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.
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 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.
For the reporting period, CASA was accountable under the Commonwealth Authorities and Companies Act 1997 (CAC Act). The CAC Act was repealed on 1 July 2014 and replaced by the Public Governance, Performance and Accountability Act 2013 (PGPA Act).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 Regional Development portfolio. From 1 July to 18 September 2013, the Hon Anthony Albanese MP was responsible for the portfolio that included infrastructure and transport. Following machinery-of-government changes, the Hon Warren Truss MP became Minister for Infrastructure and Regional Development from 18 September 2013.
On 12 April 2013 the then Minister for Infrastructure and Transport issued a notice of strategic direction under section 12A of the Civil Aviation Act, in the form of a Statement of Expectations for the Board of CASA. It was the formal, written expression of the then Minister's expectations concerning the operations and performance of CASA for the two-year period from 1 July 2013 to 30 June 2015. On 27 May 2013 the Board wrote to the then Minister with a Statement of Intent as a detailed response to the Statement of Expectations.
On 11 December 2013 the Minister for Infrastructure and Regional Development advised the Board that the Government's future strategic direction to CASA would be finalised after consideration by the Government of the report of the Aviation Safety Regulation Review panel.
Under paragraph 16(1)(c) of the CAC Act, CASA was required to give the Finance Minister reports, documents and information on its operations as required by the Finance Minister. CASA complied with Finance Circular 2008/05 and provided to the Finance Minister, through the Secretary of the Department of Finance, and to the Minister for Infrastructure and Regional Development, 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 2013 and 30 June 2014.
The CASA Board was established under Part VII of the Civil Aviation Act. On 9 April 2014, an amendment to the Act increased the size of the Board by two members. The Board now consists of a Chair, a Deputy Chair, the Director of Aviation Safety, and up to five other members.
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. Deputy Chair Mr David Gray and Board member Ms Helen Gillies completed their terms on 30 June 2014.
On 30 June 2014, the Minister appointed Mr Jeff Boyd as the new Deputy Chair of the Board for a three-year term commencing on 1 July 2014.
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.
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, 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 the Legal Risk Manager at Jacobs SKM. 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 AM
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 and a member of the Cooperative Research Centres Committee. Mr Danos was appointed as the Chair of CASA's Board Audit Committee in February 2010. In January 2014, Mr Danos was made a Member in the General Division of the Order of Australia, for significant service to the community through contributions to a range of scientific, education, government, legal and charitable associations.|
Mr John McCormick Director of Aviation Safety
Appointed as Director: 1 March 2009 to
28 February 2014 (term extended to 31 August 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.|
John McCormick, Helen Gillies, David Gray, Allan Hawke and Trevor Danos
Michael Roche, Barbara Yeoh, Trevor Danos and Rod Alfredson
Seven Board meetings were held during 2013-14, on 29 August 2013, 18 October 2013, 6 December 2013, 14 February 2014, 28 March 2014, 9 May 2014 and 27 June 2014.
With the exception of Mr Gray, who missed one meeting for medical reasons, all Board members were eligible to attend, and did attend, all meetings.
Board Audit Committee
The Board appoints an Audit Committee 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.
The Board Audit Committee held five meetings during 2013-14, on 27 August 2013, 25 November 2013, 24 February 2014, 30 April 2014 and 26 June 2014. All Board Audit Committee members were eligible to attend, and did attend, all five meetings.
Table 4 summarises the relevant experience of current committee members.
|Mr Trevor Danos AM 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 and a member of the Cooperative Research Centres Committee. In January 2014, Mr Danos was made a Member in the General Division of the Order of Australia, for significant service to the community through contributions to a range of scientific, education, government, legal and charitable associations.|
|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 Victoria State Emergency Service, Chair of the Council of Board Chairs (Victorian Health Services), a Member of the Australian Health Practitioner Regulation Agency's Agency Management Committee 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 Accountants 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.|
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 2014.
Figure 7 Organisational structure at 30 June 2014
- CASA Board: Dr Allan Hawke (Chair), David Gray (Deputy Chair), Helen Gillies, Trevor Danos and John McCormick (Ex-officio Board member), Brian Calder, Board Secretary.
