Source: https://www.casa.gov.au/standard-page/performance-2011-12
Timestamp: 2017-10-18 11:34:52
Document Index: 608763905

Matched Legal Cases: ['art 92', 'art 103', 'art 149', 'arts 61', 'arts 133', 'art 121', 'art 42', 'art 147', 'arts 92', 'art 67', 'arts 45', 'art 13', 'art 13', 'art 42', 'art 145', 'art 139']

Performance in 2011-12 | Civil Aviation Safety Authority
Performance in 2011–12
This section presents a detailed review of CASA’s performance in 2011–12 against the performance measures set out in the CASA Corporate Plan 2011–12 to 2013–14. The goals defined in the Corporate Plan are identical to the deliverables set out in the Portfolio Budget Statements.
For each of CASA’s three corporate goals, this section sets out:
a summary of key achievements in 2011–12
a detailed report on performance against the initiatives in the Corporate Plan, including a ‘snapshot’ assessment against each measure, using the following keys:
Ongoing/on track/completed (3 ticks)
Some delay/issues being managed (2 ticks)
Delayed/may not meet the target (1 tick)
a description of CASA’s key future initiatives to support the achievement of the goal.
Against the three corporate goals CASA has set for 2011–12, over 85 per cent were met, and a small percentage experienced a delay or external factors affecting timing and completion.
Corporate goal: Comprehensive, consistent and effective regulation to enhance aviation safety
CASA has achieved a solid measure of performance against this corporate goal, with 79 per cent of results assessed as on track or completed, 18 per cent progressing with managed delays and 3 per cent delayed due to factors beyond CASA’s control.
Development of new safety regulations has required formal industry consultation on 10 of the Civil Aviation Safety Regulations Parts. To finalise work on the second phase of the maintenance regulations for the non-regular public transport sector, CASA consulted with general aviation industry representative organisations such as aircraft maintenance and training providers. Extensive education and training for this sector of the aviation industry commenced in December 2011.
Continued focus on the safety of ageing aircraft resulted in the implementation of all the top priority actions from the Ageing Aircraft Management Plan. Thirteen ageing aircraft seminars were completed in 2011–12.
A new surveillance system was introduced to further strengthen CASA’s abilßity to oversight the industry.
Strategy 1.1 Enhance oversight and surveillance of the aviation industry
Initiative 1.1.1
Further strengthening CASA’s specialist surveillance capability to oversee:
the increased number of carriers and locations used by passenger-carrying operators
the helicopter industry sector
safety risks associated with foreign operators
the operation of unmanned aerial vehicles
aircraft maintenance undertaken outside Australia
Reviewing helicopter oversight and allocating resources accordingly within an appropriate operational structure by December 2011
A review of appropriate management models for national helicopter sector oversight activity was completed. The severe shortage of suitably qualified helicopter inspectors was noted. The minimum qualifications for helicopter inspectors were reviewed and CASA commenced a process to recruit more specialists to address shortages in particular skill areas.
Australia-wide consultation with CASA staff and operators continued, with the following outcomes:
The Eastern Region now processes night vision goggle application requests and aerial mustering approvals.
Individual certificates are now overseen by certificate management teams coordinated and managed by each regional office.
As helicopter specialists are not available in some regional offices, a mechanism has been put in place to enable offices to share specialist staff as the need arises.
Deploying specialised resources to monitor low-cost operations in Australia and the offshore maintenance of some Australian-registered aircraft by December 2012
Certificate management teams in CASA regional offices now conduct a designated program of regulatory services and surveillance of the operations of these certificate holders.
Initiative 1.1.2
Achieving more targeted and efficient risk-based surveillance
Delivering an enterprise-wide risk-based surveillance system by December 2012
Risk-based systems auditing processes, procedures and guidance for Air Operator’s Certificate and Certificate of Approval permissions were documented in a surveillance manual, as part of the Surveillance Enhancement Project—Phase 2. The manual passed through the final approval stages and will be published in July 2012.
The implementation of enterprise-wide risk-based surveillance was advanced with the release of a national surveillance tool for use by CASA Operations in July 2012. Continuous improvement of the tool and process will consolidate risk-based surveillance across all CASA surveillance activities.
Risk-based system auditing and surveillance processes are in the deployment phase across CASA, and are on target to meet the delivery date of December 2012.
Training of relevant CASA personnel in the application of risk-based surveillance methodology by June 2012
Training needs analysis was undertaken and completed at the end of 2011.
The training package was developed by the end of 2011 with the pilot course delivered in the first week of July 2012. Training for all users of the surveillance manual and tool will be completed from August–December 2012.
Initiative 1.1.3
Enhancing safety oversight of operations in northern Australia
Conducting post-implementation review of the introduction of the remote northern office concept and determining future surveillance priorities in the region by June 2012
Future surveillance priorities in the northern region of Australia are to be determined. CASA plans to review the surveillance priorities during 2012–13, subject to strategic and operational requirements.
Initiative 1.1.4
Improving the oversight of dangerous goods transportation by air
Developing dangerous goods guidance material by December 2012
The results of a post-implementation review that identified the need for changes to the regulation of dangerous goods transportation were provided to a CASA–industry working group set up to draft revisions to Part 92 of the Civil Aviation Safety Regulations. A notice of proposed rule making was drafted in May–June 2012 for publication in late 2012.
A draft advisory circular on the prevention, preparation, management, investigation and reporting of dangerous goods occurrences was developed, and is scheduled for completion in November 2012.
A draft advisory circular in relation to the transport of radioactive material was submitted as part of CASA’s internal approval process and is expected to be published in October 2012.
CASA delivered articles on dangerous goods for publication in CASA’s Flight Safety Australia magazine, and produced an information poster on the carriage of lithium batteries in carry-on baggage.
Initiative 1.1.5
Continuing to improve flying training standards and oversight of industry Approved Testing Officers
Delivering progress reports on the national pilot proficiency record review by June 2012
Two reports on the CAR 217 Pilot Proficiency Record Review were completed: an interim report in July 2011, and the final report in June 2012.
