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5. Audit Results

• 5.1 Primary aviation legislation in Australia
• 5.2 Civil aviation regulations
• 5.3 Civil aviation organization
• 5.4 Personnel licensing and training
• 5.5 Aircraft operations

5.1 Primary Aviation Legislation in Australia

5.1.1 Australia is organized under a federal system. The respective responsibilities of the Federal Government and of the States of the Federation are defined in the Australian Constitution. Although aviation is not specifically addressed in the Constitution, jurisprudence considers it to be a federal responsibility. In practice, the States of the Federation exercise no safety regulatory functions and exercise only a limited economic regulation of intra-State routes.

5.1.2 The primary aviation legislation in Australia is the Civil Aviation Act (hereunder referred as the "Act") which has been enacted on 15 June 1988 and amended regularly since then. The main objective of the Act, as described in its Article 3, is "to establish a regulatory framework for maintaining, enhancing and promoting the safety of civil aviation, with particular emphasis on preventing aviation accidents and incidents". The Act initially established a Civil Aviation Authority (CAA) which is the regulatory agency for aviation safety and the provider of air traffic services in Australia. The Act was substantially amended in 1995 to allow for the transformation of the CAA to CASA with no operational role in the provision of air traffic services. A second Act the Air Services Act (1995) was enacted at the same time to provide for the establishment of Airservices Australia, a Government Business Enterprise providing air traffic and fire rescue services in Australia.

5.1.3 The Act empowers CASA to effectively discharge its duties and responsibilities. It also provides CASA with an investigative power and the authority to develop aviation safety standards and to issue permissions and air operator certificates (AOCs) . However, CASA does not have direct regulatory powers. The power for making regulations is held by the Governor General (essentially the Executive Government) in accordance with Article 98 of the Act which also requires that regulations be made for "the purpose of carrying out and giving effect to the provisions of the Chicago Convention relating to safety".

The rationale for giving the regulatory power to the Governor General is that regulations are delegated legislation in respect of which there must be ministerial responsibility and parliamentary oversight. CASA is a regulator, not a law-maker, and this is an important distinction in the Australian system of government. The Act (Article 11) also requires that CASA "...performs its functions in a manner consistent with the obligations of Australia under the Chicago Convention".

5.1.4 The Act is complemented by several other laws. The most significant is the Air Navigation Act (1920) which contains the Chicago Convention on International Civil Aviation (hereunder referred as the "Chicago Convention") as one of its schedules. It is amended regularly and contains schedules for aviation security, environment and accident investigation. Another legal instrument relating to aviation is the Airport Act (1996) which allows the privatization of most of the airports owned by the Federal Government.

5.1.5 The Act and other legislative instruments are adopted by the Parliament and enacted by Royal Assent. The amendment process takes several months. However, considering the number of amendments produced, Australia does not have major difficulties in maintaining the Act up to date.

5.1.6 The primary aviation legislation in Australia is satisfactory as it allows for the establishment of a civil aviation authority and provides for the adoption of civil aviation regulations based upon the provisions of the Chicago Convention and the Annexes thereto.

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5.2 Civil aviation regulations

5.2.1 General requirements

A State should adopt civil aviation regulations appropriate to the complexity of its commercial air transport operations. States seeking international recognition for their operators engaging in international commercial air transport must have adequate regulations to ensure compliance with all the Annexes to the Chicago Convention.

5.2.2 Civil aviation regulations in Australia

5.2.2.1 The civil aviation regulations of Australia are in the process of a major review and are grouped in two different sets. The first set Civil Aviation Regulations 1998 (CARs 1998) were adopted in 1998 as the first installment of a major revision of the Australian regulations system which will be organized along the lines of the United States Federal Aviation Regulation (FAR) system. It includes Parts 21 to 35 (Airworthiness). The other regulations are contained in the Civil Aviation Regulations 1988 (CARs 1988). A timetable indicates that the progressive transfer to the new system will be completed by 2003.

5.2.2.2 By virtue of Article 98 of the Act, civil aviation regulations are made by the Governor General in Council. The development and amendment of the CARs follow a complex process which includes the following steps:

1. the technical policy to be addressed is determined by CASA;
2. the draft amendment is prepared by the Attorney-Generals Department and coordinated with CASA;
3. the draft amendment is sent to the Department of Transport and Regional Services for policy clearance;
4. CASA prepares the explanatory material supporting the amendment and submits it to the Executive Council Secretariat;
5. the amendment package is submitted to the Minister for final approval;
6. the amendment package is submitted to the Executive Council for rule making by the Governor General; and
7. the new regulations are gazetted and then tabled in both Houses of Parliament. Members have fifteen sitting days to move a motion to disallow the new regulations.

5.2.2.3 CASA has the authority to issue Civil Aviation Orders (CAOs) to complement the regulations. The Orders also have to be gazetted and tabled in the two Houses of Parliament. These Orders are fully enforceable. CASA has also the power under the CARs and CAOs to issue various types of Directives, Instructions and Exemptions which have legislative force. Urgent or individual operational cases are published in the Aeronautical Information Publication (AIP). Some of the instruments, such as General Exemptions, are gazetted and tabled in both Houses of Parliament.

5.2.2.4 Under the current government policy, CASA is required to prepare a Regulation Impact Statement (RIS) before proposing an amendment to the Act or Regulations or making changes to the Orders. The RIS has to be cleared by the Office of Regulation Review (ORR) in the Productivity Commission. In the case that the proposed changes are minor or purely technical and do not substantially alter existing arrangements, the ORR could exempt CASA from preparing a RIS .

5.2.2.5 Although there is no legal requirement to do so, the Minister has directed CASA to conduct a public consultation on all draft legislation, regulations and orders. Working drafts are posted on the CASA Web site and the final draft is published in a Notice of Proposed Rule Making (NPRM) seeking the views of the industry. Public consultation is also a requirement of the RIS process.

5.2.2.6 The Australian legal system provides for the two Houses of the Parliament to disallow Regulations, Orders and all other legislative instruments such as General Exemptions. Following its publication in the gazette, each new regulation, order or legislative instrument has to be tabled in the Parliament. Each Member of Parliament has then the opportunity to initiate a motion of disallowance during the fifteen sitting days following the tabling. If the motion is accepted by either House, the new regulation ceases to be in effect and the previous regulation is re-established. In addition, the regulator cannot initiate a regulatory change on the same subject within a period of six months. Disallowance of regulation does not occur frequently. Approximately fifty to seventy legal instruments related to civil aviation are tabled each year and the two most recent cases of disallowance occurred in 1994 and 1999.

5.2.2.7 An enforcement section responsible for undertaking all enforcement actions, following up and coordinating with legal counsels has been established within the Compliance Division of CASA. The enforcement philosophy is oriented towards achieving compliance. When there is no immediate threat to safety, offenders are invited, through a gradual multiple step approach, to comply with the requirements. Failure to comply could result in either a suspension or a court action. The punitive measures are prescribed by legislation and depend on the nature of the offence. When there is an immediate threat to safety, Section 28 of the Act allows for immediate suspension of an authorization or certificate.

5.2.2.8 Enforcement of a criminal offence against the Act and regulations are handled by the Director of Public Prosecutions who is a statutory office holder entirely independent of CASA. Investigations are mainly conducted by CASA Officers who have received the delegated authority by the Director of Aviation Safety.

5.2.2.9 Records showing recent cases of enforcement action taken to convince alleged offenders to comply with the regulatory requirements were reviewed and involved airworthiness, personnel licensing and aircraft operations issues. All such cases are well documented in accordance with the legislative and procedural requirements in place.

