FINAL REPORT ON THE SAFETY OVERSIGHT AUDIT OF THE by wuyunyi

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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 SWEDEN


            (21 to 30 October 2008)




    International Civil Aviation Organization
                                                      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 The safety oversight system of Sweden............................................................................... 3
             3.1.1 Critical element 1 — Primary aviation legislation .................................................... 3
             3.1.2 Critical element 2 — Specific operating regulations ................................................ 7
             3.1.3 Critical element 3 — State civil aviation system and safety oversight functions ...... 8
             3.1.4 Critical element 4 — Technical personnel qualification and training ..................... 12
             3.1.5 Critical element 5 — Technical guidance, tools and the provision of
                    safety critical information ....................................................................................... 13
             3.1.6 Critical element 6 — Licensing, certification, authorization and/or
                    approval obligations ............................................................................................... 15
             3.1.7 Critical element 7 — Surveillance obligations ....................................................... 17
             3.1.8 Critical element 8 — Resolution of safety concerns ............................................... 19

         3.2 The Scandinavian surveillance system .............................................................................                   20
             3.2.1 Regulatory background and organization ................................................................                        20
             3.2.2 Technical personnel qualification and training........................................................                         21
             3.2.3 Technical guidance, tools and provision of
                    Safety critical information .......................................................................................           21
             3.2.4 Licensing, certification, authorization and/or
                    approval obligations ................................................................................................         21
             3.2.5 Surveillance obligations ..........................................................................................            21
             3.2.6 Resolution of safety concerns ..................................................................................               22


4.       VISITS TO THE INDUSTRY/SERVICE PROVIDERS ....................................................... 22

5.       AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD) ........................................ 22

6.       STATE AVIATION ACTIVITY QUESTIONNAIRE (SAAQ) ............................................. 23

7.       COMPLIANCE CHECKLISTS (CCs) .................................................................................... 23

8.       FOLLOW-UP ACTION ............................................................................................................ 23




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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 Sweden




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Final Safety Oversight Audit Report — Sweden                                                     August 2009
                           ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME

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

                                                        (21 to 30 October 2008)


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 to the Convention on International Civil Aviation, hereinafter referred to as the
“Chicago Convention” (Assembly Resolution A35-6 refers). The Assembly also requested the
Secretary General to adopt a comprehensive systems approach for the conduct of safety oversight audits.

1.1.3            Assembly Resolution A35-6 further directed the Secretary General to ensure that the
comprehensive systems approach maintain as core elements the safety provisions contained in Annex 1
Personnel Licensing, Annex 6 Operation of Aircraft, Annex 8 Airworthiness of Aircraft, Annex 11
Air Traffic Services, Annex 13 Aircraft Accident and Incident Investigation and Annex 14 Aerodromes;
to make all aspects of the auditing process visible to Contracting States; to make the final safety oversight audit
reports available to all Contracting States; and also to provide access to all relevant information derived from
the Audit Findings and Differences Database (AFDD) through the secure website of ICAO.

1.1.4            In accordance with Assembly Resolution A35-6, safety oversight audit reports have been
restructured to reflect the critical elements of a safety oversight system, as presented in ICAO Doc 9734 —
Safety Oversight Manual, Part A — The Establishment and Management of a State’s Safety Oversight System.
ICAO Contracting States, in their effort to establish and implement an effective safety oversight system, need
to consider these critical elements.

1.2               ICAO audit team composition

1.2.1             The safety oversight audit team was composed of: Mr Nicolas Rallo, team leader, primary
aviation legislation (LEG)/civil aviation organization (ORG)/aircraft accident and incident investigation (AIG);
Ms. CJ Collins, team member, personnel licensing (PEL)/aircraft operations (OPS); Mr. Christian Paul
Olinescu, on-the-job training (OJT)/PEL/OPS; Mr. Léon Vonlanthen, team member, airworthiness of aircraft
(AIR); Mr Christian Eigl, team member, air navigation services (ANS); and Mr. Egon Grösslein, team
member, aerodromes (AGA).


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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 Sweden was carried out from 21 to 30 October 2008 in
accordance with the standard auditing procedures provided for in ICAO Doc 9735 — Safety Oversight Audit
Manual and the revised Memorandum of Understanding (MOU) as approved by the ICAO Council on
29 November 2006 (C-DEC 179/12 refers) and agreed to on 30 November 2007 between Sweden 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 Sweden in implementing these provisions.

2.3                The audit team reviewed the SAAQ and the CCs submitted by Sweden 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 Sweden to assist it in fulfilling its safety oversight obligations.

2.4               On 15 July 2002, the European Community adopted Regulation (EC) No 1592/2002 of the
European Parliament and of the Council on common rules in the field of civil aviation and establishing a
European Aviation Safety Agency (EASA). This regulation provides for the transfer of regulatory
competencies in the fields of airworthiness, continuing airworthiness and environmental certification from the
Member States of the European Union (EU) to EASA. On 6 October 2005, Sweden advised ICAO in writing
of the transfer of such competencies to EASA.

2.5             Since the transfer of competencies to EASA reflects on the scope of the ICAO safety oversight
audits under the comprehensive systems approach, ICAO performed an initial audit of EASA, from
29 November to 2 December 2005. On 20 February 2008, the European Community adopted Regulation (EC)
No 216/2008 of the European Parliament and of the Council, repealing Regulation (EC) No 1592/2002 of the
European Parliament and of the Council. Regulation (EC) No 216/2008 extends the scope of competence of
EASA to pilot licensing, aircraft operations and aircraft used by third-country operators. Taking into


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consideration the extension of the scope of competence of EASA and additional changes within the
organization since the initial safety oversight audit of 2005 by ICAO, ICAO performed a second audit of
EASA from 23 to 25 April 2008. The EASA audit results are made available to all Contracting States through
the ICAO USOAP secure website (http://www.icao.int/soa). It should be noted that Sweden will always
maintain the responsibility for all audit results that are derived from the audits carried out on EASA from time
to time. As a result, the latest EASA safety oversight audit report should be reviewed together with this report.

2.6               The audit results including the findings and recommendations contained in this report reflect
the capabilities and limitations of the civil aviation system of Sweden as assessed by the audit team. They are
thus based on evidence gathered during interviews by the audit team with Sweden’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.


3.       AUDIT RESULTS

3.1               The safety oversight system of Sweden

3.1.1             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.”

3.1.1.1           In Sweden, civil aviation is governed by national legislation and by applicable European
Community (EC) regulations, which are automatically binding to Sweden and which take precedence over the
national legislation and regulations. The Riksdag (Swedish Parliament) is the only body with the authority to
adopt new laws or amend existing ones. In accordance with the Constitution of Sweden, laws adopted by
Parliament are signed, on behalf of the Government, by the responsible Minister. Meanwhile, the Government
can adopt rules, which are known as “ordinances” and which are also signed by the responsible Minister on
behalf of the Government. The Instrument of Government, which is one of Sweden’s fundamental laws,
stipulates what must be decided by law and what can be decided by an ordinance. All laws and ordinances are
published in the Swedish Code of Statutes (Svensk Författningssamling or SFS), which is available in hard
copy and electronically (http://www.riksdagen.se). Depending on the case, the whole amendment process may
take from one to two years for an act, and from six months to one year for an ordinance. The adoption of a new
act and the amendment of an existing one follow the same process, including internal consultations within
Government bodies and external consultations with the industry concerned.

3.1.1.2           The State’s primary aviation legislation is the Aviation Act (1957:297), first promulgated on
6 June 1957 and last amended on 1 July 2008. The Aviation Act and its amendments are signed by the Minister
in charge of civil aviation. The Aviation Act is organized into two parts: Part 1 (divided into 14 chapters) for
civil aviation and Part 2 for military and State aviation. It is complemented by the Aviation Ordinance
(1986:171), which was promulgated on 27 February 1986 and last amended on 1 September 2008. The
Aviation Ordinance delegates authority to the Swedish Civil Aviation Authority (SCAA) to regulate all civil
aviation activities. An ordinance laying down the Statute for the Swedish Civil Aviation Authority (2007:959)


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was promulgated on 1 January 2007 and outlines the duties and functions of the SCAA.

3.1.1.3           Under the Aviation Act, the Government has the authority to issue regulations in all fields
related to civil aviation safety, and this authority is delegated by the Aviation Ordinance to the SCAA. In
particular, the Aviation Ordinance states that, in issuing regulations, the SCAA shall “observe the standards
laid down by ICAO and any other international agreement entered into by Sweden.”

3.1.1.4            The Aviation Act, the Aviation Ordinance, and the applicable European regulations contain
provisions which enable the SCAA inspectors to access and inspect aircraft as well as most aviation facilities
and aviation documents. However, there are no provisions in the legislation to enable inspectors to access and
inspect air operators’ offices, aviation training organizations (other than those related to airworthiness), and
some aviation documents (e.g. licences when the verification is not on board an aircraft). Inspector credentials
are issued by the SCAA to the qualified staff upon completion of all the required training. In addition to these credentials,
inspectors are issued administrative “authorizations” which delineate the authority and powers granted to them.

3.1.1.5           Enforcement provisions are outlined in the Aviation Act and the Aviation Ordinance. Both acts
address the suspension and revocation of licences and certificates issued by the SCAA. In addition, penalties
for infringements are laid down in Chapter 13 of the Aviation Act and paragraphs 135 to 137 of the Aviation Ordinance.

3.1.1.6         The Aviation Act and the Aviation Ordinance provide for the granting of exemptions following
the related procedures established by the SCAA. While the primary aviation legislation satisfactorily
implements the provisions of the Chicago Convention, some aspects of the Chicago Convention have not yet
been transposed. In particular, the provisions of Article 83 bis of the Chicago Convention, which was ratified
by Sweden on 13 July 1987, are not reflected in the Swedish legislation.

3.1.1.7           Personnel licensing activities in Sweden are governed by the Aviation Act, Chapter 4, and the
Aviation Ordinance, Article 84. These acts require the SCAA to develop regulations for licensing, including
the mutual recognition, validation or conversion of foreign licences. The power to revoke a licence is laid down
in Chapter 4 of the Aviation Act and is exercised by the general administrative courts of Sweden upon
notification by the SCAA.

3.1.1.8           With respect to aircraft operations, Council Regulation (EEC) No 2407/92 of 23 July 1992 on
licensing of air carriers requires EU Member States to deliver, grant and maintain operating licences for air
carriers. The issuance and validity period of operating licences are dependent on the possession of a valid air
operator certificate (AOC) issued in accordance with the Regulation (EC) No 1899/2006 of the European
Parliament and of the Council of 12 December 2006. The Aviation Act, Chapter 7, empowers the SCAA to
revoke an operating licence if the holder “significantly” disregards the operating regulations. Documents to be
carried on board of an aircraft as specified in Article 29 of the Chicago Convention are required by the
Aviation Ordinance; however, passenger lists and cargo manifest are not in the list of documents to be carried
on board and are only required if requested by a State concerned with a specific flight under Commission
Regulation (EC) No 289/2008 of 31 March 2008. The transport of dangerous goods by air is regulated by the
Aviation Act, Chapter 8, and by the Act on Transport of Dangerous Goods (2006:263).

3.1.1.9         In the field of airworthiness and maintenance of aircraft, the adoption on 15 July 2002 of
Regulation (EC) No 1592/2002 of the European Parliament and of the Council of 15 July 2002 (recently
replaced by Regulation (EC) No 216/2008 of the European Parliament and of the Council of
20 February 2008) paved the way for a centralized EC system of air safety and environment regulations and
for the establishment of the European Aviation Safety Agency (EASA), which was launched in
September 2003. (Note: More details on EASA and its areas of competence can be found in the ICAO final


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safety oversight audit report of EASA.)

3.1.1.10          The areas currently covered by EC regulations are as follows:

                  a)    approval of type certificates (TCs), supplemental type certificates (STCs), as well as
                        modifications and repairs;
                  b)    certificates of airworthiness, environmental certificates, and special flight permits;
                  c)    approval of approved maintenance organizations (AMOs), approval of continuing
                        airworthiness management organizations (CAMOs), maintenance training organizations,
                        design organizations and production organizations;
                  d)    licensing of maintenance engineers; and
                  e)    surveillance of airworthiness activities.

3.1.1.10.1       EASA is also directly responsible for the approval of TCs, STCs, modifications and repairs as
well as the approval and oversight of design organizations.

3.1.1.11           National provisions regarding registration and airworthiness are laid down in the Aviation Act
and the Aviation Ordinance. Chapters 2 and 3 of the Aviation Act contain provisions for aircraft registration,
airworthiness, and environmental issues. The Aviation Ordinance authorizes the SCAA to issue airworthiness
regulations (Section 18); carry out surveillance of aircraft airworthiness (Section 14); and delegate inspection
and surveillance functions to a special expert (Section 16). The Aviation Ordinance, Section 19, outlines
provisions on the issuance of certificates of airworthiness or delegation of the authority to issue and renew
certificates of airworthiness to a special expert. These certificates may be limited to a certain period, to certain
flights, or within a certain area, and may be renewed upon compliance with established requirements. The Aviation
Act, Chapter 3, Section 5 describes the conditions under which the certificate of airworthiness shall be revoked.

3.1.1.12          With respect to ANS, Chapter 6, Section 3 of the Aviation Act stipulates that the Government
or the authority that it has designated shall issue regulations relating to ANS and that the authority responsible
for ANS may arrange for such services to be performed by other parties. As such, the designated authority is
the SCAA and the ANS service provider the Luftfartsverket (LFV). Search and rescue (SAR) services provided
within Sweden are governed by the Aviation Act (Chapter 11, Sections 1 to 6) and the Civil Protection Act
(2003:778). Overall, in line with the requirements outlined in the Chicago Convention, Sweden possesses a
comprehensive legislative framework for ANS (covering air traffic services or ATS, aeronautical information
services or AIS, aeronautical charts, procedures for air navigation services/aircraft operations or PANS/OPS
procedure design, communication, navigation and surveillance or CNS, meteorological services or MET and SAR).

3.1.1.13       With regard to AIS, ATS, CNS and MET, Sweden is directly legislated by the four Single
European Sky (SES) Regulations of the European Parliament and the Council promulgated on 10 March 2004.
These are:

                  a)    Regulation (EC) No 549/2004 of the European Parliament and of the Council, which
                        laid down the framework of the creation of the Single European Sky;
                  b)    Regulation (EC) No 550/2004 of the European Parliament and of the Council, on the
                        provision of services in the Single European Sky;
                  c)    Regulation (EC) No 551/2004 of the European Parliament and of the Council on the
                        organization and the use of the airspace in the Single European Sky, and
                  d)    Regulation (EC) No 552/2004 of the European Parliament and of the Council on the
                        interoperability of the European air traffic management network.