- Director of Aviation Safety: John McCormick, responsible for ensuring that CASA performs its regulatory, safety-related and other functions in accordance with the Civil Aviation Act 1988.
- Industry Complaints Commissioner: Gretchen Bennett (acting)
- Deputy Director of Aviation Safety: Terry Farquharson
- Managers: Lauren Grant, Program Management; Doug Melville, Knowledge and Information Management Services; John Thynne, Safety Systems Office.
- Associate Director of Aviation Safety: Dr Jonathan Aleck
- Managers: Ross Barnes, Governance Systems; Carolyn Hutton, Corporate Relations; Lee Ungermann, Self Administering Sport Aviation Organisation.
- The Executive Managers of the following seven divisions report to the Director.
- Operations Executive Manager: Gerard Campbell. Managers: Roger Weeks, Operations Strategy; Mark Fernan, National Operations; Maxwell McGregor, Certificate Management Team, Quality Assurance; Stephen Turner, Senior Researcher - Advanced Technology; Kerry Nolan, Flying Standards (acting). Regional office managers: Des Byfield, Western Region; Roger Chambers, Sydney Region; Luke Gumley, Central Region; Roger Marin, Southern Region; Tom McLaren, North Queensland Region; Keith Thompson, Eastern Region.
- Airspace and Aerodrome Regulation Executive Manager: Cheryl Allman (acting). Managers: Martin Holbertson, Office of Airspace Regulation (acting) Malcolm McGregor Airways and Aerodromes.
- Standards Executive Manager: Peter Boyd. Managers: John Grima, Flight Standards; Peter John, General Aviation Taskforce; Rick Leeds, Operations Regulations Implementation; Nick Ward, Airworthiness and Engineering Standards; Grant Mazowita, Standards Development and Quality Assurance.
- Safety Education and Promotion Executive Manager: Dr Alyson Ross. Manager: Eleanor Dean, Safety Promotion.
- Industry Permissions Executive General Manager: Peter Fereday. Managers: Jim Marcolin, Delegate Management; Dr Pooshan Navathe, Principal Medical Officer; Mark Taylor, Permission Application Centre; Nicholas Singh, Delegate Management (acting).
- Legal Services Executive Manager: Adam Anastasi. Managers: Shaun Bennetts, Investigations (acting); Joe Rule, Legal; Ian Lonsdale, Contracts and Procurement.
- Corporate Services Executive Manager: Gillian Savage. Managers: Craig Jordan, Chief Financial Officer; John Forrest, Chief Information Officer; Brian Keech, Head of People and Performance; Grace Franco, Upgrade/Replace Existing Systems (acting).
Select to enlarge
(a) Acting manager
In 2013-14, changes were made to CASA's structure to enable more effective and efficient operations, as follows:
- In August 2013, responsibility for the Upgrade/Replace Existing Systems (URES) Program was moved from the Office of the Director of Aviation Safety to the Corporate Services Division to ensure URES's successful transition into regular business activity. This move also signified the entering of a new phase for URES, with the focus moving toward online services, European Aviation Processing (EAP) database workflow, and the progressive implementation of the Organisation Approvals and Surveillance modules of the database.
- In December 2013, responsibility for remotely piloted aircraft systems was moved from the Operations Division to the Safety Systems Office under the Deputy Director of Aviation Safety. This move was made in response to rapid growth in the remotely piloted aircraft systems sector and the need for CASA to closely monitor regulatory oversight of that sector.
- The Airspace and Aerodrome Regulation Division underwent a restructure. Five positions were transferred to the Standards Division; two senior management roles were amalgamated in the Office of Airspace Regulation; and a dedicated management position responsible for aerodromes was transferred to the Airways and Aerodromes Branch.
