CASA's governance framework provides the context within which the organisation operates to achieve its objectives, ensuring transparent, ethical and accountable evidence-based decision-making, and effectively managing risk and key stakeholder relationships.
CASA's governance system is firmly aligned with the Civil Aviation Act 1988 and fully reflects all Commonwealth legislation and policies directly affecting CASA. The system incorporates CASA's governing and management arrangements; policy setting; internal and external communication; risk management and auditing arrangements; quality assurance; and the appointment and management of delegates and authorised persons.
CASA was established on 6 July 1995 as an independent statutory authority by an amendment to the Civil Aviation Act 1988.
Under section 9 of the Civil Aviation Act, CASA's primary function is to regulate the safety of civil air operations in Australia and the operation of Australian aircraft overseas.
CASA's other safety-related functions include encouraging a greater acceptance by the aviation industry of its obligation to maintain high standards of aviation safety by providing comprehensive safety education and training programs and accurate and timely advice, and by fostering awareness of the importance of aviation safety and compliance with relevant legislation.
CASA also has the functions of cooperating with the Australian Transport Safety Bureau (ATSB), implementing aspects of the Australia-New Zealand mutual recognition agreements, and administering elements of the insurance and financial arrangements required under the Civil Aviation (Carriers' Liability) Act 1959.
CASA exercises its powers under the Civil Aviation Act and through the Civil Aviation Regulations 1988, the Civil Aviation Safety Regulations 1998, the Civil Aviation Orders, manuals of standards and other legislative instruments. CASA also publishes a variety of advisory and guidance materials related to air safety.
CASA has specified obligations under the Airspace Act 2007, the Transport Safety Investigation Act 2003 and the Aviation Transport Security Act 2004.
As a statutory authority, CASA is accountable under the Commonwealth Authorities and Companies Act 1997 (CAC Act). CASA also has responsibilities under Commonwealth legislation in relation to matters such as equal employment opportunity, work health and safety, freedom of information, ecologically sustainable development, privacy, the review of decisions, the management of records, and audit.
Portfolio structure and responsible minister
CASA is a statutory authority within the Infrastructure and Transport portfolio. Throughout 2012-13, the Hon Anthony Albanese MP was responsible for the portfolio and was assisted by the Parliamentary Secretary for Infrastructure and Transport, the Hon Catherine King MP.
The Minister's notice of strategic direction given to the Board on 2 May 2011 under section 12A of the Civil Aviation Act remained current for the period of this annual report. The notice was a Statement of Expectations for the Board of CASA for the period from 1 July 2011 to 30 June 2013. It was the formal, written expression of the Minister's expectations concerning the operations and performance of CASA for a two-year period.
Under paragraph 16(1)(c) of the CAC Act, CASA must give the Finance Minister reports, documents and information on its operations as required by the Finance Minister. CASA has complied with Finance Circular 2008/05 and provided to the Finance Minister, through the Secretary of the Department of Finance and Deregulation, and to the Minister for Infrastructure and Transport, CASA's annual Compliance Report on its legislative compliance and financial sustainability.
No General Policy Orders that apply to CASA were made by the Finance Minister between 1 July 2012 and 30 June 2013.
On 12 April 2013, the Minister provided the CASA Board with a new Statement of Expectations for the period from 1 July 2013 to 30 June 2015. CASA responded with the Board's Statement of Intent on 17 May 2013.
The CASA Board is established under Part VII of the Civil Aviation Act. The Board consists of the Director of Aviation Safety (the Director) and up to four members, including the Chair and Deputy Chair.
The functions of the Board are to:
- decide CASA's objectives, strategies and policies
- ensure that CASA performs its functions in a proper, efficient and effective manner
- ensure that CASA complies with specified ministerial directions.
With the exception of the Director of Aviation Safety, Board members are appointed on a part-time basis by the Minister for terms of up to three years, subject to possible reappointment. In appointing Board members, the Minister must ensure that there is an appropriate balance of professional expertise, but need not ensure that particular sectors of the aviation industry are represented.
With the exception of the Director of Aviation Safety, all Board members completed three-year terms on 30 June 2012. On 23 May 2012, the Minister reappointed them to varying terms commencing on 1 July 2012.