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3.1.1.14          The SES Regulation (EC) No 550/2004 of the European Parliament and of the Council requires:

                  •     the nomination by all EU Member States of a national supervisory authority (NSA) to
                        monitor the safe provision of air navigation services; and
                  •     the certification of providers of ATS, CNS, MET and AIS against the common
                        requirements established at the EC level in the SES regulation Commission Regulation
                        (EC) No 2096/2005 of 20 December 2005.

3.1.1.15         With respect to the aerodromes, Chapter 6 (Sections 1 to 16) of the Aviation Act outlines the
basic legal provisions regarding their establishment and operation. According to the Aviation Act, aerodromes
for public use (public aerodromes) may not be established or operated without a permit from the Government
or the designated authority (the SCAA). The Aviation Act also provides for the promulgation of specific
aerodrome regulations as well as regulations regarding obstacle-free zones. In addition, the Planning and
Building Act (1987:10; PBA) requires the owners of buildings and other obstacles in the vicinity of the
aerodromes to coordinate with the aerodrome operators and other parties concerned. Other basic aerodrome-
related provisions are also outlined in Sections 53 to 63 of the Aviation Ordinance. In particular, the Aviation
Ordinance (Section 55) mandates the SCAA to issue regulations concerning the maintenance and operation of
public aerodromes. It also designates the SCAA as the supervisory authority for all aerodromes.

3.1.1.16       Aircraft accident and incident investigation in Sweden is governed by the Accident
Investigation Act (1990:712) and the Accident Investigation Ordinance (1990:717). Both acts were
promulgated on 23 May 1990, entered into force on 1 July 1990, and last amended on 1 July 2007.

                  a)    The Accident Investigation Act addresses various transportation modes, including
                        aviation, and makes it mandatory for the authority designated by the Government to
                        investigate accidents and serious incidents (namely “incidents that could have developed
                        into accidents”). This Act also stipulates the objective of the investigation and provides
                        the necessary access and investigation powers to the investigation authority.

                  b)    The Accident Investigation Ordinance complements the Accident Investigation Act by
                        designating the Statens haverikommission (Swedish Accident Investigation Board and
                        hereinafter referred to as SHK) (http://www.havkom.se) as the investigation authority.
                        In particular, the Accident Investigation Ordinance addresses the participation of
                        “foreign authorities and international organizations” in the investigations conducted by
                        the SHK. It also contains provisions regarding the completion of final reports and the
                        issuance of safety recommendations by the SHK.

3.1.1.17          There are however no provisions in the legislation to ensure the protection from disclosure of
cockpit voice recorders (CVR), CVR transcripts, and all other investigation records listed in Annex 13 to the
Chicago Convention. All investigation records may be released to the public, according to the provisions of the
Constitution of Sweden, which guarantees freedom of access to information. The Aviation Act requires the
notification of accidents and serious incidents to the SCAA, and the Aviation Ordinance states that this
notification shall be immediate and that the SCAA shall in turn immediately notify the SHK of all accidents
and serious incidents. According to the Aviation Ordinance, police and local authorities are also required to
notify accidents and serious incidents to the SCAA and the SHK.




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3.1.2             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.”

3.1.2.1           Entrusted with rulemaking authority under the Aviation Ordinance, the SCAA promulgates
the civil aviation regulations of Sweden. These regulations are first drafted within the SCAA before they go
through a consultation process involving the relevant stakeholders. Upon completion of the consultation and
approval process, the regulation or amendment is signed by the Director General of the SCAA and published
on the SCAA website (http://www.luftfartsstyrelsen.se). Individuals and organizations may subscribe to receive
all regulations and their amendments.

3.1.2.2           Overall, Sweden has established a comprehensive regulatory framework for the various safety-
related fields of civil aviation. The SCAA has implemented a formal procedure for reviewing ICAO State
letters, consulting the other authorities involved, identifying and notifying to ICAO existing differences with
the ICAO SARPs, and initiating rulemaking activity when necessary. Significant differences are published in
the Aeronautical Information Publication (AIP) of Sweden, as called for by Annex 15 to the Chicago
Convention.

3.1.2.3        With respect to personnel licensing and training, the SCAA has developed regulations to
implement the provisions of Annex 1 to the Chicago Convention, with the entire set made available to the
public on the SCAA’s website. For pilot licensing, several regulations transpose the Joint Aviation
Requirements (JARs) into the Swedish regulatory framework. These are:

                  a)    LFS 2008:30 for JAR-FCL 1 Amendment 7 — Aeroplanes;
                  b)    LFS 2008:31 for JAR-FCL 2 Amendment 4 — Helicopters; and
                  c)    LFS 2008:28 for JAR-FCL 3 Amendment 5 —Medical.

3.1.2.4            LFS 2008:29 addresses the issues about the mutual recognition, conversion and validation of
foreign licences. Language proficiency requirements are outlined in LFS 2008:32, General Requirements for
Licence Authority and Ratings. LFS 2008:11 lays down the licensing provisions for air traffic controllers,
transposing the EUROCONTROL Safety Regulatory Requirement (ESARR) 5 requirements as well as the
Directive 2006/23/EC of the European Parliament and of the Council of 5 April 2006 on a Community air
traffic controller licence. With regard to the licensing of aircraft maintenance personnel, the SCAA follows the
Commission Regulation (EC) No 2042/2003 of 20 November 2003, Part 66 and Part 147, and EASA
Implementing Rules, Part 66 and Part 147.

3.1.2.5          Commercial aircraft operations (with aeroplanes) in Sweden are conducted in accordance with
Regulation (EC) No 1899/2006 of the European Parliament and of the Council of 12 December 2006, which
replaces the JAR OPS 1 requirements. Commercial helicopter operations are conducted in accordance with
LFS 2008:36, which transposes JAR OPS 3 into the national regulatory framework. Duty and flight time
limitations are covered by LFS 2007:33. Requirements regarding the transport of dangerous goods by air are
spelled out in the Ordinance for Dangerous Goods (2006:311) and in LFS 2007:23, for air operators not


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holding an AOC approval. The SCAA has established procedures for addressing new amendments to the
Annexes to the Chicago Convention. However, for Annex 6, Part I, the new Standards that were adopted on
3 March 2008 and included in Amendment 32 have not been addressed by Sweden.

3.1.2.6          In the field of airworthiness and maintenance of aircraft, the type certification of aircraft,
approval of major modifications and repairs, approval of air operator maintenance requirements, and noise-
related provisions of Annexes 6, 8 and 16 to the Chicago Convention are addressed by EC regulations and
related EASA provisions. In addition, national requirements are laid down in the BCL-M regulations
(Bestämmelser för Civil Luftfart), which address all the airworthiness-related activities of the SCAA.

3.1.2.7          With respect to ANS, Commission Regulation (EC) No 1315/2007 of 8 November 2007 on
safety oversight in air traffic management and Commission Regulation (EC) No 2096/2005 of
20 December 2005, which lays down the common requirements for the provision of air navigation services, are
directly applicable and binding in Sweden. In accordance with Article 14 of Commission Regulation (EC)
No 2096/2005, “air navigation service providers should operate in compliance with the relevant ICAO
standards.” To this end, Commission Regulation (EC) No 2096/2005 promulgates the requirements of
Annexes 2, 3, 4, 10, 11, 14 (for aspects relating to MET), and 15 to the Chicago Convention. However, said
regulation has not been updated to keep in line with the latest ICAO amendments, pending review by the
Single Sky Committee of the European Commission.

3.1.2.8          In addition to the above mentioned EC regulations and on the basis of the Aviation Ordinance,
Sweden has promulgated a comprehensive set of national regulations on air navigation services in conformance
with the related ICAO SARPs, making most of them directly applicable or transposing them into manuals,
handbooks and other operational documentation. With the exception of Annex 5 to the Chicago Convention— Units
of Measurement to be Used in Air and Ground Operations, all ANS-related the Annexes to the Chicago Convention
are covered by formal requirements.

3.1.2.9          Sweden has established air traffic control (ATC) contingency procedures for radio
communication contingencies, emergency separation, and short-term conflict alert. However, similar
procedures for minimum safe altitude warning (MSAW) are not yet implemented as the required
facilities/equipment are not yet operational in the ATS system.

3.1.2.10        With respect to aerodromes, in addition to the Aviation Act and the Aviation Ordinance, the
SCAA has promulgated comprehensive regulatory requirements to ensure the implementation of Annex 14,
Volumes I and II to the Chicago Convention. These requirements are outlined in the BCL-F regulation, which
is subdivided into several parts covering all Annex 14-related items. In particular, requirements regarding
aerodrome certification are laid down in the BCL-F, 1.2.

3.1.2.11        With respect to aircraft accident and incident investigations, no specific regulation has been
promulgated, as the essential provisions are outlined in the Accident Investigation Act and Accident
Investigation Ordinance. As far as occurrence reporting is concerned, the SCAA issued the Regulation on
Occurrence Reporting (LFS 2007:68) on 20 June 2007 which requires the reporting of incidents to the SCAA
within 72 hours of their occurrence.

3.1.3             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.


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         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.”

3.1.3.1         Established as an autonomous civil aviation authority, the SCAA reports to the Ministry of
Enterprise, Energy and Communications and is headed by a Director General. It is organized into eight
Departments, namely:

                  1)    Flight Operations.
                  2)    Airport, Air Navigation Service and Security,
                  3)    Airworthiness,
                  4)    Research, Evaluation and Analysis,
                  5)    Legal,
                  6)    Administrative,
                  7)    Human Resources, and
                  8)    Administration.

3.1.3.1.1        All Departments are headed by Directors and made up of several Sections. The SCAA is
located in the city of Norrköping and has a satellite office in the city of Sollentuna, which is in vicinity of
Stockholm-Arlanda airport. The SCAA is funded entirely by civil aviation-related fees and charges.

3.1.3.2           The functions of the departments of the SCAA are described in an internal document of the
SCAA entitled Rules of Procedures for the Swedish Civil Aviation Authority (LSIF 2008:6). The SCAA plays
an active role in the selection and recruitment of its staff.

3.1.3.3         Sweden, in cooperation with Denmark and Norway, has assigned oversight tasks related to the
regulation and surveillance of the Scandinavian Air System (SAS) air operator to the Scandinavian Flight
Safety Office (STK). More details about the STK system can be found in Section 3.2 of this report.

3.1.3.4           Personnel licensing activities are carried out by 17 personnel licensing officers who are
assigned to the Personnel Licensing and Examinations Section of the Flight Operations Department of the
SCAA. Five of the personnel licensing officers are authorized by the Head of the Section to sign licences.
While the Section is assigned responsibilities for all categories of licences, including the medical aspects and
record keeping of the licences, the Flight Operations Department has responsibility over the technical aspects
of flight crew licensing.

3.1.3.4.1       Responsibilities for the approval of flight crew training organizations are shared between the
Flight Operations and Training, Aeroplanes Section and the Flight Operations and Training Helicopters and
Other Section under the Flight Operations Department.

3.1.3.4.2        The Airworthiness Department has responsibility over the technical aspects of the licensing of
aircraft maintenance personnel and the certification of maintenance training organizations.

3.1.3.4.3         The Airport, Air Navigation Service and Security Department is responsible for the technical
aspects of the licensing of air traffic controllers and approval of their training organizations.



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3.1.3.4.4         Job descriptions are available for most of the staff in charge of personnel licensing and
training but not for the technical staff of the Flight Operations and Training, Aeroplanes Section.

3.1.3.5          The SCAA has designated 87 flight examiners for a validity period of three years based on
JAR-FCL requirements, including 27 who are designated as Senior Examiners. To qualify for designation as
flight examiners, candidates must hold or have held the pertinent licence and ratings as well as meet the
experience requirements stated in the JAR-FCL. Then they have to complete a specific course and perform a
practical examination under supervision of a Senior Examiner. Designated examiners are required to attend an
annual refresher seminar organized by the SCAA to receive briefings on changes to the requirements and to
discuss problems encountered.

3.1.3.5.1       The SCAA designates medical examiners following an evaluation performed by one of its two
medical assessors. The Head of the Personnel Licensing and Examinations Section issues the certifications for
medical examiners and for aeromedical centres.

3.1.3.6           The responsibilities of the Flight Operations Department are described in the organizational
structure of the SCAA. In particular, the Flight Operations Department is assigned responsibility for the safety
oversight of flight operations, including approvals for the transport of dangerous goods by air. Within the
Department, responsibilities for rulemaking, certification and surveillance of commercial operations involving
aeroplanes are assigned to the Flight Operations and Training, Aeroplanes Section, while those for commercial
operations involving helicopters, general aviation activities, and the transport of dangerous goods are assigned
to the Flight Operations and Training, Helicopters and Other Section. Job descriptions have been developed for
the technical staff of the Flight Operations and Training, Helicopters and Other Section, but not for all
positions within the Flight Operations and Training, Aeroplanes Section. Overall, the Flight Operations
Department does not have sufficient human resources for its level of activity in the areas of aircraft operations
and dangerous goods.

3.1.3.7         The Flight Operations Department has four flight operations inspectors and ten more flight
operations inspectors who are based at the SCAA satellite office in Sollentuna. These inspectors report to the
Heads of the Flight Operations and Training, Aeroplanes Section, and the Flight Operations and Training,
Helicopters and Other Section, as applicable. Delegation of authority to the inspectors is provided for in the
Rules of Procedure for the Swedish Civil Aviation Authority (LSIF 2008:6). Meanwhile, the operations
manuals of AOC holders are approved by the Head of the Flight Operations Department on behalf of the
Director General of the SCAA.

3.1.3.8        In the field of airworthiness and maintenance of aircraft, the Airworthiness Department of the
SCAA is divided into two sections, namely the Initial Airworthiness Section and the Continuing Airworthiness
Section, and has a total staff of 41 engineers and inspectors (with 3 vacancies at present). The Legal
Department, which issues the certificates of registration, is responsible for maintaining the aircraft registry.

3.1.3.8.1         Certificates of airworthiness and noise certificates are issued by the Initial Airworthiness
Section based on the EASA type and environmental certification. The certificates of airworthiness are issued
without expiration date and are only valid in conjunction with valid airworthiness review certificates (ARCs), which are
renewed or extended every year. The ARCs may be issued by the SCAA or by other approved organizations.