5.2.2.10 Notices of non-conformance issued are adequately documented in the files. However, in some cases, a relatively long period elapsed between the initial recording of a non-conformance and the time when compliance was achieved.

5.2.2.11 CASA has the powers to regulate Airservices Australia in relation to some matters, e.g. Part IXB of the CARs. An Instrument of Delegation (dated 22 February 1997) provides for the delegation of powers and functions relating to Air Traffic Control and Flight Service authorizations to specific positions in Airservices Australia. A review of the CASA inspection files indicates that Airservices Australia has rapidly responded to cases of a major non-compliance nature, but several cases of a minor non-compliance nature have been pending for a considerable time.

5.2.2.12 The CARs generally covered the relevant ICAO SARPs and other safety-oversight related regulations. Differences existing between the CARs and ICAO SARPs were listed in Appendices 6 and 7 of the audit interim report forwarded to Australia on 10 September 1999.

5.2.3 Specific findings and recommendations

In the course of the audit and in line with the procedures established on the basis of the MOU signed between Australia and ICAO, two (2) findings relating to the primary aviation legislation and civil aviation regulations in Australia were identified as items of concern requiring Australia to develop and implement an action plan for their resolution. In this respect, two (2) recommendations have been developed to assist Australia in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to the primary aviation legislation and civil aviation regulations are found in Appendix 1 of the audit interim report forwarded to Australia on 10 September 1999.

5.2.4 Corrective action plan proposed/taken by Australia

5.2.4.1 With respect to the recommendation on reducing the number of differences with ICAO SARPs, CASA will, as necessary, consult with the industry on whether or not a difference should be notified or rectified. It will also complete the programme of rewriting the CARs and monitor changes in ICAO SARPs to ensure future conformance. CASA has already started consideration of those departures from SARPs which should be the subject of a notified difference and the target date for notification was 1 January 2000. CASA further indicates that it will develop programmes for monitoring future changes to SARPs to ensure that Australia remains compliant.

5.2.4.2 With respect to the recommendation relating to the development of adequate guidance material before implementing a transition plan from one system of surveillance to a new one, CASA confirmed that a sound regulatory basis exists in CAA 28(1) and CAA 28BE while acknowledging that some areas of regulatory oversight guidance and actual audit practices are not synchronized. Since the audit, CASA conducted surveillance and intends to review the project plan on the basis of the findings while continuing with the process and the project plan.

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5.3 Civil aviation organization

5.3.1 General requirements

The guidance material contained in Doc 8335 and Doc 9389 outlines the role and structure of a functional civil aviation authority (CAA). The structure of a CAA will vary in size from State to State depending upon the complexity of the aviation environment, commercial aviation operators, aircraft, flight and ground personnel and maintenance facilities. The scope of responsibilities, however, should not vary substantially from State to State. The CAA must retain effective control of the important inspection functions and should not delegate those functions in such a way that the operator, in effect, becomes self-regulated.

5.3.2 Organization of civil aviation in Australia

5.3.2.1 The main Civil Aviation Safety Regulatory Body of Australia is CASA. Its functions and authority are defined in Section 9 of the Act (1988) which specifies that CASA has the function of conducting the safety regulation for civil air operations in Australian territory; and the operation of Australian aircraft outside Australian territory; by means of:

1. developing and promulgating appropriate, clear and concise aviation safety standards;
2. developing effective enforcement strategies to secure compliance with aviation safety standards;
3. issuing certificates, licences, registrations and permits;
4. conducting comprehensive aviation industry surveillance, including assessment of safety-related decisions taken by industry management at all levels for their impact on aviation safety;
5. conducting regular reviews of the system of civil aviation safety in order to monitor the safety performance of the aviation industry, to identify safety-related trends and risk factors and to promote the development and improvement of the system; and
6. conducting regular and timely assessment of international safety developments.

5.3.2.2 The Act also gives CASA other functions such as:

1. encouraging a greater acceptance by the aviation industry of its obligation to maintain high standards of aviation safety, through:
   1. comprehensive safety education and training programs;
   2. accurate and timely aviation safety advice; and
   3. fostering an awareness in industry management, and within the community generally, of the importance of aviation safety and compliance with relevant legislation;
2. promoting full and effective consultation and communication with all interested parties on aviation safety issues;
3. co-operating with the Bureau of Air Safety Investigation in relation to the investigation of aircraft accidents and incidents; and
4. promoting the development of Australias civil aviation safety capabilities, skills and services, for the benefit of the Australian community and for export.

5.3.2.3 CASAs authority is limited to safety-related activities and the Act explicitly mentions that CASAs authority does not include responsibility for aviation security.

5.3.2.4 There are several other bodies in Australia responsible for aviation-related activities which include:

1. the Department of Transport and Regional Services (DoTRS) which is responsible within the transport and regional services portfolio for the economic aspects of commercial transport operations and for aviation security. DoTRS is also responsible for the general civil aviation policy and governance and oversight of CASA and Airservices Australia, as well as airport infrastructure, including environment regulations, and for aviation security (Annex 17);
2. Airservices Australia (ASA), a monopoly service provider of air traffic management and fire fighting services, which is regulated by CASA under a Memorandum of Understanding and a Legal Instrument of Delegation (CASA 41/97 dated 22 February 1997); and
3. the Australian Transport Safety Bureau (ATSB) which is an independent investigator of transport accidents and incidents. ATSB includes the Bureau of Air Safety Investigation (BASI). It is staffed with approximately eighty persons of which fifty-five investigators are employed by BASI. About 270 accidents and 4 000 incidents are reported each year. BASIs recommendations and CASAs response to the recommendations are published every three months.

5.3.2.5 The organization of the safety regulatory functions in Australia has undergone several significant changes over the past decade. In 1988, the airports were separated from the Department of Aviation and a Civil Aviation Authority was given the responsibility of regulatory supervision and the provision of air traffic control. In a subsequent change which took place in 1995, the regulatory functions were given to a new Civil Aviation Safety Authority and the Air Traffic Services were placed under the responsibility of Airservices Australia, which was established as a Government Business Enterprise. In 1998, both CASA and Airservices Australia had undergone a major reorganization exercise.

5.3.2.6 CASA is governed by a Board consisting of four to seven members (six at the time of the audit) including a Chairman and a Deputy Chairman. The Chief Executive Officer (Director, Aviation Safety) of CASA is also a member, ex officio, of the Board. The members are appointed by the Minister. The Director of Aviation Safety is also appointed by the Minister on the Boards recommendation. Section 32B of the Civil Aviation Act (1988) states that "the purposes of the Board [were] to decide the objectives, strategies and policies to be followed by CASA; and to ensure that CASA [performed] its functions in a proper, efficient and effective manner."

5.3.2.7 CASA has three technical divisions, each headed by Assistant Directors:

1. The Aviation Safety Standards Division is responsible for setting regulations. Its five branches are: the Certification Standards Branch, the Maintenance Standards Branch, the Operational and Flight Crew Licensing Standards Branch, the Airspace, Air Traffic and Aerodrome Standards Branch and the Coordination and Support Branch.
2. The Aviation Safety Compliance Division is responsible for implementing the regulations. Under the Assistant Director are three General Managers (Airline Operations, General Aviation Operations including Charter Operations with aircraft of nine seats or less and Airways and Self-Administration) and three Managers (Engineering Support, Enforcement and Investigation, Compliance Practices and Procedures). The Airline Operations and General Aviation Operations Branches are also responsible for airworthiness aspects (except design).
3. The Aviation Safety Promotion Division is responsible for disseminating safety information. Under the Assistant Director are four Managers for: Editor of Flight Safety Australia magazine; Programme Delivery; System Safety and Human Performance; and Public Relations.