Senior manager appointments and departures
CASA's senior management team was enhanced by the appointment of the following senior managers during the year:
- Mr Peter Aitken was appointed acting Program Manager, Operations Regulations Implementation on contract
- Ms Cheryl Allman was appointed acting Executive Manager, Airspace and Aerodrome Regulation to cover a period of extended leave by Mr Peter Cromarty
- Ms Gretchen Bennett was appointed acting Industry Complaints Commissioner
- Mr Michael Broom was appointed Manager, Certification and Airworthiness Standards
- Ms Brenda Cattle was appointed acting Manager, People Services
- Mr Roger Crosthwaite was appointed Manager, Flight Crew Licensing Standards
- Mr Stephen Duffield was appointed Manager, Safety Performance and Analysis
- Mr Christopher Dunstan was appointed Manager, Flight Operations
- Mr Mark Fernan was appointed Senior Manager, National Operations
- Mr John Forrest was appointed Chief Information Officer
- Ms Grace Franco was appointed acting Program Manager, URES
- Mr Roger Marin was appointed Manager, Southern Region
- Mr Dilip Mathew was appointed Manager, Aerodromes and Aviation Infrastructure
- Mr Peter Nikolic was appointed Manager, Initial Airworthiness
- Ms Kerry Nolan was appointed acting Manager, Flying Standards Branch
- Mr Roy Tuomela was appointed Manager, Air Traffic Management Standards
- Mr Nicholas Ward was appointed Manager, Airworthiness and Engineering
- Mr Roger Weeks was appointed acting Senior Manager, Operations Strategy.
Senior managers who departed during the year were:
- Ms Elizabeth Hampton, Industry Complaints Commissioner
- Mr Dinh Nguyen, Manager, Safety Performance and Analysis
- Mr Graeme Rogers, Office of Airspace Regulation, Operations.
The following sections summarise the qualifications, experience and responsibilities of CASA's senior executives.
Office of the Director of Aviation Safety
Terry Farquharson Deputy Director of Aviation Safety
Phone: 02 6217 1330 Email: email@example.com
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 testing 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 which includes remotely piloted aircraft systems, Program Management Branch; and Knowledge Information Management Services Branch.
Jonathan Aleck Associate Director of Aviation Safety
Phone: 02 6217 1600 Email: firstname.lastname@example.org
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 International Civil Aviation Organization Council.
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 adviser 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, work involving foreign agencies, and international relations. It also incorporates the self-administering sport aviation organisations section.
The office also provides a central point of coordination between organisational strategy and delivery, with a focus on governance and accountability.
Executive Manager Phone: 07 3144 7514 Email: email@example.com
Mr Gerard Campbell holds a Master of Business Administration and a Bachelor of Education, 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 subsequently held positions as Senior Manager, Operations Strategy and Support, and Executive Manager, Safety Education and Promotion. He commenced in the role of Executive Manager, Operations, in 2012.
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.
Executive Manager Phone: 02 6217 1534 Email: firstname.lastname@example.org
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 and subsequently 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.
Airspace and Aerodrome Regulation
Executive Manager (acting) Phone: 02 6217 1408 Email: email@example.com
Ms Cheryl Allman holds a Bachelor of Commerce, Graduate Diploma of Adult and Vocational Education and Graduate Diploma in Aviation Management. Prior to joining CASA, Ms Allman had experience as an air traffic controller with the Royal Australian Air Force, working at bases around Australia as an operational controller (radar and tower) as well as holding several staff positions at a senior level in check and standardisation, and operations. In 2003 she was deployed to Iraq as part of the Australian air traffic control contingent in support of the multinational forces effort in the Middle East. She was awarded a Conspicuous Service Medal in 2005.
After leaving the air force, Ms Allman joined Airservices Australia, designing and delivering training to air traffic controllers. Ms Allman was one of the first members to join CASA's Office of Airspace Regulation when it was established in 2007, and later held the position of Manager, Office of Airspace Regulation.
Ms Allman began acting in the role of Executive Manager, Airspace and Aerodrome Regulation, in November 2013, to cover the absence of Mr Peter Cromarty, who is on leave until August 2014.
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.
Safety Education and Promotion
Dr Alyson Ross
Executive Manager Phone: 07 3144 7305 Email: firstname.lastname@example.org
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 training and development roles, managing corporate training for public sector organisations. 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, and risk-based quality assurance.
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 implementing 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.
Executive Manager Phone: 07 3144 7345 Email: email@example.com
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 realignment and change process which resulted in the introduction of the new CASA organisational structure in July 2009. Mr Fereday was appointed Executive Manager, Industry Permissions,
Industry Permissions exists to provide the successful delivery of Part 9(1)(e) and (da) of the Civil Aviation Act 1988. This includes the issue of the major volume of regulatory instruments assessed by CASA, such as flight crew and engineer licences, medical certificates, aircraft registration, Aviation Security Identification Cards, Air Operator's Certificates and CASA delegations. The Division is also responsible for the development and conduct of all CASA examinations for flight crew and maintenance personnel.