3.1.3.8.2       The SCAA only accepts modifications and repairs based on EASA approval, and it also only
accepts TCs and STCs which are issued by EASA. Design organization approvals are issued by EASA, while
production organization approvals (POA) are under the responsibility of the Initial Airworthiness Section.



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3.1.3.8.3         The Continuing Airworthiness Section, with a staff of 18 inspectors and 3 administrative
personnel, is responsible for the Part-145 and Subpart-M activities. It issues approvals for AMOs and CAMOs.
At the same time, it is also responsible for the continuing surveillance of AMOs and CAMOs and of the
airworthiness of the 2 500 aircraft in the registry.

3.1.3.9        All air navigation services (except for SAR) within the Sweden Flight Information
Region/Upper Flight Information Region are provided by the designated ANS provider, Luftfartsverket (LFV).

3.1.3.10          SAR services within the Sweden Search and Rescue Region (SRR) are provided by the SCAA
from its rescue coordination centre (RCC) located in Gothenburg, in close cooperation with the maritime and
military authorities. To facilitate the conduct of SAR operations, Sweden has concluded Letters of Agreement
with its neighbouring States, but not with the Russian Federation (for the Kaliningrad SRR). The SCAA carries
out safety oversight of the SAR service provision, but there is no distinct separation of responsibilities between
the regulatory/inspection function and the service provider function.

3.1.3.11          As the NSA mandated under (EC) Regulation No 550/2004 of the European Parliament and
of the Council, the SCAA is responsible for the safety oversight of the service provider LFV. The SCAA has
six established ANS inspector posts, but only three are filled. This staffing level is insufficient for the scope of
responsibilities there. To carry out ANS inspection in Sweden, ANS inspectors are accompanied by experts
(non-inspectors) in the different ANS fields drawn from an in-house pool to bring more flexibility and
efficiency in the management of the ANS surveillance programme. Inspection checklists have been developed,
while reporting and follow ups are organized effectively under the responsibility of the ANS inspector
concerned. An ATS safety programme is in place, and the safety management system (SMS) of the LFV is
routinely audited under the inspection scheme of the SCAA.

3.1.3.12           With respect to aerodromes, the Airport Section, established within the Airport, Air
Navigation Service and Security Department of the SCAA, carries out all certification and surveillance
activities for 53 certified instrument aerodromes (18 of which are international aerodromes), 7 non-instrument
aerodromes and 32 non-instrument heliports (total 92) within the State. In addition to the Head of the Section,
there are 7 inspectors in charge of aerodrome certification and inspection, 2 staff in charge of rulemaking,
3 staff involved in aerodrome planning and environmental matters, and 1 clerical staff. Overall however, the
Airport Section does not have a sufficient number of inspectors to carry out a comprehensive aerodrome
surveillance programme.

3.1.3.13          The Swedish Accident Investigation Board (SHK) was established in 1978 to investigate
accidents involving civil and military aircraft. Today, it is in charge of accident and incident investigations not
only in the aviation sector, but also in other fields, including shipping, rail traffic, mining, road traffic, as well
as activities involving chemicals, nuclear materials, or medical technology. The SHK reports to the Ministry of
Defence and its functions are stated in the Ordinance with Instructions for the SHK (2007:860) (last amended
on 1 January 2008). Located in Stockholm and without any regional offices, the SHK is organized into two
Departments: one covers the maritime and rail sectors, while the other deals mostly with aviation occurrences.
Funding for the SHK comes from the various sectors covered by its operations, with funding for its civil
aviation-related activities (which accounts for 45 per cent of its total budget) coming from the SCAA.

3.1.3.14           The SHK has 2 full-time and 1 part-time investigators for civil aviation accidents and
incidents. It also has one military investigator who provides assistance to the civil aviation investigations. They
are assisted by 1 human factor expert and 1 expert in rescue and fire fighting operations. In general, the current
number of civil aviation investigators in the SHK is insufficient. This has resulted in delays in the completion
of investigation reports, and also limits the ability of the SHK to carry out in-depth investigations of incidents


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that are likely to yield safety benefits. The shortage of staff has also prevented the investigators from taking
part in necessary training.

3.1.4             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.”

3.1.4.1            The SCAA has developed a Competency Plan for the SCAA 2008 (2008-1141) to serve as the
basis for staff training. Competence profiles for various positions are described in the Operations Manual of the
SCAA. The SCAA uses a computerized record keeping system for individual files, which are accessible on the SCAA
Intranet. The Human Resources Department of the SCAA is responsible for overseeing the record-keeping system.

3.1.4.2         In the area of personnel licensing, the SCAA has laid down the knowledge and experience
requirements for the licensing staff. It has also established a formal training programme (including specialized,
on-the-job and recurrent training) for its personnel.

3.1.4.3          The SCAA appoints designated flight examiners from the industry to perform examinations on
its behalf. The designated flight examiners are appointed for a three-year period following completion of a
flight examiner seminar and a successful acceptance flight test. The designation can be renewed for another
three years on the condition that the examiner has performed at least ten examinations per year, attended a
flight examiner seminar, and passed an acceptance flight test.

3.1.4.4          The SCAA has on staff two medical assessors who review medical reports submitted by
medical examiners designated by the SCAA. All assessors and examiners have received extensive initial and
recurrent training (including aeromedical training). Practical experience is required for medical examiners,
such as observation in a flight simulator, personal flying experience, or observation of ATC activities. A
recurrent training programme is being implemented, which includes participation in an annual refresher
seminar organized by the SCAA and attendance at various aviation medicine conferences.

3.1.4.5          With respect to aircraft operations, the SCAA has established knowledge and experience
requirements for its operations inspectors. An annual training plan has also been developed by the Human
Resources Department of the SCAA for all newly-hired inspectors, with six basic modules forming the core
competency training that spans 12.5 days. The training programme also includes specialized, on-the-job, and
recurrent training. It is however not implemented for the technical staff of the Flight Operations and Training,
Aeroplanes Section. Flight operations inspectors have valid licences and ratings, and maintain flight currency
by flying as co-pilots for 25 per cent of their total work time with air operators which are not under their
oversight responsibility.

3.1.4.6         With respect to the transport of dangerous goods by air, one of the operations inspectors of the
SCAA has received training in this area and participates in the AOC certification process. Two designated officials for
dangerous goods have received related initial and recurrent training but they are assigned to work with shippers only.

3.1.4.7          In the field of airworthiness and maintenance of aircraft, the SCAA has outlined minimum
qualification and experience requirements for its inspectors and engineers in the Airworthiness Department
Handbook, which also describes the related training policy and programme. An annual training plan is in place.
Training received is reviewed and training needs for the coming year are assessed during the annual personal


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evaluation of the staff.

3.1.4.8           With respect to ANS, the SCAA has not established minimum qualification and experience
requirements for its inspectors and experts. No comprehensive training programme (including initial, on-the-
job, recurrent, and specialized training) and periodic training plans for the ANS inspectors and SCAA experts
have been established. Apart from ad hoc attendance of training events by individuals as and when a need
arises, periodic training is not carried out systematically.

3.1.4.9           With respect to aerodromes, the SCAA has laid down minimum qualification and experience
requirements for its regulatory staff and inspectors. A formal, module-based training programme is
implemented, detailing the type of training to be provided. Before they are delegated the appropriate
responsibilities, inspectors have to meet minimum qualification criteria. Training records of the inspectors are
kept as part of their qualification procedure. However, training plans have not been formally developed, and
the training to be provided is decided based on discussions between inspectors and their managers.

3.1.4.10         With respect to aircraft accident and incident investigation, the SHK has laid down adequate
qualification and experience requirements for the recruitment of aviation investigators. These investigators are
provided training courses on an ad hoc basis. However, the SHK has not yet established a formal training
programme, including details of the necessary initial/basic training, on-the-job training, and advanced or
specialized training. In addition, training plans are not established and training records are not kept in a
comprehensive manner.

3.1.5             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.”

3.1.5.1          The SCAA staff have appropriate facilities, equipment and means of transportation to enable
them to perform their duties effectively. The SCAA has a technical library which provides the staff with
updated documents, including the latest electronic editions of relevant regulations, manuals, and ICAO
publications. All staff have access to the Internet and the SCAA’s Intranet.

3.1.5.2          Most procedures issued by the SCAA are outlined in the Operations Manual of the SCAA,
which is a collection of electronic documents. The Operations Manual has a general section applicable to the
entire SCAA and specific sections for each Department within the SCAA.

3.1.5.3          The SCAA has established procedures and technical guidance for the issuance of personnel
licensing; the validation, conversion and mutual recognition of foreign licences; processing of medical
assessment; and the approval of training organizations. Complementary guidance is provided by Section 2 of
the JAR FCL. Additionally, the SCAA has issued a Flight Examiners Handbook, while extensive technical
guidance for medical assessments is provided in the Aeromedical Examiners Handbook (including forms,
checklists and procedures).




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3.1.5.4         All records related to personnel licences and approvals of training organizations issued by the
SCAA are maintained in a computerized database, with access rights properly controlled. Paper copies of
personnel licensing records are also kept for a period of three months, in case of an appeal, before they are
destroyed. Medical files are kept in a fire-proof chamber, under strict access control.

3.1.5.5          With respect to aircraft operations, the SCAA has issued technical guidance material based on
EU-OPS, JAR-OPS 3, and the national regulations referred to as LFS. These include a series of checklists
which cover the main areas of activities, such as the certification process, the assessment of application forms,
the renewal and amendment of AOCs, inspections and principal authorizations, surveillance policies, and
follow ups on discrepancies. The checklists are supplemented by the guidance provided by Section 2 in
JAR-OPS 1 and JAR-OPS 3. Within the SCAA, various documents have been developed for the operations
inspectors regarding the acceptance or approval of aircraft leasing arrangements, but the documents have not
been formally approved. Similarly, procedures have been developed but are still awaiting approval for
evaluating the transfer and acceptance of tasks with respect to Article 83 bis of the Chicago Convention
(including an evaluation of the capability of the State of the Operator to accept the transfer). The SCAA does
not ensure consistent coordination during certification, licensing, approval and inspection activities among the
relevant Departments of the SCAA, including legal, personnel licensing, flight operations, and airworthiness
departments.

3.1.5.6          The SCAA has not developed technical guidance materials on the approval, inspection and
surveillance of the transport of dangerous goods by air for its dangerous goods inspectors.

3.1.5.7         Guidance on the granting of exemptions is laid down in the Rules of Procedures for SCAA
(LSIF 2008:7), while enforcement procedures are outlined in the Decision Making and Drafting Procedures of
the SCAA (LSIF 2008:5) and the Basic Foundation and Routine for Legal Charges (LS 2008-5006).

3.1.5.8           In the area of airworthiness, comprehensive procedures, guidelines, checklists and forms are
provided to the inspectors and engineers on the SCAA Intranet. They address initial certification and
continuing airworthiness, as well as the surveillance of operators, AMOs and CAMOs. The procedures and
forms issued by the SCAA are largely derived from the EASA regulatory material. Aside from information
available on the Internet, a technical library holding hard copies of documents and a large collection of CDs is
also available to the technical staff. A librarian clerk keeps access codes and passwords for all the necessary
electronic-based information for the inspectors and engineers. Access to design organization documentation is
available through the technical library of EASA.

3.1.5.9          In the ANS field, oversight-related procedures have been developed and are part of the
Operations Manual of the SCAA. The ANS inspectorate maintains both paper and electronic copies of all
applicable documentation for inspection guidance and reference. The library holds legislation, regulations,
service providers’ manuals, and ICAO documents. Relevant documentation from agencies such as the EC and
EUROCONTROL is kept in a controlled electronic library accessible to all staff on the SCAA Intranet.

3.1.5.10        The AIP of Sweden is published in three parts in accordance with the provisions of Annex 15
to the Chicago Convention, and is available in both the English and Swedish languages. Aeronautical charts (in
hard copy or in electronic format) are made available to the users and to other States on the Internet
(http://www.lfv.se). The requirements for AIS data integrity are met in accordance with the provisions of
Annex 15. However, although Sweden has established procedures for the provision of service to aircraft in the
event of emergency, information regarding unlawful interference has not been included in the AIP of Sweden.
Similarly, Sweden has not developed and promulgated contingency plans to be implemented in the event of
disruption or potential disruption of ATS or related supporting services as required by Annex 11 to the


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Chicago Convention.

3.1.5.11          With respect to aerodromes, the SCAA has developed guidance material for the various
technical areas to assist its regulatory staff in carrying out their safety oversight tasks. Issued under the title
“AGA-Process,” the guidance material addresses all certification and surveillance tasks, including issuance and
renewal of aerodrome certificates, issuance of exemptions, review and approval of the aerodrome manuals, and
conduct of risk assessment and safety studies. The SCAA provides these publications to the aerodrome
operators. For specific areas, such as the calculation of runway-related physical characteristics or the issuance
of Notices to Airmen (NOTAMs) and SNOWTAMs, the necessary guidance is outlined in the BCL-F. The
BCL-F also provides guidance to the SCAA regulatory staff and the aerodrome operators on the evaluation of
the impact on the safety of the existing operation of any change to the aerodrome physical characteristics,
facilities and equipment, and on obstacle control. Detailed requirements regarding obstacle limitation surfaces
are laid down in the BCL-F 2.2. Sweden has a quality system in place, which ensures that the accuracy,
integrity and protection requirements for aeronautical data reported by the aerodrome operators are met
throughout the data transfer process.

3.1.5.12          With respect to aircraft accident and incident investigation, the SHK provides adequate
facilities, documentation and equipment to its aviation investigators. However, the SHK does not have its own
storage facilities and has not established means to ensure that a secure storage facility would be available to
keep custody of wreckage should the need arise. The SHK has issued a handbook entitled Civil Aviation
Operational Handbook (hereinafter referred to as the Handbook) to serve as guidance to its aviation
investigators. The Handbook, which is a fully approved and controlled document, was first issued in 2006 and
has been amended three times, the last time on 26 September 2008. It outlines policies and procedures
regarding the conduct of investigations by the SHK as well as the participation of SHK investigators in
investigations conducted by other States. Final reports for all investigations conducted by the SHK are
completed and published on the organization’s website (http://www.havkom.se).

3.1.6             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.”