5.3.2.8 In addition to the three technical divisions, the Corporate Services Branch provides assistance in the fields of Finance and Administration, Information Management and Human Resources Management. The organizational structure also includes several other offices such as the General Counsel and Government, Industry and International Relations.

5.3.2.9 The organization of CASA has regional offices reporting to the Aviation Safety Compliance Division. There are three airline offices (Brisbane, Melbourne and Sydney) reporting to the Airline Operations Branch and seven area offices (Sydney Basin, New South Wales, Victoria/Tasmania, Central Australia, Western Australia, North Queensland and South Queensland) reporting to the General Aviation Branch. In addition, there are five autonomous district offices and four satellite district offices. The regional offices are the implementation force of the Aviation Safety Compliance Division in their respective area of responsibilities.

5.3.2.10 CASA is still working under the reorganization plan of 1998 and although the branches mentioned above were established, a decision has not been made on the appointment of the General Managers of the various branches. The formal assignment of technical staff under the new structure is also an on-going process. The reorganizational exercise also extends to the regional offices. Two autonomous District Offices would be closed and many of the decision-making exercises previously made at the regional level were transferred to Headquarters to ensure better harmonization and standardization throughout the country.

5.3.2.11 The number of technical staff employed by CASA are as follows:

Headquarters		Regional Offices
Personnel Licensing	17	licensing officers and clerks	15
Operations	17		79
Continuing Airworthiness	24		92
Engineering	23 (HQ and Regions)
Other	8

5.3.2.12 The staffs terms of reference and minimum qualification requirements are described in "Job Descriptions". All staff are recruited after an interview by a panel of three or four persons (addressing the technical and management aspects).

5.3.2.13 After being recruited, the technical staff follow a three-day general induction training providing them with the "big" picture of CASAs role and responsibilities and their place in the organization. There is no formal recurrent training requirement; however, a training manual has been developed listing available training. Managers are responsible for defining the required training. The Training and Development Section is responsible for supporting and meeting the needs of the core business requirements of CASA and ensuring that the training requirements identified by the managers are met. The different training courses provided cover different areas such as regulations, techniques, computer skills, people skills and management skills.

5.3.2.14 All inspectors are adequately empowered. They have received an Instrument of Delegation and Authorization specifying the scope of their authority. The list of those Instruments of Delegation and Authorization is accessible through Intranet. The authority delegated is also indicated on the inspectors identity card. Under CARs 1988, Section 305, inspectors have proper access to facilities and aircraft.

5.3.2.15 Office equipment is appropriate and CASA has developed an extensive Intranet/Internet system which permits the dissemination of information including applicable regulations and procedures manuals. CASA has its own technical library and staff has access to the library of Airservices Australia which contains general documentation previously held by the Civil Aviation Authority Central Library.

5.3.2.16 The budget of CASA for 1999/2000 is over 83 236 000 Australian Dollars (AUS $). The revenue sources are mostly from fuel excise which accounts for more than half (AUS $ 46 688 000) and appropriations from State budget (AUS $ 29 798 000). The rest is generated from fees, interest and other revenue such as accrual adjustments. The previous budget was AUS $ 78 701 000 for 1998/1999 (AUS $ 75 711 000 actual) and AUS $ 75 349 000 for 1997/1998 (AUS $ 73 811 000 actual). The actual revenue is lower than the budgeted revenue mainly due to a loss of fuel excise.

5.3.2.17 CASA is free to allocate its revenue as it sees fit. The majority of resources are allocated to human resources, including AUS $ 52 410 000 for staff costs and AUS $ 2 603 000 for training costs.

5.3.2.18 Although CASA has the structure and a sufficient number of properly qualified staff to discharge its safety oversight responsibility, it is unable to meet the surveillance goals set out in the Aviation Safety Surveillance Programme Manual (less than 50% in certain areas). This is partially due to the fact that CASA has embarked on three major projects (a major reorganization, the rewriting of the regulations and the transition towards a new audit policy) which require a considerable effort from the technical staff. While one of the projects has the potential of reducing the workload requirements, the development and initial implementation process demand a higher effort from the staff which may result in a significant reduction of safety oversight surveillance activities. The possibilities are recognized by CASA which explains the situation as being unavoidable due to the need to undertake the change process. As a result, CASA has introduced management systems in place to address and minimize any risk which may result from the situation. It also affirms that significant progress is being made while regulatory oversight standards are being maintained at an acceptable level.

5.3.3 Specific findings and recommendations

The organizational structure of CASA to support its safety oversight activity is fully satisfactory. CASA has an adequate authority, personnel and financial resources and an effective and efficient working strategy to support its safety oversight obligations and responsibilities. For this reason, there were no findings and recommendations made relative to the organization of the civil aviation system in Australia.

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5.4 Personnel licensing and training

5.4.1 Organization and staffing of personnel licensing in Australia

5.4.1.1 The issuance of licences is governed by Part 5 (Qualifications of flight crew) and Part 6 (Medical) of the Civil Aviation Regulations 1988; and Part 40 (Pilot Licences and Ratings), Part 43 (Flight Engineer), Part 45 (Flight Crew Standards Synthetic Flight Trainers), Part 50 (Air Traffic Controller Licensing), Part 80 (Flying School Licence) and Part 100 (Aircraft Maintenance Engineer) of the Civil Aviation Orders. The Regulations and Orders are complemented by several manuals and the Civil Aviation Advisory Publications.

5.4.1.2 CASA directly issues all the licences contained in Annex 1 with the exception of the glider pilot, flight operation officer/flight dispatcher and aeronautical station operator licences. No new flight navigator licences were issued but some are still active. CASA has also the authority to issue licences on the basis of foreign licences or validate foreign licences. The Australian regulations and supporting guidance material are comprehensive and complete but differ from the ICAO SARPs on a number of points, listed in Appendices 6 and 7 of the audit interim report forwarded to Australia on 10 September 1999.

5.4.1.3 Within CASA, the Aviation Safety Standards Division is responsible for developing and maintaining personnel licensing standards. Within the division, the responsibility for Flight Crew Licensing is under the Operational and Flight Crew Licensing Standards Branch, the AME licensing under the Maintenance Standards Branch and the Air Traffic Control Licensing under the Airspace, Air Traffic and Aerodrome Standards Branch.

5.4.1.4 The Aviation Safety Compliance Division is responsible for the day-to-day administration of the licensing process. This is done essentially through the General Aviation Offices although the Headquarters Safety Standards Division is involved in some of the foreign validation process and in the physical issuance of the licences.

5.4.1.5 The procedures for the issuance of personnel licensing are contained in a Flight Crew Licensing Manual and an Aircraft Maintenance Engineer Licensing Manual. The licensing process is supported by a computerized system the Licensing and Aircraft Registry Programme (LARP) where all licensing actions are recorded. The documentation supporting the issuance of a licence or rating of a flight crew is kept in a daily file of the issuing office and can be traced through LARP.

5.4.1.6 Examinations for private pilot licences are given directly by the Flying Training School. When a training school needs to set an examination, the papers are sent by fax to the training school. Written examinations for the CPL, ATPL and instrument rating are organized directly by CASA on a monthly basis (CPL and Instrument Rating) or bi-monthly basis (ATPL), in approximately twenty various locations in the country. All completed examination papers are marked by CASA Headquarters which enters the results in the LARP system and advises the applicant by mail. In addition to the result advice slip, applicants receive a knowledge deficiency report which explains their areas of weakness. The flight examiners are required to check these areas during the test.

