Performance framework
Successful delivery of aviation safety is measured by a number of performance measures over a considerable period of time. CASA measured its performance for 2006–07 using indicators set out in:
- the Portfolio Budget Statements (PBS) for the Transport and Regional Services portfolio
- the CASA Corporate Plan 2006–07 to 2008–09.
CASA contributes to the portfolio’s outcomes by delivering its vision of safe skies for all. CASA’s contribution is structured under four groups of outputs. These outputs are:
- Aviation Safety Standards
- Aviation Safety Compliance
- Aviation Safety Promotion
- Aviation Regulatory Services.
These outputs will need to be reviewed in the near future to take account of CASA’s pending transition to Financial Management and Accountability Act arrangements and also of its revised organisational structure.
CASA assesses its effectiveness at the portfolio outcome level using the nine overall performance measures (see Figure 11) which are associated with 14 strategic objectives set out in the PBS for 2006–07. Each strategic objective has one or more specific performance measures (see Table 2).
The CASA corporate plan translates these objectives into a rolling three-year work plan, structured around four goals:
- Achieve safety effectiveness
- Improved efficiency
- Improved industry and other stakeholder relations
- Improved accountability.
CASA has identified a number of strategies for achieving each goal. Each strategy sets out initiatives and performance targets or milestones. Further details can be found in the CASA Corporate Plan 2006–07 to 2008–09 on the CASA website.
Figure 11 – CASA’s performance framework (Portfolio Budget Statements 2006–07)
| Portfolio outcome Fostering an efficient, sustainable, competitive, safe and secure transport system |
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| CASA’s vision Safe skies for all |
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| CASA’s total budget, 2006–07: $122.6 million | Total cost: $115.8 million | ||
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Performance measures: Overall achievement of the outcome
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Output 1 Aviation Safety Standards A safer aviation community achieved through development and application of quality safety standards Budget: $24.13 million Actual: $23.13 million |
Output 2 Aviation Safety Compliance with Australian aviation safety legislation is secured through effective education, surveillance and procedurally fair enforcement Budget: $53.90 million Actual: $50.88 million |
Output 3 Aviation Safety Promotion An informed and safety motivated aviation community is achieved Budget: $15.38 million Actual: $15.03 million |
Output 4 Aviation Regulatory Services Regulatory services are provided in a timely and consistent manner, aligned with CASA’s safety obligations Budget: $25.47 million Actual: $26.60 million |
For information on how CASA delivered against these measures, see Table 2.
Achievement of specific performance measures Fully achieved Partly achieved Project initiated |
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| Strategic objectives | Specific performance measures | Initiatives to achieve intent of strategies | Result/progress |
Work with the aviation industry to develop clear aviation standards and rules which enhance safety Overall performance measure Clear aviation safety standards and rules which enhance safety |
Quality Reducing trend in average number of exemptions to Civil Aviation Safety Regulations (CASRs) over 10-year period Achievement level
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Continue to amend existing legislation to better address aviation safety risks and increase CASA and industry effectiveness |
Ongoing. Over the last three financial years, CASA’s head office issued the following number of exemptions under the CASRs: three in 2004–05, seven in 2005–06 and nine in 2006–07. (Note that there are more CASRs in force now than in previous years, so effectively there has not been an increase in the numbers of exemptions granted) There were seven amendments to CASRs in 2003–04, three in 2004–05, six in 2005–06 and three in 2006–07 |
Complete the remainder of the CASR rule suite |
Partly achieved. The aim is for all outstanding CASR parts to be with the Office of Legislative Drafting and Publishing for drafting by early 2008, subject to recommendations from the Aviation Regulation Review Task Force established by the Minister to provide independent advice on the priorities for regulatory development |
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Identify and address the most significant safety related trends and risk factors in the system of civil aviation safety in Australia Overall performance measure Address significant safety related trends and risk factors in the system of civil aviation safety |
Quality Annual identification of safety risks by industry sector and their sources Achievement level
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Continue flying training industry development |
Ongoing. Flight instructor manuals for fixed wing and rotary wing instructors and a series of flight test guides were produced. This has made a standardised set of concepts available to the training industry Running of Approved Testing Officer workshops and other forums such as the Flying Training Panel has helped ensure that standardisation of flight instruction continues |
Establish collaborative data-sharing arrangements with other government agencies to lessen the reporting burden on industry and potential for duplication |
Project initiated |
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Further develop the work of the Safety Analysis and Research Working Group |