3.1.6.1          All personnel licences and ratings in Sweden are of the expiring type with various periods of
validity. Candidates seeking to renew their ratings have to undergo flight checks or show proof of recent
experience. All applications are sent to the Personnel Licensing and Examinations Section where they are
converted from hard copy format and stored in digital format. Two licensing officers carry out assessment of
licence applications and their associated documentation. Once a licence is approved, it is verified by a second
personnel licensing officer before it is signed. All data related to licence holders are stored in the SCAA’s
electronic database, with access rights properly controlled.

3.1.6.2         All medical assessments are issued by either one of the two medical assessors of the Personnel
Licensing and Examinations Section, after the medical examination reports have been reviewed and submitted
by the medical examiner. Designated medical examiners sign the certificates for all classes of medical
assessments, except for the initial issue of class 1 medical certificates, which are signed by one of the Medical
Assessors. The SCAA has approved 160 designated medical examiners and two aeromedical centres. There are
presently more than 10,000 valid medical certificates.


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3.1.6.3          Theoretical examinations are organized by training organizations for maintenance personnel
and air traffic controllers, and by approved Testing Centres for pilots, one of which is located abroad.
Theoretical tests for pilots are prepared by the SCAA, using the JAA Central Questions Bank. All
examinations are computer-based and monitored by proctors approved by SCAA.

3.1.6.4          Flight examinations are given by SCAA flight inspectors or by designated flight examiners,
except for the initial issue of commercial and airline transport licences in which flight examinations are
performed only by SCAA flight inspectors. The SCAA has developed a procedure to convert national military
qualifications into JAR FCL licences. The procedure includes a transition course, JAR FCL 3 medical
certificate, as well as passing full theoretical and flight examinations. Regarding language proficiency
requirements, the SCAA authorizes individuals to perform as aviation language assessors for English and
Swedish languages. Language assessor authorizations, with a three-year validity period, have been issued to
75 language assessors. At the same time, the SCAA has developed language tests, including audio-clips for testing.

3.1.6.5           Training organizations are certified based on the procedures established for each type of
training. The certification process includes approval of training manuals and on-site audits performed by the
responsible technical department of the SCAA. There are 31 approved training organizations, including 24 for
flight crew, 6 for aircraft maintenance technicians and 1 for air traffic controllers.

3.1.6.6          In the area of aircraft operations, the certification, approval and authorization processes are
implemented according to EU-OPS or JAR-OPS 3, as applicable. The certification process includes a standard
application form and compliance checklist; the selection of the SCAA certification team; the review of
operations manual; and audits performed by SCAA inspectors. At the successful completion of the certification
process, the applicant is issued a numbered AOC and a set of operations specifications, using a standardized
SCAA form. The SCAA has issued 61 AOCs (including 34 for aeroplane operations and 27 for helicopter
operations). All AOCs are approved for international operations. Any special authorizations such as extended
twin-engine operations (ETOPS), reduced vertical separation minimum (RVSM), CAT II operations or
transport of dangerous goods are included in the operations specifications. For the initial issue, the validity
period is one year, and thereafter, up to two years. Security training programmes for flight and cabin crews are
reviewed and approved by the technical officers of the Security Section of the Airport, Air Navigation Service
and Security Department of the SCAA.

3.1.6.7          For the approval of aircraft leasing, the SCAA staff use procedures that have been developed
for wet and dry leasing and Article 83 bis transfers, but these procedures have not been formally approved for
use by the SCAA. For the transport of dangerous goods by air, the SCAA has given approvals to 8 AOC
holders operating aeroplanes and 1 AOC holder operating helicopters. However, the SCAA does not ensure
that shippers that handle dangerous goods for air transport have established and maintained initial and
recurrent dangerous goods training programmes.

3.1.6.8           With respect to airworthiness, the Initial Airworthiness Section issues certificates of
airworthiness and documents attesting to noise certification. As stipulated by the EC regulation (i.e.
Commission Regulation (EC) No 2042/2003 of 20 November 2003, Part M, Subpart I), starting
September 2008, an ARC is required. To ensure the validity of the certificate of airworthiness, a review of the
airworthiness of an aircraft and its continuing airworthiness records must be carried out periodically. An ARC is valid
for one year and can be renewed twice for a period of one year each time under a controlled environment.

3.1.6.9        Within the Initial Airworthiness Section, the engineering team works mainly on behalf of
EASA, which is responsible for the certification of aeronautical products, including the issuance of TCs and
STCs as well as the approval of modifications and repairs for all EASA member States. The Initial


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Airworthiness Section also issues POAs based on the EASA Part 21 requirements. Meanwhile, the Continuing
Airworthiness Section issues ARCs, approves CAMOs and AMOs after evaluating the organizations and
approving the relevant manuals. At the time of the audit, the SCAA has approved about 60 CAMOs,
56 Part-145 AMOs, and 30 national Maintenance Organizations and it has also registered 2 500 aircraft.
Approval and certification tasks are carried out by the SCAA in line with the established requirements and procedures.

3.1.6.10          With respect to ANS, in accordance with the provisions of Regulation (EC) No 550/2004 of
the European Parliament and of the Council of 10 March 2004, Article 7, Sweden has certified LFV and all
entities responsible for the provision of ATS, AIS, CNS, PANS-OPS procedure design, aeronautical charts,
and MET services. The provision of these services is regularly verified by the SCAA inspection system. Air
traffic controllers are licensed by the SCAA in accordance with the ESARR 5 and the EC Common
Requirements, which conform to the provisions of Annex 1 to the Chicago Convention.

3.1.6.11          With respect to aerodromes, the SCAA has issued aerodrome certificates to all aerodromes
open for public use (including heliports) in conformance with the national requirements and the relevant ICAO
SARPs. Aerodrome certificates are valid for different periods depending on the aerodrome, and the SCAA has
procedures in place for the renewal of the aerodrome certificates. The certification process is carried out in
accordance with the national regulations and the procedures outlined by the SCAA in the “AGA-Process.”
However, there is no formal application form to be completed and submitted by a prospective aerodrome
operator in order to obtain an aerodrome certificate. The certification process covers all relevant safety aspects,
including the review of physical facilities, obstacle limitation assessments, aerodrome manuals, SMS, and,
when applicable, aeronautical studies and risk assessment carried out by the aerodrome operators. However,
the SCAA does not ensure the implementation of requirements to establish and man emergency operation
centres and command posts, and to facilitate communication between them. The SCAA keeps copies of the
aerodrome certificates and files them along with all correspondence related to the application, revocation,
cancellation or transfer of the aerodrome certificates. Aerodrome manuals provided by aerodrome operators
include the requirements for a comprehensive SMS and are available to the regulatory staff and the inspectors
through the Internet. However, the SCAA does not keep up-to-date copies of approved aerodrome manuals.

3.1.7             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.”

3.1.7.1          In the field of personnel licences, the SCAA has developed, but not fully implemented, a
surveillance programme for personnel licensing and examination activities, including testing centres for written
examinations and approved training organizations. Random inspections are organized only in case of
complaints regarding the quality of training courses. Designated medical examiners are periodically audited,
both on a scheduled and random basis. The SCAA does not however have a surveillance programme for the
oversight of SCAA-designated examiners who administer practical, oral, written and/or flight examinations in
order to ensure that the examinations are consistent and reliable.

3.1.7.2         With respect to aircraft operations, the SCAA has developed a surveillance programme for the
operations inspectorate staff. However, the programme is not fully implemented and does not include all of the
types and frequency of inspections to ensure that all aircraft operations comply with national regulations, ICAO


Final Safety Oversight Audit Report — Sweden                                                              August 2009
                                                      - 18 -

provisions, and the AOC holders’ operations specifications. In addition, the surveillance programme does not
cover the SCAA-designated individuals within aviation organizations who perform tasks (such as flight
proficiency checks) on behalf of the State. Some of the operations inspectors have been assigned and trained to
perform ramp inspections under the Safety Assessment of Foreign Aircraft (SAFA) programme.

3.1.7.3          With respect to the transport of dangerous goods by air, the SCAA has not developed a
surveillance programme of regular and random inspections for the safety oversight of AOC holders which have
been granted approval to transport dangerous goods and of the shippers which handle dangerous goods for air
transport. For air operators, inspections are made only during the certification process for the issuance and
renewals of the initial AOCs. For shippers, no mechanism is in place to keep track of the number and name of
shippers handling dangerous goods, as the SCAA does not address the registration of these shippers. Therefore,
inspections are generally performed on a random basis.

3.1.7.4          With respect to airworthiness, the SCAA has in place an annual surveillance programmes for
AMOs, CAMOs, POAs, and air operators. Inspectors are assigned to companies taking into account their
backgrounds and abilities (e.g. helicopters, heavy aircraft, or general aviation aircraft) and are responsible for
the entire process, starting from the initial evaluation and approval to continuing surveillance. Inspections are
carried out mainly in conjunction with the renewal of the certificates. While the airworthiness surveillance
programme is satisfactorily carried out, random unannounced inspections are seldom conducted.

3.1.7.5          With respect to ANS, a surveillance programme has been established to ensure inspections and
surveys in accordance with Regulation (EC) No 550/2004 of the European Parliament and of the Council of
10 March 2004. Inspections and audits are carried out in the fields covered by the Commission Regulation
(EC) No 2096/2005 of 20 December 2005 and particularly by Annexes 2, 3, 4, 10, 11, and 15 to the Chicago
Convention. With regard to the SAR service provision (Annex 12 to the Chicago Convention) which is
integrated with the SCAA’s tasks and responsibilities, safety oversight is carried out by the SCAA itself
without a clear separation between the regulatory/inspection and the service provision functions.

3.1.7.6          Other than simulator checks in some cases, flight inspections of PANS-OPS instrument flight
procedures (including obstacle checks) are not carried out as stipulated in ICAO Doc 8071 — Manual on
Testing of Radio Navigation Aids, Volume I — Testing of Ground-based Radio Navigation Systems,
Chapter 8. In addition, while Sweden ensures that periodical flight inspections are conducted for radio
navigation aids, such inspections do not include non-directional beacon (NDB) and locators.

3.1.7.7           With respect to aerodromes, the SCAA implements a “differentiated audit process” for the
continuing surveillance of aerodromes. Aerodrome inspectors use the differentiated audit process, which
prioritizes auditing activities, for surveillance activities regarding instrument heliports and non-instrument
aerodromes. Under this process, SCAA inspectors adjust the frequency, scope and depth of the inspections as
needed based on the outcomes of previous inspections. There are different types of inspections, including
desktop inspections, comprehensive inspection activities (complete inspections), focused inspections on
pre-selected aerodrome facilities and/or operational items (evidence-based focused inspections), and random
inspections on all certified aerodromes within the State. As part of the surveillance programme, the SCAA
inspectors ensure that aerodrome operators implement the requirements relating to obstacle limitation surfaces
(OLS) at and around aerodromes. Whenever a new construction above, below or outside the OLS is proposed,
a Building Committee provided for under the Planning and Building Act to ensure coordination among the
land use authorities, the aerodrome operator, the SCAA and other interested authorities, as well as compliance
with safety requirements is convened. As far as rescue and fire fighting (RFF) services are concerned, the
SCAA verifies that all relevant provisions (outlined in BCL-F 3.4) are implemented and also certifies four
different training schools on RFF services.


Final Safety Oversight Audit Report — Sweden                                                          August 2009
                                                      - 19 -

3.1.7.8         Aerodrome manuals are used as a key safety assurance document when assessing both initial
and continuing organizational competence. The outcomes of risk assessments or aeronautical studies
(conducted according to BCL-F 1.2) are reviewed by the SCAA inspectors and published in the AIP of Sweden.

3.1.7.9            Overall, while the established processes and procedures related to aerodrome are carried out in
practice, the number and types of inspections conducted, considering the number of aerodrome inspectors
available, do not enable the SCAA to ensure that all aspects stipulated in Annex 14 to the Chicago Convention
and the related guidance material are adequately covered during the inspections and that the frequency of these
inspections is sufficient.

3.1.8             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.”

3.1.8.1           In the area of personnel licensing, the SCAA has developed procedures and flowcharts to
guide its inspectors regarding the revocation, restriction or confiscation of licences. In case of revocation of a
licence, the final decision is made by the general administrative courts upon notification by the SCAA.

3.1.8.2           With respect to aircraft operations, the SCAA has no records documenting the regulatory
enforcement actions that were taken for violations of the established laws and regulations. A policy and
flowchart to guide the processing of an enforcement case were issued recently by the SCAA, but these have not
yet been implemented. No procedures have been developed for the inspectorate staff within the specific
Departments of the SCAA who are assigned responsibility for the safety oversight of civil aviation activities. A
short-term agreement was recently signed with a software provider to put in place a tracking system to monitor
identified deficiencies. Regarding violation of the dangerous goods regulations, Swedish legislation imposes
fines or imprisonment of up to one year for a regulatory violation by intention or through careless act.

3.1.8.3            With respect to airworthiness, safety concerns resulting from inspections are communicated to
the chief of the relevant Department for processing. The Legal Department may be consulted in order to decide
on the SCAA response, including requiring corrective actions or initiating enforcement procedures. As far as
ramp inspections are concerned, the SCAA inspectors have the authority to ground an aircraft for safety
reasons, according to the legislation. However, effective procedures have not been implemented to prevent
aircraft from taking off when serious safety concerns have been identified. Information on fault and
malfunctions is forwarded to the SCAA by the industry where they are collected, stored and analyzed by the
Flight Safety Analysis Section of the SCAA.

3.1.8.4            With respect to ANS, audit findings identified during inspections are submitted to the ANS
providers concerned for timely resolution; for SAR-related findings the RCC is directly involved. An ANS
inspector is assigned to track progress in the elimination of identified shortcomings. In addition, the SCAA and
the ANS providers have established and use a formal occurrence/incident reporting mechanism and safety
database, which enable the tracking, timely notification, analysis and resolution of all safety-related
occurrences. Furthermore, a mechanism has been established at the national level for the review and elimination
of deficiencies identified within the framework of the ICAO European Air Navigation Planning Group (EANPG) as


Final Safety Oversight Audit Report — Sweden                                                          August 2009
                                                     - 20 -

well as for conclusions and decisions of the EANPG regarding actions required of Sweden.

3.1.8.5          With respect to aerodromes, the SCAA has a system in place to track deficiencies found
during the inspections. The renewal or extension of aerodrome certificates depends on a satisfactory outcome
from the regular and random inspections performed by the SCAA. Aerodrome incidents are reported to the
SCAA and are also analysed within the SMS established by the aerodrome operators. The exchange of safety
information across the aerodrome industry is facilitated by the SCAA via safety studies, which are published
on the SCAA website. The SCAA collects and forwards bird strike reports to ICAO, and a process is in place
to mitigate the bird strike hazard due to land-use development around aerodromes and to manage potential
conflicts between safety and environmental aspects.