5.4.1.7 Most of the flight tests (approximately 98%) are given by Authorized Testing Officers (ATOs) who are appointed for a period of one year renewable by CASA Headquarters following a nomination by the manager of the district or area office. Most of the ATOs, close to 800, also hold an administrative delegation to enter endorsement and rating on the logbook. Each ATO is supervised by a CASA Flight Operations Inspector (FOI), responsible for five to ten ATOs. ATOs are provided with the Flight Crew Industry Delegates Handbook and their regular instrument and instructor pilot proficiency checks are normally given by their supervising FOI when they hold such ratings. However, there is no formal initial or recurrent training. The team was informed of some initiative of field offices and/or individual FOI but could not find any evidence of an authority wide effort to ensure the standardization and the continuing competency of the ATOs beyond the distribution of the handbook.

5.4.1.8 Australia does not issue licences to glider and free balloon private pilots. They are exempted from holding a licence under CAO 95.4 and CAO 95.54 provided that they meet the competency requirements established by the Gliding Federation of Australia and the Australian Ballooning Federation respectively.

5.4.1.9 Licensing of air traffic controllers is delegated to Airservices Australia under an Instrument of Delegation (CASA 41/97 dated 22 February 1997). As a result, Airservices Australia is responsible for developing and implementing the training programme, the standard of performance, the examination and testing system and the physical issuance of the licence. CASA conducts regular audits of Airservices Australia and of its training/licensing activities.

5.4.1.10 The Maintenance Standards Branch is responsible for the licensing of aircraft maintenance engineers (AMEs). CASA issues AME licences with airframe, engines, radio, electrical and instrument categories. The applicant has to pass the relevant written examination which is organized regularly on a pre-set schedule. No formal practical examination is conducted but applicants have to maintain a detailed record of their activities which have to be certified on a daily basis by a licenced engineer. Once the applicant meets the experience requirement, he or she is issued with the applicable licence.

5.4.1.11 Examinations for medical certification are provided exclusively by the 900 Designated Aeronautical Medical Examiners (DAMEs). DAMEs have no authority to directly issue the assessment although they issue a temporary certificate, valid for two months. Once the medical examination is completed, the DAME mails the result to the Office of Aviation Medicine in Canberra. A plan to move from mail to electronic transmission is under consideration. The results are checked by the Office and, if found to meet the requirements, the medical certificate is issued. Difficult or border line cases are assessed by the Doctor of the Office who may request expert advice from specialists. All data provided by the medical examiners and the action taken by the Office of Aviation Medicine are entered in the medical database and the status of the medical certification of each individual is transferred to the LARP automatically by using a daily batch transfer system.

5.4.1.12 DAMEs are normally designated for a period of two years. They are appointed from among medical doctors with experience in aviation medicine but this is not always possible in respect of medical doctors located in remote areas. The Office of Aviation Medicine has published a Designated Aviation Medical Examiners Handbook to guide the work of the DAMEs. Regular seminars are organized but DAMEs are not required to attend.

5.4.1.13 The approval of flight training schools is granted under CAO, Part 80, and the schools are issued an AOC valid for one year. The certification process for one training school was reviewed and found to be in accordance with the established requirements. Records and files of several individual pilots were also reviewed and found to be in order.

5.4.1.14 In general, due process is given to the issuance of licences and the personnel licensing system established by CASA is mostly in compliance with international standards and offers the necessary level of integrity.

5.4.2 Specific findings and recommendations

In the course of the audit and in line with the procedures established on the basis of the MOU signed between Australia and ICAO, four (4) findings relating to personnel licensing and training in Australia were identified as items of concern requiring Australia to develop and implement an action plan for their resolution. In this respect, four (4) recommendations have been developed to assist Australia in formulating and developing its corrective action plan. The specific findings and recommendations resulting from the audit conducted and relating to personnel licensing and training issues are found in Appendix 3 of the audit interim report forwarded to Australia on 10 September 1999.

5.4.3 Corrective action plan proposed/taken by Australia

5.4.3.1 With respect to the recommendation on endorsing flight crew licences which do not meet international requirements and on seeking the permission to enter other Contracting States, CASA, in the immediate term, indicated that it will notify all pilots via aeronautical information circulars (AIC) of differences, means of compliance and need to obtain permission of other States to operate if not compliant. In the short term, CASA will endorse all new paper licences issued from January 2000 and for those pilots seeking re-issue/renewal. In the long term, CASA intends to remove differences, except where justified, in the proposed new regulation CASR Part 61.

5.4.3.2 With respect to the issue of clearly affirming CASAs role in controlling the air traffic controller licence and ratings, CASA indicated that there is a binding legal instrument dated 31 May 1999 which gives it the ability, in its own right, to exercise powers of issuance, annotation, suspension and cancellation at its own determination. However, it agrees that oversight may have been insufficient. CASA will not make any immediate change to current arrangements with Airservices Australia but it will investigate changes to internal guidance for its audits of Airservices Australia. In the short and long terms, it is envisaged that, with the existence of multiple providers, a centralized system of licence issuance by CASA will be enacted.

5.4.3.3 With respect to the exemption granted to glider and free-balloon pilots, CASA, in the short term, indicated that it will require the delegated Federations to endorse all certificates (CASA to provide suitable wording) and confirm a long-term requirement of the respective Federations as issuing authorities to issue ICAO compliant licences under CASR Part 61.

5.4.3.4 With respect to CAR 5.66 (3 and 4), which authorizes student pilots to fly outside the Australian territory as pilot-in-command, CASA will in the long term replace CAR 5.66 (3 and 4) and consider the elimination of SPL in proposed CASR Part 61, while in the short term it will endorse SPLs with the wording "not for international use subject to approval by the relevant State authority".

5.4.4 Differences to ICAO SARPs

Differences existing between the national regulations and Annex 1 SARPs or SARPs not implemented are contained in Appendices 6 and 7 of the audit interim report forwarded to Australia on 10 September 1999.

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5.5 Aircraft operations

5.5.1 General requirements

Annex 6, Part I, paragraph 4.2.1.3, requires that the issuance of an air operator certificate (AOC) depends on the operator demonstrating an adequate organization, method of control and supervision of flight operations, training programmes and maintenance arrangements consistent with the nature and extent of the operations specified. Paragraph 4.2.1.6 requires the State to establish a system for both the certification and the continued surveillance of the operator to ensure that required standards of operations are maintained.

5.5.2 Aircraft operations in Australia

5.5.2.1 Organization and staffing

5.5.2.1.1 CASA, through the Director of Aviation Safety, is responsible for the certification and surveillance of aircraft operations authorized pursuant to the Australian legislation. The oversight of aircraft operations is performed by a central administration office located in Canberra and area/district offices of which three include airline operation sections. Under the Director, the responsibilities are shared between the Aviation Safety Standards and the Aviation Safety Compliance Divisions. Each Division operates under the leadership of an Assistant Director reporting to the Director of Aviation Safety.

5.5.2.1.2 The Aviation Safety Standards Division is responsible for formulating policies and standards leading to the drafting of regulations and orders and to the establishment of procedures in all areas of aviation activities including aircraft operations. The Division is located in Canberra.

5.5.2.1.3 The Aviation Safety Compliance Division is in charge of the programme delivery in accordance with the regulations and procedures established in the Aviation Safety Standards Division. The Aviation Safety Compliance Division performs the inspection and verification tasks associated with the certification and surveillance of the air operators. This Division is responsible for the oversight of aircraft operations as well as other sectors of aviation. The Aviation Safety Compliance Division is also responsible for any enforcement action to be undertaken.