Guidance material in the form of a civil aviation advisory publication (CAAP) for cyclic training programs commenced in October 2011. A CAAP for CAR 217 training and checking systems commenced in February 2012.
Developing the strategic operational plan for the use of flight simulators by December 2012
CASA commenced developing a flight simulation operational plan for 2012–14; the plan is scheduled to be completed by the end of October 2012.
Initiative 1.1.6
Continuing to improve the sport and recreational sector’s capacity to self-administer
Developing the optimal organisational model to deliver regulatory oversight of Self-Administering Sport Aviation organisations by June 2012
A draft for Civil Aviation Safety Regulation Part 103/149 setting out the optimal organisational model is under development.
Corporate compliance auditing of the Recreational Aviation Administration Organisations (RAAOs) continued. Five audits were completed and two RAAOs were re-audited; a further two audits are scheduled to take place prior to August 2012. Unscheduled surveillance and safety education was undertaken at major industry events.
RAAO deeds of agreements were signed and completed.
A meeting of the Sport Aviation Forum was conducted in late June 2012 with 40 delegates attending. At the meeting, CASA released a preliminary discussion paper on changes to the draft Part 149.
Initiative 1.1.7
Ensuring ongoing competency of CASA delegates and authorised persons through efficient delegate management
Completing a review and implementing actions with respect to the ‘whole of life’ activities associated with delegates and authorised persons and the Industry Advisory Panel by June 2012
The review was completed and the findings were incorporated into business-as-usual activities to ensure CASA will be responsive to any environment changes.
The Delegate Management Notification System is proving effective in providing meaningful data on the activities of delegates and authorised persons. System enhancements are incorporated as identified and appropriate. The Industry Delegate Advisory Panel has provided valuable feedback on the system functions and enhancements.
Conducting surveillance of authorised persons exercising CASA manufacturing delegations
CASA established competency requirements for CASA delegates and a process to routinely review the delegates list to ensure the relevance of CASA delegates. Work undertaken in 2011–12 included the development of:
an entry control process
a list of authorised persons
surveillance requirements linked to QTE (true bearing).
Work is continuing, to finalise:
the development of an annual audit schedule and a register of corrective actions
ongoing review of the audit schedule and corrective actions
the effective transition between entry control and oversight.
An authorised person management manual is scheduled for completion by 31 December 2012.
Implementing recurrent training program for CASA delegates by July 2012
Training needs were identified and a recurrent training program framework is being developed.
Initiative 1.1.8
Continuing to focus on the safety of ageing aircraft in Australia
Implementing top priority actions arising from the Ageing Aircraft Management Plan Stage 1 recommendations by June 2012
The implementation of top priority actions arising from the Ageing Aircraft Management Plan is complete.
A discussion paper resulting from the work of the Ageing Aircraft Management Plan will be released for public comment in early 2012–13.
Delivering a series of ageing aircraft awareness seminars to raise understanding and awareness of the risk associated with the continued use of ageing aircraft technology by August 2012
CASA developed and delivered a communications campaign and supported the delivery of 13 seminars. Attendees provided very positive feedback on the seminars.
CASA promoted awareness and understanding of the issues at appropriate events.
A communications plan to support further awareness-raising activities was completed.
Initiative 1.1.9
Continuing to support the maintenance of Australia’s State Safety Program
Developing and implementing CASA regulatory safety management program by June 2012
The CASA Regulatory Safety Management Program (RSMP) manual was published on 1 July 2011. Key tasks to ensure program implementation were established and are being actioned. Key aspects such as terms of reference for safety committees, approval of the CASA safety review process and establishment of the Safety Action Group have been finalised. Delivery of a training package for both the RSMP and State Safety Program (SSP) has commenced with awareness presentations delivered to the CASA Safety Systems Inspectors, the Safety Action Group and the Safety Review Committee.
The inaugural Safety Action Group meeting was held in May 2012. The processes to support the meeting will be subject to review and continuous improvement in 2012–13.
Work was completed by all portfolio agencies to update the SSP in March 2012, one year after its initial publication. CASA’s input to this revision was finalised on 15 March 2012.
Initiative 1.1.10
Expanding industry capacity to develop and implement Drug and Alcohol Management Plans (DAMP)
Developing and implementing education and learning information tools by June 2012
An e-learning module was developed.
CASA is working on a resource kit to promote awareness and understanding of drug and alcohol management plans; the kit is expected to be available by April 2013.
The drafting of supporting tools has been completed and will be released as soon as the editing and design elements have been finalised. The proposal will be completed by December 2012.
Strategy 1.2 Complete the Regulatory Reform Program in a timely manner
Initiative 1.2.1
Developing new safety regulations taking account of best international practice and aligning Australian requirements with relevant overseas practices
Finalising the Operational and Licensing Regulations by December 2011
Industry workshops and consultations on draft Civil Aviation Safety Regulations (CASR) Parts 61, 64, 91, 119, 132, 138, 141 and 142 were held or commenced.
Industry workshops on draft CASR Parts 133 and 135 were held in July 2011; legal drafting of those parts was completed, and followed by internal and external consultation, in June 2012.
Industry consultation is planned to commence for CASR Part 121 in the fourth quarter of 2012.
Finalising policy work for phase 2 of the maintenance regulations (non-regular public transport sector) by December 2012
CASA commenced consultations with the general aviation industry representative organisations (aircraft maintenance providers and training providers) to gain their input on policy development.
Discussion papers are under development to address the key areas of maintenance programs, annual airworthiness reviews, continuing airworthiness management, approved maintenance organisations, and aircraft maintenance licensing requirements for aerial work and general aviation operations.
Initiative 1.2.2
Implementing of new safety regulations
Completing transition of RPT operators and associated maintenance organisations to phase 1 of the new maintenance regulations by June 2013
CASA’s engagement with industry is ongoing. Part 42/145 expositions continue to be received and progressed.
