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Performance in 2014-15
This section presents a detailed review of CASA’s performance in 2014–15 against the goals, initiatives and performance measures set out in the CASA Corporate Plan 2014–15 to 2017–18.
The goals defined in the Corporate Plan are identical to the deliverables set out in the Portfolio Budget Statements:
- Comprehensive, consistent and effective regulation to enhance aviation safety.
- Good governance and continuous improvement of organisational efficiency.
- Effective and appropriate relationships with the wider aviation community.
This section sets out a detailed report on performance for each goal, including a ‘snapshot’ assessment against each measure, using the following keys:
- ✓ ✓ ✓ Ongoing/completed
- ✓ ✓ Substantially completed/issues being managed
- ✓ Delayed
- ✗ Cancelled
Of the performance measures set for the three corporate goals in 2014–15, over 82 per cent were met. Of the remaining 18 per cent, the majority were substantially completed, with a small percentage delayed or affected by external factors.
Although a slight reduction, this high level of achievement was consistent with the four-year rolling average for CASA’s overall performance, which stands at 84 per cent. The slightly lower outcome was due to CASA commencing the finalisation of, and planning for the implementation of, detailed regulatory reforms which necessarily impacted on the number of overall targets that could be met compared to previous years.
This section also includes a summary of CASA’s progress in implementing recommendations of the Aviation Safety Regulation Review in accordance with the Government’ s response to the review.
Challenges
In 2014–15, CASA underwent significant leadership and high-level governance changes through the appointment of a new Director of Aviation Safety and a change to the composition of the CASA Board, including an increase in the size of the Board from five to seven members.
CASA also managed the challenge of delivering the initiatives contained in the Corporate Plan while simultaneously redirecting resources to address the recommendations arising from the Government’s response to the Aviation Safety Regulation Review, which was tabled in December 2014.
Looking forward
This is the final year in which CASA will report against the three goals outlined above, which have been in place for the past four years.
CASA has developed a new performance framework for the 2015–16 reporting period, in response to the introduction of the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and the Australian Government’s Regulator Performance Framework.
CASA’s goals for 2015–16 to 2018–19 are:
- Goal 1. Maintain and enhance a fair, effective and efficient aviation safety regulatory system.
- Goal 2. Engage effectively with the wider aviation community to promote and support a positive safety culture.
- Goal 3. Continuous improvement of organisational performance.
To measure its success in achieving these three goals, CASA will report against performance indicators and measures in five key performance areas:
- KPA 1. Aviation safety regulation and service delivery
- KPA 2. Industry oversight
- KPA 3. Stakeholder engagement
- KPA 4. Governance and organisational effectiveness
- KPA 5. Workforce capability and capacity.
The key deliverable, impacting on all areas of performance, will be the implementation of the Government’s response to the Aviation Safety Regulation Review.
Corporate goal 1: Comprehensive, consistent and effective regulation to enhance aviation safety
Of 42 measures in place against this goal, 74 per cent were assessed as on track or completed and 24 per cent, although not finalised, were substantially completed. Two per cent were delayed.
Since 2011–12, CASA has achieved an averaged performance result of 81 per cent of targets met for Goal 1. This year’s result is slightly lower than the average, due to CASA commencing the finalisation of, and planning for the implementation of, detailed regulatory reforms which necessarily impacted on the number of overall targets that could be met compared to previous years.
CASA’s success against this goal of aviation safety regulation can be measured through the overall industry trend of a reduction in the number of accidents per hours flown in the majority of aviation sectors. The trend in the number of incidents per hours flown has also remained relatively stable over the past five years.
A national poll conducted by Galaxy Research on behalf of CASA in September 2014 showed that 94 per cent of Australians surveyed are confident about the safety of airline flights. When asked how well CASA was doing its job, 83 per cent of respondents expressed confidence in CASA’s performance as a safety regulator.
Key achievements
- Significant improvements were made in Performance Based Navigation regulation. Alignment with the International Civil Aviation Organization standards will reduce the approval burden on industry participants using particular navigation standards in their flight operations.
- CASA introduced flight crew licensing and flying training regulations which reflect international practice and provide competency-based training and assessment standards. Post-implementation reviews have been ongoing following aviation community feedback on the regulations.
- The industry sector profile on the aerial application (agricultural) sector was completed, and work is underway on the development of safety performance indicators for the sector.
Challenges
- CASA spent additional time consulting with the aviation industry on proposed changes to regulations. Ensuring that the industry’s input was fully considered and incorporated where appropriate had an impact on timeframes.
| STRATEGY 1.1 | |
|---|---|
| Enhance oversight and surveillance of the aviation industry | |
| Initiative 1.1.1 | Improving CASA’s specialist surveillance capability to oversee:
|
| Measure | Implementing effective processes and procedures for entry control and surveillance |
| Result ✓ ✓ |
The RPAS Certificate Management team was expanded by one permanent staff member and three temporary inspectors (to 30 October 2015) in an attempt to address the backlog and growth in this sector. Effective surveillance is still limited by the huge entry control workload. Reviews and upgrades to documentation are planned for the first quarter of 2015–16. |
| Measure | Developing a commercial ballooning sector profile to assist in targeting risk-based surveillance activities (by December 2014) |
| Result
✓ ✓ ✓ |
In July 2014, a risk-based audit plan was completed, prioritising audits of commercial balloon operators. The plan committed to 14 audits for 2014–15; all 14 were completed. A risk-based sector profile preliminary analysis was completed in May 2015. Stage 2 of the risk-based sector profile is to commence shortly. |
| Measure | Performing on-site surveillance of all foreign Approved Maintenance Organisations holding a CASA authorisation on a biennial basis, or more regularly depending upon an operator’s risk profile |
| Result ✓ ✓ ✓ |
CASA conducted surveillance of overseas-based aircraft maintenance providers throughout 2014–15. In accordance with planned activities, a total of 38 surveillance exercises were conducted on organisations located in Shandong, Xiamen, Shanghai and Guangzhou in China; Hamburg in Germany; Hong Kong; Jakarta in Indonesia; Subang and Kuala Lumpur in Malaysia; Auckland in New Zealand; Lisbon in Portugal; Singapore; Phuket and Bangkok in Thailand; Abu Dhabi and Dubai in the United Arab Emirates; and Lake Charles, Nashville and Honolulu in the United States. |
| Initiative 1.1.2 | Achieving more targeted and efficient risk-based surveillance |
| Measure | Ensuring all CASA staff involved in surveillance activities are competent in the use of CASA’s Surveillance Manual, system risk concepts and use of the supporting IT surveillance system |
| Result ✓ ✓ ✓ |
The competency of CASA staff has been enhanced in their utilisation of the CASA Surveillance Manual, risk concepts and supporting IT surveillance systems.> Version 4.2 of Sky Sentinel was rolled out on 25 June 2015. An advanced user forum was conducted in June 2015, and quality assurance activities continued throughout the year. A multi-faceted education strategy has been agreed. It covers upcoming changes to Sky Sentinel and the CASA Surveillance Manual, and involves the use of e-learning modules which are designed for access anywhere, anytime. The strategy also includes redevelopment of the training course that covers CASA’s underlying principles of and approach to surveillance. Activities in 2014–15 included:
|
| Initiative 1.1.3 | Continuing to improve flying training standards and oversight of approved testing officers (ATOs) |
| Measure | Publishing a Flight Examiner’s Handbook which details the flight test and proficiency check requirements of CASR Part 61 (by 31 August 2014) |
| Result ✓ ✓ ✓ |
Version 1.1 of the Flight Examiner’s Handbook was published in November 2014. After revisions based on operational experience and industry feedback, version 1.2 was published in March 2015. Publication of version 2.0 is planned for late 2015. |
| Measure | Providing an e-learning refresher Professional Development Program to all industry flight examiners in readiness for the commencement of CASR Part 61 (by 1 August 2014) |
| Result ✓ ✓ ✓ |
For authorised testing officers, CASA made a professional development bridging program available through e-learning to support changes in the implementation of Part 61. |
| Initiative 1.1.4 | Continuing to improve the sport and recreational sector’s capacity to self-administer |
| Measure | Implementing the optimal organisational model to deliver regulatory oversight of recreational aviation administration organisations (RAAOs) (by December 2014) |
| Result ✓ ✓ |
CASA is working with and providing guidance to RAAOs as they prepare for the implementation of CASR Part 149. Part 149 content was discussed at the 2014 and 2015 Sport Aviation Safety Forums. The approved organisations model under CASR Part 149 (the optimal organisational model) is due for implementation in July 2016. Revised deeds of agreement were implemented to introduce safety assurance indicators that correlate to the CASA Surveillance Manual Authorisation Holder Performance Indicator. CASA will optimise the current oversight model until Part 149 has been implemented and organisations have transitioned. The deeds of agreement include an embedded reporting function, with which all RAAOs are complying. Internal risk assessment and regulatory implementation have begun in preparation for the optimal organisational model. Part 149 consultation is being undertaken through the Sport and Recreational Aviation Standards Sub-committee process. |
| Measure | Conducting surveillance events of RAAOs based on risks to aviation safety |
| Result ✓ ✓ ✓ |
Thirty-one surveillance events were conducted on the sport and recreational sectors during the year, including surveillance at nine fly-ins and events, 16 audits of instrument holders/RAAOs and six audits of delegates and approved persons. Increased staffing for CASA activities in this area has added depth and focus to this surveillance. Surveillance of the RAAOs follows a risk-based approach in which those assessed with the highest level of risk are audited on the most regular basis. |
| Measure | Conducting scheduled and unscheduled surveillance activity on RAAOs to enhance oversight of their operations |
| Result ✓ ✓ ✓ |
CASA conducts level 2 surveillance events (operational checks), such as ramp checks on RAAO member aircraft at fly-ins and other events, to gauge the level of compliance with legislation. The operational checks also provide CASA with a mechanism to receive assurance that RAAO activities are being conducted safely. CASA conducts level 2 surveillance as part of its comprehensive aviation industry surveillance. CASA conducted 13 unscheduled surveillance events, including four ramp checks of sport and recreational participants, in 2014–15, in addition to conducting one industry training event for a CASA delegate, presenting at seven safety education workshops to industry, presenting at three RAAO-organised events, referring 17 individual coordinated enforcement matters for further investigation, and hosting the 2015 Sport Aviation Safety Forum in Sydney, which was attended by all RAAOs. |
| Measure | Conducting surveillance events on Light Sport Aircraft manufacturers and importers to ascertain compliance with applicable standards |
| Result ✓ ✓ ✓ |
CASA finalised an audit of Australian light sport aircraft manufacturers in June 2014 and issued final reports in August 2014. All five Australian manufacturers incurred findings of minor non-compliance with the American Society for Testing and Material Standards. Three also incurred findings of major non-compliance. |
| Measure | Centralising all model aircraft display and area approvals from regional offices to SASAO to promote standardisation and efficiency |
| Result ✓ ✓ |
CASA provided 78 model aircraft approvals in 2014–15, and commissioned over 100 notices to airmen. |
| Measure | Conducting oversight, auditing and training of sport aviation delegates |
| Result ✓ ✓ ✓ |
Six sport aviation delegates were audited in 2014–15. One delegate was also provided with training, and a further seven delegates are being transitioned through Sky Sentinel for CASA oversight. |