5.5.2.1.4 Out of the ninety-six technical inspectors employed by CASA in the area of aircraft operations, seventeen are in the central office and seventy-nine in the other offices. At the time of the audit, aircraft operations activities, like all other CASA activities, were in the process of a major reorganization. A new organizational chart depicting the proposed structure with new positions and responsibilities had been established. Acting managers had been tasked to assume responsibilities until completion of the recruitment process to fill the positions on a permanent basis. The audit team was informed that all managerial positions were to be filled on a contractual basis.

5.5.2.1.5 The oversight of aircraft operations is the responsibility of the Compliance Division shared between the Airline Operations Branch and the General Aviation Branch. The Airline Operations Branch is responsible for regular public transport and charter operations conducted with aircraft in the high capacity category and with aircraft in the low capacity category. The General Aviation Branch is responsible for the commercial operations conducted with the smaller aircraft. Branches are headed by General Managers reporting to the Assistant Director.

5.5.2.1.6 In theory, the dividing line for the determination of responsibilities has been established at thirty seats capacity as prescribed by aircraft certification criteria. This theoretical division is used as a reference and the application is based on practicality. In practice, the decision to determine whether the oversight should be conducted by the Airline Operations Division or by the General Aviation Division is based on the merits of each case. To that extent, a high capacity Regular Public Transport (RPT) operator wishing to add to its fleet an aircraft of less than thirty seats would be monitored by the Airline Operations Division for the operation of the added aircraft. A new operator, or an air operator already supervised by the General Aviation Division, wishing to add an aircraft of more than thirty seats could be monitored by the General Aviation Division.

5.5.2.1.7 In the emerging new structure of CASA, the responsibilities for air operator certification and surveillance are properly defined and assigned to specific managers. CASA has a sound aircraft operations structure which is adequately staffed to effectively conduct the certification and surveillance of air operators.

5.5.3 Operations certification in Australia

5.5.3.1 The Civil Aviation Act of 1988 requires that an Air Operator Certificate (AOC) be issued for an aircraft to be operated commercially in Australia. The Act also authorizes CASA to issue AOCs and to establish requirements.

5.5.3.2 CASA, as authorized by regulations, established certification requirements which are published in a comprehensive Air Operator Certification Manual (AOCM). The manual, which serves as an inspectors handbook as well as an information package for any applicant, is readily available to any current or prospective operator.

5.5.3.3 The AOCM outlines all requirements concerning air operator certification. It also describes the certification process itself. A prospective applicant is required to notify CASA in writing of the proposed operation including a general overview.

5.5.3.4 The certification process is conducted by a team of experts led by a team manager. A pre-application meeting is then scheduled to exchange information. The meeting is intended for the applicant to receive explanations concerning the details of the certification process and concerning the requirements to be met. All relevant documentation, forms to be filled out and other pertinent information are conveyed to the applicant while CASA obtains further information concerning the proposed operation.

5.5.3.5 CASA conducts certification on a cost-recovery basis. Therefore, further to the pre-application meeting, CASA provides the applicant with an estimate of the costs to be incurred by the applicant for the certification of the operation as specified during the pre-certification meeting.

5.5.3.6 Once the applicant agrees with the conditions and the associated costs and decides to proceed further in the process, the applicant has to submit for review and approval by CASA all documentation, manuals and training programmes required in support of the proposed service as well as a detailed compliance statement.

5.5.3.7 CASA in turn reviews the documents submitted by the applicant to determine their conformity with applicable regulatory requirements and their suitability with the proposed operation. Once the document is deemed satisfactory, the content is validated through inspections of the facilities, monitoring of training and proving flights. After all requirements are satisfactorily met, an AOC is issued for a period not exceeding six months at the end of which conformity is again verified.

5.5.3.8 The certification process used for the initial certification of an operator is also used for the addition of an aircraft type to an existing operation.

5.5.3.9 The only certification file reviewed was an active file in Melbourne concerning the addition of an aircraft type to an existing operation. The team noted that the certification process was properly documented and that all correspondence exchanged with the operator, within CASA and reports concerning the review and approval of training programmes, were included in the file.

5.5.3.10 The certification procedures meet the requirements prescribed in the AOCM which are generally in accordance with the SARPs contained in Annex 6.

5.5.4 Operations supervision in Australia

5.5.4.1 The Civil Aviation Act of 1988, which provided for the establishment of CASA, determined its functions and responsibilities concerning surveillance which are listed in paragraphs 5.3.2.1 and 5.3.2.2.

5.5.4.2 To meet the prescribed surveillance obligations, CASA developed the Aviation Safety Surveillance Programme (ASSP) on the basis of a detailed "ASSP Manual" supplemented by a comprehensive database.

5.5.4.3 The ASSP Manual contains detailed instructions for the planning, conduct and follow-up actions related to surveillance activities. It also provides inspection report forms to be used in the performance of all phases of operational inspections such as ramp inspections, en-route inspections, base inspections, training programme review, training records, operation and flight records, aircraft maintenance records and flight crew proficiency checks, etc.

5.5.4.4 The manual outlines the general philosophy and detailed methodology governing surveillance activities and the guidelines published by the central office containing criteria to identify priorities in the establishment of a surveillance plan. A surveillance plan and the inspection cycles and frequencies are established in accordance with the procedures provided in the ASSP Manual. Area Managers have the authority to re-evaluate priorities and frequency of inspections on the basis of information received which might have an influence on the level of safety maintained by an operator. The system also provides the required flexibility for the adaptation of the plan to the type and complexity of an operation while providing the required service to operators. To that extent, the inspection plan established for a major airline operation is revised on a monthly basis to provide for the required adaptation to changing needs and the constant evolution of the operational environment.

5.5.4.5 The Aviation Safety Surveillance System was supported by a computerized database which contains the results of all surveillance activities. The information entered in the database is also used to establish a compliance profile for each operator and could also be used to identify trends. Information concerning notices of non-conformity issued to an operator is also recorded in the system with sufficient details to allow for a follow-up on due dates for either a response from the operator or further action by CASA. The system also provides a capability to search and compile information for the production of reports allowing for the establishment of selection criteria to target the information sought.

5.5.4.6 The overall surveillance plan contains established projected surveillance targets which, upon implementation of the plan, translate into varying results in the area of aircraft operations. High capacity RPT operations inspections are performed at a relatively high level in excess of seventy per cent of the planned targets while in other areas bearing a lower priority, like corporate operations and other areas covered by general aviation, the level of implementation of the plan is lower than thirty per cent. The audit team was unable to determine whether those variations in the implementation of the plan resulted from a lack of resources, changing priorities or unrealistically planned targets.

5.5.4.7 CASA is in the process of redefining its surveillance philosophy to move from the "end product" sampling concept to a "systems audit" concept. Once the transition is completed, each operator will be required to establish its own operations quality assurance system and to establish and support its own self-audit capability. CASA would then concentrate its efforts to audit systems rather than products in conducting audits. The system approach would also provide for some flexibility in allowing for variations in the audit cycles based on risk assessments.

5.5.4.8 The decision to establish a different approach is based on the need to make better utilization of available resources, the need to reduce disparities between regions and even individuals in the performance of surveillance activities which have given uneven results.

5.5.4.9 CASA has already initiated the transition to the new surveillance concept. A new structure has already been established replacing existing positions with new positions. Management is in the process of staffing the new positions.

