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CAO 48.1 High capacity regular public transport operators

Transitional provisions for high capacity regular public transport operators

If you are not already complying with the CAO 48.1 Instrument 2013 (either with or without the 2016 amendments), to meet the transitional provisions, no later than 30 November 2019 you must:

  • demonstrate your safety management systems (SMS) and human factors and non-technical skills (HF&NTS) program meets the enhanced fatigue management obligations as required by subparagraph 5.9 (c) of CAO 48.1 Instrument 2019.

You must also do one of the following:

  • submit a fatigue risk management system (FRMS) application (Appendix 7 of CAO 48.1 Instrument 2019)
  • provide CASA with a transition plan for operating to the prescriptive rules (Appendix 1-6 of CAO 48.1 Instrument 2019).

By 30 June 2020, operators must have commenced a CASA approved trial FRMS (Appendix 7 of CAO 48.1 Instrument 2019) or have transitioned to the prescriptive rules (Appendices 1-6 of CAO 48.1 Instrument 2019).

Demonstrate functioning of SMS and human factors and non-technical skills (HF&NTS) program

No later than 30 November 2019, operators must meet the enhanced fatigue management obligations in subsection 15 of CAO 48.1 instrument 2019. In order to satisfy CASA, operators should provide:

  • evidence of operations manual procedures to identify foreseeable hazards to alertness, and evidence of a system that monitors scheduling practices and risks that may generate fatigue within operations
    • Paragraph 15.2 of CAO 48.1 Instrument 2019
  • evidence of procedures that determine, monitor and evaluate the limits (as defined in CAO 48.1 Instrument 2019), policies, practices and relevant operator experiences. The procedures must ensure consideration of identified hazards
    • Paragraph 15.2 of CAO 48.1 Instrument 2019
  • evidence that fatigue awareness and training programs1 have been updated to include fatigue-related risk management topics that align with required knowledge areas2
    • 1Paragraph 15.3 of CAO 48.1 Instrument 2019
    • 2Paragraph 15.5 of CAO 48.1 Instrument 2019
  • evidence that the retention periods of training records have been amended, if required, to retain records for at least 12 months after a flight crew member ceases to be employed.
    • Paragraph 15.9 of CAO 48.1 Instrument 2019

Acceptable forms of evidence for the matters above include providing extracts of relevant documentation (manuals, fatigue reports, minutes of meetings from relevant committees, etc) or providing CASA with access to your systems. CASA will consider other forms of evidence on enquiry.

Fatigue Risk Management System (FRMS) requirements

If you have not previously done so, operators intending to operate under an FRMS should submit the  Statement of intent to request CASA approval of a fatigue risk management system guidance form 824A (pdf 1.56 MB) and have an initial meeting with CASA to discuss your FRMS intentions. Form 824A is not an application but notifies CASA that you are thinking about applying for an FRMS and prompts the scheduling of an initial meeting with CASA to discuss your FRMS intentions. This is a no-fee, voluntary meeting.

No later than 30 November 2019, in addition to demonstrating the effective functioning of your SMS and HF&NTS program mentioned above, operators intending to operate under an FRMS must submit an application for approval of an FRMS ( Application for approval of a Fatigue risk management system guidance form 824B (pdf 222.34 KB); see Appendix 7 of CAO 48.1 Instrument 2019). The application form must be submitted with the following attachments:

  • A gap analysis of what you need to do to implement an FRMS (a CASA template for this is under development for use from late-September), including the present status of your manual for the FRMS.
  • An FRMS implementation plan, comprising a schedule of how you will implement the elements of FRMS, using realistic timeframes. The implementation plan should address how the FRMS will function, how it will be integrated with other parts of your organisation, who will be accountable for the FRMS, and who will be accountable for making sure the FRMS implementation is successfully completed. The plan should also state proposed key milestone dates for completion of the manual. The gap analysis forms the basis of the implementation plan. ICAO provides a series of implementation manuals.

CASA does not require the application submitted by 30 November to include the following documents mentioned on the application form:

  • a completed FRMS policy
  • a completed draft manual for the FRMS (whether part of an operations manual or SMS manual, a standalone FRMS manual, or other document covering the FRMS).

However, these documents will be required for formal assessment and so should be submitted in time to allow assessment prior to 30 June 2020. Late submission may prevent assessment in time for the 30 June deadline and result in you having to comply with other provisions of CAO 48.1 Instrument 2019. To optimise the feedback from CASA on your FRMS policy and manuals, CASA recommends submission of these documents as soon as possible. Information within the gap analysis and implementation plan will form a baseline of expectations that CASA will apply to ensure that operators are progressing to the June 2020 deadline.

Operators who previously applied for an FRMS must do one of the following:

  1. write to CASA stating that the previous application is complete, up to date and meets the application requirements under the new rules, in which case that application will be reviewed by CASA for the purpose of the 30 November transition deadline
  2. resubmit their application form as described above if any changes are identified; CASA would strongly encourage such an applicant to provide an updated manual by 30 November 2019.

CASA will not formally assess applications until a complete FRMS application has been received.

A CASA-approved trial FRMS must commence by 30 June 2020 unless the operator wishes to operate under one or more of the prescriptive schedules until an FRMS trial is approved.

Prescriptive Appendix (1 to 6) requirements

No later than 30 November 2019, in addition to demonstrating the effective functioning of your SMS and HF&NTS program mentioned above, operators intending to operate to the prescriptive rules (Appendices 1 to 6 of CAO 48.1 Instrument 2019) must provide:

  • a detailed outline of the actions already taken to prepare to transition to an appendix or appendices of CAO 48.1 Instrument 2019.
  • a transition plan identifying which appendix or appendices you intend to use, and describing the actions that you will take to ensure you fully comply with the new rules by 30 June 2020, including a timeline for completing those actions. CASA expects that the plan would specify:
    • tasks to update specified elements of manuals to meet each appendix to be used
    • tasks associated with updating and testing software
    • tasks for the training of flight crew members and operational staff
    • any other tasks identified as being required to achieve compliance with each appendix intended to be used
    • an indicative timeline to perform and complete each of the tasks
    • a statement of the manager responsible for completion of each task
  • an indication of any minor variation to the relevant appendix or appendices that you intend to apply for as part of transitioning to the prescriptive appendices:
    • minor variations will be granted as exemptions under Part 11 of CASR and follow CASA standard processes for such exemptions.

CASA is developing a transition plan template that operators may complete, or use as a guide, to meet the transition plan requirement. The template is expected to be ready by late September.

No later than 30 June 2020, high capacity regular public transport operators not under an approved FRMS or approved FRMS trial must transition to the new fatigue rules in one or more of Appendices 1-6 of CAO 48.1 Instrument 2019.