However, no formal periodic surveillance programme has been established for the continuing surveillance of the operations conducted by air operators.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Develop a formal periodic surveillance programme for the continuing surveillance of the operations conducted by operators.

AWI Before February 2008

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APPENDIX 3-6-1

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

AUDIT FINDING AIG/01

The provisions in the legislation and regulations of Lesotho are insufficient to provide for the effective and adequate conduct of aircraft accidents and serious incident investigations in Lesotho. In particular, there are no provisions for the following: 1) the investigation of all aircraft accidents and serious incidents occurring in the State; 2) the designation of an investigation authority; 3) the independence of the investigation authority in the conduct of investigations; 4) the prevention objective of the investigation process, and its separation from administrative and

judicial proceedings that may apportion blame or liability; 5) the immediate notification of all accidents and serious incidents that have occurred in Lesotho to

the State’s authorities; 6) the powers of the investigators; 7) the protection and custody of the aircraft and all relevant evidence; 8) the protection from disclosure of the elements listed in paragraph 5.12 of ICAO Annex 13 -

Aircraft Accident and Incident Investigation; 9) the participation of accredited representatives of all the States concerned as per ICAO Annex 13;

and 10) the re-opening of an investigation when new and significant evidence becomes available.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team. Legal requirements of the audit specified by findings and recommendations under Aircraft Accidents and Incidents Investigation division are established within the Department.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Amend regulations and promulgate for: – the investigation of all aircraft accidents and

serious incidents occurring in Lesotho;

DCA Before August 2008

– the designation of the investigation authority; DCA Before August 2008

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APPENDIX 3-6-1 (CONT.)

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

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

– the independence of the investigating authority in

the conduct of investigations;

DCA Before August 2008

– the prevention objective of the investigation process, and its separation from administrative and judicial proceedings that may apportion blame or liability;

DCA Before August 2008

– the immediate notification of all accidents and serious incidents that have occurred in Lesotho to the State authorities;

DCA By March 2008

– the powers of the investigators;

DCA Before April 2008

– the protection and custody of the aircraft and all relevant evidence;

DCA Before April 2008

– the protection from disclosure of the elements listed in paragraph 5.12 of ICAO Annex 13 – Aircraft Accident and Incident Investigation

DCA Before August 2008

– the participation of accredited representatives of all the States concerned as per ICAO Annex 13;

DCA Before August 2008

– the re-opening of an investigation when new significant evidence becomes available.

DCA Before August 2008

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

AUDIT FINDING AIG/02

Lesotho has not established a documented policy regarding the investigation of aircraft accidents and serious incidents, including the delegation of investigation to other States and the organization to be put in place for Lesotho to conduct the investigation. In addition, Lesotho has not developed a policy on how the initial phase of an investigation would be carried out, including the preservation of evidence and the first actions to be taken at the occurrence site. In particular, no entity or personnel has been formally designated for such actions. No qualification requirements or job descriptions have been established for the personnel in charge of investigation tasks. No budget has been planned to ensure that the initial phase of an accident investigation is adequately carried out.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish and make provisions for the following regarding investigation of aircraft accidents and serious incidents:

1. Policies DCA Before March 2008 2. Processes DCA By March 2008 3. Organization DCA By March 2008 4. Designation of personnel DCA By March 2008 5. Delegation of authority DCA By March 2008 6. Funding of investigation DCA By November 2008

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

AUDIT FINDING AIG/03

Lesotho has not established training programmes and periodic training plans prioritizing the type of training to be provided to the technical staff in Lesotho who would carry out tasks related to the notification, investigation or reporting of aircraft accidents and incidents.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish and prioritise, for technical staff designated to carry out tasks related to the notification, investigation or reporting of aircraft accidents and incidents

1. Training programme DCA Before May 2008 2. Periodic training plans DCA Before May 2008

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

AUDIT FINDING AIG/04

Lesotho has not established any measures to ensure that if DCA experts or experts from other organizations in Lesotho are used for an aircraft accident or serious incident investigation, they would be relieved from their regular duties during the period required to enable them to complete their tasks. In addition, Lesotho has not established any measures to prevent possible conflicts of interest when such experts are used for an investigation.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish measures to relieve experts involved in the aircraft accident or serious incident investigation from their regular duties during period required to adequately complete their tasks; and measures to avoid possible conflicts of interest.