The Part 147/66 implementation project is on track.
Extensive education and training for the aviation industry commenced in December 2011.
CASA continues to support industry’s implementation efforts by providing regulatory advisory material, changes to regulations, manuals and worksheets, standardisation processes, and subject matter expertise.
Initiative 1.2.3
Reviewing new regulations for efficiency and effectiveness
Undertaking post-implementation review within two years after commencement of each Civil Aviation Safety Regulations Part
Post-implementation reviews have commenced and are ongoing in respect of Civil Aviation Safety Regulations Parts 92 and 101, and are planned for Part 67.
The post-implementation review for Parts 45/47 has been completed. Drafting instructions were submitted to the Office of Legislative Drafting and Publishing in September 2011.
Strategy 1.3 Develop effective enforcement methods to secure compliance with the aviation safety standards
Initiative 1.3.1
Ensuring CASA has effective enforcement powers and procedures
Finalising amendments to the Civil Aviation Act 1988, including coercive evidence gathering powers by June 2012
Drafting instructions for a proposed civil aviation amendment Bill were finalised by CASA in May 2012. The Bill is proposed for debate in the Senate in the 2012 spring sittings or subsequent sittings.
Finalising new enforcement procedures and powers in Part 13 of the Civil Aviation Safety Regulations 1998 by June 2012
The Office of Legislative Drafting and Publishing provided the first consultation draft of Part 13 to CASA on 20 June 2012. The finalised consultation draft is expected to be ready by August 2012.
Initiative 1.3.2
Ensuring effectiveness of CASA’s drug and alcohol testing regime for safety sensitive personnel in the Australian aviation sector
Completing number of enforcement actions in relation to person returning a positive test result
An Alcohol and Other Drugs Coordinator commenced employment with CASA in October 2011.
A recruitment process for alcohol and other drugs testers was finalised in December 2011, and testers commenced employment in mid-January 2012.
CASA purchased drug and alcohol testing equipment.
The number of enforcement actions in relation to people returning positive test results increased.
Strategy 1.4 Continue reform of Australian-administered airspace
Initiative 1.4.1
Continuing to implement airspace reform initiatives as identified in the Australian Airspace Policy Statement
Delivering a comprehensive quarterly report on the work program that supports the Airspace Reform Program
Detailed quarterly reports on the progress of the Airspace Reform Program were delivered to the CASA Board and the Minister.
Initiative 1.4.2
Overseeing the implementation of approach procedures with vertical guidance in Australia
Assisting ICAO in developing the processes for flight validation of Baro-VNAV approaches
The overall implementation involves several agencies, including CASA, the Department of Infrastructure and Transport, the Bureau of Meteorology, Airservices Australia, and the International Civil Aviation Organization (ICAO). CASA assists in areas over which it has regulatory authority.
CASA provided technical expertise to ICAO through the Performance Based Navigation Taskforce, the ICAO Head Office Navigations Systems Panel and regional representation at the subgroups of the Asia Pacific Air Navigation Procedures Implementation Regional Group.
CASA was represented on the ICAO Instrument Flight Procedures Panel and is working on a flight validation process for Baro-VNAV approaches.
CASA developed standards for Required Navigation Performance (RNP) navigation authorisations, including approach with vertical guidance Baro-VNAV, which took effect in May 2012.
CASA continued to work with Airservices Australia and ICAO on establishing an internationally acceptable approval process for Baro-VNAV approaches.
As an early precursor to changes to the manuals of standards, work was begun on an advisory circular to provide guidance on acceptable means of validation and re-validation of RNP terminal instrument flight procedures based on the recently published Volume 5—Validation of Instrument Flight Procedures of ICAO (Doc 9906, Quality Assurance Manual for Flight Procedure Design.)
CASA is on the Steering Committee for the Flight Procedures Programme Office and provides funding to this office which provides training to APAC (ICAO Asia Pacific region) States in Instrument Approach Procedure design to enable the implementation of Approach Procedures with Vertical Guidance (APV) in the region.
Undertaking program of flight validation of Baro-VNAV approach procedures in agreement with the design organisations
Airservices Australia procedures designers have developed the conceptual design for a number of Baro-VNAV approaches. CASA is developing the validation and other necessary implementation requirements to allow for some approaches to be trialled in 2013.
Initiative 1.4.3
Reviewing future infrastructure and technology policy directions to enhance air traffic system safety and performance
Preparing a Discussion Paper and commence consultation relating to future technology by September 2011
CASA released a discussion paper (DP 1102AS) and collated feedback from the public. Thirty submissions were received from Industry, including airlines and national organisations.
Finalising decision on further regulatory action by April 2012
Following CASA’s review of responses to DP 1102AS, a notice of proposed rule making (NPRM 1105AS) was released to provide a communication navigation and surveillance/air traffic management plan for 2011 to 2020. NPRM 1105AS covered aircraft equipment mandates related to global navigation satellite systems, transponder and Automatic Dependent Surveillance—Broadcast (ADS B) carriage, and the latest version of the Traffic Alert and Collision Avoidance System.
Promulgation of final rules for the above aircraft equipment mandates (13 mandates in total) is planned to be completed by the third quarter of 2012.
A rule has been drafted and is waiting acceptance by the Office of Best Practice Regulation.
Strategy 1.5 Identify safety-related trends and risk factors nationally and internationally and promote the development and improvement of the civil aviation safety system
Initiative 1.5.1
Conducting regular reviews of the system of civil aviation safety
Establishing data analysis and risk reporting mechanisms to determine key aviation safety risks by June 2012
A paper on the proposed safety analysis framework was substantially completed and is due to be submitted for approval in July 2012.
Following approval of the safety analysis framework, continuing tasks will include the development of data analysis and risk-reporting mechanisms. This will be delivered through three stages: establishing requirements for safety analysis; developing a process for safety analysis; and delivering a manual for safety analysis.