3.1.8.6           With respect to aircraft accident and incident investigation, the SHK issues safety
recommendations during or upon completion of its investigations. However, according to the current policy,
safety recommendations may only be addressed to authorities in Sweden (mainly the SCAA) and to EASA, and
SHK does not issue safety recommendations to authorities in other States. Within the Research, Evaluation and
Analysis Department of the SCAA, the Flight Analysis Section has implemented procedures to follow up on
safety recommendations issued to SCAA. This Section is also responsible for completing and forwarding to
ICAO and to the States concerned preliminary and data reports for the occurrences investigated by the SHK.
Information on all accidents and incidents that are notified to the SCAA is stored in a database managed by the
Flight Analysis Section, which uses the ECCAIRS (European Co-ordination Center for Aviation Incident
Reporting Systems) software. Sweden has not established a voluntary incident reporting system managed at the
State level to facilitate the collection of safety information that may not otherwise be captured by the State’s
mandatory incident reporting system.

3.2               The Scandinavian surveillance system

3.2.1             Regulatory background and organization

3.2.1.1           Based on an agreement signed on 20 December 1951 by the Foreign Ministers of Sweden,
Denmark and Norway, Sweden has assigned to OPS-Utvalget, the entity promoting cooperation among
Scandinavian flight safety authorities, oversight tasks related to the regulation and surveillance of the
Scandinavian Air System (SAS) air operator. OPS-Utvalget is a board made up of the directors general of the
civil aviation authorities of the three States who meet regularly. One of the three directors general serves as
chairperson for a 12-month period, on a rotation basis. The agreement of 20 December 1951 defines the role
and tasks of OPS-Utvalget and establishes the Scandinavian Flight Safety office (STK) as a joint inspection
office. This agreement also elaborates on the mandate, structure and resources of the STK.

3.2.1.2            Although the STK is established administratively as a section within the Flight Operations
Department of the SCAA, its director reports directly to OPS-Utvalget. A delegation letter (LS 2008-0936)
from the Director General of SCAA to the Director of STK was issued on 14 February 2008 and is valid until
31 December 2008. Job descriptions for the various positions within the STK are laid down in the STK Quality
Manual and STK inspectors have been issued credentials to obtain the necessary access to aircraft and relevant
facilities for inspections. OPS-Utvalget also designates STK as a joint inspection office to perform approval
and oversight duties related to the SAS. The STK is not however an independent body with transfer authority,
as the authority remains with each of the three civil aviation authorities. The STK performs oversight tasks on
behalf of OPS-Utvalget, including the approval of minimum equipment lists (MEL), traffic planning elements,
amendments of operations specifications, amendments of Approval Schedule, RVSM operations, ETOPS,
aircraft leasing arrangements with duration of less than 14 days, and aircraft maintenance programmes. The
STK also performs continuing oversight of the approvals issues, renews ARC, issues permits to fly, and is in


Final Safety Oversight Audit Report — Sweden                                                        August 2009
                                                      - 21 -

charge of the evaluation of flight simulators and flight training devices.

3.2.2             Technical personnel qualification and training

3.2.2.1          The STK has laid down in the STK Quality Manual adequate qualification, knowledge and
experience requirements for all its inspectors. Presently, the STK has three flight operations inspectors and one
ground operations officer, all of whom are well qualified. Flight operations inspectors hold current licences and
ratings. Training programmes and a training records system have been developed for the operations inspectors,
who maintain flight currency by flying as co-pilots for 25 per cent of their total work time with any airline
other than SAS. In addition, the STK has two airworthiness inspectors who are well qualified to carry out their
assigned tasks. However, overall, the STK does not have sufficient human resources in the areas of aircraft
operations and airworthiness for its level of activity.

3.2.3             Technical guidance, tools and the provision of safety critical information

3.2.3.1            STK staff follow work procedures outlined in the STK Quality Manual, which is formally
approved by the three Directors General and was last revised on 1 July 2008. The STK Quality Manual
includes checklists for the various inspections conducted (including that for dangerous goods) for the
continuing oversight of the AOC holders. The staff members of the STK are provided with the necessary equipment
and facilities to perform their tasks, including access to the Internet and all necessary technical documentation.

3.2.4             Licensing, certification, authorization and/or approval obligations

3.2.4.1          The STK prepares its AOCs in accordance with Council Regulation (EEC) No 3922/91 of
16 December 1991, Annex III (EU-OPS) and applicable Swedish requirements. The AOCs, with validity
period of two years, are signed by the three Directors General on behalf of the OPS-Utvalget. They are issued
with a special certificate number (instead of a number that identifies a particular State), along with relevant
operations specifications issued by the Director of STK on behalf of the three civil aviation authorities. The
two AOCs currently in force are issued to SAS and to SAS Norway. A Corporate Manual is approved by the
Director of the STK. SAS has been approved by the STK to transport dangerous goods by air and to perform
CAT II and CAT III approaches, ETOPS and RVSM.

3.2.4.2           Aircraft belonging to the fleet of AOC holders under the oversight of the STK are registered in
one of the three States. More than half of the SAS aircraft are registered in Norway, with the remaining aircraft
registered in Sweden or Denmark. The certificates of airworthiness for each aircraft are issued by the respective
State of Registry, while Part 145 and Part 147 approvals are issued by the SCAA and not the STK. The STK
however remains in charge of approving maintenance programmes, MELs as well as continuous airworthiness
management expositions (CAMEs).

3.2.5             Surveillance obligations

3.2.5.1           The safety oversight of AOC holders is assigned exclusively to the STK. There is thus no
involvement of the SCAA inspectorate in the oversight of SAS or of the activities of the STK. As per
requirement, the STK has developed and implemented a surveillance programme and reports of the programme
are submitted by the Director of STK to OPS-Utvalget on a regular basis. The 2007 surveillance report was
submitted to OPS-Utvalget in March 2008, with details of planned inspections and the status of completed
activities. Some inspections were deferred to 2008, but most inspections were completed and closed. In
particular, the 2007 report outlined results from 26 evaluations of flight simulator training devices performed
by the STK in 2007. Meanwhile, the surveillance programme includes recurrent training observations, line

Final Safety Oversight Audit Report — Sweden                                                          August 2009
                                                         - 22 -

inspections, dangerous goods inspections, flight and duty time audits, station inspections, audits for the
implementation of EU-OPS, route qualification observations, and ETOPS evaluations.

3.2.5.2            In the area of airworthiness, the STK staff are responsible for the surveillance of the AOC
holder’s Part M, Subpart G organization. Since September 2008, ARCs have been issued by the SCAA or by
the approved CAMOs. Due to the limited number of inspectors available, the STK does not conduct continuing
oversight of the reliability programmes for the fleet of aircraft which has received ETOPS approvals from the STK.

3.2.6             Resolution of safety concerns

3.2.6.1           The STK tracks deficiencies during operations inspections and allows the air operator a
three-month period to rectify deficiencies. Audit reports list the findings identified during inspections and
indicate the status (open or closed) of each finding. The STK does not have records of any enforcement actions
taken for regulatory violations by an AOC holder. However, in the event of a regulatory enforcement action
taken against an AOC holder, the identity of the State of Operator can be questionable given that the legal
jurisdiction is not clearly defined.


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 Sweden, the audit team visited the following organizations:

                  a)    Nova Airlines (OPS);
                  b)    Saab AB, Saab Aircraft AMO (AIR);
                  c)    SAAB Aviocomp (AIR);
                  d)    Stockholm Arlanda Airport: Aerodrome Control Tower, Approach Control Unit, Area
                        Control Center, CNS Service, AIS and NOTAM Office, and MET Office (ANS);
                  e)    Norrköping Airport: International NOTAM Office, Cartographic Unit, and PANS-OPS
                        procedure design office (ANS);
                  f)    Stockholm Arlanda Airport (AGA); and
                  g)    Norrköping Airport (AGA).


5.       AUDIT FINDINGS AND DIFFERENCES DATABASE (AFDD)

5.1                The general objective of the AFDD is to assist States in identifying the elements that need
attention in the implementation of the proposed corrective action plan. The information is also intended to
assist States in establishing a priority of actions to be taken to resolve safety concerns identified by the audits.
Appendix 2 to this report contains a graphic representation of the lack of effective implementation of the
critical elements of the safety oversight system (ICAO Doc 9734, Part A refers) in Sweden, reflecting as well
the results of the latest audit carried out on EASA at the time of the audit of Sweden. 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.


Final Safety Oversight Audit Report — Sweden                                                                 August 2009
                                                     - 23 -

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. Sweden has submitted its SAAQ to ICAO, which can be found
at http://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. Sweden has submitted its CCs to ICAO, which can be found
at http://www.icao.int/soa.


8.       FOLLOW-UP ACTION

8.1             In accordance with the MOU agreed to between Sweden and ICAO, Sweden submitted an
action plan on 30 March 2009 and updates on 10 July 2009. The action plan submitted was reviewed by the
Safety Oversight Audit (SOA) Section and was found to fully address most of the findings and
recommendations contained in this report. The proposed action plan, including comments and clarifications
provided by the State, is attached as Appendix 3 to this report. Comments by ICAO on each corrective action
are found in Appendix 1 to this report.




                                               ————————




Final Safety Oversight Audit Report — Sweden                                                         August 2009
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                                                          $$ $ !$ 7 1          *&       ""    &
APPENDIX 2
                                                    CRITICAL ELEMENTS OF A SAFETY OVERSIGHT SYSTEM
                                                          LACK OF EFFECTIVE IMPLEMENTATION (%)

                                   Global: (134) Audited States: 42.28%                                                       SWEDEN 16.79%
100

                                              Note.— The results of the audit carried out on EASA are also reflected on this
                                              grap h.
 90



 80



 70


                                                                           60.44
 60


                                                                                                                                                        49.00
 50
                                                   45.00                                                                              45.04
                                                                                                  41.83
 40
                          36.31                                                    35.48                             34.50


 30
      26.19                                                25.81

                                                                                                                                                                 21.31
 20
                                                                                                                                              15.38
               13.33

                                                                                                          8.99
 10                                7.29                                                                                      6.78



  0
      Primary Aviation   Specific Operating     Civil Aviation System     Qualification and       Procedures and     Licensing and     Surveillance   Resolution of Safety
         Legislation       Regulations          and Safety Oversight    Training of Technical   Technical Guidance    Certification    Obligations        Concerns
                                                       Functions                Staff                                 Obligations
APPENDIX 3
                                           APPENDIX 3-1-1

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/01

Please refer to Appendix 1-1-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA partly agrees with the finding of the ICAO audit team.

The SCAA (STK included) have records documenting regulatory enforcement actions that have been
proceeded, but this was not presented for the team during the audit. Furthermore, the flowchart for the
processing of an enforcement case that recently has been issued is documenting many years of
established praxis. In Sweden this issue initially is prepared/handled by the SCAA legal department in
order to transfer the issue to the Office of the Public Prosecutor in Sweden.

The role of the inspectorate staff is to report violation of legislation and regulations to the legal
department and to provide detailed documentation. According to Swedish law an inspector may also
report violations of legislation and regulations to the police authority for investigation.

                                                                                ESTIMATED
                                                            ACTION           IMPLEMENTATION
                                  ∗
     CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE                DATE(S)


Provide information to the inspectorate staff                SCAA/            Before December 2009
regarding Policy and Flowchart in order to implement        Legal Dpt
these. Notify, in writing, this information to the
inspectorate staff and stress the importance of
adherence.

Document, develop further and implement procedures           SCAA/            Before December 2010
of the regulatory enforcement actions, including            Legal Dpt
a)   the analysis of safety deficiencies;
b)   the development and forwarding of safety
     recommendations;
c)   support for the resolution of identified
     deficiencies, and
d)   the initiation of a regulatory enforcement action,
     when necessary.



∗ Text reproduced as submitted by Sweden
                                       APPENDIX 3-1-1 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                   RELATED TO PRIMARY AVIATION LEGISLATION AND
                           CIVIL AVIATION REGULATIONS



                                                                            ESTIMATED
                                                             ACTION      IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                           OFFICE           DATE(S)


Add appropriate text to Handbook/Inspector                    SCAA/      Before December 2010
Instruction in order to headlight these issues (a, b, c, d   Legal Dpt
above).

Adding appropriate text to Handbook/Inspector
Instruction means referring to Policy and Flowchart,
including that each violation of legislation and
regulations shall be analysed for the purpose of giving
recommendations concerning flight safety. The
additional text shall further state that resolutions shall
be given regarding identified deviations of legislation
and regulations, based on legislation and regulations.

Follow-up measures once a year regarding Policy and           SCAA/
Flowchart adherence will be given in the Handbook            Legal Dpt
for Legal Staff.

The necessary work will be done by a working group
(directed by senior legal adviser and involve directors
and appointed employees).




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-1-2

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/02

Please refer to Appendix 1-1-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


A draft amendment to the Aviation Act has been                                 November 2009
proposed to the Government to be submitted for
adoption by Parliament extending the SCAA
inspectors access to air operator’s offices, aviation
training organizations and aviation documents (e.g.
licences, when not carried on board an aircraft). The
amendment of the Aviation Act is expected to be
promulgated in the beginning of November 2009.

When the new legislation is promulgated the official        SCAA             Before January 2010
inspectorate credentials will be adjusted and make
reference to the empowering legislation and to the
delegated authority.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-1-3

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/03

Please refer to Appendix 1-1-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA partly agrees with the finding of the ICAO Audit team. The Swedish national legislation
contains provisions regarding the recognition of certificates and licences issued by the State of the
Operator. The legislation also enables Sweden as State of Registry according to an 83 bis agreement
to transfer tasks and functions to the State of Operator and to accept, when State of Operator, relevant
tasks and functions from the State of Registry. Reference is made to the Aviation Act chapter 3
section 4 paragraph 2 and chapter 4 section 3 paragraph 2 and the Aviation Ordinance section 6.

However, the Swedish legislation only applies to foreign aircraft when operating in Sweden.
Accordingly, Sweden does not, as State of Operator, have jurisdiction when foreign-registered aircraft
subject to a transfer agreement are operating outside Sweden (with the exception of criminal law) and
therefore can not take full responsibility when making an arrangement as State of Operator. An
amendment of the Aviation Act concerning this matter is to be expected during 2009.