| Initiative 1.1.5 | Ensuring ongoing competency of CASA delegates and authorised persons through efficient delegate management, including, where appropriate, moving to an approved organisational model |
| Measure | Continuing to transition Design Instrument of Appointment holders to CASR Part 21J Approved Design Organisation approvals |
| Result ✓ ✓ ✓ |
CASR Subpart 21J, which introduces an approved design organisational model, commenced in March 2014. The transitional project was approved in late August 2014, and the preparations were completed in November 2014. The first approved design organisation certificate approved under Subpart 21J was issued in November 2014 to Qantas. CASA is currently conducting assessments of two Australian organisations and one overseas organisation, and more applications are expected. CASA is also conducting further industry consultation in order to introduce alternative options for small design organisations and individuals that deal with general aviation and small and simple aircraft. The transition to alternative models is expected to require minimal effort by industry and no changes to the transitional model. |
| Initiative 1.1.6 | Continuing to focus on the safety of ageing aircraft in Australia |
| Measure | Continuing to develop regulatory options to address ageing aircraft issues |
| Result ✓ ✓ |
A business case has been developed to update the prototype ‘ageing aircraft matrix tool’, which has been a useful tool for the aviation community to assess the likely ageing status of an aircraft. The business case will be considered in the second half of 2015–16. |
| Initiative 1.1.7 | Continuing to support the development of Australia’s State Safety Program |
| Measure | Continuing development and implementation of CASA’s regulatory safety management program |
| Result ✓ ✓ ✓ |
The Regulatory Safety Management Program Manual was released in February 2015 and updated in May 2015. The subordinate documentation (principally the Safety Systems Manual) was released in May 2015. Further updates are planned for 2015–16. Meetings of the Aviation Safety Review Committee (six), Safety Action Group (four) and Accident Investigation Review Committee (six) were conducted as required during 2014–15. |
| Measure | Being a contributing member to the State Safety Program working group |
| Result ✓ ✓ ✓ |
CASA participated in two State Safety Program cross-agency working group meetings. |
| STRATEGY 1.2 | |
|---|---|
| Complete the regulatory reform program and continue with the implementation program in a timely manner | |
| Initiative 1.2.1 | Developing new aviation safety regulations, taking account of best international practice and aligning Australian requirements with relevant overseas practices |
| Measure | Presenting the following regulations for progression through to the making process by the end of the 2014 calendar year:
|
| Result ✓ |
CASR Part 149 has been finalised by the Office of Parliamentary Counsel and is expected to enter the consultation phase with the aviation community in the third quarter of 2015, along with associated Manual of Standards (MoS) material. Drafting of CASR Part 91 has been completed. The aviation community will be consulted on an exposure draft, together with a MoS, in July 2015. A final consultation draft of CASR Part 132 was published in February 2015. The responses have been reviewed and this part is ready for making, pending the outcome of consultations on the associated MoS material, expected to occur in the third quarter of 2015. Drafting of CASR Part 121 is progressing. It is expected that the aviation community will be consulted on an exposure draft and MoS material in the third quarter of 2015. In addition, drafting of CASR Parts 119, 133 and 135 was initially completed in April 2014, but CASA found that they would impose additional costs on operators, for which offsets would need to be identified, as required by government policy. CASA has identified provisions that could be removed or delayed to reduce the implementation costs and will revise the Parts. CASR Part 129 was also completed in 2013–14, and CASA is looking to finalise the regulations by the end of 2015. |
| Measure | Presenting the following regulations for progression through to the making process by the end of the 2014–15 financial year:
|
| Result ✓ ✓ |
CASR Part 131 development was delayed while an expert on balloon subject matter was engaged. The expert has commenced and drafting will commence in July 2015. Public consultation is expected to occur in the fourth quarter of 2015. A consolidated draft of CASR Part 138 is expected in July 2015, and accompanying MoS material is expected in August 2015. Public consultation on this Part is expected to occur in September 2015. Parachuting bodies have been consulted on CASR Part 105, and public consultation on the Part and associated MoS material is expected to occur in the third quarter of 2015. CASR Part 103 is very small. It is expected that Part 103 will be packaged with Parts 105 and 149 for a consultation process in the third quarter of 2015. |
| Initiative 1.2.2 | Implementing the new aviation safety regulations |
| Measure | Continuing the transition of Air Operator’s Certificate holders to new fatigue risk management arrangements |
| Result ✓ ✓ |
While air operator certificate and Part 141 certificate holders have been transitioning to the new fatigue management regulations, overall numbers remain low. In 2014–15, CASA worked to improve transition rates by providing further training to inspectors, producing improved guidance material for industry, and providing detailed briefings aimed at explaining and simplifying the requirements of the new regulations. CASA has published templates that provide acceptable text for an operations manual supplement that addresses fatigue management. These templates are suitable for typical charter, flying training and aerial work operators, and their standardised format will facilitate simpler assessment by inspectors. An amendment to Civil Aviation Order 48.1 Instrument has been drafted. It is expected the amendment, which will make transitioning easier for many operators, will be published for industry comment in July 2015. Strong indications of a large number of late transitions and delays in the provision of software support from relevant management software providers are increasing the risk that some sections of the industry will not be able to transition by the end of the prescribed transition period. CASA is investigating what options are available to manage these challenges. |
| Measure | Achieving continuous improvement by supporting and enabling the new rules through the provision of education and awareness information to CASA staff and industry |
| Result ✓ ✓ ✓ |
Workshops on licensing regulations were conducted in a number of centres across Australia. A wide range of communication activities were implemented, including:
An e-learning professional development training module was developed and released for approved testing officers and flight examiners. CASA conducted workshops for industry on how flying training organisations can transition to the new regulations. Training for relevant CASA staff around Australia has been delivered, to ensure that they are equipped to apply the new licensing regulations in practice. A communications campaign reminding industry of the April 2016 timeframe to comply with the new fatigue regulations was completed in April 2015. This was followed by a series of one-day industry briefings on the new fatigue regulations, which were held in every capital city as well as Cairns, Townsville and Broome in May and June 2015. The inspector training course for the fatigue regulations was finalised and delivered to 38 inspectors. |
| Measure | Developing a regulations transition management plan (by August 2014) which will detail how operators will be transitioned to CASR Parts 141 and 142 |
| Result ✓ ✓ ✓ |
The Director of Aviation Safety approved guidance material on the transition process, which was published on the CASA website. A transition assessment project plan was developed for CASR Parts 141 and 142. The plan was updated to incorporate all regulatory transitioning projects, and provides a strategy to be implemented to monitor, encourage and mandate the transitioning process. |
| Measure | Ensuring CASA’s readiness to commence assessments of operators transitioning to CASR Parts 141 and 142 and issuing of permissions for CASR Parts 61 and 64 (by 1 September) |
| Result ✓ ✓ ✓ |
Work to ensure that CASA and industry are ready to transition is underway. This includes operator transition briefings. Eight CASA Licensing Regulations Knowledge workshops have been conducted Australia-wide, and further workshops are planned for delivery by December 2015. Delivery of Part 142 Exposition Preparation workshops to industry is ongoing Australia-wide, with a targeted completion date of December 2015. In 2014–15, 222 industry attendees attended, representing 107 transitioning organisations. Flight Crew Licensing Part 142 Assess and Approve courses were delivered to CASA flying operations inspectors in April and May 2015, bringing the total number of inspectors trained to 105. A final course is on target to be completed in August 2015. The Operations Transition Plan is currently being rolled out in the regions. The associated training has been given to 62 inspectors to date and is on target to be completed by mid-August 2015. A Flight Examiner Rating training course, as required by Part 61, is under development and on target to be available to industry by December 2015. Part 61 conversions are also on target: 13,486 Part 61 licences have been processed, accounting for 34 per cent of total conversions. Part 64 is ahead of schedule, with more than 1,301 conversions processed, accounting for 33 per cent of the expected total. |
| Measure | Delivery of all documentation and support to industry for the transition of flight crew and flying training permissions under CASR Parts 61/64/141/142, commencing 1 September 2014 until 30 August 2018 |
| Result ✓ ✓ ✓ |
Application forms have been published, with guidance information, on the CASA website. Internal procedures have been documented for use by CASA staff and will be reviewed and updated in 2015–16. |
| Initiative 1.2.3 | Developing and administering regulations in accordance with the government intent to minimise the cost to industry while maintaining acceptable levels of safety |
| Measure | Identifying and quantifying the regulatory burden on industry associated with the aviation safety regulations (by December 2014) |
| Result ✓ ✓ ✓ |
The regulatory compliance burden on industry from CASA’s regulatory program was identified and quantified, in consultation with industry, and reported to the Department of Infrastructure and Regional Development in November 2014. CASA’s input was incorporated in the Infrastructure and Regional Development portfolio report which was published in March 2015. CASA also made a very significant contribution to the Government’s red tape reduction program for 2014. Industry savings of approximately $31 million were attributed to changes in CASA’s regulations and processes. In May 2015, the Director of Aviation Safety issued DAS Directive 01/2015 Development and Application of Risk-Based and Cost-Effective Aviation Safety Regulations. The directive reaffirms CASA’s commitment to ensure that regulatory changes are justified on the basis of safety risk and do not impose unnecessary costs or unnecessarily hinder participation in aviation and its capacity for growth. |
| STRATEGY 1.3 | |
|---|---|
| Develop effective enforcement methods to secure compliance with aviation safety standards | |
| Initiative 1.3.1 | Ensuring CASA has effective enforcement powers and procedures |
| Measure | Making provision for new enforcement procedures and powers for inclusion in Part 13 of the Civil Aviation Safety Regulations 1998 (by December 2014) |
| Result ✓ ✓ | Notices of proposed rule making (NPRM) and draft regulations were prepared in September 2013. CASA delayed the publication of these documents until after the Government had responded to the Aviation Safety Regulation Review report. The Government responded in December 2014. It is expected the NPRM will be published in September 2015. |
| Measure | Making amendments to the Civil Aviation Act 1988, including coercive evidence-gathering powers and civil penalties subject to government policy and legislative approval (by December 2015) |
| Result ✓ ✓ | The Department of Infrastructure and Regional Development advised CASA in September 2014 that it would not progress a legislative bid for amendments before the Government had responded to the Aviation Safety Regulation Review report. Policy work and consultation relating to powers and penalties will be progressed before policy approval is sought. |
| Measure | Reviewing and revising enforcement processes in CASA’s Enforcement manual (as soon as practicable after Part 13 amendment) |
| Result ✓ ✓ | CASA will review and revise the Enforcement Manual following the Government’s response to the Aviation Safety Regulation Review report. The updated manual will be published in 2015–16. |
| STRATEGY 1.4 | |
|---|---|
| Continue reform of the Australian administered airspace | |
| Initiative 1.4.1 | Continuing to implement airspace reform initiatives as identified in the Australian Airspace Policy Statement |