Developing industry sector risk profile framework by June 2013 and completing the industry risk profiles by June 2014
On 18 November 2011 CASA engaged an external consultant to develop a risk-profiling methodology and to test the methodology through the establishment of a risk profile for the charter aviation sector by June 2012.
All deliverables under the contract have been provided to CASA.
Work has commenced on a post-project review that will make recommendations to the CASA executive to build CASA’s internal capability to conduct sector risk profiling.
Continuing to develop capacity and capability to collect, analyse and disseminate safety information
Data from Australian Transport Safety Bureau (ATSB) de-identified occurrence reports, Airservices Australia electronic safety incident reports and CASA service difficulty reports is now available from the data warehouse. Standard reports have been developed from these data sets and are available as automated reports to members of the CASA inspectorate.
Two surveys were delivered: a survey of aerodrome operators in September 2011 and a survey of Air Operator’s Certificate holders in February 2012. A survey of Certificate of Approval holders is scheduled for early 2013.
Prototype systematic trend analysis reporting tools were developed and tested, and the expansion of tools to enhance current capabilities is underway.
CASA analysts hold regular meetings with the aim of promoting standardisation, efficiency and sharing of analysis work among CASA divisions.
CASA participates in the Joint Aviation Agency Safety Analysis Collaboration Group, along with representatives from the analysis areas of the ATSB, the Bureau of Infrastructure, Transport and Regional Economics, Airservices Australia and the Department of Defence. This group allows sharing of analysis methodologies, safety data and findings among aviation agencies. Working groups have been established for smoke and fumes analysis, runway excursions and activity data.
Staff skills gaps in relation to data analysis will be identified and data gaps will be analysed and addressed during the implementation of the safety analysis framework.
CASA is actively engaged with the ATSB and the ICAO Safety Information Protection Task Force in the development of appropriate standards and practices for the use and protection of safety information.
Developing proactive promotional and educational programs based on identified key aviation safety risks and trends
Targeted education and promotional programs were developed as a result of data-driven trend analysis.
Initiative 1.5.2
Conducting regular and timely assessment of international safety developments
Continuing to work with ICAO and the Safety Management International Collaboration Group to develop a framework for measuring safety performance
CASA participated in the December 2011 and April 2012 meetings of the Safety Management International Collaboration Group (SMICG), and contributed to its development of guidance for safety performance measurement. Guidance on safety performance measurement for regulators is nearing completion and is scheduled to be delivered to the October 2012 SMICG meeting.
A process is being established for the development of low-level safety performance indicators and proposed high-level risks for further development of indicators. CASA is currently developing a preliminary set of safety performance indicators using the SMICG guidance.
CASA participated in the inaugural ICAO Asia Pacific Safety Reporting and Programme Working Group to develop a collaborative report on safety trends within the Asia–Pacific region.
Initiative 1.5.3
Exploring opportunities to adapt new technologies that improve safety
Working with ICAO to develop Unmanned Aircraft Systems guidance material by April 2013
ICAO Circular 328, which provides the guiding principles for the future development of unmanned aircraft systems (UAS) guidance material, was published.
CASA plans to work with ICAO to complete a full guidance manual for UAS in the second quarter of 2013.
Working with ICAO to establish UAS standards by November 2014
The development of standards will follow the publication of the UAS guidance manual in the second quarter of 2013.
Continuing to develop international networks for the identification of emerging technology
CASA established a presence on ICAO technology panels, and is developing contacts with leading authorities.
As airlines continue to expand their fleets with new Boeing, Airbus, Fokker and DH Canada aircraft coming into Australia—some will add capacity to regular public transport routes, while others will start new routes. CASA will continue to manage the ongoing requirements of safety regulation with business-as-usual surveillance activities.
Finalisation of the suite of operational, licensing and maintenance regulations will require significant time and resources across CASA.
CASA will enter into a consolidation phase to embed processes and procedures and will implement new technical systems to achieve standardisation, consistency and efficiency gains.
Corporate goal: Good governance and continuous improvement of organisational efficiency
CASA has continued to practice good governance and has made strong steps forward with the successful completion and introduction of a number of projects designed to improve organisational efficiency. Of the 24 measures against this corporate goal, 75 per cent of results were assessed as on track or completed and 25 per cent were progressing with managed delays or balanced against other emerging and competing priorities.
CASA’s new enterprise agreement was approved by Fair Work Australia in June 2012. The new agreement included initiatives to attract and retain staff and also included a number of structural enhancements to support the introduction of certificate management teams.
CASA’s core regulatory training program and induction program were reviewed and delivered across the organisation to ensure that CASA’s obligations and accountabilities are understood by all staff.
Upgrades or replacements to CASA’s major existing information technology systems have improved CASA’s information technology infrastructure and business systems. A new learning management system, a new standard operating system, and new financial and payroll systems were introduced in 2011–12.
Strategy 2.1 Attract and retain an adequate number of appropriately skilled staff and optimise their capability and performance to meet CASA’s obligations
Initiative 2.1.1
Positioning CASA as an organisation that attracts and retains qualified, high-performing and engaged staff through the implementation of the strategic workforce plan
Establishing a new enterprise agreement that continues to attract and retain staff
Formal negotiations for a new enterprise agreement commenced on 21 October 2011. The CASA Enterprise Agreement 2012 was approved by Fair Work Australia on 25 June 2012 with a date of effect of 2 July 2012.
Initiatives to attract and retain staff included: enhanced parental leave provisions and entitlement for supporting partners leave; special leave for Indigenous Australian employees and employees taking part in volunteer and community service; and structural enhancements to support the introduction of certificate management teams.
Developing targeted workforce plans for critical areas of CASA by June 2012
CASA’s initial workforce plan was reviewed and updated to produce a plan that supports all operational areas, as part of the 2012–13 business and risk management planning process. The draft revised workforce plan was completed by 30 June 2012.
