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1. Introduction

1.1 List of ICAO documents referred to in this report

Doc 7300: Convention on International Civil Aviation
Annex 1: Personnel Licensing
Annex 6: Operation of Aircraft
Part I: International Commercial Air Transport - Aeroplanes
Part II: International General Aviation - Aeroplanes
Part III: International Operations - Helicopters
Annex 8: Airworthiness of Aircraft
Doc 8335: Manual of Procedures for Operations Inspection, Certification and Continued Surveillance
Doc 8984: Manual of Civil Aviation Medicine
Doc 9376: Preparation of an Operations Manual
Doc 9379: Manual of Procedures for Establishment and Management of a State's Personnel Licensing System
Doc 9388: Manual of Model Regulations for National Control of Flight Operations and Continuing Airworthiness of Aircraft
Doc 9389: Manual of Procedures for an Airworthiness Organization
Doc 9642: Continuing Airworthiness Manual
Doc 9734: Safety Oversight Manual, Part A - The Establishment and Management of a State's safety oversight system
Doc 9735: Safety Oversight Audit Manual

1.2 List of the audited States documents referred to in this report

Civil Aviation Act 1988
Civil Aviation Regulations 1998
- Part 21 Certification and Airworthiness Requirements for Aircraft and Parts
- Part 23 Airworthiness Standards for Aeroplanes in the Normal, Utility, Acrobatic or Commuter Category
- Part 25 Airworthiness Standards for Aeroplanes in the Transport Category
- Part 26 Airworthiness Standards for Aircraft in the Primary Category or Intermediate Category
- Part 27 Airworthiness Standards for Helicopters in the Normal Category
- Part 29 Airworthiness Standards for Rotorcraft in the Transport Category
- Part 31 Airworthiness Standards for Manned Free Balloons
- Part 32 Airworthiness Standards for Engines for Very Light Aeroplanes
- Part 33 Airworthiness Standards for Aircraft Engines
- Part 35 Airworthiness Standards for Aircraft Propellers Civil Aviation Regulations 1988
- Part 3 Regulation and Marking of Aircraft
- Part 5 Qualifications of flight crew
- Part 6 Medical
- Part 10 Conditions of Flight
- Part 11 Rules of the Air
- Part 12 Air Service Operations
- Part 14 Refusal to Grant, and Suspension and Cancellation of, Licences, Certificates and Authorities
- Part 16 Penal provisions and Prosecutions
- Part 18 Miscellaneous
Civil Aviation Orders
- Part 20 Air Service Operations
- Part 29 Air Service Operations
- Part 40 Pilot Licences and Ratings
- Part 43 Flight Engineer
- Part 45 Flight Crew Standards - Synthetic Flight Trainers
- Part 48 Flight Time Limitations
- Part 50 Air Traffic Controller Licensing
- Part 80 Flying school licence
- Part 82 Air Service licences
- Part 95 Exemptions from the Civil Aviation Regulations
- Part 100 Airworthiness
Flight Crew Licensing Manual
Aircraft Maintenance Engineer Licensing Manual
Designated Aviation Medical Examiners Handbook
Flight Crew Industry Delegates Handbook
Civil Aviation Advisory Publication (CAAP)
Aviation Safety Surveillance Programme (ASSP) Manual
Certificate of Approval Procedures Manual
Instruments of Delegation and Authorization
Aeronautical Information Publication, Australia
Air Operator Certification Manual
Major Defect Reporting Manual
Certificate of Airworthiness and Special Flight Permits Manual

1.3 Background

1.3.1 The Civil Aviation Safety Authority (CASA) of Australia was audited from 9 to 20 August 1999 by an ICAO safety oversight audit team in accordance with the Memorandum of Understanding (MOU) agreed on 28 July 1999 between Australia and ICAO and included in Attachment A to the Interim Report forwarded to Australia on 10 September 1999. The audit was carried out pursuant to Assembly Resolution A32-11, with the objective of ascertaining the safety oversight capability of Australia and to ensure that it is in conformity with ICAO Standards and Recommended Practices (SARPs) as contained in Annexes 1, 6 and 8 to the Chicago Convention and related provisions in other Annexes, guidance material and relevant safety-related practices in general use in the aviation industry as referred to in such material.

1.3.2 On 13 October 1999, Australia submitted an action plan addressing all the findings and recommendations contained in the audit interim report. The action plan submitted and comments provided were reviewed by the Safety Oversight Audit Unit (SOAU) and found to be satisfactory.

1.4 Safety oversight audit team composition

1.4.1 The safety oversight audit team was composed of Mr. Paul Lamy, team leader, Personnel Licensing and Training expert, Mr. Roy Barnett, team member, Airworthiness of Aircraft (continuing airworthiness) expert, Mr. Michel Béland, team member, Aircraft Operations expert and Mr. Jean Teillet, team member, Airworthiness of Aircraft (engineering) expert.