| Measure | Completing aeronautical risk reviews consistent with the Australian Airspace Policy Statement |
| Result ✓ ✓ ✓ |
The draft Williamtown Aeronautical Study was completed by CASA and the Department of Defence, and a briefing of major stakeholders was conducted, in May 2015. The report will be released to Airservices and the Department of Infrastructure and Regional Development for comment in early July 2015. The public release of the report for industry comment is expected to occur in August 2015. The Aeronautical Study of Roma was released for public comment on 17 June 2015. The Supplementary Airspace Review of Ballina Byron Gateway is nearing completion and is expected to be released for public comment by August 2015. |
| Measure | Completing the Sydney Basin airspace review (by December 2014) |
| Result ✓ ✓ |
The draft Sydney Basin Aeronautical Study was publicly released for comment from 30 March 2015 to 15 May 2015. Notification of the release of the report was sent to the New South Wales Regional Airspace and Procedures Advisory Committee and other Sydney Basin stakeholders (170 individuals and organisations). CASA received responses from eight organisations and one individual. Evaluation of the comments is being conducted and the report is being amended as appropriate. The final report is expected to be released in July 2015. |
| Initiative 1.4.2 | Overseeing the implementation of approach procedures with vertical guidance in Australia |
| Measure | Continuing to provide resources to assist ICAO to develop standards and recommended practices for Baro-VNAV approaches |
| Result ✓ ✓ ✓ |
CASA subject matter experts worked with the International Civil Aviation Organization (ICAO) through various panels and study groups, in accordance with a memorandum of understanding between CASA, Airservices and the Department of Infrastructure and Regional Development. In Australia this work is included in the Performance Based Navigation Study Group work program. |
| Measure | Establishing Australian regulations and standards based on the ICAO standards and recommended practices for Baro-VNAV approaches |
| Result ✓ ✓ ✓ |
The regulations and standards were completed as part of work on Civil Aviation Order 20.91 (see Initiative 1.4.4), and published on 11 December 2014. |
| Measure | Providing assistance to the joint agency working group (Department of Infrastructure and Regional Development, CASA, Airservices and Bureau of Meteorology) in the development of implementation arrangements for consideration by the Aviation Policy Group and industry |
| Result ✓ ✓ ✓ |
Work on a Baro-VNAV implementation strategy, which will include standards, staffing, costings, documentation and implementation schedules, is near completion. This work is being led by the Department of Infrastructure and Regional Development; CASA has provided assistance as requested. |
| Initiative 1.4.3 | Facilitate the development of an air traffic management (ATM) regulatory plan including proposed future ATM standards with Airservices Australia and the Department of Defence |
| Measure | Continuing to update the regulatory framework for ATM and Communications, Navigation and Surveillance (CNS) with particular regard to the Airservices Australia and Defence Air Traffic Control Future Systems (AFS) project for which CASA is the lead safety regulator |
| Result ✓ ✓ ✓ |
Any necessary changes to requirements have been made. If further amendments are identified as being required they will be made through the normal process. An initial OneSKY Project contract has been signed by Airservices and the Department of Defence. A CASA project manager for the OneSKY Project has been appointed. |
| Measure | Providing support and input to the development of the Australian Air Traffic Management Plan, consistent with the key policies and principles articulated in the ICAO Global Air Navigation Plan (GANP) and Global Aviation Safety Plan (GASP) |
| Result ✓ ✓ ✓ |
A draft document is being prepared by the Department of Infrastructure and Regional Development for review and comment by CASA before the end of 2015. |
| Initiative 1.4.4 | Implement Performance Based Navigation (PBN) specifications for Area Navigation (RNAV) and Required Navigation Performance (RNP) as the basis for precision navigation, instrument procedure design, and resultant air traffic separation standards |
| Measure | Continuing to support the development of relevant and appropriate regulations in a timely manner through the established regulatory project (AS 08/19) |
| Result ✓ ✓ ✓ |
PBN regulations have been completed. Surveillance, education and training are being undertaken to ensure compliance with the Global Navigation Satellite System (GNSS) and Automatic Dependent Surveillance – Broadcast (ADS-B) mandates coming into effect in 2016 and 2017, respectively. |
| STRATEGY 1.5 | |
|---|---|
| Identify safety-related trends and risk factors nationally and internationally and promote the development and improvement of the civil aviation safety system | |
| Initiative 1.5.1 | Conducting regular reviews of the system of civil aviation safety |
| Measure | Continuing to improve data analysis and risk reporting mechanisms to determine key aviation safety risks |
| Result ✓ ✓ ✓ |
CASA continued to access and analyse new trending data which has been obtained through the improvement of surveillance systems. This is leading to better focused and informed operational activities. The trending and alert monitoring methodology continues to improve as new analytical techniques and enhanced data sources are used. |
| Measure | Progressively completing industry sector profiles |
| Result ✓ ✓ ✓ |
The industry sector profile on the aerial application (agricultural) sector was completed with the development of a public report. Work has commenced on developing safety performance indicators for this sector. Phase 2 of the process of profiling the aerial mustering sector is being finalised with the development of a sector risk register and public profile report. Work has commenced on phase 2 activity for the aerodrome sector. Work on profiling high-priority sectors and subsectors will be actioned throughout 2015. |
| Measure | Continuing to develop proactive promotional and educational programs based on identified key aviation safety risks and trends |
| Result ✓ ✓ ✓ |
CASA continues to develop campaigns and materials, such as articles in Flight Safety Australia magazine and on www.flightsafetyaustralia.com, to support awareness of identified risks. The implication of human factors and flight deck automation in loss of control accidents was addressed through safety promotion logistics and event support for the February 2015 workshop held in Sydney. The themes from the workshop were further examined in a feature article in the May–June 2015 issue of Flight Safety Australia. Initial meetings have been held relating to CASA’s Safety Risk Management Construct. Scoping will commence in mid-2015 for a communications/education solution covering the responsibilities of all CASA employees in relation to risk management and strategies to interact with, interpret and understand the information available in relation to risk management. |
| Initiative 1.5.2 | Conducting regular and timely assessment of international safety developments |
| Measure | Continuing to work with ICAO and the Safety Management International Collaboration Group on safety performance measurement |
| Result ✓ ✓ ✓ |
CASA is an active member of the Safety Management International Collaboration Group, which has published and presented papers through the United States Federal Aviation Administration to the International Civil Aviation Organization (ICAO) on the safety performance measurement approach and safety management systems for small organisations. CASA attended the group’s May 2015 meeting and is working on the group’s Acceptable Level of Safety Performance project. CASA is also supporting the group’s Training Program Outline for Inspector Safety Management System Competency project, due to be completed by December 2015. CASA is also an active member of the ICAO Safety Management Panel, which works closely with the Safety Management International Collaboration Group to develop safety performance measurement materials. |
| Measure | Maintaining appropriate contact with international aviation specialist organisations and regulators, such as the Flight Safety Foundation and the International Society of Air Safety Investigators |
| Result ✓ ✓ ✓ |
CASA is a member of the International Society of Air Safety Investigators (ISASI) and attended the society’s international seminar held in Adelaide in October 2014, which was organised by the Australian Society of Air Safety Investigators. CASA also attended the Australian and New Zealand Societies of Air Safety Investigators Regional Air Safety Seminar held in Auckland in June 2015. The next ISASI seminar will be held in Germany in October 2015. |
| Initiative 1.5.3 | Continuing to monitor emerging technologies |
| Measure | Working with ICAO toward the establishment of Remotely Piloted Aircraft standards |
| Result ✓ ✓ ✓ |
CASA attended meetings of the ICAO Remotely Piloted Aircraft Systems Panel in November 2014 and March 2015. Amendments to CASR Part 101 for remotely piloted aircraft used for commercial purposes, and associated guidance material, were made available for industry consultation through a notice of proposed rule making in May 2014. A further exposure draft was provided through the Unmanned Aircraft Systems Sub-committee of the Standards Consultative Committee in November 2014. In addition, a project was established in October 2014 to review air traffic control standards for the conduct of remotely piloted aircraft system operations in control zones. Part 101 is expected to be made in the third quarter of 2015. The associated Manual of Standards is undergoing further development. |
| Initiative 1.5.4 | Continuing to develop appropriate data sharing protocols to make more effective use of Australia’s store of aviation safety related information |
| Measure | Continuing to work in conjunction with the Australian Transport Safety Bureau and other stakeholders |
| Result ✓ ✓ ✓ |
The Australian Transport Safety Bureau (ATSB) and CASA have published their joint statement of safety information data sharing on their respective websites. The ATSB supplies a daily summary of all occurrences registered on the bureau’s database. These data are stored in the CASA data warehouse and made available to CASA operational areas, through a daily report, for review and action as appropriate. The ATSB supplies a weekly data transfer from the ATSB database to the CASA data warehouse. CASA uses the data to produce various trend analysis reports on emerging risks, which are addressed through the CASA Safety Action Group. |
Looking forward
- The year ahead should see significant improvements in the entry control and oversight of remotely piloted aircraft activities. Contributions to the development of the proposed CASR Part 102 (revised operational regulations for unmanned aircraft) will be based on the increased experience of the certificate management team for remotely piloted aircraft systems.
- A review will be completed to determine whether an overarching steering committee, or an additional high-level consultative forum, would enhance consultation with industry on regulatory reform matters.
- CASA will continue to focus on improving the CASA surveillance framework, with a particular effort to expand the quality and volume of safety-relevant data available for analysis and evaluation. Further sector risk profiles are expected to be completed, allowing CASA to build an expanding picture of industry and sector risks which will lead to the development of improved and more focused treatments to mitigate risks across the aviation community.
- Operational CASR Parts will be finalised, adopting a three-tiered structure of legislative instruments where appropriate and optimising the use of Manuals of Standards or Civil Aviation Orders. The Parts will meet the Government’s requirements for new and amended regulations, consistent with Commonwealth drafting standards; and reflect the alignment of CASA’s classification of operations with the International Civil Aviation Organization model.
Corporate goal 2: Good governance and continuous improvement of organisational efficiency
Of the 54 measures of performance against this corporate goal in 2014–15, 83 per cent were assessed as on track or completed, 13 per cent were substantially completed, and 4 per cent were delayed due to factors beyond CASA’s control.
Since 2011–12, CASA has achieved an averaged performance result of 78 per cent of targets met for Goal 2. This year’s performance exceeded the average achievement against the measures in place for this goal.
Key achievements
- The workforce productivity improvements were implemented as planned.
- CASA was identified as the leading Commonwealth entity in enterprise-wide risk management, and was the only Commonwealth entity to attain the highest achievable maturity level, ‘Optimal’.
- Work to consolidate workforce productivity improvements into the resource planning and reporting of business areas was completed.
- In recognition of CASA’s open and transparent reporting, the CASA Annual Report 2013–14 received a gold award from the Australasian Reporting Awards, for the third consecutive year, in addition to receiving the Safe Work Australia sponsored Work Health and Safety Award.
