Document ID: chunk:federal_register_of_legislation:F2023C01154:reg:34
Version: federal_register_of_legislation:F2023C01154
Segment Type: reg
Provision Reference: reg 34
Character Range: 48231–49671

34  Requirements for audit and surveillance system
  For the purposes of regulation 149.275 of CASR, the requirements for an ASAO's audit and surveillance system are as follows:
 (a) it must be appropriate for the ASAO's approved functions, taking into account the nature, complexity and inherent risk of the functions, and the size of the ASAO;
 (b) it must include policies, processes and procedures for the conduct of audit and surveillance relevant to the ASAO's approved functions;
 (c) it must include a process for regular evaluation of the holder of an authorisation issued by the ASAO with respect to compliance by the holder with the requirements set out in the ASAO's policies and procedures;
 (d) it must include a process for evaluation of:
(i) the holder of an authorisation issued by the ASAO who may issue an authorisation on behalf of the ASAO; and
(ii) the holder of an authorisation issued by the ASAO who may recommend, to the ASAO, the issue of an authorisation;
  with respect to compliance by the holder with the requirements set out in the ASAO's procedures manual at least once in every 2 year period;
 (e) it must include a process for production of the ASAO's audit and surveillance records to CASA upon CASA's request;
 (f) it must require the capture of data on the number, and kinds, of members, authorisations, aircraft, accidents, incidents, defects and fatalities related to the ASAO's approved functions.