The Director of Aviation Safety is appointed under Part VIIA of the Civil Aviation Act. After consulting with the Minister, the Board appoints the Director for a period of up to five years, subject to possible reappointment. The Director is responsible for managing CASA, in accordance with the policies and subject to the general directions of the Board.
Table 3 summarises the qualifications and experience of the Board members.
Left to right: John McCormick, Helen Gillies, Trevor Danos, Allan Hawke, David Gray
Photograph taken at CASA's Sydney office
|Dr Allan Hawke AC Chair First appointed: 1 July 2009 to 30 June 2012 Reappointed: 1 July 2012 to 30 June 2015||Dr Allan Hawke has a Bachelor of Science (Hons) and a Doctor of Philosophy. He joined the Commonwealth Public Service in 1974 and rose through the ranks to be Secretary of the departments of Veterans' Affairs, Transport and Regional Services, and Defence. Dr Hawke was appointed as High Commissioner to New Zealand in 2003, and in 2006 was installed as Chancellor of the Australian National University. In recognition of his outstanding contribution to public service, Dr Hawke was made a Fellow of the Australian Institute of Public Administration in 1998 and a Fellow of the Australian Institute of Management in 1999. In 2001 he became a Fellow of the Australian Institute of Company Directors. Also in 2001, AFR Boss magazine named him one of Australia's top 30 true leaders. In June 2010, Dr Hawke was made a Companion in the General Division of the Order of Australia for eminent service to public administration, particularly through the formulation and implementation of policy in the areas of transport, defence and education, and to the strengthening of bilateral relations with New Zealand.|
|Mr David Gray Deputy Chair First appointed: 1 July 2009 to 30 June 2012 Reappointed: 1 July 2012 to 30 June 2014||Mr David Gray has an honorary doctorate from the Queensland University of Technology and is a member of the Australian Institute of Company Directors and a Fellow of the Royal Aeronautical Society. Mr Gray was managing director of Boeing Australia for 11 years until 2006. Prior to that appointment, he was managing director of GEC Marconi and a divisional chief executive of GEC (Australia) Heavy Engineering. In 2003 Mr Gray was awarded a Centenary Medal for services to the aviation industry, business and commerce. He is currently Chairman of the Queensland Cyber Infrastructure Foundation, Chairman of the Australian Research Council for Aviation Automation, a Director of Brisbane Airport Corporation, and a Director of Collection House Limited.|
|Ms Helen Gillies First appointed: 1 July 2009 to 30 June 2012 Reappointed: 1 July 2012 to 30 June 2014||Ms Helen Gillies has a Bachelor of Commerce and a Bachelor of Laws (Hons) from the University of Queensland, a Master of Business Administration from the University of Sydney, and a Master of Construction Law from the University of Melbourne. Ms Gillies has been practising law for over 20 years and is currently Corporate Counsel and General Manager of Risk and Compliance with Sinclair Knight Merz. She won the Australian Corporate Lawyers Association's Australian Corporate Lawyer of the Year award in 2008, and has been admitted as a solicitor of the Supreme Court of Queensland, the Supreme Court of New South Wales, and the Supreme Court of England and Wales.|
|Mr Trevor Danos First appointed: 1 July 2009 to 30 June 2012 Reappointed: 1 July 2012 to 30 June 2015||Mr Trevor Danos has a Bachelor of Economics, a Bachelor of Laws and a Graduate Diploma in Science from the University of Sydney and is a member of the New South Wales Law Society. Mr Danos has practised law for over 30 years and specialises in the areas of banking and finance as well as government procurement. Among other current board memberships, Mr Danos is a Director of TransGrid and a board member of the Sydney Local Health District. He is chair of the Dean of Science's Advisory Committee at UNSW, a member of the Cooperative Research Centres Committee and a member of the Australian Government Procurement Consultation Committee. Mr Danos was appointed as the Chair of CASA's Board Audit Committee in February 2010.|