Challenges
- Changes to CASA’s governance processes were required by the introduction of a new performance reporting framework through the PGPA Act and the Government’s Regulator Performance Framework.
| STRATEGY 2.1 | |
|---|---|
| Attract and retain an adequate number of appropriately skilled staff and optimise their capability and performance to meet CASA’s obligations | |
| Initiative 2.1.1 | Positioning CASA as an organisation that attracts and retains qualified, high performing and engaged staff through the implementation of the strategic workforce plan |
| Measure | Implementing the first stage of workforce productivity improvements (by 30 June 2014) and defining and implementing the second phase (by 31 December 2014) |
| Result ✓ ✓ ✓ |
Implementation of the workforce productivity improvements has been completed. All second stage outcomes have been finalised and the Workforce Productivity Review Committee has been closed. |
| Measure | Preparing for, and negotiating with, CASA unions for the next enterprise agreement |
| Result ✓ ✓ ✓ |
CASA worked with the Australian Public Service Commission (APSC) to finalise the bargaining position for the next enterprise agreement, including costings. The APSC approved CASA’s bargaining position and provided it to the Department of Finance for review. The Department sought and was provided with further information on CASA’s budgetary position over the life of the proposed enterprise agreement. Bargaining on non-remuneration matters commenced on 17 December 2014 and continued on 11–12 February 2015. At union request, further meetings have been deferred until CASA’s bargaining proposal is confirmed. Separate meetings were held with affected unions on related matters on 10 April and 4 June 2015. CASA commenced discussions with the unions on their log of claims and key activities to streamline the enterprise agreement in line with the Australian Government Public Sector Workplace Bargaining Policy. |
| Measure | Implementing and embedding a succession plan program (by December 2015) |
| Result ✓ ✓ ✓ |
High-performing and high-potential managers and staff will be identified for targeted development activity by December 2015. Five per cent of senior managers will be in active leadership and management development programs by December 2015. Planning for this work has commenced and implementation is on track. |
| Initiative 2.1.2 | Aligning management development with capability requirements |
| Measure | Developing and implementing additional general legal and regulatory awareness education for all relevant managers |
| Result ✓ ✓ ✓ |
Legal orientation and administrative law decision-making courses are available to all managers. |
| Measure | Designing and implementing targeted management development for CASA managers (by June 2015) |
| Result ✓ ✓ |
This program of work has been delayed pending the outcomes of the functional review. It is now planned to be delivered in the second quarter of 2015–16. |
| Initiative 2.1.3 | Continuing to develop CASA’s workforce capabilities in the areas of governance, management and leadership |
| Measure | Establishing a people committee to provide guidance on strategic people matters (by August 2014) |
| Result ✓ ✓ ✓ |
A People Committee was established with terms of reference approved by the Director of Aviation Safety. Once CASA’s functional review has been completed and endorsed, a full review of CASA’s governance committees will be undertaken. |
| Measure | Completing the people capability framework and commencing implementation (by December 2014) |
| Result ✓ ✓ ✓ |
The people capability framework was approved and implementation commenced. |
| Initiative 2.1.4 | Developing a comprehensive performance management scheme |
| Measure | Reviewing the outcomes of the SMG performance assessment trial (by August 2014) |
| Result ✓ ✓ ✓ |
A review of the outcomes of the trial program was completed in October 2014. |
| Measure | Revising and implementing the SMG performance framework (December 2014) |
| Result ✓ ✓ |
Recommendations for the Senior Management Group performance framework were made in January 2015. Implementation has been delayed pending the outcomes of the functional review, and is now planned for the second quarter of 2015–16. |
| Initiative 2.1.5 | Developing a workforce that understands CASA’s obligations and accountability on a whole-of-organisation basis |
| Measure | Continuously improving CASA’s induction, core mandatory inspector training and ongoing learning and development programs to facilitate the smooth assimilation of new staff into CASA |
| Result ✓ ✓ ✓ |
A new regulatory and technical training framework was endorsed by the Director of Aviation Safety. Defined regulatory and technical training pathways for 18 regulatory roles were developed, with endorsement from the accountable business areas. Changes to the foundation on-the-job training journals are complete and ready for rollout to new inspectorate staff from 1 July 2015. Foundation training was delivered in accordance with the new framework in June 2015. The new version of the orientation program was delivered in May 2015. Each future orientation program is scheduled to align with the delivery of foundation training for the inspectorate and technical staff, as identified in the regulatory and technical training framework. Enhancements of the internal learning management system, CLASS, have commenced and will continue in 2015–16, to establish consistency in the recording of training, including tracking enrolments and completions and reporting, and to establish standard operating procedures for business as usual activities. The following learning and development activities were conducted during 2014–15:
|
| Initiative 2.1.6 | Creating tools to support systematic and rigorous workforce planning |
| Measure | Consolidating workforce productivity improvements into resource planning and reporting (by October 2014) |
| Result ✓ ✓ ✓ |
Outcomes from the workforce productivity improvement process were consolidated in a revised establishment report. |
| Initiative 2.1.7 | Implement actions in response to areas of improvement identified in the 2013 staff engagement survey |
| Measure | Identifying key areas of improvement from the staff engagement survey (by July 2014) |
| Result ✓ ✓ ✓ |
CASA’s executive management team was briefed on the key areas for improvement arising from the staff engagement survey and options were developed to address those matters. Recommendations drawn from the focus group studies were put to the executive team for consideration on 12 December 2014. |
| Measure | Conducting focus groups and staff sessions to establish specific recommendations and developing an action plan (by September 2014) |
| Result ✓ ✓ ✓ |
Focus groups and staff sessions were conducted and an action plan was developed to address each of the key areas. |
| Measure | Implementing the approved action plan (by June 2015) |
| Result ✓ ✓ |
The majority of the approval action plans were completed. There are three elements that will not be fully completed until 30 September 2015:
|
| STRATEGY 2.2 | |
|---|---|
| Continuously improve the consistent and efficient delivery of operational activities, regulatory services and other support functions | |
| Initiative 2.2.1 | Further developing quality assurance as part of continuous improvement |
| Measure | Implementing a suitable electronic capability to capture and track tasks and action items across CASA |
| Result ✓ ✓ ✓ |
The Microsoft SharePoint 2013 platform was accepted in the second quarter of 2014 as the appropriate technology platform for workflow capabilities. Regulatory Application Processing System service capability was added to the SharePoint platform in August 2014. The Enterprise Project Management system, which went live in July 2014, also uses the platform. The Microsoft Dynamics CRM – SharePoint platform is being used by several projects that will enable tracking of tasks and action items. These projects are scheduled to deliver capability towards the end of 2015. |
| Measure | Implementing an enforcement case management capability (by December 2015) |
| Result ✓ ✓ ✓ |
The enforcement case management software project was approved and commenced in February 2015. |
| Measure | Reviewing better practice models for the central coordination of Quality Assurance to enhance delivery of consistent and standardised practices across CASA (by October 2014) |
| Result ✓ ✓ ✓ |
A review of better practice models for the central coordination of quality assurance commenced in July 2014. The quality assurance policy and framework were both reviewed and republished in December 2014. Outcomes from the CASA-wide functional review will incorporate the quality assurance function, to assist in enhancing continuous improvement across CASA, and will be implemented from 2015–16. |
| Measure | Reviewing and updating Procurement manual (by September 2014) |
| Result ✓ ✓ ✓ |
The review was completed and the manual was redrafted in September 2014. |
| Initiative 2.2.2 | Developing a long-term funding strategy to provide a framework for financial sustainability for CASA |
| Measure | Working with the Department of Infrastructure and Regional Development on the timely preparation of the next long-term funding strategy (by June 2015) |
| Result ✓ ✓ ✓ |
CASA has been working with the Department to review CASA’s funding arrangements with a view to the matter being considered in the 2016–17 Budget context to ensure CASA has consistent and stable long-term funding available to undertake its ongoing safety-related functions. |
| Initiative 2.2.3 | Improving information technology business processes |
| Measure | Implementing CASA’s new regulatory database system covering licensing, registration, exams and organisational approvals (by December 2015) |
| Result ✓ ✓ ✓ |
The Aviation Information Management System (AiMS) project deployed the required functionality in the European Aviation Processing (EAP) system to enable the decommissioning of the previous database system, AIRS, on 1 July 2015. All EAP modules have now been implemented; these are the Central Module, Organisational Approval and Surveillance, Licencing and Type Certification and Aircraft Registration modules. EAP is now CASA’s main repository and data source for details of individuals, organisations, aircraft and aerodromes, as well as all civil aviation authorisations issued by CASA, including licences, permissions, certificates and registrations. During the period from July 2015 to December 2015, the AiMS project team will further develop EAP functionality and configure EAP to align with new Parts of the Civil Aviation Safety Regulations. |
| Measure | Implementing new medical records system (by February 2015) |
| Result ✓ ✓ |
The schedule for implementing the new medical records system is under revision because of delays associated with the reworking of existing code and the recruitment of contractors. Implementation is expected to commence in the third quarter of 2015–16. |
| Initiative 2.2.4 | Establishing a standardised and consistent practice for the processing of all regulatory service applications, utilising a single service centre to improve the applicant service experience |
| Measure | Continuing the progressive and timely transfer of regulatory service processing activities to the Permissions Application Centre, subsequent to the upgrade and/or replacement of existing systems |
| Result ✓ ✓ ✓ |
Transfer of processing activities to the Permissions Application Centre progressed effectively in line with the delivery of EAP modules and online services. |
| Measure | Delivering the EAP online services module (by December 2014) |
| Result ✓ ✓ |
The online services project closed on 30 June 2015, having:
Since the launch of the CASA Self Service portal in February 2015, 4,448 industry participants have registered to use the new online service. The following project deliverables were delayed and will be delivered by 31 December 2015 through business as usual activities:
|
| Measure | Completing EAP implementation (by December 2015) |
| Result ✓ ✓ ✓ |
The EAP implementation project is on track for completion by 31 December 2015. |
| Initiative 2.2.5 | Implementing policies and controls in support of government guidelines and best practices for ICT Information Technology Infrastructure Library |
| Measure | Completing implementation of the ICT Information Technology Infrastructure Library (by July 2014) |
| Result ✓ ✓ ✓ |
Six processes for the library were piloted and implemented. They are Change Management; Release and Deployment Management; Service Catalogue Management; Service Asset and Configuration Management; Service Level Management; and Problem Management. |
| Initiative 2.2.6 | Review of compliance with government IT and information strategies |
| Measure | Reviewing strategies to maximise benefits and conformance with digital government policies (by December 2014) |
| Result ✓ ✓ ✓ |
A draft information and communications technology (ICT) strategic plan was developed in conformance with the Government’s digital business policies. Once the supporting strategy has been approved and integrated, the plan will be finalised. This is expected to be achieved by 30 August 2015. CASA monitors compliance with current government information policies and strategies such as the Digital Service Standard, accessibility standards, and the Digital Transition Policy (National Archives of Australia). CASA developed a Digital Transition Strategy in 2014 and continually reviews it to ensure that it remains current. CASA is improving its accessibility standards to support digital services delivery and has implemented an accessibility roadmap on its website. CASA reports through the National Archives of Australia digital check-up process and has been noted as a high-performing agency by the National Archives. The CASA Information Management Manual and work instructions are reviewed and updated at least six monthly to ensure conformance with government policy. |
| Initiative 2.2.7 | Workforce productivity review committee established to consider management initiated structural change, to develop options for making CASA more efficient and productive |
| Measure | Establishing a committee to develop and implement options to improve workforce productivity within CASA (May to December 2014) |
| Result ✓ ✓ ✓ |
The Workforce Productivity Review Committee completed its charter by finalising the targeted outcomes during the reporting period. CASA has received the final reports on the reviews of the Finance and AvMed functions, and progressed the enhancement of certificate management team arrangements. |
| Initiative 2.2.8 | Rationalising the current corporate applications portfolio by mapping extant ICT capabilities against business processes |
| Measure | Reviewing and rationalising the number of IT business applications (by August 2014) |
| Result ✓ ✓ ✓ |