Industry Permissions 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.
General Counsel and Executive Manager Phone: 02 6217 1040 Email: firstname.lastname@example.org
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,
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 activities.
Executive Manager Phone: 02 6217 1700 Email: email@example.com
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 project 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, Corporate Services.
Corporate Services provides effective, efficient and integrated services and future capability that support the operational areas within CASA. The Division covers 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 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. The European Aviation Processing Implementation Program is responsible for the improvement of the online interface with the aviation industry and standardisation of business processes and for supporting the administration of new aviation safety regulations.
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 and 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, ineffective stakeholder engagement, 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 policy and practices annually to ensure that they remain aligned with current best practice and accord with the principles outlined in the Australian and New Zealand International Standards Organisation Risk Management - Principles and Guidelines (AS/NZS ISO31000:2009). During the reporting period, CASA also participated in the Commonwealth Risk Reference Group, contributing directly to the recently released Commonwealth Risk Management Policy.
During 2013-14, risk management training modules were enhanced and delivered through the Core Regulatory Training Program. 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. The risk management team visited regional offices to deliver governance and risk management briefings and conduct topical region-specific risk workshops. CASA also participated in the Australian National Audit Office's audit of business continuity management, which commenced in August 2013.
A new version of the risk-based surveillance tool Sky Sentinel was released in February 2014, and associated advanced training was delivered to all relevant CASA staff. This tool continues 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.
Recognition of CASA's risk management approach
Graham Mcginniskin, Ross Barnes and Jaclyn Smith with CASA's risk management awards from the 2012 survey period, presented in August 2013.
CASA uses 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. The survey is designed specifically to measure agencies' risk management maturity and provides detailed analysis to CASA on the level of its risk management capability compared to those of the total population and relevant peer groups.
For 2013-14, CASA was awarded a rating of 9.1 out of 10. This reaffirmed CASA's well-embedded culture of risk management. It also advanced the organisation from being one of the highest performing Australian Government agencies in the area of risk management to being the leading agency. It was the first time any Commonwealth agency had achieved a score above 9.0.
CASA has been one of the leading Commonwealth agencies in risk management over several years. Previous results comprised 8.9 out of 10 in the 2012 and 2013 surveys, and a ‘highly commended' award at the 2013 Comcover Awards for Excellence in Risk Management.
In addition to the 9.1 out of 10 survey result, CASA's strong risk-based approach to its function was further acknowledged by the inclusion of a case study based on CASA's processes for managing the issuance of an Air Operator's Certificate in the Australian National Audit Office's recently published Better Practice Guide - Administering Regulation: Achieving the right balance (June 2014). The case study highlighted the risk-based methodology applied and the internal quality control and review processes undertaken.
In 2014-15, CASA will continue to consolidate existing better practices and enhance selected areas identified in the Comcover benchmarking survey where cost-effective improvements are achievable. Any recommendations arising from the Australian National Audit Office audit of CASA's business continuity management will also be addressed. Specific areas of focus will include:
- further expanding advanced and subject-matter-specific risk management training, especially in the area of m-learning (mobile learning), which covers a range of user scenarios, including e-learning, educational technology and distance education, that focus on learning with mobile devices
- comprehensively reviewing the National Headquarters business continuity plan and updating all associated documentation
- 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, including industry risk profiling.
Internal audit arrangements
The Risk Management and Quality Assurance section within the Governance Systems Branch develops, coordinates and oversees the provision of internal audit services. CASA continued its arrangement of primarily outsourcing internal audit service provision to three external audit providers to complement the role of CASA's senior audit manager.
CASA's risk-based internal audit approach incorporates a mix of performance, financial, IT and compliance audits delivered across the organisation. The audit function has continued to benefit from the expertise and independence provided through auditors external to CASA.
CASA's internal audit work schedule 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 schedule.
CASA's monitoring of the implementation of audit recommendations, together with its use of a comprehensive database to collate, monitor and review audit information, continued to ensure that audit recommendations were acted on appropriately and in a timely manner. Oversight of the audit work schedule and implementation of the recommendations continued through regular reporting to the Board Audit Committee.