Partly achieved. A senior management research committee has been formed that is responsible for all aspects of research in CASA |
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Develop improved collection and analysis of industry safety data via the industry oversight project |
Project initiated |
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Improve effectiveness of CASA’s surveillance programme in contributing to better safety outcomes Overall performance measures
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Quality Continue risk-based audits of airline, general aviation and maintenance organisations Achievement level
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Continue to evaluate and revise CASA’s surveillance programme |
Ongoing. CASA’s industry oversight project is developing a revised conceptual basis for overseeing industry CASA has adopted a risk-based safety management approach to industry under which operators will be responsible for their risks and CASA will oversee how effectively they manage them. This approach will be in addition to the existing system of product audits, where specific activities are targeted |
Develop a policy for the surveillance of the drug and alcohol testing regime |
Initiated the ‘Alcohol and other drugs testing for safety-sensitive personnel’ project. Funding has been provided for the surveillance programme. Staffing, including of inspector positions, has begun. Surveillance planning is under way, and is expected to be in place prior to commencement of testing early in 2008 |
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Quality CASA resources realigned with passenger priority policy Achievement level
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Align surveillance planning and allocation of resources with industry sector priorities |
Achieved. CASA’s regulatory policy notices on industry sector priorities and classification of civil aviation activities have been revised to redirect surveillance resources |
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Develop a risk-based audit programme for manufacturing organisations, based on an international risk model |
Partly achieved. The programme was implemented in December 2006. An average of nine organisations are audited each month By the end of 2007 all organisations will have been audited, thereby eliminating the backlog of overdue audits |
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Implement a general aviation ‘planning and resource allocation matrix’ to schedule a programme for surveillance operations, based on risk factors |
Achieved. 98% of all identified active general aviation operators, including low-capacity regular public transport and significant charter operators, received oversight. Where necessary, on the basis of risk assessments, surveillance was redirected from the scheduled programme towards higher priority operators |
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Establish a general aviation special audit programme to identify and audit higher-risk operations |
Ongoing. The programme audited three aviation organisations during 2006–07 |
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Encourage greater industry acceptance of CASA’s responsibilities for aviation safety Overall performance measures
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Quality 80% of industry participants rate CASA’s educational material as enhancing their understanding of their safety responsibilities Achievement level
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Use safety education materials to raise awareness of key safety issues |
Achieved. The results from a user survey on aviation safety promotion materials indicated:
(See also Surveys) |
Quantity CASA increases the number of industry participants attending safety education and promotion courses by 5% per annum Achievement level
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Provide tools and guidance to internal and/or external groups to deliver educational material |
Ongoing. A total of 2,250 people attended evening safety seminars during the year. In addition, field safety advisers conducted 671 on-site visits, resulting in over 1,100 contact hours with industry Feedback from a survey conducted in 2006 into CASA’s ‘Briefing in a box’ product indicated 100 of the 214 flying schools had presented 1,592 briefings since the introduction of the product The reach from safety education programmes has exceeded the growth requirements beyond the targeted figure of 3,100 |
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Inform the public of the health of aviation safety in Australia Overall performance measure Public confidence in the safety of air travel |
Quality Public confidence in the safety of air travel Achievement level
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Educate the public and industry on relative risks and alignment with CASA priorities |
Ongoing. A survey is to be conducted in 2008–09 to determine public confidence. Similar surveys were conducted in 2002–03 and 2004–05 and CASA aims to ensure that these surveys are conducted every three years Quarterly analysis of media index shows that the majority of CASA’s profile is neutral (70%) or negative (27%). Lockhart River coverage accounts for the increase in negative coverage |
Provide timely and accurate information to aviation industry, the public and the media |
Ongoing. Information on CASA website, including for travellers, was continuously updated |
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Improve transparency and consistency in regulatory decisions |
Quality By December 2009, a continuing reduction in the annual number of complaints received about CASA Achievement level