The Airworthiness Directives Workflow, Workflow Management System and Cyber Exams applications were decommissioned and the data were successfully migrated to the HP Records Manager application. Decommissioning of the AIRS information management system was completed on 30 June 2015. AIRS was a significant and complex system which had many interfaces with other applications. |
| Initiative 2.2.9 | Reviewing IT strategic direction |
| Measure | Establishing an IT governance committee |
| Result ✓ ✓ ✓ |
The IT Governance Committee was formed and formally approved terms of reference were established. The committee met four times during the year. |
| Measure | Reviewing and reporting on progress against the IT strategic roadmap on a monthly basis |
| Result ✓ ✓ ✓ |
Information on the progress of the ICT strategic roadmap was reported to the Executive Manager, Corporate Services on a monthly basis. |
| Initiative 2.2.10 | Exploring detailed review/analysis of options and requirements for increasing mobility of CASA workforce |
| Measure | Implementing the approved IT mobility solution (by August 2014) |
| Result ✓ ✓ ✓ |
Mobility devices were issued to nominated staff as outlined in the approved mobility solution strategy. |
| Measure | Developing additional mobile applications to support Inspectors’ tasking in the field |
| Result ✓ ✓ ✓ |
Aligned to the mobility solution strategy, in August 2014 the rollout of mobility devices to nominated staff was completed across the inspectorate. All inspectors in the Operations Division have been issued iPads. The development of updates and broader capability is ongoing within continuous improvement programs. CASA is enhancing its suite of mobile application offerings to support its inspectors in the field. In 2015–16, this will include the introduction of capabilities such as virtualised desktop infrastructure, electronic flight bags, navigation applications and mobile printing. |
| Initiative 2.2.11 | Enhancing a knowledge and information management system that allows CASA to further refine its evidence-based, decision-making capability |
| Measure | Developing a data quality framework (by September 2014) and propose options for its implementation (by April 2015) |
| Result ✓ ✓ ✓ |
The data quality framework was completed, the implementation options were accepted and the project was finalised. Continuous improvement mechanisms have been put in place to ensure ongoing data quality. |
| Measure | Reviewing key internal business reports and automating their production and increasing their usability |
| Result ✓ ✓ ✓ |
CASA improved the usability of internal business reports through a range of techniques, including by providing better visualisations of information such as graphs, charts and historical trends; consolidating existing reports; and improving the capacity for users to define a range of parameters. Senate Estimates reports, service level reports and internal service centre reports have been automated to significantly reduce the personnel time and effort required to process them. Further reports are being automated as a business as usual capability. Daily occurrence notifications from the ATSB and Airservices are now distributed automatically to interested CASA business units, tailored to focus on occurrences of relevance to the business unit. Scheduled reporting has been implemented, and automated reports are regularly delivered to end users via email. A mobile business reporting capability has been implemented, with business intelligence reports available on a secure platform delivered to iPads for mobile users. A new mobile inspectorate search tool has been developed and made available via CASA devices to ensure that approved staff have immediate access anywhere, anytime to core information on operators, occurrences, aircraft and permissions. |
| Initiative 2.2.12 | Development and implementation of online services for the application and payment of regulatory services |
| Measure | Completing development of the CASA online services portal to further enhance service delivery (by December 2014) |
| Result ✓ ✓ |
Since the launch of the CASA Self Service portal in February 2015, 4,448 industry participants have registered to use online services. The CASA Self Service facility can be used by licensed engineers, air traffic controllers and ground handling personnel. Registration allows users to submit and track a range of service requests relating to their licences, including payment advice for licence reports and the authority to release licence information. CASA may expand the facility over time to include additional services if required. The online services project closed on 30 June 2015. |
| Measure | Completing development and implementing the CASA EAP online services module to further enhance service delivery (by June 2015) |
| Result ✓ |
In conjunction with the software vendor (EMPIC), CASA investigated opportunities for enhancing CASA’s current payment gateway. A solution to enhance the existing payment gateway was not implemented, because EMPIC was unable to develop enhancements in addition to completing higher priority work to enable the decommissioning of AIRS. The existing payment system is functional, and enhancements are expected to be available in 2015–16. |
| Measure | Implementing the first two online services (by September 2014) and staged development and release of additional services over the next year |
| Result ✓ ✓ ✓ |
EAP Online Services was launched on 27 February 2015, providing the following online services:
Since the release of EAP Online Services there have been 4,448 industry participant registrations. |
| Measure | Allowing access for pilots to online medicals to initiate medical examination (by June 2015) |
| Result ✓ |
The schedule for implementing the new medical records system, including online access for pilots, is under revision because of delays associated with the reworking of existing code and the recruitment of contractors. Implementation is expected to commence in the third quarter of 2015–16. |
| Initiative 2.2.13 | Implementing medical certificate issue at designated aviation medical examiners (DAMEs) office level |
| Measure | Allowing all DAMEs with internet access the facility to provide medical certificates to the applicant at the time of medical examination (by June 2015) |
| Result ✓ ✓ ✓ |
All DAMEs with appropriate IT hardware and internet access can issue class 2 medical certificates. At 30 June 2015, 52 certificates had been issued by DAMEs. |
| Measure | Maintaining low level of complaints regarding service delivery for medical certificates |
| Result ✓ ✓ ✓ |
Twenty-five complaints were received in 2014–15, a significant improvement on the result of 67 complaints in 2013–14. Twelve of the complaints were sent directly to the Industry Complaints Commissioner. |
| Initiative 2.2.14 | Improving the CASA website to more efficiently deliver services to the wider aviation community |
| Measure | Establishing program to upgrade CASA’s internal and external websites (by July 2015) |
| Result ✓ ✓ |
The request for tender process for the internet/intranet upgrade was completed. Contract negotiations with the preferred tenderer are on hold while CASA investigates the impact of the recent release of the whole-of-government internet platform, govCMS. The preferred solution is being reappraised, following the release of govCMS and revised government policies. Activities are underway to prepare existing content for migration to a new internet platform and to stabilise the existing content. The stabilisation is planned for completion by July 2015, with further redevelopment continuing to 2016. |
| STRATEGY 2.3 | |
|---|---|
| Ensure clearly defined lines of accountability, responsibility and authority across the organisation | |
| Initiative 2.3.1 | Implementing mature risk management practices via enterprise-wide communication, promotion and education programs |
| Measure | Maintaining CASA’s high-level rating in the annual Comcover risk management benchmarking survey |
| Result ✓ ✓ ✓ |
CASA reviewed the outcomes from the previous Comcover risk management benchmarking survey and identified areas of focus for 2014–15. CASA succeeded in achieving its performance target, and was identified as the leading Commonwealth entity in enterprise-wide risk management and the only Commonwealth entity to attain the highest achievable maturity level, ‘Optimal’. |
| Measure | Delivering in-house risk management training on all relevant CASA training programs |
| Result ✓ ✓ ✓ |
CASA’s risk management training program was successfully delivered in accordance with the schedule through to June 2015. |
| Measure | Developing targeted risk management e-learning modules for the inspectorate (by January 2015) |
| Result ✓ ✓ ✓ |
Risk management e-learning modules were delivered to support Sky Sentinel and the CASA Surveillance Manual. |
| Measure | Reviewing and updating the CASA risk management framework (by December 2014) |
| Result ✓ ✓ ✓ |
The review of CASA’s risk management framework was completed in December 2014 to ensure full alignment with the Commonwealth Risk Management Policy. The updated framework was published in January 2015. |
| Initiative 2.3.2 | Providing an accessible, transparent and rigorous complaint-handling system |
| Measure | Working collaboratively with the other government aviation complaint handlers to improve access to complaint-handling channels and streamline the resolution process |
| Result ✓ ✓ ✓ |
The Government Aviation Complaint Handling Group met regularly throughout 2014–15 to improve the resolution process. |
| Measure | Acknowledging all complaints within one working day |
| Result ✓ ✓ ✓ |
All complaints to the Industry Complaints Commissioner were acknowledged within one working day. |
| Initiative 2.3.3 | Improving governance, oversight and reporting of business change initiatives, programs and projects |
| Measure | Enhancing CASA’s change and project management tool set and reporting capability |
| Result ✓ ✓ ✓ |
Ongoing enhancement of the Enterprise Project Management toolset continued to improve CASA’s capability for oversight and reporting. A number of enhancements of the Enterprise Project Management system were implemented, including a weekly initiatives report which provides a summary of the status of all CASA’s change initiatives currently underway. The report has provided benefits by improving the understanding and communication of change initiatives and projects among internal stakeholders. CASA also focused on improving the usability of the interdependency management functionality. This increases the visibility of the key linkages between interdependent projects, enabling improved decision-making and prioritisation of activities. At the end of 2014–15, CASA was developing enhancements for the project status report, benefits management reporting, and interdependency and portfolio summary reports. |
| Initiative 2.3.4 | Reviewing, refining, and raising awareness of the Governance Framework |
| Measure | Updating the Governance Framework biannually with Board endorsement in December each year |
| Result ✓ ✓ ✓ |
The Governance Framework was updated to incorporate the changes which came into effect through the introduction of the Public Governance, Performance and Accountability Act 2013 and the consequential amendments to the Civil Aviation Act 1988. All amendments to the framework were endorsed by the Board at its December 2014 meeting. |
| Measure | Promoting the Governance Framework and its purpose to staff |
| Result ✓ ✓ ✓ |
The updated Governance Framework was promoted through CASA’s internal newsletter and ongoing information sessions with the executive management team. |
| Initiative 2.3.5 | Reviewing and enhancing awareness, prevention, detection, and enforcement with respect to Conflict of Interest, Code of Conduct and Fraud |
| Measure | Reviewing and updating, as necessary, the CASA fraud control plan (by November 2014) |
| Result ✓ ✓ ✓ |
The fraud control plan was reviewed and updated in September 2014. The CASA Board approved the new plan on 12 December 2014. |
| Measure | Undertaking an annual review of the key people policies including the Code of Conduct policy (by December 2014) |
| Result ✓ ✓ ✓ |
CASA completed a review of the Code of Conduct policy and procedural documentation, with particular emphasis on ensuring compliance with the Public Interest Disclosure Act 2013. |
| Initiative 2.3.6 | Providing appropriate support to CASA’s decision-making executive through the establishment and review of regular committees and forums |
| Measure | Establishing an executive management forum with operational guidelines (by August 2014) |
| Result ✓ ✓ ✓ |
The Executive Management Committee was established, with approved terms of reference. |
| Measure | Reviewing current committee governance structures and associated terms of reference (by September 2014) |
| Result ✓ ✓ ✓ |
The committee governance structure was reviewed in detail and a revised structure was approved. Terms of reference for the respective committees were finalised. |
Looking forward
- The change management program resulting from the functional review process is expected to bring a period of uncertainty and transition as new arrangements come into effect.
- To maintain a skilled and capable workforce with the capacity to efficiently deliver aviation safety regulations, CASA will seek to attract and retain suitable personnel to fill vacant critical roles in an effective and timely manner. This activity will be supported by:
- developing studies into possible exchange programs between CASA, other domestic and international regulatory bodies, and industry
- expanding and supporting the field of candidates by developing international recruitment programs
- introducing an alumni program to provide short-term technical capabilities as required.
- CASA will focus on aligning information and communications technology (ICT) governance and strategy frameworks to deliver an efficient and functional ICT platform to meet the emerging demands of industry. This work will include future-proofing CASA’s internet and intranet capabilities to enhance existing communication and principal service delivery channels, as well as leveraging whole-of-government services where possible.
- System controls and security will be enhanced through the application of the Protective Security Policy Framework, as identified in the Australian Signals Directorate’s Information Security Manual. This work will be undertaken over the next two years to ensure that CASA is fully compliant.
- CASA’s corporate key performance indicators and associated performance measures will be evaluated annually, for further development, refinement, removal or replacement as necessary.
Corporate goal 3: Effective and appropriate relationships with the wider aviation community
Of the 38 measures for this goal, 97 per cent were assessed as completed, on track or ongoing, and 3 per cent were substantially completed.
Since 2011–12, CASA has achieved an averaged performance result of 97 per cent of targets met for Goal 3. This year’s performance is in keeping with CASA’s consistently high record of achievement against the measures in place for this goal.