|Mr John McCormick Director of Aviation Safety Appointed as Director: 1 March 2009 to 28 February 2014 Ex-officio Board member||Mr John McCormick holds a Masters degree in Aviation Management and is a Fellow of the Royal Aeronautical Society, a Fellow of the Australian Institute of Management, and a graduate of the Australian Institute of Company Directors. Mr McCormick began his flying career in the Royal Australian Air Force in 1974. In 1984 he joined Qantas, flying B747s on international operations. He joined Cathay Pacific Airways in 1987 and from 1999 to 2002 was chief pilot of Cathay Pacific's Boeing fleet. From 2002 to 2006, Mr McCormick was General Manager Operations for Cathay Pacific, based in Hong Kong. That role included responsibility for Cathay Pacific's Air Operator's Certificates and all applicable regulatory matters. Mr McCormick has over 10,000 hours as pilot in command, and has been a type rating examiner on the L1011, B777, B747, A330 and A340 aircraft.|
|Mr Trevor Danos Chair First appointed: 24 July 2009||Mr Danos has a Bachelor of Economics, a Bachelor of Laws and a Graduate Diploma in Science from the University of Sydney. He is a member of the CASA Board. He has practised law for over 30 years and specialises in the areas of banking and finance as well as government procurement. Among other current board memberships, Mr Danos is a Director of TransGrid and a board member of the Sydney Local Health District. He is chair of the Dean of Science's Advisory Committee at UNSW, a member of the Cooperative Research Centres Committee and a member of the Australian Government Procurement Consultation Committee.|
|Ms Barbara Yeoh Deputy Chair First appointed: 24 July 2009||Ms Yeoh has a Bachelor of Science (Hons) and is a Fellow of the Australian Institute of Company Directors. She is a principal consultant in governance and financial management services. Prior to the establishment of the Board Audit Committee, she was Chair of CASA's Audit and Risk Committee. Ms Yeoh is currently Chair of Monash Health (Victoria), a Director of the State Emergency Service (Victoria), Chair of the Council of Board Chairs (Victorian Health Services) and a Principal Associate of PhillipsKPA.|
|Mr Rod Alfredson First appointed: 24 July 2009||Mr Alfredson is an Associate of the Australian Society of Certified Practising Accountants and the Institute of Chartered Accounts Australia. Mr Alfredson has broad public sector experience in evaluation and audit, major technology implementation, change management and financial management. He has served in senior appointments in the Australian National Audit Office, the Department of Finance and Deregulation, and agencies in the Indigenous portfolios. He serves as an independent member on a number of audit committees.|
|Mr Michael Roche First appointed: 20 February 2010||Mr Roche has qualifications in accounting and information technology systems. He is a Fellow of the Australian Society of Certified Practising Accountants and a member of the Australian Computer Society. Mr Roche has extensive experience at senior levels in the Australian Government in corporate and financial management and policy development. He is the director of two not-for-profit companies as well as a member of a number of audit committees and governance boards. He currently chairs the Pharmaceutical Benefits Pricing Authority.|
Eight Board meetings were held during 2012-13, on 20 July 2012, 28 August 2012, 19 October 2012, 7 December 2012, 8 February 2013, 22 March 2013, 17 May 2013 and 28 May 2013.
With the exception of Mr Gray, who missed one meeting due to an absence overseas, all Board members were eligible to attend, and did attend, all meetings.
Board Audit Committee
Under a requirement of the CAC Act, the Board appoints and maintains an Audit Committee. The role of the Board Audit Committee is to provide independent assurance and assistance to the Board on CASA's risk framework, control framework, compliance framework and external accountability responsibilities.
The Board has appointed four members to the Board Audit Committee, including a Board member as Chair. Table 4 summarises the relevant experience of current committee members.
The Board Audit Committee held five meetings during 2012-13, on 20 August 2012, 26 November 2012, 18 February 2013, 17 April 2013 and 19 June 2013.
With the exception of Mr Roche, who missed one meeting due to an absence overseas, all Board Audit Committee members were eligible to attend, and did attend, all five meetings.
CASA's structure is designed to ensure that resources are appropriately aligned to core functions, providing for optimal accountability and clear lines of reporting. The structure is closely aligned with the Civil Aviation Act.
Figure 7 shows the elements and relationships of CASA's organisational structure at 30 June 2013.
Figure 7 Organisational structure as at 30 June 2013
From September 2011, the heads of Finance, People and Performance and Information Technology reported directly to the Director of Aviation Safety. In June 2013, the Executive Manager, Corporate Services role was re-established; the respective branches now report to this role.