5.5.4.10 While these changes are taking place, the implementation of the surveillance plan is also changing from a specialized assignment approach to a team concept approach. In the previous approach, each of the specialized areas (i.e. airworthiness, dangerous goods, aircraft operations, etc.) implemented its own part of the inspection plan in an autonomous manner which led to multiple repeated interventions with the operator. The team concept relies on a multi-disciplinary approach whereby a team, in a single intervention, reviews many facets of an operation.

5.5.4.11 The surveillance requirements and procedures outlined in the ASSP Manual are generally in accordance with ICAO requirements and guidance material. The surveillance activities are performed in accordance with the procedures established in the ASSP Manual.

5.5.5 Specific findings and recommendations

In the course of the audit and in line with the procedures established on the basis of the MOU signed between Australia and ICAO, four (4) findings relating to aircraft operations and the certification and supervision of operators in Australia were identified as items of concern requiring Australia to develop and implement an action plan for their resolution. In this respect, four (4) recommendations have been developed to assist Australia in formulating and developing its action plan. The specific findings and recommendations resulting from the audit conducted and relating to the supervision of operators are found in Appendix 4 of the audit interim report forwarded to Australia on 10 September 1999.

5.5.6 Corrective action plan proposed/taken by Australia

5.5.6.1 With respect to a recommendation relating to the revision of regulations to establish an appropriately defined structure for the development and approval of training syllabi, Australia indicated that in the short-term (by 30 November 1999), it would issue a policy requiring operators to introduce initial, recurrent and CRM training ahead of the introduction of the new regulations. In the long-term (by January 2002), new regulations will mandate initial and recurrent training including ETOPS and CRM, as applicable.

5.5.6.2 On the need for the establishment of an aircraft type training policy, CASA will ensure that, as of 30 June 2000, each type specialist receives eight hours of training and that the training continues to be conducted with periodic reviews. On the establishment of a training programme, CASA has employed the services of a technical expert from the industry to analyse the training needs and develop the training programmes and support the infrastructure required. This programme is expected to be introduced by 30 June 2000 and then a continuing programme will be introduced. With respect to ensuring that inspector training records reflect all technical training received, CASA indicated that a Manager Flying Operations Training will be recruited (30 November 1999) and an accessible database system would be established (by 31 December 1999) to record all flying training and other qualifications. By 30 June 2000, a centralized training records system would be established and by December 2000, the system will identify any training requirements, flying or technical, which are unfulfilled and allow corrective action to be taken.

5.5.6.3 With respect to a recommendation requiring CASA to establish an adequate means for the management of the implementation of the surveillance plan, CASA in the immediate produced a new plan for the current year and committed resources to achieve the plan related to airline operations, while scheduling a review of the general aviation surveillance plan in October 1999. In the long-term, CASA will establish a project plan for general aviation similar to that established for airlines, to be completed by 31 March 2000.

5.5.7 Differences to ICAO SARPs

Differences existing between the national regulations and Annex 6 SARPs or SARPs not implemented are contained in Appendices 6 and 7 of the above-mentioned audit interim report.

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5.6 Airworthiness

5.6.1 General requirements

The issue, renewal and validation of certificates of airworthiness are key elements of a State's safety oversight responsibilities. Certification of aircraft should include proper inspection of aircraft and examination of appropriate documentation as described in Doc 9389, Chapter 6. Special attention should be given to approval of modifications and repairs, as indicated in Doc 9642, Part V, and to the implementation of mandatory airworthiness information (airworthiness directives) as indicated in Doc 9389, Appendix 4B. Such a system should include proper regulatory framework, as outlined in Doc 9389, Chapter 2. It should also include an adequate organization covering engineering aspects, as appropriate, and inspection of aircraft, operators and maintenance organizations as outlined in Doc 9389, Chapters 3 and 4.

5.6.2 Airworthiness engineering activities

5.6.2.1 Regulatory basis

5.6.2.1.1 The basic regulatory requirements for aircraft certification in Australia are contained in CARs 1998 which incorporate other Airworthiness Codes such as US FARs and European JARs. Additional requirements are contained in CAO 101.54 for manned free balloons and CAO 101.55 for aeroplanes with a maximum weight not exceeding 450 kg.

5.6.2.1.2 The main regulatory references applicable to aircraft certification are:

1. Regulations for design changes: Requirements for design approval of modifications and for Supplemental Type Certificates are contained in CARs 1998, Part 21, Sub-parts D and E.
2. Regulations for approval of design organizations: Requirements for approval of design organizations are contained in CARs 1988, Regulation 30 Certificates of Approval. This regulation specifies that "a certificate of approval" is subject to:
   1. condition that each activity covered by the certificate must be carried out only at a place where the facilities and necessary equipment are available to the holder of the certificate; and
   2. a condition that the activities covered by the certificate must be carried out in accordance with a system of quality control.
3. Regulations for design organization (responsibilities regarding continuing airworthiness): Requirements for holders of type certificate, supplemental type certificate, an Australian parts manufacturer approval or an Australian TSO authorization are required to report failures, malfunctions and defects to CASA under CARs 1998, Part 21, paragraph 21.3. Design organizations are not required to have a system for receiving continuing airworthiness information from operators and for providing necessary guidance. Through the Australian Major Defect Reporting System, all information is sent to CASA which informs the design organization of significant occurrences which need to be analysed. Under CARs 1998, Part 21, paragraph 21.50, "the holder of a design approval, including either the type certificate or supplemental type certificate for an aircraft, aircraft engine or propeller must furnish at least one set of complete instructions for continued airworthiness".
4. Regulations for approval of production organizations: Existing manufacturers have been approved under CARs 1988, Regulation 30 Certificates of Approval and associated CAAP 30. New requirements for production organizations had been adopted and included in CARs 1998, Part 21, Sub-part G Production Certificates.

5.6.2.2 Organization and staffing

5.6.2.2.1 The airworthiness engineering duties are shared by the Certification Standards Branch and the Engineering Support Group. Within the Aviation Safety Standards Division, the Certification Standards Branch is responsible for:

1. setting standards regarding the certification of aircraft and the approval of design and production organizations;
2. issuing initial and amended type certificates, supplemental type certificates (STCs) and complex modifications; and
3. ensuring continuing airworthiness of aircraft types registered in Australia and issuing appropriate airworthiness directives when needed.

5.6.2.2.2 The Certification Standards Branch was previously part of an Airworthiness Branch which was also responsible for maintenance standards. It has just been reorganized in three sections (Airframes, Systems and Project Support). Fifteen engineers are working within the Certification Standards Branch. The reorganization is not yet completed and staff has to be formally appointed in the new sections.

5.6.2.2.3 Within the Aviation Safety Compliance Division, the Engineering Support Group is responsible for approving major modifications and repairs, for surveying design organizations and for appointing persons authorized to approve modifications and repairs. It is also providing performance-engineering support for operators certification and technical support to the Certification Standards Branch. The Engineering Support Group is located in Bankstown (one manager and two engineers) and has an office in Melbourne (four engineers) and in Brisbane (one engineer). Some further reorganization is planned with the nomination of team leaders in Bankstown and Melbourne. The Engineering Support Group is participating in monthly management meetings of the Aviation Safety Compliance Division. Respective roles of the Certification Standards Branch and Engineering Support Group need clarifications in certain areas. In the same manner, responsibilities for approval and surveillance of production organizations within the Compliance Division have also to be clarified.

5.6.2.2.4 Airworthiness engineers are graduated engineers of the Institute of Engineers of Australia. They receive ad hoc training in various subjects such as non-destructive testing, composites or accident investigation.