DCA By April 2008

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

AUDIT FINDING AIG/05

Lesotho has not provided the technical personnel assigned to carry out investigation tasks in Lesotho with the necessary investigation equipment (including investigation field kits and protective equipment), means of communication, means of transportation, and related documentation.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Provide technical personnel designated to carry out investigation tasks with necessary

1. investigation equipment (including investigation field kits and protective equipment)

DCA

2. means of communication DCA 3. means of transportation

*Corrective actions 1, 2 & 3 will be achieved in the medium-term, by April 2009

4. related documentation

DCA Before September 2008

*PROVISIONS TO BE MADE IN THE 2009-2010 BUDGET.

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APPENDIX 3-6-6

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

AUDIT FINDING AIG/06

Lesotho has not provided ICAO with a contact phone number that is operational 24 hours a day so that it can be used for the immediate notification by other States of accidents and serious incidents involving Lesotho-registered or Lesotho-operated aircraft.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Provide ICAO with a contact phone number that is operational 24 hours a day for notification by other States of accident/serious incidents involving Lesotho-registered or Lesotho-operated aircraft.

DCA By February 2008

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APPENDIX 3-6-7

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

AUDIT FINDING AIG/07

No documented processes, procedures or relevant guidance material have been established in order to ensure the following: a) the immediate reception and processing of aircraft accident and incident notifications forwarded

within the State or from other States during office and off-office hours; and b) the effective and timely forwarding of aircraft accident and serious incident notifications to the

States concerned and, when applicable, to ICAO.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish documented processes, procedures or other guidance material to ensure

– the immediate reception and processing of aircraft accident and incident notifications forwarded within Lesotho from other States during office and out-of-office hours.

DCA Before September 2008

– the effective and timely forwarding of aircraft accident and serious incident notifications to the States concerned and when applicable to ICAO.

DCA Before September 2008

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APPENDIX 3-6-8

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

AUDIT FINDING AIG/08

Lesotho has not established procedures, processes or relevant guidance material regarding the following: a) the conduct of aircraft and serious incident investigations occurring in Lesotho; and b) the participation of representatives from Lesotho in aircraft accident and serious incident

investigations conducted by other States when Lesotho is involved as the State of Registry or the State of the Operator.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish procedures, processes or other guidance material regarding

– the conduct of aircraft and serious incident investigations occurring in Lesotho.

DCA Before September 2008

– the participation of representatives from Lesotho in aircraft accident and serious incident investigations conducted by other States when Lesotho is involved as the State of Registry or the State of the Operator.

DCA By February 2008

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

AUDIT FINDING AIG/09

Lesotho has not established procedures, processes or relevant guidance material regarding the completion and release of final reports, the issuance of safety recommendations, and the completion and forwarding of accident/incident reporting system (ADREP) reports.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

No procedures, processes, or other guidance material have been established by Lesotho regarding

1. the completion and release of final reports,

DCA By Marc 2008

2. the issuance of safety recommendations,

DCA By March 2008

3. completion and forwarding of accident/incident reporting system (ADREP) reports.

DCA Before March 2008

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

AUDIT FINDING AIG/10

The DCA has not established procedures or instructions about informing a State which has issued a safety recommendation to Lesotho regarding the preventive action that Lesotho has taken, the action under consideration, or the reason that no action will be taken.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish procedures or instructions for informing a State which has issued a safety recommendation Lesotho has taken, the action under consideration, or the reason that no action will be taken.