A review of CASA ICT sourcing strategies resulted in the ASG contract for provision of infrastructure services coming to an end. The transition of this arrangement to an in-house capability resulted in CASA having more control over the delivery of information technology infrastructure services, thereby producing a qualitative benefit.
Other changes to CASA's structure enabling more effective and efficient operations were as follows:
- Knowledge Information Management Systems moved from Information Technology Branch to the Office of the Director of Aviation Safety.
- The Operations Regulations Implementation Division was transitioned to a branch within Standards Division.
- The Contracts and Procurement sections moved from the Finance Branch to Legal Services Division.
- Information Technology Branch was restructured into three areas—Business Application and Test, Service Delivery Strategy and Governance, and Infrastructure and Operations.
In addition, a number of changes were made to Standards Division:
- The General Aviation Task Force was transferred to the Division to align with standards development and standards implementation, particularly in the operational arena.
- Airworthiness and Engineering was repositioned as Airworthiness and Engineering Standards Branch, with the inclusion of a Certification and Airworthiness Standards section to complement the Continuing Airworthiness and Initial Airworthiness sections.
- The Standards Development and Quality Assurance Branch was established.
It incorporates Safety Management Systems/Human Factors, Future Technology, Standards Development Coordination and Administration sections.
- The Flight Standards Branch was formed with three sections—Flight Operations, Flight Crew Licensing and Air Traffic Management Systems.
Senior manager appointments and departures
CASA's senior management team was enhanced by the appointment of the following senior managers during the year:
- Dr Alyson Ross was appointed Executive Manager, Safety Education and Promotion
- Ms Gillian Savage was appointed Executive Manager, Corporate Services
- Dr Stephen Turner was appointed Manager, Safety Education
- Ms Talia Nikpalj was appointed Manager, Performance Systems
- Ms Grace Franco was appointed Manager, People Services
- Mr John Thynne was appointed Manager,
Safety Systems Office
- Mr Tom McLaren was appointed Manager, North Queensland Region
- Mr Luke Gumley was appointed Manager, Central Region
- Ms Eleanor Dean was appointed Manager, Safety Promotion
- Mr Michael Cristiano was appointed Manager, Infrastructure and Operations.
Senior manager departures during the year were:
- Mr Greg Hood, Executive Manager (Program Director) Operations Regulations Implementation
- Mr Jamie Macgregor, Chief Information Officer
- Talia Nikpalj, Manager, Performance Systems
- Kevin Wode, Manager, Applications
- David Villiers, Manager, Initial Airworthiness
- Ebenezer Banful, Manager, Legislative Drafting.
The following sections summarise the qualifications, experience and responsibilities of CASA's senior executives.
Deputy Director of Aviation Safety
Terry Farquharson Deputy Director of Aviation Safety
Mr Terry Farquharson joined CASA in 1999 and held a number of senior management positions prior to being appointed as Deputy Director of Aviation Safety in 2010.
He holds Bachelor of Business and Master of Business Administration degrees and is a Fellow of the Royal Aeronautical Society, a member of the Australian Institute of Management and a member of the Society of Experimental Test Pilots.
Mr Farquharson began flying in 1964. In 1966 he commenced a career in the Royal Australian Air Force, during which he graduated from the Empire Test Pilot School and was a qualified flying instructor on a number of training and strike aircraft.
In 1979, Mr Farquharson joined Cathay Pacific, where he was responsible for managing the conduct of the company's ongoing airworthiness flight test program and the acceptance and certification of flight simulators.
The Deputy Director provides strategic support and advice to the Director of Aviation Safety across the range of CASA's activities. When required, the Deputy Director assumes responsibility for specific projects or initiatives on behalf of the Director. The Deputy Director also acts for the Director in his absences and represents CASA at government and international meetings as required. The Deputy Director has responsibility for the Safety Systems Office and knowledge information management services functions within CASA.
Phone: 02 6217 1330 Email: firstname.lastname@example.org
Office of the Director of Aviation Safety
Jonathan Aleck Associate Director of Aviation Safety
Dr Jonathan Aleck joined what was then the Civil Aviation Authority as a legal officer in 1993. Since that time, he has held senior management positions of increasing responsibility in legal, operational and policy roles at CASA. Prior to his appointment as Associate Director of Aviation Safety in 2010, he was Chief Legal Officer and Executive Manager of the Legal Services Division. Between 1998 and 2003, Dr Aleck served as Australia's representative on the Council of ICAO.