Provisions regarding the notification will be implemented in the 83 bis agreements that are now being
prepared by Sweden in cooperation with other states. An 83 bis agreement between Sweden and Italy
will be in place in 2009.

                                                                                 ESTIMATED
                                                             ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                           OFFICE                DATE(S)


A draft amendment to the Aviation Act has been                                    November 2009
proposed to the Government to be submitted for
adoption by Parliament concerning Article 83 bis of
the Chicago Convention. The amendment of the
Aviation Act is expected to be promulgated in the
beginning of November 2009.

An 83 bis agreement with Italy is being prepared and          SCAA                  March 2009
this agreement will contain provisions regarding
notification.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-1-4

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/04

Please refer to Appendix 1-1-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will promulgate provisions which will              SCAA              Before July 2010
require the passenger manifest and cargo manifest to
be carried on board an aircraft.

The SCAA is, according to article 104 in the Aviation
Ordinance (1986:171), mandated to issue and
promulgate the necessary provisions concerning
documents that must be carried on board an aircraft.

Within the SCAA, the process of developing and
drafting the provisions which will require the
passenger manifest and cargo manifest to be carried
on board an aircraft, is set to begin in autumn 2009.
The provisions will be developed and drafted in
accordance with the SCAA rulemaking procedure as
described in chapter 3.1.2 of the ICAO report.

The provisions will be promulgated as a new SCAA
regulation and an amendment will also be made to the
existing SCAA regulation (LFS 2008:36) concerning
commercial air transport by helicopter in order to
supplement the new regulation. The new regulation
and the amendment of LFS 2008:36 are planned to be
promulgated in May 2010 and enter into force on
1 June 2010.



∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-1-5

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/05

Please refer to Appendix 1-1-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding of the ICAO audit team. There is however a regulation,
STAFS 2000:3, that was not presented for the team during the audit. The regulation stipulates
provisions concerning units of measurement mainly by introducing the SI-units and it is promulgated
by the Swedish Board for Accreditation and Conformity Assessment, SWEDAC. Compared to ICAO
Annex 5, there are only minor differences in the regulation STAFS 2000:3.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


Notify difference to ICAO concerning the definition         SCAA             Before January 2010
of Candela.

An authority regulation will be issued by the Swedish       SCAA             Before January 2011
Transport Agency (SCAA) to establish those
requirements that are missing concerning the units of
measurement to be used in air and ground operations
in accordance with ICAO Annex 5.

The regulation will be developed and drafted in
accordance with the SCAA rulemaking procedure as
described in chapter 3.1.2 of the ICAO report.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-1-6

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                     AUDIT FINDING LEG/06

Please refer to Appendix 1-1-06 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA is of the opinion that the legal basis for the responsibilities performed by an outside
organization assigned to carry out safety oversight activities on behalf of the SCAA is appropriate and
clearly established under Swedish laws.

Scandinavian Airlines Systems – Denmark, Norway, and Sweden (SAS) were founded in 1951 in way
of a consortium agreement and the agreement is still valid. Referring hereto Denmark, Norway and
Sweden have on 20 December 1951 made a governmental agreement on cooperation in civil aviation
matters. The instruments of ratification have been deposited by Denmark, Norway and Sweden on 28
May 1952 at the Norwegian Department of Foreign Affairs.

In order to organize the issuing of approvals and a proper oversight over SAS, the Scandinavian
governments decided that the three CAAs were to cooperate in their decisions concerning the joint
Scandinavian approvals (“OPS-utvalget”). The governmental agreement article 1 states the following:
“The contracting parties have agreed that the civil aviation administration of the three countries shall
co-operate in executing oversight of SAS’ air transport as necessary according to laws in force,
concessions and international regulations. Detailed rules about said co-operation shall – as far as
possible – be laid down in a uniform way by the governments of the three countries.”

All detailed rules and instructions concerning “OPS-utvalget” and STK (the Scandinavian office for
the co-operative safety oversight related to SAS), have been made in accordance with said agreement
and in a governmental decision of 1951, especially §6, which – in translation – states: “To enhance
quick and uniform decisions in cases of an aviation technical nature, e.g. line inspections and other
operational matters, a committee which will have the directors of aviation inspections from the three
countries as its members will be established. The competence of said committee will be equal to the
competence of the directors in their respective home countries.”

Skandinavisk Tilsynskontor, STK, is the joint inspection office established by the three Scandinavian
civil aviation authorities. It is administratively organized as a section of the SCAA. The head of STK
has been given written delegations and the written delegations clearly state the head of STK s
                                                                                                     




powers.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-1-6 (CONT.)

                  CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                  RELATED TO PRIMARY AVIATION LEGISLATION AND
                          CIVIL AVIATION REGULATIONS



                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


The performances and tasks of STK are followed up by “OPS-Utvalget” (the three Director Generals)
as they meet on a regularly basis. The Head of STK reports to “OPS-Utvalget”. STK is not an
independent body with transferred authority insofar as the authority remains within the tree
Scandinavian CAAs. All duties of the STK office are performed according to procedures approved by
the SCAA.

Reference is made to Governmental Agreement 20 December 1951, Governmental Decision of 1951,
Delegation to the Head of STK, “OPS-Utvalg” Agreement 2002 and Instruction to STK, which
documents were presented at the audit.

When it comes to the legal jurisdiction, enforcement actions (revocation/suspension) will be
proceeded in all three states. The finding concerning no documented records of enforcement actions is
commented in the States comments on finding LEG 01.


                                                                               ESTIMATED
                                                           ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE                DATE(S)


In cooperation with Denmark and Norway go through            SCAA            Before January 2010
the existing legal basis to verify that the necessary
policies and procedures are clearly established for
STK, and to verify that all obligations as the State of
Operator for the safety oversight of the AOC issued
to SAS are being met.

If an amendment of the Aviation Act and/or                   SCAA              Before July 2010
regulations, international agreements and delegation
of authority turns out to be necessary, such
amendments will be initiated.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-2-1

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                      AUDIT FINDING ORG/01

Please refer to Appendix 1-2-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA partly agrees to finding of the ICAO Audit team.

Generally, the SCAA is of the opinion that the required inspections are being carried out in relation to
current rules and regulations, inspection objectives, the quantity and the prevailing circumstances.
However, as a result of the ICAO audit finding, a thorough analysis will be conducted of the operation
in order to improve the process for determining necessary staffing and staff planning. The current
resource planning, business planning and budget processes have given the following results for 2009

ANS
The correct established ANS inspector posts are eight and at the time of the oversight, five were filled
and at this moment, six and one half positions are filled. In addition, two more inspectors will be
added to the section for ANS, one is in the final stage in the process of being recruited, and the next
one is an Air Traffic Controller that will be transferred internally and start the training to become an
ANS Inspector later on this year. The available resources will after these actions be in line with the
required number of ANS inspectors.

AGA
SCAA has since the ICAO-audit certified two trainees as aerodrome inspectors and will approve one
more in the end of 2009. All together there will be seven aerodrome inspectors, one specialist who
also is working with the AGA requirements, one administrator and the manager (who is certified as an
aerodrome inspector) working together with the surveillance task.
SCAA’s opinion is that with the above described personnel (10 people) and together with the use of a
risk based model to plan and perform the audits we will have a sufficient number of inspectors.

AIR
In early 2009, there was a reorganisation of the airworthiness section in Sollentuna. The purpose was
to establish two units with dedicated areas and to create improved quality and working conditions for
the inspectors. One section with its main focus on maintenance organisations and one section for
continuing airworthiness organisations were established. There was also some transfer of duties
between the Sollentuna operation and the head office in Norrkoping, among them the issuance of
Airworthiness certificates. As a result of this and the need of early bridging of knowledge from staff
that will be retired later on, a total of five inspectors will be recruited during 2009. At this date, four
of the inspectors are already employed and the fifth inspector will be recruited in November. The
available resources at STK have received further strengthening by the appointment of two inspectors
from the section for continuing airworthiness organisations that supports STK in their duties.



∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-2-1 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

OPS
In order to make a more efficient use of the inspectors, the unit was reorganised on June 1st this year.
That means that e.g. all inspectors taking care of the EU-OPS companies are now in a section working
only with companies approved according to the EU-OPS requirements. Our plan is also to recruit four
inspectors to fill vacancies on the 1st of January 2010. Specifically regarding available resources in
the dangerous goods field two more inspectors will be trained and authorised during 2010.


                                                                                 ESTIMATED
                                                             ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                           OFFICE                DATE(S)


Completion of a business plan 2009 as per description         SCAA              Before January 2010
in the State’s comments and observations above (ref.
ORG/01.)

SCAA will complete an analysis of the operation in            SCAA               Before July 2010
order to improve the process for determining
necessary staffing and staff planning.

The improved methods will be incorporated in the              SCAA              Before January 2011
existing operation manuals.

Training and authorisation of two Inspectors in the           SCAA               Before July 2010
dangerous goods field.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-2-2

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                     AUDIT FINDING ORG/02

Please refer to Appendix 1-2-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with finding of the ICAO audit team. However, many of the finding comments
from the audit team in the report have already been addressed as part of SCAA’s existing inspector
training policy and training programme. The programme was updated in 2008, although the
improvements had not fully been implemented by the time the audit took place. In addition, the
SCAA will continue to improve and expand the programme to also include technical staff other than
the inspectors.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


The SCAA’s current Inspectors´ training policy will         SCAA             Before January 2010
be updated to require establishment of training
programmes and periodic training plans for its entire
technical staff.

The SCAA will establish and implement                       SCAA             Before January 2010
comprehensive training programmes for all technical
staff, including details on the initial, on-the-job
training, recurrent, and specialized training to be
provided to the staff. This will be documented in the
existing Inspectors training programme as well in the
operations manual of each department.

The SCAA will establish periodic training plans for         SCAA             Before January 2010
technical staff that should be developed on the basis
of the training programmes. This will be documented
in the existing Inspectors training programme as well
in the operations manual of each department.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-2-2 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                                                    ESTIMATED
                                                        ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                      OFFICE        DATE(S)


The SCAA will integrate monitoring of the               SCAA     Before January 2010
implementation of training programmes in its internal
audit program.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-2-3

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                      AUDIT FINDING ORG/03

Please refer to Appendix 1-2-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                            ACTION         IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                          OFFICE              DATE(S)


The SCAA shall define all functions and                     SCAA             Before August 2010
responsibilities of its inspectorate staff in the safety-
related fields and it will be documented and part of
each sections operations manual incorporated in the
Civil Aviation department handbook. The handbook
and operations manuals are available on the intranet.

The SCAA shall establish qualification requirements         SCAA             Before August 2010
for key management personnel and inspectorate staff
in all ANS fields and it will be documented and part
of the ANS Sections operations manual, incorporated
in the Civil Aviation department handbook. The
handbook and operations manuals are available on the
intranet.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-2-4

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO CIVIL AVIATION ORGANIZATION



                                     AUDIT FINDING ORG/04

Please refer to Appendix 1-2-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding of the ICAO audit team. Coordination is today established through
the internal decision and processing system. The governing document describes the responsibilities
and duties of decision makers at the authority. Coordination meetings are also used at different levels
within the authority to enable an effective coordination both in the approval and surveillance
processes. However, the different coordination activities are not adequately described in the operation
manuals and some activities need to be further developed.

                                                                                ESTIMATED
                                                            ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                          OFFICE                DATE(S)


A review all processes related to certification,              SCAA               Before July 2010
licensing, approval and inspection, which include the
Legal, Personnel licensing, Flight Operations and
Airworthiness departments, will take place to
establish means to ensure that necessary coordination
between relevant departments is established and
consistent.

The review will consist of
•   identification of all processes that have
    coordination issues or not,
•   determination of the need for coordination,
•   coordination and amendment of affected
    processes,
•   follow up by a controlled reporting form to the
    Quality assurance function,
•   training of amended processes according to
    normal procedures




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-3-1

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



                                     AUDIT FINDING PEL/01

Please refer to Appendix 1-3-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will develop and implement a surveillance          SCAA              Before July 2010
programme for the oversight of the examiners who
administer theoretical, oral, written and practical
flight examinations. The SCAA will further more
develop a useful tool for granting the implementation
of the surveillance programme.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-3-2

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



                                      AUDIT FINDING PEL/02

Please refer to Appendix 1-3-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will improve the surveillance programme            SCAA              Before April 2010
for the oversight of the training courses and activities
conducted by Approved Training Organisations in
Sweden. The SCAA will further develop a useful tool
for granting the implementation of the surveillance
programme.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-1

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



                                     AUDIT FINDING OPS/01

Please refer to Appendix 1-4-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

The SCAA is no longer in the position to issue new regulations for the OPS area. The European
Community has assumed the regulatory powers for all EU Member States according to the regulation
(EC) 216/2008 with effect from 8 April 2008.

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will scrutinize the proposal NPA 2009-02           SCAA              Before July 2009
from EASA to new EC Implementation Regulations
for OPS, in order to check if all ICAO Annex 6,
Part I, standards are met.

The SCAA will furthermore send a request to EASA            SCAA              Before July 2009
that all future amendments to ICAO Annex 6, Part I,
are addressed in a timely manner in the EC
regulations.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-2

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



                                     AUDIT FINDING OPS/02

Please refer to Appendix 1-4-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will supplement present surveillance               SCAA              Before July 2010
programme with additional types of inspections and
increase the frequency of inspections.

The SCAA will implement a surveillance programme            SCAA              Before July 2010
of SCAA-designated individuals who conduct
Operator’s Proficiency Check (OPC).




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-3

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



                                     AUDIT FINDING OPS/03

Please refer to Appendix 1-4-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding of the ICAO audit team. We assume that the referenced regulation
should be regulation (EC) 859/2008.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                  ∗
     CORRECTIVE ACTION(S) PROPOSED∗                       OFFICE                DATE(S)


The SCAA will further develop the Inspector’s               SCAA             31 December 2010
Handbook, which will contain all required procedures
and checklists.

The Inspector’s Handbook will include procedures for
the SCAA flight inspectors checking of the AOC
holders to ensure that:

a)   the applicable operations manuals of AOC
     holders contain policy, instructions and
     procedures on the use of ACAS; and
b)   AOC holders establish an ACAS training
     programme for all pilots assigned to ACAS-
     equipped aircraft.

Letter with information about the above will be sent        SCAA             31 December 2009
to affected operators.

The affected inspectors will be trained on the              SCAA             31 December 2010
established procedures and checklists.

