ICAO Audit Findings and Recommendations Relating to Aircraft Operations

APPENDIX 4-1

FINDINGS AND RECOMMENDATIONS RELATING TO AIRCRAFT OPERATIONS

State: Australia

Finding and Recommendation Number

OPS / 01

Audit period:

9 to 20 August 1999

Document reference:

Annex 6, Part I, para 9.3

Audit protocol reference:

OPS - 4.436

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

x

Non-conformance with Annex Standard

o

Non-adherence with Annex Recommended Practices

o

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

Operators were required to establish a course outline and a training syllabus for flight crew training. The content of the syllabus was at the discretion of the operator and that of the approving officer. Recurrent flight crew training, ETOPS training and CRM training were a few examples of elements not mandated by regulation to be included in a training syllabus.

RECOMMENDATION:

CASA should revise its regulation to establish a well-defined structure to be used as reference in both the development and the approval of training syllabi appropriate for the intended operations in full compliance with the requirements of Annex 6.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Michel Béland

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATIONS

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT-TERM ACTION

LONG-TERM ACTION

OPS/01 : CASA should revise its regulation to establish a well-defined structure to be used as reference in both the development and the approval of training syllabi appropriate for the intended operations in full compliance with the requirements of Annex 6.

Agreed. Detailed training syllabi content is not mandated. However, it is subject to approval under CAO 82.5 Appendix 2 paragraph 4.2(b). Operators provide recurrent training associated with the proficiency checks mandated by CAR 217 and CAO 40.1.5. ETOPS training policy is specified in the AOCM for relevant operators at Part 2 paragraph 8.7.3.

Difference against Annex 6 Part 1 paragraph 9.3 will be notified.

CASA will issue a policy requiring operators to introduce initial, recurrent and CRM training ahead of the introduction of the new regulations now in draft. This policy will be drafted by 30 November 1999.

New regulations will mandate initial and recurrent training, including ETOPS training where relevant and CRM training. These regulations will also contain detailed syllabi of training as envisaged by ICAO Annex 6. It is anticipated that these new regulations will be in place by January 2002.

APPENDIX 4-2

FINDINGS AND RECOMMENDATIONS RELATING TO AIRCRAFT OPERATIONS

State: Australia

Finding and Recommendation Number

OPS / 02

Audit period:

9 to 20 August 1999

Document reference:

Doc. 8335, Para. 9.7

Audit protocol reference:

OPS - 4.218 - 4.223

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

o

Non-adherence with Annex Recommended Practices

x

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

Specialised aircraft technical training for flight operations inspectors was generally determined by the manager on a case by case basis. There was no formal training policy or structured system in place to keep records of training other than the records kept for general training provided by the training branch.

RECOMMENDATION:

CASA should establish an aircraft type training policy and a training programme to ensure flight operations inspectors maintain the competency required for the performance of their duties. CASA should also ensure that inspector training records reflect all technical training received.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Michel Béland

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

AUSTRALIAS COMMENTS AND OBSERVATIONS

LONG-TERM ACTION

Agreed.

CASA has now agreed a policy to have at least one type specialist for each aircraft type operated commercially in Australia.

It is intended that this policy will be promulgated by November 1999.

ICAO RECOMMENDATIONS

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT-TERM ACTION

LONG-TERM ACTION

OPS 02b : CASA should establish a training programme to ensure flight operations inspectors maintain the competency required for the performance of their duties.

Agreed.

CASA has employed the services of a technical expert from industry to analyse the training need and develop the training programmes and support infrastructure required.

A flying training programme has been designed and will be introduced to maintain the qualifications and assess the standard of the Auditor / Inspector group. Specialist training programmes using aircraft and simulator training will be introduced in line with document 8335 para 9.7 by 30 June 2000.

A formal training programme will be established for all new recruits and existing members of the Auditor / Inspector group. Successful completion to the specified standard of all elements will be monitored by a Manager Flying, Training Operations. This programme will be introduced by 30 June 2000 and then a continuing programme will be introduced.

The Manager Flying Operations Training (MFOT) is to be recruited and in place by 30 November 1999.

An accessible database system is being established in the mean time (expected by 31 December 1999) to record all flying training and other qualifications.

The established record system will identify any training requirements, flying or technical, which are unfulfilled and allow corrective action to be taken by December 2000.

APPENDIX 4-3

FINDINGS AND RECOMMENDATIONS RELATING TO AIRCRAFT OPERATIONS

State: Australia

Finding and Recommendation Number

OPS / 03

Audit period:

9 to 20 August 1999

Document reference:

Doc. 8335

Audit protocol reference:

OPS - 4.503

Type of finding:

o

Non-compliance with Chicago Convention or State Regulations

o

Non-conformance with Annex Standard

o

Non-adherence with Annex Recommended Practices

x

Non-adherence with guidance material

o

Non-adherence with relevant safety related practices

FINDING:

The level of implementation of the surveillance plan in the area of aircraft operations was well below targeted objectives established in the surveillance plan.

RECOMMENDATION:

CASA should establish an adequate means for the management of the implementation of the surveillance plan to achieve the desired level of implementation when it is establishing surveillance objectives in the surveillance plan.

Should this issue be addressed by the State in its Corrective Action Plan?

x

Yes

o

No

Auditor:

Mr. Michel Béland

Date:

20 August 1999

Team Leader:

Mr. Paul Lamy

ICAO RECOMMENDATIONS

AUSTRALIAS COMMENTS AND OBSERVATIONS

IMMEDIATE ACTION

SHORT-TERM ACTION

LONG-TERM ACTION

OPS 03 : CASA should establish an adequate means for the management of the implementation of the surveillance plan to achieve the desired level of implementation when it is establishing surveillance objectives in the surveillance plan.

Agreed.

1. The Airline office has produced a new plan for the current year and has committed resources to achieve the plan.

2. A review of the General Aviation surveillance plan has been scheduled for October 1999. This review will establish surveillance priorities commensurate with the risk indicators in the industry.

3. For airline operations, CASA will review the surveillance plan for the year to date to establish current surveillance levels.

4. Management review of surveillance achievements against targets completed 15 September 1999.

A review meeting has been planned for October 1999 to set targets and resources for the General Aviation office, with the aim of achieving realistic surveillance levels commensurate with industry risks.

CASA will establish a project plan for General Aviation (similar to the plan established for the Airline office). The plan will ensure a staged approach to implementation of a systems-based surveillance program to a manageable timetable. Completion date 31 March 2000.