Dr Aleck has taught in the faculties of law, politics and public policy at universities in Australia, Canada, the United States and Papua New Guinea. He also worked as an independent legal consultant and specialist advisor for many years in the United States.
Dr Aleck has a Juris Doctor degree from Loyola Marymount University; a Bachelor of Arts degree in psychology and a Master of Arts degree in political science, both from the University of Oregon; and a Doctor of Philosophy in law from the Australian National University.
The role of the Office of the Director of Aviation Safety encompasses CASA's governance systems, risk management, oversight of CASA's regulatory policy, internal audit, quality assurance, strategic planning and reporting, corporate communications, corporate correspondence management, ministerial advice, foreign agency programs, international relations, and program management. It also incorporates the Industry Complaints Commissioner and the oversight of self-administering sport aviation organisations.
Working through the Program Management Branch, the office is also responsible for CASA's program management function and provides a central point of coordination between organisational strategy and program implementation, with a focus on governance and accountability, in the implementation of CASA's program of work.
Phone: 02 6217 1600 Email: email@example.com
Gerard Campbell Executive Manager (acting)
Mr Gerard Campbell holds a Bachelor of Education and a Master of Business Administration, and has a private pilot licence.
Prior to joining CASA, Mr Campbell had experience as the chief executive officer of a number of aviation organisations, including the Royal Queensland Aero Club, the Airline Academy of Australia, ATAE Pty Ltd (an aircraft engineer training organisation) and the Archerfield Airport Corporation.
Mr Campbell joined CASA in 2009 as Regional Manager for the Northern Region, and was appointed to the role of Senior Manager, Operations Strategy and Support, in 2010. Mr Campbell was Executive Manager (acting), Safety Education and Promotion, from April 2012 until November 2012 when he became Executive Manager (acting), Operations.
Operations Division oversights aviation operations, including flying operations and airworthiness. Its functions include entry control assessment, regulatory service activities, surveillance, responsibility for the flying standards of the flying training industry, and the development of initiatives that make a contribution to aviation safety.
Phone: 07 3144 7514 Email: firstname.lastname@example.org
Peter Boyd Executive Manager
Mr Peter Boyd has a Bachelor of Mechanical Engineering (Hons) and is a member of the Institution of Professional Engineers New Zealand. He started his professional life designing mechanical systems, then managed a mechanical and electrical testing facility.
While working for Telarc Limited, New Zealand's largest management system auditing organisation, Mr Boyd fulfilled systems auditing and management roles, including the development and assessment of safety management systems, and held the position of Deputy Chief Executive Officer.
Since joining CASA in 1999, Mr Boyd has held a number of management positions, including Manager, Compliance Practices and Procedures; Manager, International Operations; Executive Manager, CASA Improvement Program; Head of Planning and Governance; and Executive Manager, Standards.
The Standards Division's principal role is the development of aviation safety standards and guidance material, the implementation of regulatory changes, standardisation activities across CASA and the carriage of CASA's initial and continuing airworthiness functions, including manufacturing and related activity. The Division also maintains a watching brief on future technology and regulatory trends.
Phone: 02 6217 1534 Email: email@example.com
Airspace and Aerodrome Regulation
Peter Cromarty Executive Manager
Mr Peter Cromarty has 40 years of experience in the aviation industry. He started his career as an area radar controller in Scotland, Northern Ireland and the London Air Traffic Control (ATC) Centre and then worked as a pilot in the United States, before returning to ATC in the Middle East for seven years. Following a spell as an ATC instructor, he rejoined the United Kingdom Civil Aviation Authority (UK CAA) to work in various roles in the regulation of air traffic services. During this period, Mr Cromarty undertook several safety audits outside the United Kingdom, including in Finland, Mauritius, Cayman Islands, British Virgin Islands and Ghana.
For three years prior to his move to Australia, Mr Cromarty was a senior manager at Air Safety Support International, a subsidiary of the UK CAA, where he was responsible for the creation and rollout of a complete regulatory system for the British overseas territories.
Mr Cromarty joined CASA in June 2007, taking responsibility for the regulation of Australian administered airspace, the ATM/CNS system and the 300 certified and registered aerodromes. In May 2012, he was appointed acting Executive Manager, Operations Division, based in Brisbane for a seven-month period.