DCA By March 2008

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APPENDIX 3-6-11

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

AUDIT FINDING AIG/11

Although Lesotho’s regulations contain some provisions for the mandatory reporting of incidents, these provisions do not cover all civil aviation activities. In addition, the DCA has not stored the accident and incident information that it has received in a database nor has it carried out analysis of the information received.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

1. Establish mandatory incident reporting system

covering all aviation activities;

DCA By March 2008

2. Establish and maintain a database to store accident and incident information

DCA By April 2009

3. Analysis of accident and incident information received.

DCA By April 2009

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APPENDIX 3-6-12

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

AUDIT FINDING AIG/12

Lesotho has not established a voluntary incident reporting system to facilitate the collection of safety information that may not otherwise have been captured by the State’s mandatory incident reporting system.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish a voluntary incident reporting system. DCA Before April 2008

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APPENDIX 3-7-1

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/01

Lesotho has not established a requirement for the units providing Air Traffic Services (ATS) to implement a safety management system (SMS), with criteria for determining safety performance indicators, in accordance with ICAO Annex 11 provisions. In addition, it does not ensure that the SMS developed by the ATS providing units is characterized by a proactive approach, includes provisions for safety assessment to be carried out for any safety-related change to the air traffic control system, and clearly defines the lines of responsibility (including accountability for safety on the part of senior management).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho is in the progress of requesting other states to assist by providing their documents to see how to draw the SMS document.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Establish a requirement for the units providing ATS to implement a safety management system with criteria for determination of safety performance indicators.

ATS Before July 2008

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APPENDIX 3-7-2

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/02

Lesotho has not established and promulgated the criteria to serve as basis for procedure design in accordance with the relevant provisions in ICAO’s Procedures for Air Navigation Services - OPS: Air Operations (PANS-OPS, Doc 8168).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

DCA will coordinate with government to increase staff to consider the procedure design in accordance to ICAO/PANS-OPS.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

DCA will coordinate with government to increase staff to consider the procedure design in accordance to ICAO/PANS-OPS.

DCA

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APPENDIX 3-7-3

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/03

The Maseru Combined Approach Control Service (APP) and Aerodrome Control Tower (TWR) has no AFTN links with the aeronautical information service (AIS) unit or with the MET office or with the adjacent area control centre (ACC)/flight information centre (FIC). The VHF frequency assigned to the aerodrome control service is unserviceable, and the frequency assigned to surface movement control (SMC, 121.7 MHz) has very poor coverage. The monitors intended to provide information on visual and non-visual aids are unserviceable. Consequently, although the DCA’s Manual of Air Traffic Services Instructions (MATSI) contains procedures for ensuring that MET information (OPMET) as well as information on aerodrome conditions and on the operational status of associated facilities (including navigational aids) are provided to approach control and aerodrome control units, all safety-related messages, such as flight plans, NOTAMs, OPMET information, are provided to the Maseru APP/TWR either manually or verbally (via a telephone). The runway visual range (RVR) information is not provided to the Maseru APP/TWR for category I precision approach operations in accordance with ICAO’s Air Navigation Plans: Africa-Indian Ocean Region (Doc 7474, Volume II, Table AOP1). In addition, the Maseru APP/TWR does not have remote control functionalities for electrical power unit and lighting aids to accommodate aircraft operations as required.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho is in the position of replacing the VHF frequencies, navigational aids including monitors, maintaining message tube between AIS/MET and tower looking forward to install AFTN system in the tower and looking forward to establish runway visual range.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that:

- Air Traffic Services (ATS) communications requirements have been established and implemented in accordance with the provisions of ICAO Annex 11

DCA Before June 2008

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APPENDIX 3-7-3 (Cont.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

- Procedures for ensuring that MET information on

aerodrome conditions and operational status of associated facilities including navigational visual and non-visual aids, are provided to approach control (APP) and aerodrome control (TWR) units

DCA Before December 2008

- The runway visual range (RVR) information is provided to Maseru APP/TWR for category I precision approach operations in accordance with Africa-Indian Ocean Air Navigation Plan

DCA/MET

- APP/TWR units are equipped with remote control functionalities for electrical power unit and lighting aids to accommodate aircraft operations as required.