Key achievements
- The updated safety management systems resource kit was released in March 2015. Eight national workshops were held to support the aviation industry’s adoption of safety management systems.
- CASA participated in the International Civil Aviation Organization’s Second High-level Safety Conference, held in Montreal, Canada, in February 2015. The conference focused on global tracking of aircraft; flights over conflict zones; implementation of the Global Aviation Safety Plan; and the appropriate use, protection and sharing of safety information.
- A wide range of communication activities, workshops, information sheets and other guidance material was delivered to support industry participants, across the topics of flight crew licensing, communication, navigation, surveillance and air traffic management, maintenance and operations regulations, and aeronautical information management.
| STRATEGY 3.1 | |
|---|---|
| Maintain constructive working relationships with the Government and other agencies | |
| Initiative 3.1.1 | Maintaining sound working relationships with the office of the Deputy Prime Minister/Minister for Infrastructure and Regional Development |
| Measure | Providing accurate information and advice on key aviation safety regulatory issues, in accordance with agreed timeframes |
| Result ✓ ✓ ✓ |
CASA provided accurate information to the Deputy Prime Minister’s Office (DPMO) in accordance with agreed timeframes. CASA maintains a good working relationship with the DPMO by liaising with the Department of Infrastructure and Regional Development regularly and with the DPMO directly as required. |
| Initiative 3.1.2 | Maintaining sound working relationships with the Department of Infrastructure and Regional Development |
| Measure | Continuing to liaise with the Department of Infrastructure and Regional Development and work collaboratively on all matters of mutual interest |
| Result ✓ ✓ ✓ |
CASA was in regular contact with the Department’s staff on matters of mutual interest. |
| Initiative 3.1.3 | Maintaining sound working relationships with other Australian Government agencies |
| Measure | Conducting regular executive meetings between CASA and the Australian Transport Safety Bureau to achieve the objectives stated in the memorandum of understanding |
| Result ✓ ✓ ✓ |
CASA attended the Joint Agency Aviation Safety Analysis Coordination Group meeting in March 2015. Members of the group include the Australian Transport Safety Bureau (ATSB), CASA, Airservices, the Department of Defence and the Bureau of Infrastructure, Transport and Regional Economics. CASA and the ATSB also met in June and December 2014 and again in June 2015 to exchange views and liaise about safety issues of mutual interest in accordance with the requirements of the memorandum of understanding between the two agencies. |
| Measure | Conducting regular safety meetings with Airservices Australia |
| Result ✓ ✓ ✓ |
CASA participated in meetings with Airservices and the Department of Infrastructure and Regional Development to discuss a range of technical, operational, strategic and other matters. Meetings were between different levels of staff as appropriate to the subject matter, from the Director of Aviation Safety to technical subject matter experts. A program of quarterly safety meetings in relation to the air traffic services and aviation rescue and firefighting regulations was established between CASA and Airservices. |
| Measure | Engaging with Government agencies through the Aviation Policy Group and Aviation Implementation Group |
| Result ✓ ✓ ✓ |
CASA attended Aviation Implementation Group meetings on 20 August 2014, 12 November 2014, 11 February 2015 and 2 June 2015, and Aviation Policy Group meetings on 10 September 2014, 4 December 2014, 5 March 2015 and 19 June 2015. |
| Measure | Maintaining appropriate executive-level participation in, and providing advice to, the Aviation Policy Group and Aviation Implementation Group |
| Result ✓ ✓ ✓ |
CASA executives engaged with portfolio stakeholders at Aviation Implementation Group and Aviation Policy Group meetings in 2014–15. |
| Measure | Providing accurate and timely advice to other Government agencies as required, such as the Department of Finance, Bureau of Meteorology, Australian Maritime Safety Authority, Department of Defence and the Australian Public Service Commission and working collaboratively as required |
| Result ✓ ✓ ✓ |
CASA liaised with a number of Commonwealth and state government agencies and provided accurate information and advice as required, within agreed timeframes. |
| STRATEGY 3.2 | |
|---|---|
| Encourage a greater acceptance by the aviation industry of its obligations to maintain high standards of aviation safety | |
| Initiative 3.2.1 | Providing comprehensive safety education and training programs |
| Measure | Extending the use of e-learning and blended learning initiatives |
| Result ✓ ✓ ✓ |
The use of e-learning and blended learning initiatives is now part of the analysis and design aspects of creating learning solutions within CASA. A draft mobile learning strategy is currently under review to support future learning initiatives using mobile devices. The following e-learning modules were made available to staff in 2014–15:
|
| Measure | Continuing to promote educational and training material to industry through CASA’s learning management system for industry and the Authorised Person Professional Development Program |
| Result ✓ ✓ ✓ |
CASA delivered and enhanced training and educational material for industry. AviationWorx, CASA’s external learning management system, allows people in the aviation industry to access e-learning and register for seminars and workshops. The e-learning modules available to industry are:
People in the aviation industry and members of the general public can register to attend Aviation Safety Seminars through AviationWorx. In 2014–15, the Aviation Safety Seminar program included promotion of CASA’s educational and training products. Live demonstrations were held to help familiarise the aviation community with the products. |
| Initiative 3.2.2 | Fostering an awareness of the importance of aviation safety and compliance with the regulations, in industry management and the wider aviation community |
| Measure | Continuing to provide educational and communications campaigns to the wider aviation community to increase awareness of and compliance with the regulations |
| Result ✓ ✓ ✓ |
Communication strategies for CASA programs in 2014–15 included targeted advertising campaigns for dangerous goods, sport aviation and the revised edition of the guide for Visual Flight Rules pilots. At the Australian and New Zealand Societies of Air Safety Investigators annual seminar held in Auckland, New Zealand, in June 2015, CASA presented a paper that was well received by the audience of approximately 100 delegates. The paper explored the challenges of communicating safety information effectively in the digital age, and examined CASA’s key safety promotion communication campaigns and products and the methods CASA uses to develop and implement them and evaluate their effectiveness. CASA also participated in and exhibited at the Aerial Agricultural Association of Australia annual conference held in Queenstown, New Zealand, in June and July 2015. CASA aviation safety advisors conducted on-site visits to the majority of certificate holders (typically management personnel) around Australia during 2014–15. A total of 953 on-site visits were conducted, with 1,145 attendees. |
| Initiative 3.2.3 | Expanding the range of communication channels for promotional and educational programs, using digital delivery capability |
| Measure | Continuing to develop user-friendly applications and interactive multimedia products to maximise access and delivery to our target audiences |
| Result ✓ ✓ ✓ |
The CASA Facebook page went live in April 2015 and acquired approximately 4,900 followers by 30 June 2015, with shares, likes and comments on CASA safety messages helping to reach a total of 147,551 subscribers. The page has become pivotal in driving readership to Flight Safety Australia, generating twice as many referrals as search engines and more than five times as many as the CASA web page. The May–June issue of Flight Safety Australia went live in early May, with a feature article focusing on the human–machine interface and following the results of the human factors/loss-of-control accidents workshop. To support the new Civil Aviation Order 48.1, a video for managing fatigue is being produced. The video will include interviews with specialists from Central Queensland University and RMIT University as well as a number of helicopter operators transitioning to the new rules. Topics such as human factors, sleep disorders and the effects of shiftwork on the body will be covered. |
| Initiative 3.2.4 | Building capacity to support the adoption of safety management systems in the aviation industry |
| Measure | Continuing to develop and publish guidance material to enable effective implementation of safety management systems, especially for small organisations |
| Result ✓ ✓ ✓ |
A national series of safety management system (SMS) workshops commenced in April 2015. Eight workshops were conducted, for a total of 245 industry stakeholders, during 2014–15. Feedback on the workshops was positive, with participants valuing the insights into setting up an SMS and organisations with an SMS appreciating the assistance provided in identifying gaps in their existing system. Two CASA staff members attended a two-day SMS safety coordinators’ course delivered by the Civil Aviation Authority of New Zealand in Taupo in June 2015. Their experience will inform the development of a proposed CASA safety officers’ course for industry. |
| Initiative 3.2.5 | Education and promotion with regard to implementation of new regulations |
| Measure | Developing communication, promotional and educational campaigns to enhance industry awareness and understanding of the new regulations |
| Result ✓ ✓ ✓ |
Flight crew licensing
A total of 23 licensing information sheets are published on the CASA website, and another is in development. The new information sheets cover a range of topics, such as the transition rules, general competency and instrument ratings. Licensing-related instruments and exemptions were published on a dedicated page on the CASA website and were supported by Twitter updates and emails to CASA mailing list subscribers. A summary of activities being undertaken as part of the flight crew licensing and training regulations post-implementation review process were published online. A letter from the Director of Aviation Safety to all pilots and flying training organisations was sent in response to feedback provided on the regulations. CASA is also producing targeted communications for flying training organisations that were operating before the commencement of the new rules on 1 September 2014 in relation to transition, intentions to transition and submission of documents. Communication, navigation, surveillance and air traffic management CASA is using data provided by Airservices to target communications to operators about ongoing equipment mandates. Letters were sent to operators identified as conducting Instrument Flight Rules where no valid Automatic Dependent Surveillance – Broadcast (ADS-B) signal was received and to operators who are currently using the ADS-B exemption. CASA communicated with domestic and international flight planners, with further communication planned for relevant identified flying training organisations. Maintenance regulations New resources under development include information sheets on the topics of expositions for maintenance organisations, how to read your Part 66 licence, how to obtain a Part 66 licence for small aircraft maintenance, new at-a-glance diagrams on options for obtaining a Part 66 licence and becoming a Part 147 maintenance training organisation, and a guide to resources on maintenance regulations. |
| Result ✓ ✓ ✓ |
Fatigue
In April 2015, CASA communicated to staff and industry to remind them that from 30 April 2015 there would be only 12 months left in which to comply with the new fatigue management rules. Activities included:
Short video case studies to encourage industry transition to the new rules are under development. Operations regulations A communication strategy for Part 129 (foreign air transport operators) was developed in 2014–15 and will be available for use when the regulations are made. Draft communication approaches for other new operations regulations have been developed and will be reviewed when the regulations are finalised. Part 175 (aeronautical information management) CASA works closely with Airservices to develop joint communications where appropriate. Activities during 2014–15 included a joint communication to industry (560 stakeholders) about Part 175, to remind them of the changing rules, clarify the roles of Airservices and CASA, and provide accurate contact points for enquiries. CASA also supports Airservices in developing communication materials such as FAQs and web content. |
| Measure | Conducting a program of targeted face-to-face industry engagement in support of the new regulations |
| Result ✓ ✓ ✓ |
The following targeted industry workshops were conducted in major centres:
|
| Initiative 3.2.6 | Further develop industry stakeholder engagement capabilities |
| Measure | Developing a range of indicators of good performance in regard to engagement with industry and how to measure these indicators (by January 2015) |
| Result ✓ ✓ ✓ |
A range of indicators of good performance for engagement with industry and ways to measure those indicators were developed under the Corporate Plan 2015–16 to 2018–19. The performance indicators for stakeholder engagement were drawn from the Government’s Regulator Performance Framework and customised for CASA’s business requirements. An internal review of CASA’s stakeholder engagement and communications functions, services and channels was completed in March 2015 and provided recommendations for improving the draft stakeholder engagement policy and framework that were developed in December 2014. The final Stakeholder Engagement Policy was endorsed and launched in May 2015. An initial round of user testing was undertaken for the accompanying draft organisational communications and engagement services catalogue. A new draft stakeholder engagement framework has been produced as a manager’s guide. The guide and the services catalogue will be finalised in the first quarter of 2015–16 and launched as a toolkit. |
| Measure | Developing an internal performance indicator reporting scheme (by April 2015) |
| Result ✓ ✓ ✓ |