Airspace and Aerodrome Regulation is responsible for the regulation of Australian-administered airspace. The Division is also responsible for certification and oversight of providers of communication, navigation and surveillance facilities; air traffic management services; instrument approach design and development; certified and registered aerodromes; aviation rescue and firefighting services; aeronautical information services; and air traffic services training providers.
Phone: 02 6217 1408 Email: firstname.lastname@example.org
SAFETY EDUCATION AND PROMOTION
Dr Alyson Ross Executive Manager
Dr Alyson Ross gained a Doctorate in Education in the area of organisational learning from the University of East Anglia's Centre for Applied Research in Education in 2006. She is a member of the Australian Institute of Company Directors and holds a Postgraduate Diploma of Education. Her early studies included a Bachelor of Arts in the Social Sciences (psychology and anthropology), a Diploma in Business (human resources and marketing communications) and a Certificate IV in Workplace Training and Assessing.
Dr Ross started her professional life as a teacher, then moved into organisational training and development roles, managing large public sector corporate training programs. She joined CASA in December 2012, bringing significant experience as a senior executive in the health sector. Her previous leadership roles have focused on industry engagement, regulated standards for safety and quality, compliance processes, and risk-based quality assurance programs.
Safety Education and Promotion aims to encourage a greater acceptance by industry of its safety-related obligations, and to foster awareness in industry and the wider community of the importance of aviation safety and compliance with the civil aviation legislation.
The Division is responsible for increasing organisational capability within CASA and a range of initiatives aimed at improving aviation safety in Australia. It uses a variety of professional communications and marketing approaches to develop and deliver safety promotion campaigns and products. The Division is also responsible for the provision of regulatory and technical training for CASA and industry, as well as professional development for CASA staff.
Phone: 07 3144 7305 Email: email@example.com
Peter Fereday Executive Manager
Mr Peter Fereday has been a quality management practitioner since the early 1990s, when he developed and maintained quality management systems for two government business enterprises and CASA, each of which achieved and maintained third-party certification.
From 1998 to 2000, Mr Fereday led and participated in large national audits at CASA with the Quality and Internal Audit Branch. He joined the service centre establishment project in late 2000 and managed the development of the CASA Workflow Management System, which received multiple awards, including the Microsoft Global Award for best use of workflow in 2001. Mr Fereday has been Manager of the CASA Service Centre, and was seconded in May 2009 to participate in the CASA realignment and change program, which resulted in the introduction of the new CASA organisational structure in July 2009. Mr Fereday was appointed Executive Manager, Industry Permissions in 2009.
Industry Permissions is responsible for the delivery, management, tracking and monitoring of aviation certificates, licences, registrations and permits. The Division offers one entry point for regulatory services through the Permission Application Centre, which processes applications, provides information to applicants and receives payments.
The Division also provides advice and support to delegates and authorised persons in the aviation industry and is responsible for the administration of medical standards applicable to licence holders and for the implementation and maintenance of drug and alcohol management plans.
Phone: 07 3144 7345 Email: firstname.lastname@example.org
Gillian Savage Executive Manager
Ms Gillian Savage holds a Bachelor of Science and a Master of Business Administration (International Business). Ms Savage has extensive public and private sector experience in policy and program development, business management, governance and organisational development. She has held senior executive roles in the public sector in border protection, national security, the environment, human services and external territories. Ms Savage has also consulted to the Australian Government in the areas of strategic thinking, capability development and project management. She has extensive experience in intergovernmental relations and stakeholder engagement, having led Australian Government delegations at international and national meetings. Ms Savage joined CASA in June 2013 as the Executive Manager of Corporate Services.
The role of Corporate Services is to provide effective, efficient and integrated services and future capability that support the operational areas within CASA. Corporate Services spans the people, finance, property and information technology functions. The Finance Branch is responsible for financial accounting, finance management and finance performance reporting within CASA, and for property, physical security and asset management. The People and Performance Branch has responsibility for policy and programs relating to ensuring effective people management, spanning strategic workforce planning, recruitment, performance assessment, the people capability framework, workplace health and safety, and equity and diversity. The Information Technology Branch provides ICT services and capability and has responsibility for the IT service desk, IT security, IT infrastructure management and applications development.