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Consolidate the role of the Industry Complaints Commissioner (ICC) to incorporate the coordination of all CASA complaints |
Ongoing. The ICC received 283 complaints in 2006–07. Last year 219 complaints were received between February 2006, when the ICC was established, and 30 June 2006 The Ombudsman received two complaints about CASA in 2006–07 compared with one in 2005–06 and one in 2004–05 |
Improved enforcement regime |
Quality Consistency of application of informal enforcement actions Achievement level
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Develop procedures to ensure enforcement actions are consistent and appropriate |
Achieved. CASA introduced an eRoom database and checklist and developed a coordinated approach to enforcement |
Quantity Maintain a low number of enforcement decisions overturned by the Administrative Appeals Tribunal Achievement level
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Continue effective enforcement |
Ongoing. One CASA decision, relating to cancellation of a student pilot licence, was set aside by the Administrative Appeals Tribunal in 2006–07. This compares with six decisions set aside in 2005–06, one in 2004–05 and two in 2003–04 (see Table 7) |
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Maintain Australia’s international aviation safety reputation |
Quality Maintain Australia’s status as an International Civil Aviation Organization (ICAO) Member State of Chief Importance in Air Transport Achievement level
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Promote the re-election of Australia to the ICAO Council at the tri-ennial Assembly in September 2007. |
Initiated |
Continue to support the work of ICAO |
Achieved. CASA responded promptly to queries from the Australian delegation and continued to provide support for and actively participate in ICAO panels and working groups. CASA is working with other agencies to implement the outcomes of the ICAO’s Directors General of Civil Aviation Conference |
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Quality Continue to develop bilateral agreements with target nations Achievement level
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Maintain effective interaction with overseas regulatory authorities |
Achieved. Australia and the US have signed a Bilateral Aviation Safety Agreement and accompanying Implementation Procedure for Airworthiness Discussions were held with the US Federal Aviation Administration to extend the scope of the Implementation Procedure (see also Bilateral arrangements) |
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Establish and foster an effective working relationship with the European Aviation Safety Agency (EASA) |
Achieved. Discussions were held with EASA to implement a working agreement for certification and production approvals between EASA and CASA. A draft agreement was discussed with EASA. A final agreement is expected to be implemented by the end of 2007 |
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Progress towards signing bilateral arrangements with China, Canada and Brazil |
Partly achieved. The form of the arrangement with China is to be determined. Negotiation of technical arrangements with Canada and Brazil is to be accelerated for 2007–08 |
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Improve workforce capability to increase CASA’s operational effectiveness |
Quality Staff skills match the requirements of the increased surveillance regimes Achievement level
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Enhance oversight of the safety performance of operators by creating new roles with management system expertise |
Completed. During the year, three safety systems specialists, eight air transport inspectors and six field safety advisers were recruited Plans concluded for new staff in Western Australia |
Maintain a high level of awareness of government policy directions |
Quality Minister’s satisfaction with CASA’s awareness of and responsiveness to government policy Achievement level
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Conduct regular CEO meetings with the Minister |
Achieved. The CEO met regularly with the Minister to discuss government policy, and to allow the Minister to express his satisfaction or otherwise with CASA’s awareness and responsiveness |
Increase internal awareness of the needs of the Minister’s Office as a key CASA client |
Achieved |
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Improve response times and reduce the number of overdue or rejected items |
Achieved. CASA has improved its tracking and reporting system |
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Engage cooperatively with industry |
Quality Reducing trend of industry complaints regarding CASA’s behaviours and consistency with regulatory decision making Achievement level
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Continue seeking industry input into CASA’s strategic decisions |
Achieved. Industry forums were conducted in September and November 2006; warbird self-administration consultation was conducted; and the night vision imaging systems project, including trial of standards with industry, was conducted Completed development of CASR Part 137 with the Aerial Agricultural Association of Australia |
Quantity Survey of key industry representatives to benchmark CASA’s standing with the industry Achievement level
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Develop a stakeholder management plan |
Commenced |
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Initiate industry consultation forums and continue engagement with the Aviation Safety Forum and Standards Consultative Committee |
Achieved |