Performance measures were developed as part of the planning process for the Corporate Plan 2015–16 to 2018–19. |
| Measure | Conducting qualitative and quantitative research on how CASA can communicate more effectively with industry and identify a set of indicators to measure effectiveness of our activities in achieving our aviation safety goals |
| Result ✓ ✓ ✓ |
Colmar Brunton provided the market research report to CASA in February 2015. The report was distributed to CASA senior management and published on the intranet for all staff. The findings of the report have informed the development of CASA’s communication strategies. To address the Government’s response to the Aviation Safety Regulation Review’s recommendation that CASA conduct regular stakeholder surveys to measure the health of its relationship with industry, CASA selected a market research consultant to design and conduct a survey. The survey is scheduled to occur by December 2015. |
| Measure | Ensuring the sub-committee of executive management forum examines CASA’s range of stakeholders and progressively develops methodologies of engaging with each |
| Result ✓ ✓ ✓ |
The sub-committee met in July and August 2014. A new approach to stakeholder engagement and management was incorporated into CASA’s annual corporate, business and risk management planning processes as well as the new governance structure. |
| Initiative 3.2.7 | Assisting the Department of Infrastructure and Regional Development to address potential risks to aviation safety arising from inappropriate developments in the vicinity of aerodromes |
| Measure | Providing timely advice to the Department of Infrastructure and Regional Development regarding applications to permit intrusions into prescribed airspace (e.g. tall buildings) |
| Result ✓ ✓ ✓ |
CASA provided timely advice to the Department regarding a number of controlled activity applications. CASA accompanied the Department to meetings with stakeholders such as airport operators, application proponents and consultants. |
| Measure | Providing timely advice to the Department of Infrastructure and Regional Development regarding applications from airports for the declaration of prescribed airspace |
| Result ✓ ✓ ✓ |
CASA provided advice to Bankstown Airport regarding a draft final report prepared by consultants proposing declaration of prescribed airspace for Bankstown Airport. CASA provided advice to the Department regarding the final report prepared by Sydney Airport Corporation Limited proposing declaration of prescribed airspace for Sydney Airport. The Department has made a declaration of prescribed airspace for Sydney Airport. |
| Measure | Participating in and supporting the National Airports Safeguarding Advisory Group |
| Result ✓ ✓ ✓ |
CASA attended all meetings of the National Airports Safeguarding Advisory Group. The meetings took place in August 2014 and February 2015. |
| Measure | Participating in and providing timely advice to the joint agency Airspace Protection Taskforce |
| Result ✓ ✓ ✓ |
The Airspace Protection Taskforce did not meet in 2014–15. CASA has provided comments to the Department of Infrastructure and Regional Development on a draft policy paper on airspace protection in Australian aviation. |
| STRATEGY 3.3 | |
|---|---|
| Foster strong working relationships with the international aviation community | |
| Initiative 3.3.1 | Contributing to the achievement of aviation safety objectives through active membership of the International Civil Aviation Organization (ICAO) |
| Measure | Maintaining commitment to the memorandum of understanding between CASA, the Department of Infrastructure and Regional Development, and Airservices Australia, regarding the management of Australia’s ICAO responsibilities |
| Result ✓ ✓ ✓ |
CASA continued to contribute to Australia maintaining its status as a Member State of Chief Importance, by:
CASA attended the ICAO Second High-level Safety Conference held in Montreal, Canada, in February 2015. Items discussed at the conference included global flight tracking, flights over conflict zones, implementation of the Global Aviation Safety Plan, and the use and protection of safety information. |
| Measure | Maintaining appropriate participation in ICAO panels and working groups |
| Result ✓ ✓ ✓ |
In accordance with the memorandum of understanding between CASA, Airservices and the Department, CASA currently serves on more than 20 ICAO panels, task forces and study groups. CASA’s participation in 2014–15 included active involvement in the fourth meeting of the ICAO Regional Aviation Safety Group – Asia and Pacific Regions, held in Hong Kong, China, in November 2014, which resulted in 23 decisions designed to lead to improved safety outcomes for the region. CASA also participated in the first meeting of the newly constituted Remotely Piloted Aircraft Systems Panel, held in Montreal, Canada, from 15 to 21 November 2014, and the Next Generation of Aviation Professionals Symposium, held in Montreal from 3 to 4 December 2014. |
| Initiative 3.3.2 | Contributing to the establishment of bilateral aviation safety arrangements with other countries and national aviation authorities |
| Measure | Demonstrating progress in the establishment of appropriate mutual recognition arrangements, including bilateral aviation safety arrangements with key international partners |
| Result ✓ ✓ ✓ |
CASA continues to make progress in the establishment of bilateral aviation safety arrangements that benefit industry by reducing the duplication of the airworthiness certification process when exporting to another country. In addition, CASA has sought opportunities to advance bilateral aviation safety agreements and technical arrangements on maintenance, flight simulators and other aspects of aviation safety where they will result in expanded opportunities for industry and reduce regulatory duplication. Hong Kong – CASA and the Hong Kong Civil Aviation Department have finalised a technical arrangement on airworthiness certification and expect to sign the arrangement in the second half of 2015. New Zealand – CASA and the Civil Aviation Authority of New Zealand met in November 2014 to begin negotiations towards a memorandum of understanding on aviation safety cooperation. Discussions will initially focus on aviation maintenance, followed potentially by airworthiness certification. Singapore – CASA and the Civil Aviation Authority of Singapore are negotiating the framework of an arrangement on flight simulation training devices that will sit beneath the memorandum of understanding currently in place between the two authorities. Negotiations are expected to advance in the final quarter of 2014–15. |
| Initiative 3.3.3 | Contributing to Australia’s engagement in the region through participation in a range of aviation forums and relevant assistance programs |
| Measure | Undertaking approved activities with Indonesian counterparts through the Indonesia Transport Safety Assistance Package to enhance Indonesia’s aviation safety oversight capacity |
| Result ✓ ✓ ✓ |
CASA participated in the 15th Project Review Group (PRG) meeting, held in Jakarta in October 2014, and the 16th PRG meeting, held on the Gold Coast in June 2015, to present and review the progress of all activities under the Indonesia Transport Safety Assistance Package. At the 16th PRG, Indonesia’s Directorate General of Civil Aviation (DGCA) and CASA reported that the last year had seen changes in leadership in both agencies, and the appointment of a new minister in Indonesia with strong views on where Indonesia should sit in global aviation. Combined with a number of challenges in aviation globally and regionally, DGCA senior management was heavily engaged with recent United States Federal Aviation Administration and ICAO audit processes and changes in government regulations. Successful work during the year included the oversight of aviation rescue and firefighting services; attendance at an ICAO legal seminar in Korea; and the development of recommendations on the regulatory oversight of AirNav Indonesia. CASA is continuing to progress work with the DGCA in areas including safety management systems, human factors, the development of a key personnel handbook for air operator certificate holders, and the development of a mobile and tablet application for the Annex 14 Manual of Standards. |
| Measure | Maintaining active engagement with Asia Pacific regulatory counterparts, including through CASA’s role as technical adviser to the Departmental Australian Council Representative to the Pacific Aviation Safety Office (PASO) |
| Result ✓ ✓ ✓ |
CASA continues to act as technical adviser to the Departmental Australian Council Representative to PASO. CASA attended the most recent PASO annual general meeting, in March 2015. Through this role, CASA is playing an important part in shaping PASO’s forward work schedule. |
| Measure | Providing capacity-building assistance to Papua New Guinea, in line with the PNG–Australia memorandum of understanding on cooperation in the transport sector |
| Result ✓ ✓ |
An agency support arrangement was signed by the Civil Aviation Safety Authority of Papua New Guinea and the Australian High Commission in Port Moresby in May 2015. CASA submitted activity statements for two capacity-building activities in Papua New Guinea, following consultation with the Department of Infrastructure and Regional Development on corporate mentoring and development and annual joint safety conferences. |
| Measure | Continuing to participate in ICAO regional safety and technical groups as appropriate |
| Result ✓ ✓ ✓ |
CASA supported ICAO’s Asia and Pacific Office in producing the Asia and Pacific Region 2014 Annual Safety Report. The report was released in late 2014. CASA attended the Asia Pacific Regional Aviation Safety Team meeting in April 2015, which focused on assisting with State Safety programs and safety management systems in the region. |
| Measure | Offering appropriate regulatory education, training assistance, and advice, in support of Australia’s engagement in the region, and beyond if appropriate |
| Result ✓ ✓ ✓ |
CASA provided information and resources to its counterparts in the region. This included sharing an example of CASA’s on-the-job training journal with the Civil Aviation Authority of New Zealand, and preparing an overview of CASA’s Regulatory and Technical Framework to be shared with authorities in Thailand and Vietnam. CASA also welcomed representatives from civil aviation regulators and research institutes, including from Japan, the United Arab Emirates and the United States. |
| STRATEGY 3.4 | |
|---|---|
| Promote broad and effective consultation and communication with the wider aviation community on aviation safety issues | |
| Initiative 3.4.1 | Enhancing CASA’s relationship with the wider aviation community |
| Measure | Developing and implementing CASA Stakeholder Engagement Policy and look for ways to make continuous improvements to stakeholder engagement |
| Result ✓ ✓ ✓ |
The Stakeholder Engagement Policy was launched in May 2015. More information on CASA’s work to improve stakeholder engagement is provided in the results for Initiative 3.2.6. |
| Measure | Continuing to provide accurate and timely information to the wider aviation community on aviation safety issues, including making effective use of the news and social media to deliver key messages |
| Result ✓ ✓ ✓ |
By the end of 2014–15, CASA had:
|
| Measure | Conducting surveys of industry and the travelling public (by December 2014) |
| Result ✓ ✓ ✓ |
A survey of the travelling public, Public Attitudes to Aviation Safety, was completed in September 2014. |
| Measure | Engaging with industry when developing new processes for regulatory services under new rules and the introduction of online services |
| Result ✓ ✓ ✓ |
CASA conducted information sessions across Australia, attended by representatives of 68 flying schools and Civil Aviation Regulation 217 organisations, to discuss service delivery, online services and the draft application forms for CASR Parts 61, 141 and 142. Industry representatives expressed their appreciation of the opportunity to provide input and ask questions. |
| Initiative 3.4.2 | Exchanging information on important aviation safety matters and other relevant issues with the appropriate consultative groups |
| Measure | Working with consultative groups that appropriately represent the wider aviation community, including the Regional Aviation Safety Forum, Sports Aviation Safety Forum, Airspace Consultative Forum, Standards Consultative Committee, the Australian Strategic Air Traffic Management Group and Regional Airspace and Procedures Advisory Committees |
| Result ✓ ✓ ✓ |
The Regional Aviation Safety Forum met on 7 October 2014 and 19 March 2015. The meetings were attended by a number of industry representative organisations, including Recreational Aviation Australia, the Australian Licensed Aircraft Engineers Association and the Aerial Agricultural Association of Australia. The next meeting is scheduled for November 2015. Twenty-two Regional Airspace and Procedures Advisory Committee meetings were conducted during the year. Meetings were conducted in every capital city and selected regional centres, such as Cairns, Karratha, Kununurra and Townsville. The Airspace and Aerodrome Consultative Forum met on 5 September 2014 and the Standards Consultative Committee met on 31 March 2015. The Australian Strategic Air Traffic Management Group also met four times in 2014-15. The Sport Aviation Safety Forum met on 10 and 11 June 2015. |
| Measure | Resolving in a timely and effective manner action items arising from the above forums, including taking appropriate action on feedback from participants |
| Result ✓ ✓ ✓ |
Standards Consultative Committee actions are logged, assessed and completed in a timely manner. |
| Measure | Reviewing and providing recommendations on regulatory issues affecting activities and participants within the general aviation sector through the General Aviation Task Force |
| Result ✓ ✓ ✓ |
CASA provided advice on flight crew licensing and maintenance regulations through formal and informal meetings with industry. |
| Measure | Establishing and facilitating appropriate industry focus groups to address identified safety issues |
| Result ✓ ✓ |
Data collection and initial analysis for the aircraft proximity events component of the work of the Aircraft Separation Advisory Group was completed. CASA participated in national-level safety groups covering local runway safety and wildlife hazard matters. |
Looking forward
- CASA will work to finalise bilateral arrangements with overseas aviation safety regulators, covering matters such as airworthiness certification, maintenance and flight simulation training devices.