Phone: 02 6217 1700 Email: email@example.com
Adam Anastasi General Counsel and Executive Manager
Mr Adam Anastasi holds a Master of Laws degree from the University of Sydney, and was admitted as a solicitor of the Supreme Court of New South Wales in 1992. Prior to joining CASA, he worked as a solicitor for the Australian Government Solicitor, the Australian Federal Police, the Australian Capital Territory Government Solicitor and the New South Wales Crown Solicitor's Office.
Mr Anastasi joined CASA in 2000 and was the Manager of the Legal Branch from 2005 to 2010. In 2011, he was appointed Executive Manager of the Legal Services Division.
Legal Services provides legal advice on a broad range of issues to CASA officers and managers, and maintains oversight and control of CASA's relations with all external legal service providers. It is responsible for managing CASA's enforcement strategies and practices; conducting CASA's involvement in Administrative Appeals Tribunal proceedings, Federal Court proceedings, coronial inquiries and other legal proceedings; and overseeing CASA's obligations under the Freedom of Information Act 1982 and the Privacy Act 1988. Legal Services also manages CASA's procurement and contracting activities.
The Division drafts Civil Aviation Orders and other legislative and legal instruments, ensuring that they comply with applicable requirements. The Investigations Branch of the Division conducts criminal investigations and administers and conducts CASA's aviation industry alcohol and drug testing program.
Phone: 02 6217 1040 Email: firstname.lastname@example.org
CASA applies an enterprise-wide risk management approach across its extensive range of activities to identify, analyse and manage risks, ensuring that all decisions are well informed, evidence based and contribute effectively to its vision of Safe skies for all.
All aviation activity involves a degree of risk, and it is a key element of CASA's role to understand the nature and full dimensions of the risks it oversees. In undertaking its regulatory function, CASA faces a variety of potential risks, such as failure to detect breaches of safety and maintenance standards, incorrect or inconsistent application of regulatory standards, and failure to properly carry out statutory responsibilities. The identification, analysis, treatment, monitoring and review of risk are embedded into all CASA functions and contribute directly to the effective and efficient achievement of CASA's corporate goals.
CASA reviews and updates its risk management practices annually to ensure that they remain in accordance with current best practice and are aligned to the principles outlined in the Australian and New Zealand International Standards Organisation Risk Management—Principles and Guidelines (AS/NZS ISO31000:2009).
During 2012-13, capacity within the risk management and internal audit functional area was expanded to directly assist operational areas. Risk management training modules were enhanced and delivered through the operational training program throughout the year. Detailed risk workshops addressing a wide range of issues were conducted across the organisation to ensure that any subsequent decisions were fully informed and supported by clear evidence and a strong risk-based methodology. All regional office business continuity plans were revised and updated to ensure a consistent approach and response in the event of a major incident that could affect their ability to provide the full range of CASA services.
The risk-based surveillance tool was upgraded during the reporting period and continued to provide key data to inform the surveillance activity of the organisation.
A continuing and expanding focus on risk drivers, and a clear understanding and increasing application of risk management principles and practices throughout the organisation, have enabled CASA to deliver:
- more effective strategic and business planning
- better cost control
- systematic and thorough risk-based and evidence-based decision-making
- openness and transparency in decision-making
- increased identification of opportunities
- greater knowledge and understanding of risk exposures
- more proactive responses to identified and emerging risks
- full compliance with relevant legislation and statutory obligations.
CASA continued to use the Comcover Risk Management Benchmarking Program's annual survey as an independent measure of its risk management practices and a means to identify areas to target for further improvement. For 2012-13, CASA was awarded a rating of 8.9 out of 10. This reaffirmed CASA's strong culture of risk management. It also maintained the organisation's position as one of the highest performing Australian Government agencies in the area of risk management. In addition, CASA received recognition through the Comcover Awards for Excellence in Risk Management program in the enterprise-wide risk management category.
In 2013-14, CASA will continue to consolidate existing better practices and enhance selected areas identified in the Comcover benchmarking survey where cost-effective improvements are achievable.
This is expected to include:
- further expanding specific risk management training, especially in the area of e-learning modules
- comprehensively reviewing the National Headquarters business continuity plan
- further consolidating risk management principles and practices into project management
- improving data analysis and risk reporting mechanisms to determine key safety risks
- collaborating with the aviation industry to scope and develop a framework for proactive safety analysis.