5.6.2.2.5 CASA has delegated some of its responsibilities for approval of modifications and repairs to Authorized Persons, under CARs 1988, Regulation 6. There are about 170 engineers who have been authorized by the Engineering Support Group Manager.

5.6.2.2.6 There is a complete and up-to-date technical library for airworthiness inspectors and engineers in Canberra.

5.6.2.3 Procedures

5.6.2.3.1 CASA conducts its work according to the procedures set in a number of manuals which are available to guide airworthiness inspectors and engineers in carrying out their duties. The procedures are summarized as follows:

1. Procedures for type certification: For Australian design, procedures for type certification are included in an airworthiness instruction which should be changed to Advisory Circular 21.3. Although Part 21 does not explicitly require it, CASA considers that an approved organization can apply for a type certificate. The application has to be submitted with a Design Advice by an authorized engineer. CASA sets the certification basis and puts in place a Type Certification Board. An engineer from the Certification Standards Branch is nominated as Project Officer and works with specialists from the Branch, engineers from the Engineering Support Group and airworthiness inspectors within the regional office. The flight tests are carried out by the design organizations pilots and the CASA test pilot conducts verification tests. Issue papers are raised on conflicting aspects. At the end of the process, a compliance summary report is completed and the type certificate is signed by a delegate of the Director. A type certificate data sheet is attached to the type certificate. For imported aircraft, CARs 1998, Regulation 21.29A, permits a simplified procedure when a type certificate has been issued by either Canada, France, the Kingdom of the Netherlands, the Federal Republic of Germany New Zealand, United Kingdom or the United States of America. This simplified procedure is only requiring that CASA be provided with:
   1. evidence that the type design has been approved by the National Aviation Authority (NAA) of the recognized country by issue of a type certificate or equivalent document;
   2. details of any equivalent safety determinations or waivers that were made in the course of the type certification;
   3. a copy of the applicable type certificate data sheet;
   4. a copy of the flight manual which contains all the available options applicable to the type and which was approved by the NAA that issued the foreign type certificate;
   5. a copy of the manufacturers instructions for continued airworthiness of the aircraft;
   6. a copy of the parts catalogue for the aircraft;
   7. a list of all current field service documents applicable to the aircraft; and
   8. an undertaking from the holder of the foreign type certificate to continue to supplying to CASA service bulletins and instructions for the continuing airworthiness of aircraft of that type.
   
   
   Under CARs 1998, Regulations 21.29B and 29C, CASA could impose conditions in addition to those specified by the State issuing the type certificate.
   
2. Procedures for approval of modifications and repairs: Simple modifications and repairs are approved directly by authorized engineers. For more complex modifications, authorized engineers have to present a Design Advice presenting the intended modification/repair to the Engineering Support Group. The Engineering Support Group defines conditions under which the authorized engineer could design the modification/repair (such as the need for other technical experts in specific fields or checking compatibility with existing modifications/repairs). It either gives them authorization to approve the modification/repair under the conditions given or requires direct approval by CASA. The work which authorized engineers could approve directly and the one which they could submit under a Design Advice are listed in the conditions of their instrument of appointment.
3. Procedures for Authorized engineers: The applicant is provided with a leaflet containing guidance on what is expected from an authorized person. He has to justify appropriate qualifications and experience and prepare a procedures manual and a sample approval file. The applicant is then interviewed on his/her understanding of the relevant responsibilities. The instrument of appointment of an authorized person is granted when convinced that the applicant is able to justify decisions in front of a court and includes conditions under which he/she approves modifications and repairs.

5.6.2.4 Surveillance

5.6.2.4.1 Surveillance of type certified products: Major defects reported to CASA are analysed by the Certification Standards Branch. When continuing airworthiness is in question, CASA informs the manufacturer of the problem and requests an explanation. CASA has issued Airworthiness Policy Notice 001 for defining CASAs approach to compliance with CARs 1988, Regulation 37A, outlining who is accountable for the issue, revision and revocation of airworthiness directives (ADs) and ensuring that CASA meets its obligation regarding the exchange of continuing airworthiness information under Annex 8. Detailed procedures for issuance of airworthiness directives are contained in a draft procedures manual.

5.6.2.4.2 For imported aircraft, CASA issues its own ADs usually based on those issued by the State of Design. Airworthiness Policy Notice 001 is provided for information of the State of Design if CASA issues its own ADs. According to Chapter 6.8 of the MDR Manual, defect data tapes are exchanged with the Federal Aviation Administration (FAA), Transport Canada and CAA (United Kingdom) twice a year.

5.6.2.4.3 Surveillance of authorized engineers: Procedures for surveillance of authorized engineers are contained in the ASSP Manual. Surveillance is combining system audit (procedures to be followed by the authorized persons such as file content) and product audit (review of an approval granted by the authorized person).

5.6.2.4.4 The Australian system in place for oversight of design activities is satisfactory; adequate regulations have been established; competent engineers are employed and procedures have been developed to help technical staff carrying out their duties.

5.6.3 Continuing airworthiness activities

5.6.3.1 Regulatory basis

All certificates of airworthiness are issued/renewed on a continuing basis through the implementation of CAR 21.176 and maintenance organizations are approved under the provisions of CAR 30 and CAAP 30. Other policy and regulations developed in support of and/or implemented for continuing airworthiness are CARs 21, 30, 39, 42 and its associated schedules, 43, 50 and 269.

5.6.3.2 Organization and staffing

5.6.3.2.1 The airworthiness duties of controlling and supervising airworthiness activities in Australia through CASA are shared by the Aviation Safety Standards Division (ASSD) and the Aviation Safety Compliance Division (ASCD) at Headquarters in Canberra and its policies and procedures are further articulated through its seven regional offices in Australia.

5.6.3.2.2 Within the ASSD, two branches are involved with continuing airworthiness standards development:

1. the Certification Standards Branch whose activities are described in paragraph 5.6.2.2.1; and
2. the Maintenance Standards Branch which:
   1. sets certification standards for continuing airworthiness matters for air carriers and commercial operators;
   2. directs, manages and executes certification inspection and surveillance standards to ensure adequacy of aircraft maintenance and the maintenance aspects of continued programmes; and
   3. manages the systems for registry of Australian civil aircraft.

5.6.3.2.3 The Aviation Safety Compliance Division has two Branches primarily responsible for the implementation of airworthiness standards:

1. the Airline Operations Branch (and corresponding three airline offices: Melbourne, Sydney and Brisbane); and
2. the General Aviation Operations Branch (and corresponding general aviation area offices) also responsible for the issuance of certificates of registration, certificates of airworthiness, certificates of approval for maintenance organizations and appointment of authorized (delegated) persons in these fields.

5.6.3.2.4 The Engineering Support Group (ESG) which is also part of the Aviation Safety Compliance Division has the responsibility for approving major modifications and repairs, surveying design organizations and for appointing persons authorized to approve modifications and repairs. However, this group does at times become involved in continuing airworthiness issues on a case-by-case basis.

5.6.3.2.5 CASAs Airworthiness Inspection organisation is found to be in a state of transition and reorganization. Many of the airworthiness regulations and inspector positions are under review and a massive recruitment is underway. In addition, the entire surveillance and inspection programme is also under reorganization and change. CASAs Airworthiness Inspection organisation is responsible for over 478 large aircraft in excess of 5 700 kg, 8 596 small aircraft, 817 helicopters and 1 364 other sport and ultra-light aircraft. In addition, there are over 1 300 approved maintenance organizations.