DCA (AGM)

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APPENDIX 3-7-4

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/04

Lesotho’s ANRs, Schedule 14 - Rules of the Air and Air Traffic Control, Section VII - Aerodrome Traffic Rules and the DCA’s Manual of Air Traffic Services Instructions (MATSI) No. 3 contain provisions concerning the control of aerodrome surface movement. However, Lesotho has not established and implemented a runway safety programme in accordance with ICAO’s PANS-ATM: Air Traffic Management (Doc 4444).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho will establish runway safety programme and implement it upon its completion.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will establish and implement a runway safety programme in accordance with ICAO PANS-ATM (Doc 4444).

ATS/AGM Before December 2008

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APPENDIX 3-7-5

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/05

Lesotho does not ensure that its ATS and MET authorities have established and implemented formal procedures for coordination of ATS and MET services in accordance with the provisions of ICAO’s Manual on Coordination between Air Traffic Services, Aeronautical Information Services and Aeronautical Meteorological Services (Doc 9377) and that formal procedures for coordination are established between ATS and aerodrome operators.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho is in the progress of drafting letter of procedures between ATS and MET.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that policies and procedures are established and implemented for coordination between ATS and other entities, such as meteorological services and aerodrome operators.

ATS/MET Before July 2008

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APPENDIX 3-7-6

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/06

Section 17 of Lesotho’s Aviation Act, 1975 provides, inter alia, that “the Minister, or any person authorized by him, may at any time requisition any civil aircraft and call out any holder of a flight crew licence issued or validated in terms of this Act, for air search and rescue or relief operations in the case of an air accident or natural disaster.” Meanwhile, SAR 1-1 of AIP-Lesotho provides details of the Rescue Coordination Centre (RCC) (i.e. OR Tambo International Airport ARCC, South Africa), the Maseru Rescue Sub-Centre (RSC) (i.e. Maseru APP/TWR), and other units available for SAR missions when required (such as the Lesotho Mounted Police Service and Lesotho Defence Force Air Wing). An SAR Operations Manual has been developed by the DCA. In addition, a cooperation agreement has been signed between Lesotho and the State responsible for the RCC. However, Lesotho has not established a legal framework for its SAR organization and operation.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho has established and reviewed legislation including SAR legislation and Aviation Bill has been passed through the parliament and is working on Air Navigation Regulations 2007.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho has established a legislation framework for its SAR organization and operation in accordance with ICAO Annex 12.

DCA/ATS

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APPENDIX 3-7-7

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/07

Lesotho has established a procedure for the formulation and distribution of guidance material on civil air navigation regulations to ANS providers and operators. However, the AIP-Lesotho is not kept current and all aeronautical charts are not made available to users. Furthermore, Lesotho has not yet published its AIP in three parts in line with ICAO Annex 15 provisions. It also does not use the aeronautical information regulation and control (AIRAC) system to notify the establishment, withdrawal and significant premeditated changes of circumstances listed in accordance with the relevant ICAO Annex 15 provisions.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho is in the progress of updating the current AIP and working on the new format and will avail charts to the users.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will:

– publish its Aeronautical Information Publication (AIP) in three parts, in accordance with ICAO Annex 15

AIS

– implement the AIRAC system to notify the establishment, withdrawal and premeditated significant changes of circumstances listed in accordance with the relevant provisions contained in ICAO Annex 15

– ensure that all applicable charts are made available to users in accordance with the relevant provisions contained in ICAO Annex 4.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-8

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/08

Lesotho does not ensure that its units providing ANS adopt policies and procedures on human factors principles in accordance with ICAO’s Human Factors Guidelines for Air Traffic Management (ATM) Systems (Doc 9758).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho will ensure that its units providing ANS adopt policies and procedures on human factors principles in accordance with ICAO Doc 9758.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that units providing ANS adopt policies and procedures on human factors principles in accordance with ICAO Doc 9758.