1.5 State officials and industry personnel contacted

Department of Transport and Regional Services

Dr. Allan Hawke Secretary, Department of Transport and Regional Services
Mr. Jim Manning Director, Aviation Industry Policy
Ms. Jill Chorazy Assistant Director, Aviation Industry Policy

Civil Aviation Safety Authority (CASA)

Canberra Headquarters:

Mr. Mick Toller Director of Aviation Safety
Mr. Richard Yates Assistant Director, Aviation Safety Standards Division
Mr. Laurie Foley Assistant Director, Aviation Safety Compliance Division
Mr. Peter Ilyk General Counsel
Mr. Alan Slater Advisor to the Director
Mr. Paul Fenton-Menzies Senior Legal Counsel
Mr. Rob Elder Executive Manager, Government, Industry and International Relations
Mr. Walter Sheehan General Manager, Finance
Ms. Marie Nelson Manager, Human Resources Policy
Mr. John Gratton Manager, International Relations
Mr. Mike Frazer Assistant Manager, International Relations
Mr. Ken Cannane General Manager, Regulatory Framework
Mr David Villiers General Manager, Airworthiness
Mr. Ron Smith Manager, Certification
Mr. Mick Haxell General Manager, Flying Operations
Mr. Peter Robbins Senior Flying Operations Inspector, Regulatory Framework Programme
Mr. Robert Loretan General Manager, Personnel Licensing
Dr. Peter Wilkins Director, Office of Aviation Medicine
Mr Arthur White Technical Coordinator, Airline Operations
Mr. Eric Edwards Senior Airworthiness Inspector, AME Licensing
Mr. Dick Reynoldson Flying Operation Inspector, Personnel Licensing
Mr. Mike Cleaver Sport Aviation Inspector
Mr. Tony Rothwell General Manager, Airways and Self-Administration Branch
Mr. Robert Powell Airways and Self-Administration Branch
Mr. E.C. Roberts Technical Coordinator, Regulatory Framework Programme
Mr. Eugene Holzappel Manager, Technical Specialists
Mr. John Corby Senior Engineer, Certification
Mr. Mathew Richmond Structures Engineer

Sydney Office:

Mr. Peter Puckeridge Team Leader (Airworthiness)
Mr. Gordon Armstrong Airworthiness Inspector
Mr. Bob Bayliss Airworthiness Inspector
Mr. Tony Brown Airworthiness Inspector
Ms. Suzanne Garniss Airworthiness Inspector
Mr. David Klein Airworthiness Inspector
Mr. Wayne Richards Airworthiness Inspector
Mr. Max McGregor Team Leader (Flying Operations)
Mrs. Liz Kerrigan Team Leader (Administration)

Bankstown Office:

Mr. John Slaughter Area Manager, Sydney Bassin
Mr. Richard Best District Airworthiness Manager, Bankstown District Office
Mr. Graham Sparow Flight Operation Officer, Sydney District Office
Mr. Craig Hinder Flight Crew and AME Licensing Officer
Mr. Herbert McFarlane Senior Airworthiness Officer
Mr. Ian Kearsley Manager, Engineering Support Group

Melbourne Office:

Mr. Daryl Gerlach Manager, Airline Operations
Mr. David Nisbet District Airworthiness Manager (Airline Operations)
Mr. Christopher Genge District Flight Operation Manager (Airline Operations)
Mr. Alan Uren Airworthiness Inspector, Avionics
Mr. Allen Henderson Airworthiness Inspector, Mechanical and Avionics
Mr. Steve Bowler Airworthiness Inspector, Mechanical
Mr. Michael Vytilingam Airworthiness Inspector, Mechanical
Mr. Alf Scerri Airworthiness Inspector, Avionics
Ms. Jacintha Corteling Administration Officer
Mr. George Segan Flying Operations Inspector Level 3
Mr. Christopher Hudnott Flying Operations Inspector Level 3
Mr. Peter Salvair Flying Operations Inspector Level 3
Mr. Clint Rowland Flying Operations Inspector Level 3
Mr. Douglas Whitfield Area Manager (Victoria, Tasmania)
Mr. Colin Randall District Airworthiness Manager (General Aviation)
Mr. Bob Greenwood District Flight Operation Manager (General Aviation)
Mr. Julian Smibert Flying Operations Inspector Level 2 (GA)
Mr. Gary Esson Airworthiness Engineer
Mr. Joe Silvestro Flight Crew and AME Licensing Officer

Airservices Australia:

Mr. David Adams Director, Safety and Standards
Mr. Per Nielsen Licensing and Standards Manager
Mr. Roger Hope Safety Manager, Southern FIR
Mr. Andrew Meldrum Manager, Airservices College
Mr. Gavin Roneberg Senior Instructor, Airservices College
Mr. Peter Collins Human Resources Manager, Melbourne Center

Bureau of Air Safety Investigation:

Dr. Robert Lee Director

Australian Flying Training School:

Mr. Robert Marshall Chief Instructor

Qantas Airways Limited:

Mr. Barry J. Diamond General Manager, Flight Operations Administration
Capt. Ian Topfer General Manager, Flight Operations New Business Development
Mr. Michael T. Hards Manager, Quality E. and M. Qantas Group
Mr. Graham Rennie Manager, Flight Dispatch
Mr. Matthew Cox Manager, Aircraft Reliability Programme
Mr. Robert P. Schwartz Manager, Avionics Engineering

Hawker Pacific Limited:

Mr. Dan ONeill Quality Manager
Mr. Jim Pilkington Chief Inspector (Deputy Quality Manager)
Mr. A. J. Haywood NSW Quality Inspector

Ansett Australia:

Capt. Mark Rindfleish General Manager, Flight Operations
Mr. Brian A. Girdwood Manager, Aircraft Programmes
Capt. Jim Duff Manager, Regulatory Affairs
Capt. Simon Henderson Training Project Manager
Mr. Lachlan French Manager, Engineering and Training

Gippsland Aeronautics:

Mr. George Morgan Director
Mr. Colin R. Nicholson Chief Designer
Mr. Mark Bathie Aeronautical Engineer
Mr. Jonathan Shand Aeronautical Engineer

1.6 Acknowledgments

1.6.1 The ICAO safety oversight audit team would like to express its sincere appreciation for the assistance provided to it during its conduct of the audit. The enthusiasm and attitude of the staff of the Civil Aviation Safety Authority (CASA) greatly assisted the team in looking into all relevant activities.