Establishing and implementing a learning and development pathway for CASA staff by June 2012
CASA developed and implemented a learning and development pathway encompassing organisational training needs analysis and the workforce behavioural framework.
The delivery of the pathway will be enhanced by an induction program which is under development and scheduled to be completed by December 2012.
Initiative 2.1.2
Continuing to develop leadership and management capability within CASA
Establishing and implementing CASA’s internal leadership capability through the talent management program by March 2012
The executive performance framework, including key performance indicators, was completed. The framework was implemented and reviewed during 2012. CASA plans to extend it to the senior management group in the next financial year.
The V2 women’s mentoring program, aimed at developing leadership skills in CASA’s senior women, was launched in December 2011. The initial program will run until August 2012.
CASA trialled an initiative to provide closer support to the Operations Division. A mid-point review indicated that the program was highly successful.
Initiative 2.1.3
Developing a workforce that understands CASA’s obligations and accountability on a whole-of-organisation basis
Providing comprehensive induction and ongoing learning and development programs to facilitate smooth assimilation of new staff into CASA
The first stages of development of an induction framework were completed. CASA is working to identify additional induction learning and development activities to support their smooth assimilation into CASA.
The learning and development pathway developed in 2011–12 will help new staff to understand and fulfil their roles in CASA.
CASA’s core regulatory learning and development program was reviewed and delivered.
Initiative 2.1.4
Providing necessary technical training to CASA specialists to ensure they are up-to-date with technological advancements
Identifying and providing necessary training for CASA staff to be up-to-date with technological advancements from June 2012
CASA is developing a process to identify new aviation technological advancements applicable to technical competencies within CASA business areas.
Training and communication products were developed as needs were identified.
Implementing a system for the continuous identification and delivery of necessary technical training for CASA staff by June 2012
A system was implemented to ensure continuous identification of existing and emerging technical training requirements and the consequent development and delivery of appropriate training courses to relevant CASA staff.
Strategy 2.2 Continuously improve the consistent and efficient delivery of operational activities, regulatory services and other support functions
Initiative 2.2.1
Standardising processes and procedures to improve consistency and efficiency
Finalising key CASA policies to deliver standardisation, consistency and efficiency by December 2011
CASA staff received training to enable standardisation, consistency and efficiency in the management of Certificates of Airworthiness across all regional offices. Continuous improvement processes were enabled.
A manual with associated guidance material as a ‘single source of truth’ is being designed; development and promulgation of the manual are scheduled for August 2012.
The first standardised inspector handbooks governing the Part 42 and Part 145 technical assessment processes and procedures were completed and delivered. Necessary policy surrounding the expected use of the handbooks is contained in the preamble of each handbook. The handbooks are being continuously improved.
All of CASA’s key policies have been reviewed. Most have been published and made available to staff or are in the final stages of drafting. All policies will continue to be reviewed on an ongoing basis.
The CASA governance framework was updated as part of the standard annual review cycle and will be published before the end of the third quarter of 2012.
Initiative 2.2.2
Establishing a standardised and consistent practice for the processing of all regulatory service applications, including a single point of contact for the aviation industry participants
Completing the transfer of regulatory service processing activities to the Permissions Application Centre, in conjunction with the upgrade and/or replacement of existing systems
The Single Service Centre project, which will make it easier for industry to interact with CASA through a single entry point, is being re-scoped. The project is working towards a single system to manage CASA’s regulatory services.
A staffing strategy for the Permissions Application Centre was developed, and a training framework for the centre is being finalised.
Initiative 2.2.3
Developing long-term funding strategy to provide a framework for financial sustainability for CASA
Completing the long-term funding strategy for 2014–18 by October 2013
Work on the long-term funding strategy began in June 2012.
Completing the whole-of-agency cost recovery review in accordance with the Australian Government Cost Recovery Guidelines by December 2011
CASA reached an interim agreement with the Department of Finance and Deregulation with respect to the cost recovery impact statement for the periodic review required by the Australian Government cost recovery guidelines. The cost recovery impact statement will be presented to the Minister and the Board in October 2012, following public consultation.
Initiative 2.2.4
Improving information technology infrastructure, business processes and systems
Completing the upgrade and/or replacement of existing systems by December 2014
The first EMPIC–EAP modules will be ready for use by CASA staff in November 2012.
Train-the-trainer and expert user training for the first modules was delivered by an EMPIC–EAP trainer in Canberra in April 2012.
A suite of training courses and materials for CASA staff who will use the first modules is under development.
Data migration and screening are in progress.
CASA is working with the EMPIC vendor to clearly define CASA’s requirements for task management (workflow).
Final requirements for aviation medical certificates modules were provided to the vendor for their consideration and proposed solution.
A statement of requirement outlining the specifications for the CASA Online Services Portal was finalised.
Upgrading all personal computer hardware and implementing a new end-user environment by June 2012
An upgraded standard operating environment was rolled out across CASA, and associated training was provided.
Replacing the Financial Management Information System by June 2012
Core accounting modules will be activated on 1 July 2012.
Modules covering travel and enterprise cash receipting (ECR) have been deferred until September 2012. This occurred because the vendor did not provide the ECR module in time and subject matter expertise for the travel module was not available.
Replacing current human resource and learning management systems by December 2012
Phase 1 was completed in June 2012 and the new human resource management system (HRMS) was fully implemented. The HRMS has reporting interfaces with the new learning management system that was implemented in 2010–11.
Phase 2 includes additional modules to improve and extend the capability of the HRMS and is on schedule for completion in 2012–13.
Initiative 2.2.5
Establishing a knowledge and information management system that allows CASA to enhance its evidence-based decision making capability
Establishing an up-to-date record management and enterprise content management scheme by December 2013
CASA engaged a contractor to provide the records management software upgrade; the upgrade is expected to be completed by December 2013.
Completing data quality project by June 2014 to improve the quality of CASA’s information stores
CASA engaged a software vendor to develop a data quality system focusing on governance, ownership and quality standards. A pilot system was identified and successfully completed.