Verification of the implementation will be checked at       SCAA             31 December 2012
operator’s yearly Proficiency Check.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-4

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



                                     AUDIT FINDING OPS/04

Please refer to Appendix 1-4-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

The SCAA is no longer in the position to issue new regulations for the OPS area. The European
Community has assumed the regulatory powers for all EU Member States according to the regulation
(EC) 216/2008 with effect from 8 April 2008.

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will scrutinize the proposal NPA 2009-02           SCAA              Before July 2009
from EASA to the new EC Implementation
Regulations for OPS, in order to check if all ICAO
Annex 6, Part I, standards are met regarding
requirements for the selection of cabin crew
instructors and examiners and for maintaining, on a
recurrent basis, the knowledge, skills and
qualifications for these positions.

The SCAA will furthermore send a request to EASA            SCAA              Before July 2009
that requirements for the selection of cabin crew
instructors and examiners and for maintaining, on a
recurrent basis, the knowledge, skills and
qualifications for these positions, are handled within
EC regulations.

The SCAA will develop guidelines and procedures             SCAA              Before April 2010
for the SCAA inspectorate staff regarding
requirements for the selection of cabin crew
instructors and examiners and for maintaining, on a
recurrent basis, the knowledge, skills and
qualifications for these positions.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-5

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



                                     AUDIT FINDING OPS/05

Please refer to Appendix 1-4-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will further develop the Inspector’s               SCAA             31 December 2010
Handbook, which will contain all required procedures
and checklists.

The Inspector’s Handbook will include detailed
procedures, in accordance with the ICAO
recommendations, for the SCAA flight inspectors
checking of the AOC holders wet and dry lease
agreements.

The SCAA will finalise and implement the                    SCAA             31 December 2010
procedures, in accordance with the ICAO
recommendations, for the inspectorate staff regarding
dry lease (in/out) and article 83 bis transfers and
agreements.

The affected inspectors will be trained on the              SCAA             31 December 2010
established procedures and checklists.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-6

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



                                      AUDIT FINDING OPS/06

Please refer to Appendix 1-4-06 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

The European Community has assumed the regulatory powers for the OPS area for all EU Member
States according to the regulation (EC) 216/2008 with effect from 8 April 2008.

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


SCAA will scrutinize the proposal NPA 2009-02               SCAA                31 July 2009
from EASA to the new EC Implementation
Regulations for OPS, in order to check, if ICAO
standards for transfer of oversight responsibilities and
for operators to carry on board the transfer agreement
according to Annex 6, Part I and Article 83 bis of the
Chicago Convention, are met. If these requirements
are not included in the NPA 2009-02, SCAA will
request that these requirements are addressed by
EASA.

SCAA will enlarge the existing procedures for issuing       SCAA                31 July 2009
AOC to include the issuance of required number of
certified true copies of the AOC to be placed in the
operators’ aircraft.

The SCAA will further develop the Inspector’s               SCAA             31 December 2010
Handbook, which will contain all required procedures
and checklists.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-4-6 (CONT.)

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



                                                                    ESTIMATED
                                                        ACTION   IMPLEMENTATION
                                  ∗
     CORRECTIVE ACTION(S) PROPOSED∗                     OFFICE        DATE(S)


The Inspector’s Handbook will include procedures for
the SCAA flight inspectors checking of the AOC
holders to ensure that:

1.   Operators carry a certified true copy of its AOC
     in each aircraft.
2. Operators carry on board a certified true copy of
     transfer agreements in the case of a transfer of
     oversight responsibilities in accordance with
     Article 83 bis of the Chicago Convention.
The affected inspectors will be trained on the          SCAA      31 December 2010
established procedures and checklists.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-7

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



                                     AUDIT FINDING OPS/07

Please refer to Appendix 1-4-07 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will establish and maintain a                      SCAA              Before July 2010
computerised system for monitoring identified
deficiencies, the resulting corrective actions taken by
the air operator, and the follow up activities of the
SCAA’s flight inspectorate staff.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-8

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



                                     AUDIT FINDING OPS/08

Please refer to Appendix 1-4-08 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding of the ICAO audit team, except that SCAA does not give
approvals to shippers.

The Swedish Act (2006:263) on “Transport of dangerous goods” regulates the handling of dangerous
goods in Sweden and also includes shippers of dangerous goods. The Swedish Act SRVFS 2006:9
requires a safety advisor in every organization in Sweden that handles dangerous goods.

Technical guidance material for issuing Dangerous Goods approvals for AOC holders has been
developed in accordance with EU-OPS, Subpart R and ICAO-TI and SCAA is using a Compliance
List for Subpart R.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


The SCAA will further develop the Inspector’s               SCAA             31 December 2010
Handbook, which will contain all required procedures
and checklists.

The handbook will include detailed procedures for the
SCAA flight inspectors reviewing Dangerous Goods
matters of AOC holders and other organizations that
have been granted approval for transport of dangerous
goods.

The affected inspectors will be trained on the              SCAA             31 December 2010
established procedures and checklists.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-4-8 (CONT.)

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



                                                                     ESTIMATED
                                                         ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                       OFFICE        DATE(S)


The SCAA will develop a surveillance programme to        SCAA      31 December 2010
be used for review of training programs used by all
organizations or agencies involved in the transport of
dangerous goods by air.

The SCAA will further develop and implement the          SCAA      31 December 2010
existing surveillance programme for its SCAA
inspectorate staff pertinent to regular and random
inspections of AOC holders and other organizations
that have been granted approval for transport of
dangerous goods.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-4-9

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



                                     AUDIT FINDING OPS/09

Please refer to Appendix 1-4-09 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will further develop the Inspector’s               SCAA             31 December 2010
Handbook, which will contain all required procedures
and checklists.

The Inspector’s Handbook will include detailed
procedures for the SCAA flight inspectors checking
of Swedish AOC holders with SE-IMC operations.

The SCAA will develop and implement detailed
procedures for use by the SCAA inspectorate staff
regarding the approval and surveillance of special
authorizations to conduct operations using single-
engine turbine-powered aeroplanes at night and/or in
IMC.
These procedures will address the elements for SE-
IMC outlined in ICAO Annex 6, Part I, as well as the
additional requirements stipulated in Appendix 3 and
the additional guidance outlined in Attachment I of
the same Annex 6, Part I.

The affected inspectors will be trained on the              SCAA             31 December 2010
established procedures and checklists.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-5-1

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO AIRWORTHINESS OF AIRCRAFT



                                      AUDIT FINDING AIR/01

Please refer to Appendix 1-5-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will develop compliance checklists and             SCAA              Before July 2009
procedures for the approval of ETOPS and RVSM
operations.

The ETOPS and RVSM compliance checklists and                SCAA            Before October 2009
procedures will be part of the existing Airworthiness
organisations section Procedure manual for Part M.
After an internal review and approval these will be
available on our intranet together with all other
checklists/procedures.

The AID checklists/procedures will be coordinated           SCAA               November 2009
with the SCAA flight operations department to
ascertain that the procedures are fully understood and
integrated for the appropriate approval process and
for the aspect of continuing airworthiness.

All affected inspectors will be trained on the            SCAA/AID             November 2009
established compliance checklists and procedures.

SCAA Quality Assurance function will perform an             SCAA               December 2010
internal audit to verify the effective implementation
of the process. The date for the audit will be included
in the audit program for 2010.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-5-2

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO AIRWORTHINESS OF AIRCRAFT



                                      AUDIT FINDING AIR/02

Please refer to Appendix 1-5-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


As a short term solution, the SCAA has established a        SCAA               Implemented in
routine which will determine if any additional                                  January 2009
repetitive surveillance activities are required, in
addition to the already established audit plan, in order
to satisfy the relevant continuing supervision of
AMOs and CAMOs. It is based on a risk analysis
where performed audit results are evaluated against
the finding criteria. When the evaluation has been
performed, the inspector together with the section
manager will set new dates for additional audits.

The SCAA will establish a policy and a formal               SCAA              Before June 2009
surveillance programme for the continuing
supervision of AMOs and CAMOs.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-5-3

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO AIRWORTHINESS OF AIRCRAFT



                                      AUDIT FINDING AIR/03

Please refer to Appendix 1-5-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The Swedish Aviation Act (1957:297) Chapter 12,             SCAA           Before December 2009
1 §, stipulates that any aircraft that is determined not
to be airworthy can be grounded by the SCAA or by
someone delegated by the SCAA. To ensure that this
paragraph is practical to follow in case where the
SAFA or other ramp inspection requirements are not
adhered to by any pilot in command, where serious
safety concerns have been identified, the SCAA will
establish detailed procedures and guidelines.

After an SCAA internal review and acceptance the            SCAA                February 2010
guidelines and procedures will be coordinated with all
relevant departments.

The guidelines and procedures will be included in the       SCAA                February 2010
SCAA operations manual and available on the
intranet.

All the affected staff will be trained on how to utilise    SCAA                 March 2010
the established guidelines and procedures.

SCAA Quality Assurance function will perform an             SCAA               December 2010
internal audit to verify the effective implementation
of the process. The date for the audit will be included
in the audit program for 2010.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-5-4

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO AIRWORTHINESS OF AIRCRAFT



                                      AUDIT FINDING AIR/04

Please refer to Appendix 1-5-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The STK office within the SCAA has implemented               STK               Implemented in
detailed procedures in their Quality Manual depicting                            March 2009
comprehensive means on how to ascertain continuing
oversight of the reliability programmes for ETOPS
operation.

In addition, a compliance checklist is being developed      SCAA              Before July 2009
by AID that will become part of the established
procedures for the approval of ETOPS operation (ref.
AIR/01).




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-5-5

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                     RELATED TO AIRWORTHINESS OF AIRCRAFT



                                      AUDIT FINDING AIR/05

Please refer to Appendix 1-5-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA has a comprehensive compliance checklist           SCAA              Before July 2009
that is utilized at all surveillances of the MOE
(Maintenance Organisation Exposition) where all its
parts are validated. This compliance checklist is based
on Part-145, EASA Form 6. However, to ascertain
that the MOEs contain all required procedures and
forms, the SCAA will intensify the in-house audit
training for the AID inspectors.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-1

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



                                     AUDIT FINDING AIG/01

Please refer to Appendix 1-6-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

Sweden has filed a difference with ICAO addressing this item. (ref. TSL 2009-11-32, date
9 March 2009).
A change in legislation would have to be initiated by the Swedish government.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


The SHK will submit the recommendation to the                SHK                30 April 2009
Swedish government.

10 July 2009

In the following SHK address the ICAO comments
to the corrective actions related to Audit finding
1-6-01:

In response to ICAO’s comments, the Swedish
Accident Investigation Board (SAIB) has submitted
the recommendations to the Swedish government on
28 April 2009.

SAIB has furthermore contacted the relevant ministry
and has received information that the government
firmly plans to address this issue in 2010. If the
government decides to put forward a proposal for new
legislation, it would take parliament approximately 1
year to amend the legislation. (See ICAO’s Draft
Final Report on the Safety oversight Audit 3.1.1.1.)




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-2

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



                                     AUDIT FINDING AIG/02

Please refer to Appendix 1-6-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The number of aviation investigators was reduced from four to three due to an amendment in the
accident investigation act (1990:712) in 2006, which reduced the workload for SHK. Furthermore two
of the investigators were working part-time at the time of the audit, 20% less each. They are now back
to working full-time. SHK currently operates with the equivalent of 3 full-time investigators.
Nevertheless, the SHK has not been able to complete a number of investigations within a 12-months
period, nor has it been possible for investigators to participate in planned training sessions.

                                                                                ESTIMATED
                                                            ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                          OFFICE                DATE(S)


The SHK has requested additional government                   SHK                 Implemented
funding in order to hire one additional investigator in
2009 and four additional investigators in 2010.

Funding has furthermore been requested to replace a           SHK                 Implemented
part-time consultant with a full-time investigator in
2010
Awaiting government decision                                Swedish                  In 2009
                                                           government




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-3

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



                                     AUDIT FINDING AIG/03

Please refer to Appendix 1-6-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SHK does not have its own storage facilities for wreckages. When need arises, the SHK has
instead rented storage facilities close to the accident site from known renters. It has in general been
possible to rent separate but no lockable storage space.

                                                                                ESTIMATED
                                                            ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                          OFFICE                DATE(S)


The SHK has already changed its operating                      SHK                 Implemented
procedures and exclusively rents secure hangars for
recovered wreckages.

The SHK has also requested additional government               SHK                 Implemented
funding in order to rent a secure hangar on an annual
basis.

Pending government approval a secure hangar could              SHK                   In 2009
be operational as early as 2009.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-4

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



                                      AUDIT FINDING AIG/04

Please refer to Appendix 1-6-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


A general training program fulfilling the                    SHK                Implemented
recommendations in ICAO circular 298 has been
established. (Attachment 1)
A template for personal training plans has been              SHK                Implemented
established. (Attachment 2)
Personal training plans for each investigator will be        SHK                30 April 2009
established.
Training according to the established plans will be          SHK             31 December 2009
accomplished.

10 July 2009

In the following SHK address the ICAO comments
to the corrective actions related to Audit finding
1-6-04:
A template for personal training plans has been
established. As of 30 April 2009 personal training
plans for each investigator are in place. These training
plans make a record of training needed and training
fulfilled. They are updated after each training event.
Moreover, annually the head of the aviation
department together with the investigator identify
personal training needs and update the personal
training plan accordingly. The personal training plans
are kept in SAIB’s staff files.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-5

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



                                     AUDIT FINDING AIG/05

Please refer to Appendix 1-6-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

According to LFS 2007:9 (issued on 25 May 2007) the SCAA shall immediately be notified of an
ATS related accident or a serious incident. Guidance on what type of incidents shall be considered as
serious incidents has been published on the SCAA website. The process for immediate notification of
ATS related occurrences is described in the manual of the ANS provider. There is only one ANS
provider in Sweden. According to the process a serious incident shall be notified to the Aeronautical
Rescue Coordination Center (ARCC) immediately by telephone. Upon receiving the notification the
ARCC immediately notifies the SCAA and the AIB. In addition to the process for notification of
serious incidents, all separation minima infringements are notified immediately both to the SCAA and
the AIB, regardless of severity of the occurrence. The regulation LFS 2007:9 also contains a list of
occurrences (accidents, serious incidents and incidents) that, at minimum, shall be reported. A report
concerning the accident or serious incident shall be submitted within 72 hours.