The internal audit reviews conducted during 2013-14 addressed CASA's core operational and business functions, processes, systems and internal controls. The following 13 audits were completed during the year:
- Aerodrome inspection process
- Air Operator's Certificate manual implementation
- Airworthiness directives
- Compliance with statutory obligations
- Fee estimator
- Financial Management Information System Travel and Credit Cards modules implementation
- Maintenance Personnel Licensing - European Aviation Processing system
- Oversight of foreign operators
- Flight crew licensing examination system (PEXO)
- Safety promotion
- Service difficulty reporting system
- Upgrade or replacement of IT systems project
- Workplace health and safety.
The three further audits listed below were substantially completed but not finalised. These audits will be finalised and tabled for the Board Audit Committee in 2014-15:
- Sky Sentinel
- Government stakeholder engagement
- Regulatory and technical training.
Two audits were deferred for operational reasons.
The internal audit reviews generated 49 new recommendations for management action. All audit recommendations are categorised on the basis of risk to CASA's operations. Only one recommendation was classified in the highest risk category. This recommendation was subsequently implemented within the requisite timeframe for that category. The audit coverage continues to provide appropriate assurance that CASA's internal controls are operating effectively.
Emerging issues that will inform future audit work schedules include:
- the internal provision of IT services and support
- the development of Sky Sentinel as the key system to support surveillance activities
- the replacement of key legacy IT systems by the increasingly mature EAP software solution
- the importance of effective workforce planning to support CASA's capability framework
- the refinement of regulatory service fees
- the impact of external frameworks and legislation, such as the PGPA Act and the Regulator Audit Framework, and the results of the reports commissioned by the Government, including the National Commission of Audit report and the Aviation Safety Regulation Review.
For 2014-15, CASA has planned 16 internal audits, maintaining its focus on operational and business risks and key control systems, while also continuing to meet its rolling compliance audit commitment. All major projects undertaken in 2014-15 will be closely monitored through the internal audit function to ensure that appropriate and effective control processes are in place.
The current internal audit service provider contract expires in June 2015. A full tender process will be conducted early in 2015 to establish a panel of providers for the following three years.
Annual reports achieve excellence
Duncan Grant, Michelle Spence, Lisa Harvey and Ross Barnes accept CASA's first Gold ARA award, Melbourne 2013.
CASA's 2011-12 annual report received a prestigious gold award in the 2013 Australasian Reporting Awards (ARA). After receiving a number of silver awards in previous years, CASA succeeded for the first time in meeting the demanding criteria to be deemed worthy of gold.
In line with CASA's focus on striving for continuous improvement through corporate reporting, the 2012-13 annual report also achieved a gold award, which was presented at the 2014 ARA ceremony in Sydney on 19 June 2014. CASA's 2012-13 annual report gained further recognition as one of the top three finalists in the special award category of ‘communication - public sector'.
CASA employs a number of measures to facilitate probity of practice. They include:
- a confidential third-party protected disclosure arrangement
- a well-publicised code of conduct
- a robust fraud control process.
Public interest disclosure policy
In January 2014, CASA introduced a policy and procedures consistent with the requirements of the Public Interest Disclosure Act 2013, which came into effect on 15 January 2014. These arrangements enable confidential disclosure of matters and protect disclosers from fear or threats of reprisal for making a disclosure. CASA provides an annual report of the number and types of disclosures to the Commonwealth Ombudsman.
With the introduction of the Public Interest Disclosure Act 2013, matters referred to CASA's external disclosure (whistleblower) service provider, YourCall, have largely been subsumed in the operation of the processes under the Public Interest Disclosure Act. YourCall continues to provide a means by which fraud, corruption or other inappropriate behaviour may be confidentially reported.
During 2013-14, two reports were made under the external disclosure arrangements.
Code of conduct
As a condition of employment, 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 in the course of conducting their duties or otherwise representing CASA.
Online fraud training for CASA employees became live on 1 July 2013, with all employees required to complete the training by 31 October 2013 or within three months of commencing employment with CASA.
In 2013-14, one internal fraud matter was referred for assessment. A further internal fraud investigation was finalised and referred for internal disciplinary action. 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.
All staff must complete an annual declaration form requiring disclosure of a 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.