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Increase overall efficiency by optimal use of CASA resources Overall performance measure Optimal use of CASA resources proportional to safety risk |
Quality By June 2008, long-term funding strategy implemented Achievement level
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Partly achieved. Phase 2 of the cost-recovery programme was implemented A review of the long-term funding strategy will be undertaken in 2007–08 Implementation of Phase 3 of the long-term funding strategy—full cost recovery for provision of regulatory services—will be completed by 1 July 2008 |
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Quality Review activity based costing of regulatory service fees Achievement level
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Completed. Fees were revised under Phase 2 of the long-term funding strategy in accordance with a new activity-based costing model and an updated fee schedule was issued |
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Continuous improvement in CASA services, processes, techniques, systems, knowledge and information management Overall performance measure Industry satisfaction of timely and consistent delivery of regulatory services |
Quantity 85% of general aviation air operator’s certificates, certificates of approval and aerodrome certificates issued within the agreed timeframes Achievement level
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Improve CASA service delivery and achieve cost efficiencies |
Ongoing. The CASA Service Centre’s processing performance was continuously monitored Service delivery levels for manufacturing-related approvals and other services are reported on a monthly basis Planning is well under way for the CASA Service Centre to process all applications for manufacturing approvals and services and thereby improve tracking and monitoring |
By June 2007, phase out the oral exam requirement for aircraft maintenance engineer licensing to registered training organisations |
Completed |
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By December 2006, identify opportunities to streamline and rationalise resources in maintenance personnel licensing section |
Initiated. Opportunities have been identified and will be implemented in 2007–08 |
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Design application forms that include guidance and document submission requirements to increase quality and understanding of application submissions |
Achieved. New forms were introduced for production approvals, certification approvals, and certain applications. Guidance material was added to the CASA website for each of these forms |
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Quantity Publish CASA regulatory service levels Achievement level
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Develop and publish service level standards |
Ongoing. Service level standards were developed for operational areas. They will be published early in the next financial year. Performance against these standards will be reported on CASA’s website |
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Quality 90% of CASA Service Centre clients are satisfied with service provision Achievement level
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Survey all CASA Service Centre air operator’s certificate and certificate of airworthiness applicants to monitor client satisfaction (excepting those who had previously applied within a six-month interval) |
Achieved. Responses to the survey were as follows: 83% registered service satisfaction, 14% were impartial and 3% were unsatisfied |
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An education and guidance programme for both CASA staff and industry has been implemented to address previous concerns and deal with the causes of past complaints Seminars for industry were held in Sydney (December 2006) and Melbourne (May 2007) to provide forums for discussion and clarifying issues of concern Feedback from the first two seminars indicated they were successful and valued by industry participants |
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Deliver enhanced level of organisational integrity, ethics, probity, governance and accountability |
Quality Training on fraud, ethics and privacy incorporated into relevant programs, including induction, manager and supervisor development Achievement level
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Establish and implement appropriate fraud, ethics and privacy awareness |
Achieved. Relevant training has been incorporated into CASA orientation material that is delivered both online and in person. All new permanent and temporary employees are required to attend the programme |
Quality Continue to update the internal audit manual Achievement level
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Effective and efficient operation of the Audit and Risk Committee |
Achieved. The internal audit charter and Audit and Risk Committee charter were reviewed and updated The risk management policy and framework was reviewed and updated. The updated framework includes revised performance measures and strengthened monitoring and reporting procedures for high-risk exposures A three-year Strategic Risk Management and Internal Audit Plan 2007–08 to 2009–10 was approved with implementation to commence in 2007–08 |
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Quality Achieve excellence in external reporting and planning Achievement level
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Continue to improve the quality of reporting |
Achieved. CASA’s 2005–06 annual report received a bronze award in the Australasian Reporting Awards. Feedback has been taken into account for this report |
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