- While CASA has achieved a high performance score against this goal, it has been noted that CASA’s stakeholder engagement performance measures may not have effectively captured industry’s expectations. Consequently, performance indicators for 2015–16 have been refined and updated to more accurately reflect CASA’s engagement with, and impact on, the aviation industry.
- Industry stakeholder surveys will be developed as a tool to assist in measuring the health of CASA’s relationship with industry. To allow time for the new Director of Aviation Safety and Board to implement changes in accordance with the Minister’s Statement of Expectations, the first survey is expected to commence in late 2015.
- CASA will implement the relevant recommendations from the Government’s response to the Aviation Safety Regulation Review, including the development and implementation of a stakeholder engagement framework incorporating suitable performance measures to further develop industry stakeholder engagement capabilities.
- In consultation with the aviation industry, CASA will develop a mechanism to enable sharing of appropriate safety-sensitive information with the industry.
- CASA will prepare to take part in the 39th Assembly of the International Civil Aviation Organization, to be held in 2016.
CASA’s progress against the Government’s response to the Aviation Safety Regulation Review recommendations as at 30 June 2015
On 14 November 2013, the Deputy Prime Minister and Minister for Infrastructure and Regional Development announced that the Government had established an independent review of aviation safety regulation in Australia. The Aviation Safety Regulation Review (ASRR) report was released on 3 June 2014, and the Government released its response to the report on 3 December 2014.
The ASRR made 37 recommendations, of which the Government agreed to 32, suggested detailed examination of four and did not support one. Thirty-two of the 37 recommendations related to the functions and performance of CASA.
CASA’s implementation schedule for actions arising from the Government’s response to the ASRR has been embedded into the Corporate Plan 2015–16 to 2018–19, which was released on 31 July 2015. Progress against the Corporate Plan will be reported to the Minister for Infrastructure and Regional Development on a quarterly basis.
CASA has been progressing work related to all of the matters in accordance with the Government’s response to the ASRR that affect CASA directly, and assisting other government agencies with recommendations not directly related to CASA’s functions and performance.
Table 3 provides updates on the matters for which CASA is solely responsible and work that commenced or was completed during 2014–15.
Table 3 Implementation of Australian Government response to recommendations of the Aviation Safety Regulation Review, 2014–15
| Matters to be addressed | Status |
|---|---|
| The Australian Transport Safety Bureau (ATSB) and CASA amend the wording of their memorandum of understanding (MoU) to make it more definitive about interaction, coordination, and cooperation; ATSB and CASA utilise the MoU to accredit CASA observers to ATSB investigations. (ASRR 4, 11) | CASA and the ATSB released an updated MoU on 31 March 2015, taking into consideration the ASRR recommendations. |
| CASA’s Board exercises full governance control. (ASRR 6) | The final version of the CASA Corporate Plan was submitted to the Minister on 15 May 2015. The Board will monitor the organisation’s performance against the Minister’s Statement of Expectations and key objectives and initiatives set out in the Corporate Plan, and report quarterly to the Minister against that plan. |
| The next Director of Aviation Safety has leadership and management experience and capabilities in cultural change of large organisations. Aviation or other safety industry experience is highly desirable. (ASRR 7) | A new Director of Aviation Safety was appointed for a five-year term from 1 January 2015. |
| CASA reinstates publication of key performance indicators (KPIs) for service delivery functions. (ASRR 8a) | Performance indicators for Industry Permissions regulatory service applications were published on the CASA website on 10 June 2015. CASA will continue to review the current KPIs and publish KPIs for all CASA regulatory services. |
| CASA conducts a stakeholder survey every two years to measure the health of its relationship with industry. (ASRR 8b) | CASA is working with social research consultants to develop a replicable industry stakeholder survey, scheduled to commence in September 2015. |
| CASA accepts regulatory authority applications online unless there is a valid technical reason against it. (ASRR 8c) | CASA is transitioning its regulatory service applications to online access in accordance with the Government’s digital business policies and CASA’s Digital Services Strategy. |
| CASA adopts a code of conduct and values consistent with those that apply to the Australian Public Service. (ASRR 8d) | CASA’s Code of Conduct and Values were aligned with those of the Australian Public Service. The new Values have been incorporated into the CASA Corporate Plan 2015–16 to 2018–19. |
| CASA considers developing a staff exchange program with industry. (ASRR 9) | Consideration of a staff exchange program with industry is being undertaken in accordance with the Workforce Plan update expected to be finalised in the last half of 2015. |
| CASA completes an updated Workforce Plan to come into effect from 1 July 2015. (ASRR 9) | An updated Workforce Plan was submitted to the Board in June 2015. The Board acknowledged the plan and requested that further consideration be applied to a number of matters. |
| CASA changes its regulatory philosophy and, together with industry, builds an effective collaborative relationship on a foundation of mutual understanding and respect; CASA publishes and demonstrates a ‘just culture’ philosophy (ASRR 14, 17) | CASA’s Regulatory Philosophy, explicitly incorporating ‘just culture’ principles, has been finalised and is expected to be released by September 2015. |
| CASA continues to provide appropriate indemnity to all industry personnel with delegations of authority. (ASRR 15) | The CASA Board endorsed a policy on continuing to provide indemnity for delegates and authorised persons, and for those persons who, but for changes to the legislation, would have been indemnified pursuant to Civil Aviation Advisory Publication Admin. 1. |
| CASA finalises its capability framework and overhauls its training program to ensure that identified areas of need are addressed. (ASRR 16) | The first draft of CASA’s capability framework was completed in late 2014, and further work on the framework is being undertaken. CASA expects to implement the framework and changes to its education and training program progressively throughout 2015–16. |
| CASA reintroduces a ‘use of discretion’ procedure that gives operators or individuals the opportunity to discuss and, if necessary, remedy a perceived breach prior to CASA taking any formal action. This procedure is to be followed in all cases, except where CASA identifies a serious and imminent risk to air safety. (ASRR 18) | Updates to the Use of Discretion Policy and Enforcement Manual were expected to be released by 30 June 2015. However, there have been delays in finalising these documents due to their dependency on other ASRR recommendations (specifically ASRR 14 and 17). |
| CASA reviews its organisation structure and considers the establishment of small offices at specific industry centres. (ASRR 21, 22) | A functional review of CASA commenced on 28 April 2015. Initial work was completed on schedule on 19 June 2015, and further work is being undertaken. Outcomes of the review are expected to be released in the second half of 2015. |
| CASA shares the risk assessment outputs of Sky Sentinel, its computerised risk assessment system, with the applicable authorisation holder. (ASRR 23) | A draft proposal for the facilitation of relevant risk assessment outputs from Sky Sentinel was endorsed for internal consideration by the Aviation Safety Review Committee on 4 June 2015. An updated draft proposal to allow for Sky Sentinel enhancements is being prepared for industry comment. |
| CASA provides full disclosure of audit findings at audit exit briefings; introduces grading of non-compliance notices on a scale of seriousness; assures consistency of audits across all regions; and delivers audit reports within an agreed timeframe. (ASRR 24, 25, 26) | Work on material for audit findings at exit briefings, performance measures and quality assurance reports is progressing. Once that work has been finalised, the CASA Surveillance Manual will be updated and development of training and communications packages will be undertaken. CASA is considering grading and further refining non-compliance notices, as well as introducing measures to improve consistency across audits and better ensure timely reporting. |
| CASA implements a system of using third-party commercial audits as a supplementary tool to its surveillance system. (ASRR 27) | The use of third-party audits (commercial and otherwise) as a supplementary tool was proposed in a draft report to the Board in June 2015 in accordance with the Government response. Further work on this approach is being undertaken, with a view to finalisation later in 2015. |
| CASA establishes a safety oversight risk management hierarchy based on a categorisation of operations. Rule making and surveillance priorities should be proportionate to the safety risk. (ASRR 28) | Drafting work in collaboration with the Office of Parliamentary Counsel is underway, with a view to aligning CASA’s classification of operations with the International Civil Aviation Organization (ICAO) model of Air Transport Operations, Aerial Work and General Aviation, and the Government’s requirements for new and amended regulations. |
| Recreational aviation administration organisations, in coordination with CASA, develop mechanisms to ensure that all aircraft to be regulated under CASR Part 149 are registered. (ASRR 29) | CASA consulted with key stakeholders in relation to Part 149 of the Civil Aviation Safety Regulations prior to 30 June 2015. The final consultation draft will soon be released for public comment. In line with the three-tier regulatory model recommended by the ASRR, further work is required. |
| CASA changes the regulatory framework to a three-tier structure (act, regulations, and standards). All regulations not yet made to apply a three-tier structure and subsequently review all other Civil Aviation Safety Regulation Parts (in consultation with industry) to determine if they should be remade using a three-tier structure. (ASRR 30, 31) | CASA continues to adhere to Commonwealth legal drafting policies and will apply the three-tier approach to the remaining CASR Parts as required. |
| CASA applies a project management approach to the completion of all CASR Parts not yet in force, with drafting to be completed within one year and consultation completed one year later. This is undertaken utilising a steering committee with both CASA and industry representatives. (ASRR 33, 34) | Drafting of the remaining CASR Parts is ongoing, with appropriate consultation through CASA–aviation community working groups and Standards Consultative Committee (SCC) sub-committee involvement. A small SCC working group was formed in May 2015 and held its first meeting on 2 June 2015 to recommend possible options for the ongoing role of the SCC. A draft report was provided to the Director of Aviation Safety. |
| CASA reassesses the penalties in the Civil Aviation Safety Regulations. (ASRR 32) | The penalties in the Civil Aviation Safety Regulations have been assessed. The outcome of that assessment is subject to further review prior to being released to the public for comment. |
| CASA devolves to designated aviation medical examiners the ability to renew aviation medical certificates where the applicant meets the required standard at the time of the medical examination. (ASRR 35) | A review of CASA’s aviation medicine capability was reported to the Board in June 2015. The review is intended to ensure effective and efficient delivery of the aviation medicine functions and fully align with CASA’s obligations under the Civil Aviation Act 1988, the expectations of government and the needs of applicants. It is expected that the review will be finalised in the last half of 2015. |
CASA amends the current terms of reference of the Industry Complaints Commissioner (ICC) so that:
|
The ICC terms of reference were updated in May 2015 and the position was advertised as an ongoing permanent position reporting directly to the Board. |
| ASRR = Aviation Safety Regulation Review recommendation | |
Last modified: 25 November 2016