ATS/AIS/ TELECOM

Before December 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-9

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/09

The Manual of Air Traffic Services Instructions (MATSI) issued by the Lesotho DCA states that separation minima are applied in accordance with ICAO’s PANS-ATM (Doc 4444) and Regional Supplementary Procedures (Doc 7030). However, the MATSI provisions have not been amended to reflect the current provisions set forth in the ICAO PANS-ATM.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho will amend MATSI so that the provisions are in accordance with PANS-ATM.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that its applicable separation minima are in harmony with the latest versions PANS-ATM and Regional Supplementary Procedures (SUPPS).

ATS Before April 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-10

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/10

Lesotho has established procedures to provide service to aircraft in the event of emergency, and it has also developed a contingency plan to be implemented in the event of disruption or potential disruption of ATS or related supporting services. However, the procedures to be followed when rendering assistance to an aircraft in the event of emergency have not been published in the AIP-Lesotho. The national ATS contingency plan developed by Lesotho has also not been coordinated with the bordering Flight Information Region (FIR)/State and with ICAO, in accordance with ICAO Annex 11 and the Air Traffic Services Planning Manual (Doc 9426). Furthermore, the VHF frequency 122.80 MHz assigned for air-to-air communications within the Lesotho airspace does not conform to ICAO SARPs and the Africa-Indian Ocean (AFI) VHF Frequency Utilization Plan which recommend the use of VHF frequency 123.45 MHz.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho will publish emergency procedures in the AIP, pursue coordination of contingency plans with adjacent state and looked into the implementation of frequency 123.45 MHz for air-to-air communications.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

The DCA will ensure that:

– the procedures to be followed to render assistance to an aircraft in the event of emergency are established by air traffic services in accordance to the provisions of ICAO Annex 2, Attachment B, and published in the Aeronautical Information Publication (AIP)

ATS/AIS Before December 2008

– the ATS contingency plan is coordinated with the adjacent FIR/State and approved by ICAO Council in accordance with ICAO Annex 11 and Doc 9426 provisions

– the air-to-air frequency is implemented in accordance with the AFI VHF Frequency Utilization Plan.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-11

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/11

Lesotho does not have a documented process used to determine operational staff requirements. Due to the limited resources of the DCA and the Lesotho Meteorological Services which provide ANS, there are no policies and procedures for the recruitment and retention of adequately qualified and experienced ANS staff. Similarly, training policies and programmes (including initial, recurrent and specialized training) have not been developed to ensure the continued competency of ANS staff. In addition, quality management policies, processes and tools have not been provided and implemented.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that:

– ANS providers develop a documented process for determining ANS operational staff requirements.

ATS/AIS/ TELECOM

December 2008

– Identified staff requirements for ANS areas are met.

– ANS providers develop and implement training policies and programmes including initial, recurrent or specialized training to ensure the continued competency of ANS staff.

– ANS providers develop and implement quality management policies.

– ANS operational staff is provided with adequate facilities and equipment to enhance productivity and efficiency.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-12

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/12

Lesotho has not ensured the following: a) that all the wind sensors for local routine reports are suitably sited to give the best practicable

indication of conditions along the runway/touchdown zone at the Maseru aerodrome; b) that the weather observatory is suitably located at the Moshoeshoe I International Airport to

provide observers and air traffic controllers with a good view of the runway for accurate visibility assessment;

c) that provisions related to special air reports are being observed with respect to their relay to the relevant MET office; and

d) that the MET offices issue wind shear warnings for aerodromes where wind shear is considered to be a safety factor.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that:

– all wind sensors for local routine reports are suitably sited to give the best practicable indication of conditions along the runway/touchdown zone at Maseru aerodrome.