Implementing the introduction of collaborative tools to improve efficiency of knowledge and information sharing of unstructured information by December 2013
A collaboration platform was selected and the installation of the tool commenced.
Work is underway to develop a governance model for the deployment of collaborative tools, and to look at how such tools might best enhance knowledge sharing.
New search capabilities are being tested to improve the retrieval of unstructured data.
Initiative 2.2.6
Increasing efficiency through improved cross-team collaboration
Developing and implementing actions to improve internal communication across CASA by December 2012
CASA continued to implement Survey Action Team initiatives resulting from the 2010 staff engagement survey.
Divisional updates for each division were delivered in CASA’s internal online newsletter, Casawary.
Strategy 2.3 Ensure clearly defined lines of accountability, responsibility and authority across the organisation
Initiative 2.3.1
Continuing to establish clear roles and responsibilities across CASA
Developing protocols and procedures to enhance governance and accountability within the senior management group by June 2012
Governance and accountability protocols for the senior management group are being developed and disseminated on an ongoing basis. These protocols form part of CASA’s governance framework and, where appropriate, will be incorporated in relevant CASA policy documents.
Initiative 2.3.2
Promoting consistent use of risk management framework
Delivering risk management training modules to all CASA offices by June 2012
Risk management training is embedded within CASA’s core regulatory training; safety management courses; Flight Operations Inspector and Airworthiness Inspector training; and project management courses. The establishment of CASA’s training centre in Brisbane reduced the need to travel and deliver training at each regional office.
Initiative 2.3.3
Ensuring a comprehensive and independent internal audit work program
Establishing a rolling audit work program of all CASA functions based on risk information derived from Divisional Business and Risk Management Plans by 1 July annually
A three- to five-year work program of rolling internal audits of key CASA functions has been established. The program is reviewed and updated annually, following the completion of all divisional business and risk management plans. As new systems or processes are commissioned or implemented they are also incorporated into the program.
The 2012–13 internal audit work program was endorsed by the Board Audit Committee in June 2012 and subsequently approved by the Board.
Initiative 2.3.4
Promoting an accessible, transparent and rigorous complaint-handling system
Working collaboratively with the other government aviation complaint handlers to improve access to complaint-handling channels
The Australian Government aviation complaint handlers met quarterly and collaborated on projects to enhance the efficiency and consistency of complaints handling within the Infrastructure and Transport and Defence portfolios.
Acknowledging all complaints within 24 hours
All complaints were acknowledged within one working day.
The introduction of cost-effective technologies will further support CASA’s people in the field. An online recruitment and travel tool will be introduced to update and streamline existing processes.
Improvements to the CASA website will more efficiently deliver knowledge and information services to the wider aviation community.
Implementation of new systems and processes will lead to the development of a single service centre for dealing with all service requests from industry.
Corporate goal: Effective and appropriate relationships with the wider aviation community
CASA has made significant progress against maintaining effective and appropriate relationships with the wider aviation community, with all of the 25 measures under this goal assessed as either completed, on track or ongoing.
Comprehensive safety education and training programs were conducted, including the opening of the CASA training centre for internal and industry training in May 2012 (see page 82).
CASA conducted a number of targeted communication activities to strengthen the aviation industry’s understanding of their compliance and safety obligations under the civil aviation legislation. Guidance material on safety management systems was published to build industry understanding in this area.
CASA contributed to the establishment of a number of bilateral aviation safety arrangements as part of a program to establish appropriate mutual recognition with key international partners. Key initiatives were with the United States of America, China, Canada, Korea and Singapore.
CASA continued with ongoing regional engagement in a range of forums, including chairing the ICAO Regional Aviation Safety Group (Asia Pacific).
Strategy 3.1 Maintain constructive working relationships with the Government and other agencies
Initiative 3.1.1
Maintaining sound working relationship with the Minister for Infrastructure and Transport and Ministerial staff
Providing the Minister’s Office with accurate information and advice, including weekly reporting, in accordance with agreed time frames
CASA provided weekly updates and regular communication on relevant issues to the Minister’s Office.
Time frames for responses to parliamentary questions and ministerial correspondence were met.
Responses to questions taken on notice and written questions arising from Senate estimates committees were completed as required.
Continuing to attend regular meetings with the Department of Infrastructure and Transport, and the Minister’s Office
Regular periodic meetings between the Deputy Director of Aviation Safety and the Deputy Secretary, Department of Infrastructure and Transport were held to discuss and resolve matters of mutual interest and concern and took place in August 2011 and April 2012. Liaison with the Minister’s Office took place as required.
Initiative 3.1.2
Maintaining a sound working relationship with other Australian Government agencies
Conducting regular executive meetings between CASA and the Australian Transport Safety Bureau to achieve objectives stated in the memorandum of understanding
The ATSB and CASA continued to foster their relationship and committed to a schedule of meetings to exchange views and liaise with each other as documented in the formal agreement.
The two agencies met twice in 2011, with meetings taking place in July and December. Further meetings are scheduled for July and December 2012.
Maintaining appropriate executive-level participation in Aviation Policy Group and Aviation Implementation Group
In 2011–12, there were five meetings of the Aviation Implementation Group and six meetings of the Aviation Policy Group. Aviation Implementation Group meetings are attended by the Deputy Director of Aviation Safety and Executive Manager, Airspace and Aerodrome Regulation Division. Aviation Policy Group meetings are attended by the Director of Aviation Safety, the Deputy Director of Aviation Safety and the Executive Manager, Airspace and Aerodrome Regulation Division.
Strategy 3.2 Encourage a greater acceptance by the aviation industry of its obligation to maintain high standards of aviation safety
Initiative 3.2.1
Providing comprehensive safety education and training programs
Establishing CASA safety education framework by December 2012
The development of the CASA safety education framework is continuing.