Provisions concerning incident reporting can be found in different legislative material (law,
ordinance, regulations) and therefore, all guidance on the subject will be consolidated in one
regulation regarding occurrence reporting. The EU-directive on occurrence reporting will be revised
during the fall of 2009.

Once the new directive is in place, the national regulation will need revision. The SCAA revision of
the regulations is planned to start early 2010 with a planned date of entry into force in 2011 or 2012.
The revision will contain a thorough survey of all existing requirements regarding occurrence
reporting and classification of occurrences and result in a comprehensive consolidated regulation.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-6-5 (CONT.)

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



                                                                     ESTIMATED
                                                         ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                       OFFICE        DATE(S)


The SCAA has issued guidelines on its website            SCAA     The action is completed
regarding immediate notification of serious incidents.                (January 2009)
The guidelines have a reference to directive
94/56//EG, which contains guidance material on
serious incidents.

The process for immediate notification of serious
incidents in ATS is currently described in regulation
LFS 2007:9 and the manual of the ANS provider.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-6

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



                                     AUDIT FINDING AIG/06

Please refer to Appendix 1-6-06 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


Job descriptions for all civil aviation investigators        SHK                30 April 2009
will be finalized and approved.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-7

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



                                     AUDIT FINDING AIG/07

Please refer to Appendix 1-6-07 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


Credentials with reference to the Accident                   SHK             31 December 2009
Investigation Act (1990:712) and the most important
powers of the investigators will be issued.
(Attachment 3)




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-8

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



                                     AUDIT FINDING AIG/08

Please refer to Appendix 1-6-08 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


A satellite telephone will be available for the              SHK                30 April 2009
investigators.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-9

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



                                     AUDIT FINDING AIG/09

Please refer to Appendix 1-6-09 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


Deadlines have been added to the Civil Aviation              SHK                Implemented
Operational Handbook.

Deadlines have been added to the quality follow up           SHK                Implemented
form.

Deadlines will be followed up within the SHK quality         SHK                Continuously
system.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-10

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



                                     AUDIT FINDING AIG/10

Please refer to Appendix 1-6-10 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


Detailed guidelines for readout and analyses of flight       SHK                Implemented
recorders have been added to the Civil Aviation
Operational Handbook.

Detailed guidelines for conduct of technical                 SHK                Implemented
investigations and testing have been added to the
Civil Aviation Operational Handbook.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-11

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



                                     AUDIT FINDING AIG/11

Please refer to Appendix 1-6-11 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The Accident Investigation Ordinance (1990:717) regulates to which authorities SHK shall issue
safety recommendations. A change in legislation would have to be initiated by the Swedish
government.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


The SHK will submit the recommendation to the                SHK                30 April 2009
government.

10 July 2009

In the following SHK address the ICAO comments
to the corrective actions related to Audit finding
1-6-11:

The Swedish Accident Investigation Board (SAIB)
has submitted the recommendations to the Swedish
government on 28 April 2009.

SAIB has furthermore contacted the relevant ministry
and has received information that the government
firmly plans to address this issue in 2010. (See
ICAO’s Draft Final Report on the Safety oversight
Audit 3.1.1.1 regarding amendment of ordinances.)




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-12

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



                                     AUDIT FINDING AIG/12

Please refer to Appendix 1-6-12 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The handbook of the Analysis Section has been                SCAA          Implemented in January
revised and preliminary and data reports for all                                   2009
accidents and incidents investigated by the SHK are
now forwarded to the States concerned and ICAO
according to the handbook and as stipulated in
Chapter 7 of ICAO Annex 13.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-6-13

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



                                     AUDIT FINDING AIG/13

Please refer to Appendix 1-6-13 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

At this time, Sweden does not have the intention of implementing Recommended Practice 8.2 and 8.3.
The establishment of a voluntary incident reporting system was discussed in connection with the
implementation of a mandatory reporting system and it was concluded that a voluntary system would
not be established. According to the Administrative Act every complaint or petition that is addressed
to an authority or governmental agency from anyone, anonymously or not, must be processed and
action must be taken if required. Although, there is no formal voluntary incident reporting system
anyone is free to contact the authority to indicate safety problems. The matter will be reconsidered
should the need, in the future for a voluntary incident reporting system arise.

                                                                               ESTIMATED
                                                           ACTION           IMPLEMENTATION
    CORRECTIVE ACTION(S) PROPOSED                          OFFICE                DATE(S)


No corrective action plan was submitted by the State.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-1

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/01

Please refer to Appendix 1-7-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


Updating of AIP Sweden ENR1.13 Unlawful                     SCAA               August 27 2009
interference by using applicable legislation.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-2

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/02

Please refer to Appendix 1-7-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will develop, in cooperation with adjacent         SCAA             Before January 2011
States concerned, suitable contingency plan(s) in the
event of disruption or potential disruption of air
traffic services and will request ICAO for supporting
material.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-3

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/03

Please refer to Appendix 1-7-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


A full scale MSAW tool will be integrated in the          LFV Group          31 December 2013
Swedish ATM-system by this date.

The respective contingency procedures will be             LFV Group          31 December 2013
implemented.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-4

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                      AUDIT FINDING ANS/04

Please refer to Appendix 1-7-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗


The SCAA agrees with the finding of the ICAO audit team that the procedures are not flown. But
SCAA consider that all prerequisites are fulfilled by the following procedures.

For instrument aerodromes in Sweden, all significant obstacles are registered and considered to be
accurate and complete to the level required to be confident that flight validation requirement may be
dispensed with in accordance with PANS-OPS Volume II, Part I, Section 2, Chapter 4, para 4.6.1 on
validation. Furthermore, navigation aids used in the definition of approach or departure procedures are
subject to regular flight inspections with measurements made in representative sectors, distances and
altitudes, in order to guarantee the required signal quality and strength.

In the case of new types of procedures, or in the case of special applications, where no documented
experience of fly ability is available, it is required to first publish the procedure as a procedure under
test, only available to a limited number of users, for a period necessary to gain confidence in the
design of that procedure.

Thus it is considered that all prerequisites are fulfilled in order to comply with the conditions of
PANS-OPS para 4.6.1 and Doc 8071 Chapter 8 in the application of required validation of procedure
design prior to publishing a procedure for general use.


                                                                                   ESTIMATED
                                                              ACTION            IMPLEMENTATION
    CORRECTIVE ACTION(S) PROPOSED                             OFFICE                 DATE(S)


No corrective action plan was submitted by the State.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-5

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/05

Please refer to Appendix 1-7-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


The SCAA agrees with the finding of the ICAO audit team, but has no intention to correct this
finding, and the reasons are as follows:

•   Concerning the cost-efficiency aspect the SCAA means that the cost of periodic flight inspection
    is too high and the safety benefit is to low. SCAA has carried out a safety analysis bases on
    occurrence reports over the three last years and the analysis support the statement above.

•   All NDB and Locators are monitored. The Air Traffic Controllers gets an audio and visual alarm
    when one of three parameters are out of limit. The parameters are 1) field strength, 2) modulation
    depth and 3) identification.

•   All NDB and Locators have stand-by transmitters. The equipments will automatically change to
    stand-by when the monitor alarms.


                                                                               ESTIMATED
                                                           ACTION           IMPLEMENTATION
    CORRECTIVE ACTION(S) PROPOSED                          OFFICE                DATE(S)


No corrective action plan was submitted by the State.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-6

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/06

Please refer to Appendix 1-7-06 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


Sweden has now ensured a distinct separation                                    Implemented
between the RCC and the regulatory inspection                                   January, 2009
function (ref Government Decision N 2008/3992/TR).

The RCC function is a part of the Swedish Maritime
Administration and the inspection function is a part of
the SCAA.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-7

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/07

Please refer to Appendix 1-7-07 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


Sweden will continue the attempts to establish a SAR        SCAA           Before December 2015
letter of Agreement with the Russian Federation
through different authorities and organisations.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-7-8

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                     AUDIT FINDING ANS/08

Please refer to Appendix 1-7-08 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗


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


                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


An authority regulation concerning SAR will be              SCAA             Before January 2010
issued by the Swedish Transport Agency (SCAA).
The new regulation, which will replace the present
regulation LFS 2005:1, will be more detailed than
LFS 2005:1 and will include minimum qualifications
and experience requirements for search and rescue
mission coordinators. The regulation will also
demand a continuous training programme for search
and rescue mission coordinators.

The regulation will be developed and drafted in
accordance with the SCAA rulemaking procedure as
described in chapter 3.1.2 of the ICAO report.

The basic RCC training programme is already
implemented.

Establishment of a contiguously training programme        Swedish            Before January 2010
for the RCC staff.                                        Maritime
                                                        Administration
RCC will give each staff the responsibility for
different subject fields to establish samples of
questions for educational purpose.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-7-8 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                       RELATED TO AIR NAVIGATION SERVICES



                                                                     ESTIMATED
                                                         ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                       OFFICE        DATE(S)


Special staff meetings will be held covering different
factual field each meeting.
On the job training at different ATS units are done
today, but now it is planned to be linked to the new
regulation.
All training shall be electronically documented for
each individual.

Swedish RCC is planning to be ISO certified.                           2010




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-8-1

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                     AUDIT FINDING AGA/01

Please refer to Appendix 1-8-01 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding as such but with the following comments.

The National legislation gives the possibility for the applicant to apply in any format they choose. To
assist the applicant, the scope and details are published in the regulations when a formal application is
required. When there is a formal requirement the applicant shall submit a letter or message according
to the above mentioned, for the purpose of initial certification or renewal of a certificate. The
experience from the existing procedure is that there is a time span of 10-15 years between applications
for a new aerodrome. That time span has not justified an application form.

                                                                                  ESTIMATED
                                                             ACTION            IMPLEMENTATION
    CORRECTIVE ACTION(S) PROPOSED                            OFFICE                 DATE(S)


No corrective action plan was submitted by the State.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-8-2

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                     AUDIT FINDING AGA/02

Please refer to Appendix 1-8-02 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding as such but with the following comments.

The SCAA considers Aerodrome Manuals to be the property of and tool for the aerodromes. The
regulation stipulates that the aerodrome, at any given request from the authority, submits the required
relevant documentation for any safety concern the authority might have. This and the fact that almost
every aerodrome has its manuals published on the internet, makes the availability of updated
information secured. The authority has therefore eased the administrative burden on the aerodromes
and for itself the burden of keeping manuals updated and amended.

                                                                                ESTIMATED
                                                            ACTION           IMPLEMENTATION
    CORRECTIVE ACTION(S) PROPOSED                           OFFICE                DATE(S)


No corrective action plan was submitted by the State.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-8-3

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                     AUDIT FINDING AGA/03

Please refer to Appendix 1-8-03 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

The SCAA agrees with the finding as such, concerning SMGCS in detail but implicitly there is a
general requirement in the Safety Management requirements to continuously monitor and assess all
system areas at an aerodrome.

                                                                              ESTIMATED
                                                          ACTION           IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                        OFFICE                DATE(S)


The Swedish Regulations will be amended                     SCAA             First quarter of 2010
concerning aerodrome information markings and are
expected to be in force by the first quarter of 2010.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-8-4

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                      AUDIT FINDING AGA/04

Please refer to Appendix 1-8-04 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                          ∗
                         STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                            ACTION         IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                          OFFICE              DATE(S)


The Swedish Aerodrome Regulations will be                   SCAA             First quarter of 2010
amended concerning human factor principles and
emergency operation centres and command posts and
are expected to be in force by the first quarter of
2010.

The SCAA will through its Audit Process scrutinize
how the Aerodrome Operator with its Rescue and Fire
Fighting Services observes this in their training. The
SCAA will with the amended version of the
regulations on RFFS give special attention to the
training of RFF staff and the competence concerning
“Mental and physical ability of the human being to
handle emergency and crisis situations” The
regulations are expected to be in force the first quarter
of 2010.

The basic principle of SCAA rulemaking is, when
suitable, to issue objective based regulations and,
where necessary, have attached acceptable means of
compliance. An aerodrome when audited has the
obligation to demonstrate how the rules are satisfied.
The audit team will then judge whether or not their
solution satisfies the requirement.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-8-4 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                                                    ESTIMATED
                                                        ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                      OFFICE        DATE(S)


The SCAA has an established information process
where the authority has periodical meetings with the
aerodrome community on changes in regulations and
their practical meaning to the design and operations
of aerodromes.

Every aerodrome management function will through a
biennial visit be informed or trained by the auditors
on various themes in design and operation on how to
apply the regulations.




∗ Text reproduced as submitted by Sweden
                                           APPENDIX 3-8-5

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                     AUDIT FINDING AGA/05

Please refer to Appendix 1-8-05 of this report for the text of the finding and recommendations along
with the related protocol questions which should be considered in order to fully address this audit
finding.


                                                         ∗
                        STATE’S COMMENTS AND OBSERVATIONS∗

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

                                                                              ESTIMATED
                                                           ACTION          IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                         OFFICE               DATE(S)


The SCAA will through Swedish Aerodrome                     SCAA             First quarter of 2010
Regulations on Apron Management Service establish
requirements which are expected to be in force by the
first quarter of 2010 with the following content:

Management of vehicle and aircraft movements
on an apron
“xx § The aerodrome operator shall be ensure that
that, from a safety viewpoint, movements of aircraft,
vehicles and moveable equipment on, to and from the
apron are coordinated when warranted by
operational circumstances. Such coordination shall
be performed via radio communication. Aircraft
stands shall be monitored in order to maintain safety
distances. Marshalling signs shall be according to the
ICAO Annex 2, Rules of the Air.”

The requirements will be on a high objective based
level as described above.




∗ Text reproduced as submitted by Sweden
                                     APPENDIX 3-8-5 (CONT.)

                   CORRECTIVE ACTION PLAN PROPOSED BY SWEDEN
                            RELATED TO AERODROMES



                                                                   ESTIMATED
                                                       ACTION   IMPLEMENTATION
                                 ∗
    CORRECTIVE ACTION(S) PROPOSED∗                     OFFICE        DATE(S)


The aerodrome operator has through the audit and
certification process to show and prove for the SCAA
that the “apron management service” ensure safe
movements on the aprons when an “apron
management service” is deemed necessary from a
safety point of view (risk assessment).

The aerodrome operator is always allowed to use
guidance material available by ICAO and Aerodrome
Council International and other institutions when
establishing and developing the apron management
service.

However, the SCAA will in the future when there is a
need publish guidance material to complement the
objective based regulation.




                                           — END —




∗ Text reproduced as submitted by Sweden

								
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