TE/MET

– the weather observatory is suitably located at Moshoeshoe I International Airport (MIA) to provide observers and air traffic controllers with good view of the runway for accurate visibility assessment.

– provisions related to special air-reports are being adhered to concerning their relay to the relevant MET office.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-12 (CONT.)

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

– MET offices issue wind shear warnings for

aerodromes where wind shear is considered as a safety factor.

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-13

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/13

Lesotho does not ensure that the entity responsible for PANS-OPS develops procedures in accordance with established criteria, that it retains all procedure design documentation for further corrective action on any data anomalies or errors found during the production, maintenance or operational use of the procedure as required; and that requirements for flight inspection are established and periodical flight inspections are provided for navigational aids.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that the entity responsible for PAN-OPS develops procedures in accordance with established criteria, and retain all procedure design documentation for further corrective action on any data anomalies or errors found during the production, maintenance or operational use of the procedure as required: and that requirements for flight inspection are established, periodical inspections are provided for navigational aids.

TE

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-14

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/14

According to Section 23 (2) (w) of the Aviation Act, 1975 of Lesotho, the Minister shall make regulations for “the prevention or the minimizing of interference with the use or effectiveness of radio or electronic apparatus used as aids to safety in air navigation.” However, Lesotho has not established a mechanism to ensure that ground-based communications, navigation and surveillance (CNS) facilities are duly protected against potential harmful interference through formal coordination procedures between the DCA and the Lesotho Telecommunications Authority in accordance with the International Telecommunication Union (ITU) radio regulations and the provisions in ICAO Annex 10 and the Handbook on Radio Frequency Spectrum Requirements for Civil Aviation including statement of approved ICAO policies (Doc 9718).

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho, in coordination with Lesotho Telecommunications Authority (LTA), will establish a mechanism to ensure that ground-based CNS facilities are duly protected against potential harmful interference by means of facility registration in the ITU International Registry, in accordance with ITU radio regulations and ICAO provision in Annex 10 and doc 9718.

TE

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-15

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/15

Lesotho has not established a mechanism or system with specified time frames for the elimination of deficiencies identified within the framework of the AFI Planning and Implementation Regional Group (APIRG). For example, there is no plan so far to replace the Maseru VHF omni-directional radio range (VOR) which has been reported to be unserviceable over the past decade.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will establish a mechanism/system with the time frame for the elimination of deficiencies identified within the framework of the Africa-Indian Ocean (AFI) Planning and Regional Group (APIRG), or by its ANS inspectorates or any other relevant sources.

TE

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-16

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/16

The DCA’s Manual of Air Traffic Services Instructions (MATSI) No. 2 contains instructions regarding the reporting of aircraft incidents and breaches of regulations. However, the DCA has not published these instructions, which date as far back as 1987, in the AIP-Lesotho.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

Lesotho is the process of amending MATSI and eventually be published in the AIP.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho will ensure that the relevant instructions of the Manual of Air Traffic Services Instructions (MATSI) regarding the reporting of aircraft incidents and breaches of regulations, are amended and published in its AIP, and that a system for reporting ATC incidents inclusive of follow-up action for ATC is implemented.

ATS Before July 2008

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-17

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/17

Due to the absence of an ANS inspectorate staff, Lesotho has not ensured that sufficient legal authority has been delegated to the personnel at this level.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED ACTION OFFICE∗∗∗∗

ESTIMATED IMPLEMENTATION

DATE(S)

No corrective action plan was submitted by the State. DCA

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-7-18

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AIR NAVIGATION SERVICES

AUDIT FINDING ANS/18

Due to the absence of an ANS inspectorate staff, Lesotho has not established the minimum qualification and experience requirements or developed job descriptions for the following areas: ATS, PANS-OPS, AIS, MAP, CNS, MET, and SAR.

STATE’S COMMENTS AND OBSERVATIONS

No comments were submitted by the State.