Completing a viability study by June 2012 to determine how a CASA training centre could be endorsed to deliver ICAO-recognised training programs
CASA is investigating requirements for ICAO endorsement through communication with the office responsible for ICAO’s TRAINAIR Plus program.
Establishing and implementing a CASA centre for aviation education and training by December 2013
CASA opened its training centre for internal and industry training in May 2012 (see Case study 5).
Developing a framework to support the CASA AvSafety program by June 2012
CASA is developing the framework to support AvSafety as part of the safety education framework.
Initiative 3.2.2
Fostering an awareness of the importance of aviation safety to the wider aviation community
Establishing and implementing a communications framework by June 2012 that will engage the wider aviation community
CASA completed the necessary research and established a communication strategy and framework.
Initiative 3.2.3
Strengthening the aviation industry’s understanding of compliance requirements with aviation safety standards
Ongoing development and delivery of promotional and educational programs to strengthen the aviation industry’s understanding of their obligations with respect to compliance with aviation safety legislation
CASA continuously designs and develops educational programs in line with identified issues and trends.
CASA conducted safety promotions and communication activities on topics such as:
pre-flight planning for visual flight rules pilots
the use of radio and correct frequencies
the implementation of new maintenance regulations.
Four additional locations were developed for OnTrack, CASA’s web-based interactive guide to controlled airspace.
Runway Challenge, a web-based interactive tool to address runway familiarisation, will incorporate Moorabbin airport by August 2012. The inclusion of Bankstown airport was postponed because of runway changes.
CASA is reviewing its aerial maps and will release updated versions to flying training schools by November 2012.
Initiative 3.2.4
Continuing to build a capacity to support the adoption of safety management systems in the aviation industry
Developing and publishing guidance material by July 2013 to enable effective implementation of safety management systems for regular public transport maintenance organisations
Acceptable means of compliance and guidance material for safety management systems for approved maintenance organisations were published.
An advisory circular on safety management systems for approved maintenance organisations was drafted; public consultation is underway.
Developing and delivering educational programmes and promotional campaigns to support the implementation of safety management systems by July 2013
A safety management systems resource kit was completed and made available to industry.
Safety management systems web pages were reviewed; updated pages will be activated in July 2012.
Initiative 3.2.5
Assisting the Department of Infrastructure and Transport to address potential risks to aviation safety arising from inappropriate developments in the vicinity of aerodromes
Participating in and supporting the National Airports Safeguarding Advisory Group (NASAG)
CASA provided key information for much of the guidance material produced by NASAG.
CASA attended NASAG meetings and provided advice to the group.
CASA is a member of the Airspace Protection Taskforce led by the Department of Infrastructure and Transport. The task force first met on 29 November 2011.
Initiative 3.2.6
Conducting assessment of human factors and non-technical skills training in RPT organisations
Completing the assessment by December 2012
Assessments of human factors and non-technical skills training within regular public transport (RPT) organisations were substantially completed, with only one remaining assessment to be completed in July 2012.
Strategy 3.3 Foster strong working relationships with the international aviation community
Initiative 3.3.1
Contributing to the achievement of aviation safety objectives through active membership of the International Civil Aviation Organization (ICAO)
Maintaining commitment to the memorandum of understanding between CASA, the Department of Infrastructure and Transport and Airservices Australia regarding the management of Australia’s ICAO responsibilities
CASA assisted Australia in maintaining its status as an ICAO Member State of Chief Importance by:
ensuring the quality and timeliness of responses to ICAO correspondence
monitoring Australia’s ICAO expenses and ensuring CASA’s portion was within budget
maintaining an active role in a number of ICAO panels and study groups, including the Instrument Flight Procedures Panel, the Air Traffic Management Requirements and Performance Panel and the Aeronautical Information Services—Aeronautical Information Management Implementation Task Force.
Maintaining appropriate participation in the work of ICAO panels and working groups
CASA frequently provided key specialist support to many of the ICAO working groups, subgroups and taskforces. This is a resource-intensive activity, but is important to ensure that Australia’s ICAO status as a Category 1 State is maintained.
Initiative 3.3.2
Contributing to progressing the establishment of bilateral aviation safety arrangements with other countries and national aviation authorities
Demonstrating progress in the establishment of appropriate mutual recognition arrangements, including bilateral aviation safety arrangements with key international partners
Canada—A bilateral arrangement with Transport Canada regarding maintenance is being progressed through correspondence and oversight visits. At a meeting with CASA in December 2011, Transport Canada confirmed that it was keen to finalise the arrangement. An agreement is expected to be signed in late 2012.
China—CASA visited the Civil Aviation Authority of China (CAAC) in June 2012 as the first step to commencing negotiations to establish and draft a working arrangement on airworthiness certification. A reciprocal visit by the CAAC to Australia is scheduled for October 2012.
European Union—CASA, in consultation with the Department of Infrastructure and Transport, engaged with the European Aviation Safety Agency (EASA) to discuss the scope of a potential safety arrangement. CASA was advised that EASA will be unable to progress an arrangement on aviation safety until outstanding issues with the Australia – European Union aviation agreement (which is the responsibility of the Department of Infrastructure and Transport) have been resolved.
Hong Kong—During a side meeting at the Federal Aviation Administration/Asia–Pacific Bilateral Partners Dialogue meeting in March 2012, the Civil Aviation Department of Hong Kong advised CASA of its interest in pursuing an arrangement on airworthiness certification which may later be expanded to cover maintenance. CASA is planning to visit Hong Kong in August 2012 to gain an understanding of the certification/maintenance processes, policies and procedures and to determine whether there is scope to enter into an arrangement.
Korea—CASA and the Korean Office of Civil Aviation met in Sydney in May 2012 to sign a memorandum of understanding and Implementation Procedures for Airworthiness.
New Zealand—CASA held quarterly operational video teleconferences with the Civil Aviation Authority of New Zealand to discuss various operational issues relevant to each organisation. A high-level face-to-face meeting is scheduled to take place in Brisbane in September 2012.