Internal audit arrangements
CASA continued its arrangement of outsourcing internal audit service provision to three external audit providers. The audit function has continued to benefit from the expertise and independence provided through auditors external to CASA.
The Risk Management and Quality Assurance section within the Governance Systems Branch continued to develop, coordinate and oversight the services. In 2012-13, following a structural review of the section, a dedicated senior audit manager role was created, which enhanced the capacity and capability of internal audit services.
The internal audit program continued to focus on key operational and business risk exposures. Business and risk management plans from each of CASA's divisions, strategic risk workshops, and individual interviews with senior executives, internal and external auditors, and members of the Board Audit Committee and the Board were used to identify priorities and inform the ongoing CASA-wide internal audit program.
CASA's program to monitor the implementation of audit recommendations, together with its comprehensive database for the collation, monitoring and review of audit information, continued to ensure that audit recommendations were acted on appropriately and in a timely manner. Oversight of the program and implementation of the recommendations continued through regular reporting to the Board Audit Committee.
The internal audit reviews conducted during 2012-13 addressed CASA's core operational and business functions, processes and systems, and two major systems/programs under development. Two audits were deferred to 2013-14 for operational reasons, and one extra audit on program management governance was included. Sixteen audits were conducted during the year:
- Certificate of Approval Manual implementation
- CAC Act compliance process
- Compliance with statutory obligations
- Certificate Management Team post-implementation review
- IT service support
- Drug and alcohol testing and enforcement
- Travel and credit cards
- IT security and access control
- Flying training
- Field office compliance
- Strategic and workforce planning
- Fee regulation/cost recovery
- Program management governance
- Operations regulations implementation program under development review
- Upgrade/Replace Existing Systems (URES) under development review.
For 2013-14, CASA has scheduled 18 internal audits, continuing its focus on operational and business risks and key control systems and maintaining the rolling compliance audit program. All major projects undertaken in 2013-14 will be closely monitored through the internal audit function to ensure that appropriate and effective control processes are in place.
CASA employs a number of measures to facilitate probity of practice. They include:
- a confidential third-party protected disclosure arrangement
- a recently reviewed and well-publicised code
- a robust fraud control process.
CASA has internal and external protected disclosure (whistleblower) arrangements to enable confidential reporting of fraud, corruption or other inappropriate behaviour.
During 2012-13, one report was made under the contracted protected disclosure arrangements. The matter reported was referred to the CASA Ethics and Conduct Committee.
Code of conduct
As a condition of their employment or engagement, all CASA employees must comply with a comprehensive code of conduct. The CASA Code of Conduct reflects the values and behaviours expected of CASA employees at any time when they are at work or otherwise representing CASA.
In November 2012, CASA produced a new Fraud Control Plan 2012-14. The plan required the redesign of an online fraud training package and its rollout to all CASA employees.
The package is expected to be released in July 2013 with a requirement that all CASA employees complete the training by 31 October 2013 or within three months of commencing employment with CASA.
In 2012-13, four internal fraud investigations and two internal fraud assessments were conducted. No fraud matters were referred to the Commonwealth Director of Public Prosecutions.
Conflict of interest
CASA's conflict of interest policy and procedures ensure that the knowledge and experience of the aviation industry brought to CASA by an employee do not improperly influence the employee's performance of their duties and responsibilities. Two investigations into allegations of conflicts of interest were commenced in 2012-13. They were both incomplete when the employee decided to resign from CASA.
The conflict of interest policy and guidance material were updated and promulgated during the year. A new declaration form was designed to require more thorough disclosure of the range of issues that could potentially give rise to a conflict of interest, an assessment of the risk posed by the conflicts or perceived conflicts, and a written, management-endorsed mitigation strategy for any conflicts so identified. In addition to review and endorsement by an employee's manager, all conflict of interest declarations are reviewed by the Industry Complaints Commissioner to ensure that the planned strategies adequately address the risks and that there is a nationally consistent approach.
All staff must complete a brief online training package, which reminds them of key elements of the policy, before they make their annual conflict of interest declaration. In addition, an in-depth training package is being developed to provide staff with a thorough understanding of the conflict of interest policy and their reporting requirements.