CORRECTIVE ACTION(S) PROPOSED ACTION OFFICE∗∗∗∗

ESTIMATED IMPLEMENTATION

DATE(S)

No corrective action plan was submitted by the State. DCA

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-1

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/01

Although the primary legislation provides for the establishment of an aerodrome through a process of approval, registration or licensing, it does not currently require aerodromes to be certified through a formal process. As such, Lesotho has not promulgated regulations for the certification of aerodromes nor established the corresponding criteria. Furthermore, Lesotho has not developed and promulgated ANS-related regulations to enable the appropriate safety oversight of aerodrome operators. In addition, no regulatory requirements have been developed for most of the provisions related to ICAO Annex 14 SARPs, including but not limited to: a) the reporting of pavement bearing strengths; b) runway end safety areas; c) holding bays; d) runway holding positions; e) installation and frangibility requirements for equipment located in the runway and runway strip; f) restriction of construction and maintenance activities in the proximity of aerodrome electrical

systems during low visibility operations; g) aircraft stand clearances; and h) the control of vehicles in the movement areas.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Appropriate legislation is being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-2

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/02

There is no distinct separation of responsibilities between the regulatory body and the aerodrome operator. Currently, the aerodrome operator’s functions are carried out by the State. With the Moshoeshoe I International Airport being a division of the Department of Civil Aviation (DAC), Lesotho has not established an organizational structure within the DCA (e.g. a Directorate of Aerodrome Safety and Standards (DASS)) for airport certification and surveillance activities, with a clear definition of the functions, responsibilities, and related job descriptions. As a result, there is no safety oversight of the Moshoeshoe I International Airport and of its equipment and ground aids being conducted by the DCA.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Lesotho is in the process of addressing the issue. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-3

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/03

The DCA has not established a process for the certification of aerodromes that includes the following in particular: a) completion and submission of a formal application form; b) assurance that aerodrome operators employ an adequate number of competent personnel; c) referrals and coordination with competent State entities and coordination with elements of the

ATS for local airspace of an aerodrome; d) tracking of compliance with the certification requirements by using appropriate checklists and

acceptance of a non-compliance with the established requirements (including a risk assessment mechanism and notification procedure); and

e) assessment of the physical characteristics, equipment and visual aids of an aerodrome.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Production of aerodrome manual, certification regulations, etc. is in progress.

MIA Around January 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-4

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/04

The DCA has not provided the regulatory staff and the industry with procedures and guidance materials on the following: a) each technical specialist area, including obstacle control; b) amendment and transfer of an aerodrome certificate; c) coordination between aerodromes and AIS; d) use of a pavement by an aircraft with an aircraft classification number (ACN) higher than the

reported pavement classification number (PCN); e) calculation of the declared distances for runways intended for use by international commercial air

transport; f) evaluation of the impact on safety, whenever a change to the aerodrome’s characteristics,

facilities and equipments is proposed; f) prevention of an aircraft from entering permanently closed runways and taxiways; and g) return of a runway to operational status with regards to the requirements for runway overlay

specifications.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Procedures and guidance materials are being produced.

DCA Not known

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APPENDIX 3-8-5

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/05

Lesotho has not set forth requirements for aerodrome operators to submit an aerodrome manual for the certification of their aerodromes. In the absence of an aerodrome manual, Lesotho has not developed any safety assurance documentation to assess the aerodrome operator’s organizational competence.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Requirement included in the aerodrome certification process.

DCA By January 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-6

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/06

The DCA has not established a process to verify the accuracy of aerodrome data, and there is no quality system in place to ensure the integrity and protection of aeronautical data throughout the data transfer process. In addition, the DCA does not ensure that aerodrome operators provide relevant information regarding movement area conditions, visual approach slope indicator system installations and significant changes in the level of protection available for aircraft rescue and fire fighting (RFF).