Singapore—During a side meeting at the FAA/Asia–Pacific Bilateral Partners Dialogue Meeting in March 2012, the Civil Aviation Authority of Singapore advised CASA of its interest in pursuing arrangements on simulators, pilot licensing, airworthiness and maintenance. CASA will undertake a familiarisation visit to Singapore in July 2012 to discuss a high-level arrangement, initially to cover certification and maintenance and potentially to expand to cover licensing and simulators.
United States—CASA is working to commence a revision to the Bilateral Aviation Safety Agreement Implementation Procedures for Airworthiness. CASA continues to scope a maintenance implementation procedure and an implementation procedure for licensing.
Initiative 3.3.3
Contributing to Australia’s engagement in the region through participation in a range of aviation forums and relevant assistance programs
Undertaking approved activities with Indonesian counterparts through the Government’s Indonesia Transport Safety Assistance Package to enhance Indonesia’s aviation safety oversight capacity
In April 2012 CASA received $693,890 from the Department of Infrastructure and Transport for 2011–12 projects to be delivered under the Indonesia Transport Safety Assistance Package.
In May 2012, a CASA consultant assisted the Indonesian Directorate General of Civil Aviation (DGCA) to facilitate an Aerodromes Reporting Officer and Aerodromes Works Safety Workshop for 40 participants from various airports in western Indonesia.
Also in May, a consultant from Airservices Australia travelled to Indonesia to conduct a review and revision of the DGCA’s regulatory and guidance materials.
In June 2012, the draft manual of standards for Part 139 was substantially completed.
Following on from an Enforcement Workshop conducted for the DGCA in November 2011, in June 2012 a CASA legal expert commenced discussions with the DGCA’s legal division regarding enhancing Indonesia’s aviation safety enforcement framework and legal structure.
Maintaining active engagement with the Pacific Aviation Safety Office as technical advisor to the Australian representative
As the technical adviser, CASA continued to provide advice to the Department of Infrastructure and Transport, which is the Australian member of the Pacific Aviation Safety Office (PASO) Council. CASA attended the PASO Annual General Meeting, held in the Cook Islands, in May 2012, and provided technical advice on Australian safety management systems, state safety program requirements and unmanned aircraft systems.
Continuing to participate in Cooperative Development of Operational Safety and Continuing Airworthiness Program – South East Asia (COSCAP-SEA) and other regional safety and technical groups, as appropriate
CASA continued to receive requests for assistance from regional regulators, such as the Civil Aviation Division of East Timor, through relationships established through involvement in, and support of, COSCAP-SEA.
CASA continued to provide assistance to Papua New Guinea (PNG) to improve aviation safety. For example, CASA:
identified future programs and activities to be delivered through the Civil Aviation Safety Authority of PNG (CASA PNG), and submitted an activity proposal to the Department of Infrastructure and Transport in March 2012 for projects to be delivered in 2013–15 under the memorandum of understanding between the governments of Australia and PNG on cooperation in the transport sector
attended regular meetings of the PNG Interagency Transport Cooperation Working Group chaired by the department
facilitated the attendance of a CASA PNG officer at a flying operations inspector training course held in Brisbane followed by on-the-job training and mentoring with a flying operations inspector in Darwin in March and April 2012. Airworthiness inspector focused training was held in PNG in November and December 2011
facilitated supplementary dangerous goods training held in Brisbane for two CASA PNG officers in May 2012 (with funding from AusAID). This included a mixture of classroom-based and practical activities followed by an ICAO accredited exam. A visit to PNG by a CASA dangerous goods inspector is planned for later in 2012.
Offering appropriate regulatory education and training assistance in support of Australia’s engagement in the region
CASA reviewed existing courses relevant to regional regulatory authorities, identified areas of training need and developed culturally appropriate training modules. Training is scheduled to be delivered to CASA instructional staff by December 2012.
CASA provided courses to regional authorities on a case-by-case basis. For example, a dangerous goods course was delivered to CASA’s PNG counterparts.
Strategy 3.4 Promote wide and effective consultation and communication with the wider aviation community on aviation safety issues
Initiative 3.4.1
Enhancing CASA’s relationship with the wider aviation community
Continuing to provide accurate and timely information to the wider aviation community on aviation safety issues
CASA monitoring identified 4,083 stories in the Australian media that mentioned CASA. Of those stories:
36 per cent were published in newspapers, 12 per cent were broadcast on television and 52 per cent were broadcast on radio
96 per cent were neutral in tone towards CASA, 2 per cent were positive, and 2 per cent were negative, continuing a very low level of negative media stories
76 per cent referred to a CASA spokesperson or media release.
Establishing the requirement for an aviation stakeholder engagement framework by December 2012
CASA established a communication strategy and framework which covers stakeholder engagement.
Initiative 3.4.2
Working constructively together with the relevant consultative groups to ensure exchange of information on important aviation safety matters and other relevant issues
Taking follow-up action on meaningful feedback from participants
The Regional Aviation Safety Forum met on 7 October 2011 and 30 March 2012. Issues discussed included ramp check inspections of Royal Flying Doctor Service aircraft; gliding operations in regional airspace; the use of laser lights; the regulatory reform program; and airspace issues, including Baro-VNAV. The next meeting is scheduled for September 2012.
Feedback is recorded and actioned through standard documented processes.
Timely and effective resolution of action items
Standards Consultative Committee plenary and subcommittee meetings maintain action item lists that ensure timely and effective resolution of action items.
Implementing the new Standards Consultative Committee charter that includes updated and appropriate consultation mechanisms by December 2011
The Standards Consultative Committee Charter was updated.
CASA will continue communication activities to support the implementation of the new maintenance regulations.
CASA’s Flight Safety Australia online magazine will be enhanced as will CASA’s capacity to more effectively deliver safety products via a range of online channels.
CASA will look to finalise arrangements with Singapore, Hong Kong and China and once these are in place will consider similar arrangements with other Asia–Pacific nations.