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Verification process being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-7

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/07

The DCA does not ensure that the aerodrome operator’s plan for lighting, signs and markings meets national requirements for individual elements. The DCA has not established a process to ensure that this plan is integrated as a whole into the aerodrome’s runway incursion and collision avoidance strategy. Furthermore, the DCA has not developed regulatory requirements for apron markings, taxi side markings and for vehicles drivers to be appropriately trained. In addition, no provisions exist for the suppression, screening or modification of non-aeronautical lights which could present a hazard to aircraft.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Regulatory requirements are being established. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-8

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/08

The DCA does not ensure that the aerodrome operators have a process for determining and providing relevant information that a runway may be slippery when wet, including the minimum friction level for reporting slippery conditions. Furthermore, the DCA has not developed requirement for the establishment of maintenance programmes, incorporating precautions against surface debris on the movement areas and taxiways shoulders. Moreover, the DCA has not ensured that aerodrome operators define maintenance performance level objectives for visual aids. In addition, the DCA has not developed requirements for the measurement of friction characteristics and does not ensure that aerodrome operators maintain good friction characteristics and low rolling resistance on runway.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being prepared. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-9

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/09

Although the Moshoeshoe I International Airport has developed an aerodrome emergency plan (AEP) that includes some provisions of ICAO Annex 14, Lesotho has not developed a specific regulation requiring aerodrome operators to establish such a plan. Furthermore, there is also no requirement for the periodic testing of the AEP. Human factors are not observed, and no command post has been established. Even though the Aviation (Moshoeshoe I International Airport) Regulations, 1986 stipulates that the “operator of an aircraft which is damaged or disabled shall move the aircraft,” there is no information about the removal of disabled aircraft and no coordination with specialist rescue services.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being prepared. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-10

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/10

Lesotho has not established requirements for RFF equipment, training of RFF personnel, quantities and discharge rates, and response times.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-11

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/11

Lesotho has not developed requirements for the conduct of wildlife assessments and does not require aerodrome operators to take appropriate action to decrease wildlife hazards. Furthermore, Lesotho does not collect and forward bird strike reports to ICAO.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-12

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/12

Lesotho has not promulgated regulations requiring the implementation of an SMS as part of the aerodrome certification process. In addition, the DCA has not developed guidance for the development, implementation and evaluation of SMS.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant regulations are being developed. DCA By January 2009

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-13

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/13

Lesotho has not issued a regulatory policy defining the circumstances and rationale under which aeronautical studies and/or risk assessments may be used, and no guidance has been provided to the aerodrome operators and regulatory staff on how to develop and evaluate aeronautical risk assessments. The DCA has not established a process to control the use of aeronautical studies/risk assessments in granting exemptions to requirements.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Regulatory police is being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-14

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/14

The DCA has not established a process to ensure that aircraft safety is not compromised in the event of conflicting interest between land-use and aviation authorities as well as a process for the management of conflicts between safety and environmental requirements. Furthermore, the DCA has not established an effective aerodrome surveillance programme to ensure that aerodrome operators comply with regulatory requirements. In addition, there are no procedures for dealing with deficiencies found during an aerodrome inspection.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being developed. DCA Not known

∗ Text reproduced as submitted by Lesotho

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APPENDIX 3-8-15

CORRECTIVE ACTION PLAN PROPOSED BY LESOTHO RELATED TO AERODROMES

AUDIT FINDING AGA/15

Lesotho does not ensure that aerodrome operators comply with the following: a) primary and secondary power supply requirements, b) the lighting of security fences and barriers, and c) regulatory requirements to provide a fence or suitable barriers to aerodrome and off-aerodrome

ground installations and facilities.

STATE’S COMMENTS AND OBSERVATIONS∗∗∗∗

The CAA agrees with the finding of the ICAO audit team.

CORRECTIVE ACTION(S) PROPOSED∗∗∗∗ ACTION OFFICE

ESTIMATED IMPLEMENTATION

DATE(S)

Relevant legislation is being developed. DCA Not known

— END —

∗ Text reproduced as submitted by Lesotho