5.6.3.3 Procedures

5.6.3.3.1 CASA has an extensive Intranet computer system which allows technical staff to access appropriate information including applicable regulations and procedure manuals throughout Australia. CASA has its own technical library and has Internet computer access to other libraries and Internet sources for aviation activities around the world.

5.6.3.3.2 There are 1 115 approved maintenance organizations under CASAs jurisdiction and this is matched with an inspection organisation which consists of twenty-four airworthiness inspectors assigned to CASA Headquarters in Canberra and ninety airworthiness inspectors assigned to the seven regional area offices located throughout the country. The function of continued airworthiness oversight is implemented by authorized maintenance inspectors using CASAs Aviation Safety Surveillance Programme guidance material. This is a thirteen volume manual covering all aspects of aviation surveillance for airworthiness and other inspection personnel. At the time of the audit, CASAs airworthiness inspection organisation was transiting from a product-oriented inspection approach to one that is systemic in nature and based on a "risk assessment model" for surveillance and oversight.

5.6.3.3.3 All CASA airworthiness inspectors are empowered by the Civil Aviation Regulations of Australia to perform their inspection and oversight duties. Each CASA airworthiness inspector has received an Instrument of Delegation and Authorization specifying the scope of inspection authority. The list of those Instruments of Delegation and Authorization are accessible via Intranet. The authority delegated is also indicated on the Inspectors Credential (identity card). Under Regulation 305 of the Civil Aviation Regulations, inspectors are authorized to have unlimited access to all aircraft and facilities for inspection purposes.

5.6.3.3.4 The procedure for issuing delegated authority on continuing airworthiness matters and for their oversight by CASA personnel is similar to that for an Authorized Certification Engineer described above.

5.6.4 Visit to district offices

5.6.4.1 Sydney District Office

The Sydney District Office oversees the airworthiness activities in New South Wales and is responsible for the certificates of three major air carriers, including Qantas Airways and Ansett Australia. The Sydney District Office has a staff of eight airworthiness inspectors, three of which are avionics qualified, ten flight operations inspectors and five administrative personnel. Airworthiness inspector training records and Instruments of Delegation authorizations were reviewed and found to be satisfactory. Also, the audit team focussed on ETOPS management, quality control, maintenance personnel training and inspection and a full maintenance file of an approved maintenance organization was checked and found to be satisfactory. The only area requiring further management attention is in the area of ETOPS manual approval as two of the manuals reviewed were found to be in need of revision and further clarification.

5.6.4.2 Melbourne District Office

5.6.4.2.1 The Melbourne District Office, located in Victoria, is responsible for the high capacity air transportation needs of its geographic area and for the general aviation and engineering oversight of its region. It is primarily responsible for Ansett Australia, an international and domestic air carrier with approximately eighty aircraft including Boeing 747, B-767, B-737, Airbus A-320 and a small fleet of BAE-146's and SAAB 340's.

5.6.4.2.2 The Melbourne District Office has a total of eight airworthiness inspectors of which three are avionics qualified. The inspectors are responsible for the other seven air charter and air taxi operators in the region and several general aviation operators flying in and around Victoria. The organizational structure of the Melbourne Office is similar to that of the Sydney Office with the high capacity and the general aviation duties being separated according to the number of passenger seats. There are around thirteen designees in the area reporting to the district office and being under the supervision of the regional office. A sample audit of the maintenance control procedures manuals for some of the maintenance organizations were found to be very rudimentary and do not contain the information included in the latest revision to Annex 6, Chapter 8. It was noted that the CASA pamphlet on this subject is also out of date as it does not reflect the latest amendment. A sample audit of the documentation and audit follow-up for an international air carrier was also reviewed and found to be satisfactory as all corrective actions have been listed in the district offices computer Intranet system and targeted for time and corrective action response.

5.6.4.2.3 The Australian system in place for oversight of airworthiness is satisfactory; adequate regulations have been established; competent engineers are employed and adequate procedures have been developed to help technical staff carrying out their duties.

5.6.5 Specific findings and recommendations

In the course of the audit and in line with the procedures established on the basis of the MOU signed between Australia and ICAO, seven (7) findings relating to continuing airworthiness in Australia were identified as items of concern requiring Australia to develop and implement an action plan for their resolution. In this respect, seven (7) recommendations have been developed to assist Australia in formulating and developing its action plan. The specific findings and recommendations resulting from the audit conducted and relating to continuing airworthiness issues are found in Appendix 5 of the audit interim report forwarded to Australia on 10 September 1999.

5.6.6 Corrective action plan proposed/taken by Australia

5.6.6.1 With respect to the recommendation on the need to revise the airworthiness regulations, Australia indicated that initially CASA will bring to the attention of airworthiness inspectors the recent changes to the Annex in order for them to bring the changes to the notice of all international AOC holders. Airworthiness inspectors will then ensure that these requirements are included in the operators programme. In the short and long terms, existing advisory material will be revised and internal procedures will be developed and published by 1 June 2000 and CASAs Regulatory Framework Programme will incorporate these changes to the Annex by late2000.

5.6.6.2 On the issue of the development and submission of operators maintenance reliability programmes, CASA will promulgate a policy to re-implement the previous method of oversight of reliability programmes and will also develop and publish additional advisory material and internal procedures by 30 March 2000. CASAs regulatory framework programme will clearly incorporate the requirement for a reliability programme by late 2000.

5.6.6.3 On the issue of revising the regulations to include comprehensive ETOPS requirements, CASA will initially bring to the attention of inspectors the need for ETOPS programmes and programme control and the inspectors will then ensure that these requirements are included in the approved system of maintenance. CASA will also develop and publish additional advisory material and internal procedures early in 2000. CASAs regulatory framework programme will clearly incorporate the requirement for a reliability programme by late 2000.

5.6.6.4 With respect to the provision of recurrent training, CASA indicated that it will review short-term technical currency requirements to identify shortfalls by 1 January 2000, while continuing to provide the current training courses including interim avionics and ETOPS courses to its inspectors. CASA is developing a comprehensive system of competency based training (CBT) for all its airworthiness inspectors based around guidance provided in ICAO Doc 9389. This training will be ready for delivery in April 2000.

5.6.6.5 With respect to the recommendation on MELs, CASA, while noting that regulations do require all current commercial air transport operators with fixed schedules to have an approved MEL, indicated that a process to amend regulations requiring MELs will commence immediately. Pending long-term regulatory changes, CASA will develop and publish additional advisory material and internal procedures by 30 June 2000. CASAs regulatory framework programme will clearly incorporate the requirement for a reliability programme by late 2000.

5.6.6.6 On the subject of notifying ICAO of differences existing between Annex provisions and adopted Australian regulations, Australia indicated that it will notify ICAO of all differences against FARs 23, 25, 27 and 29 and JARs 23, 25 and JAR-VLA by 30 June 2000. Differences against all other codes will be notified by 31 December 2000.

5.6.7 Differences to ICAO SARPs

Differences existing between the national regulations and Annex 6, Chapters 8 and 11 SARPs and Annex 8 SARPs or SARPs not implemented were contained in Appendices 6 and 7 of the above-mentioned audit interim report.

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5.7 Visit to the industry

Accompanied by Aviation Safety Inspectors (operations and airworthiness) from CASA, the audit team visited the operations and maintenance departments of different organizations. The objective of the visit was to audit the capability of CASA to supervise the activities of these organizations in flight planning, dispatch, flight following, crew scheduling, flight and ground personnel training, maintenance, overhaul and other related activities.

5.7.1 Qantas Airways Limited

5.7.1.1 Flight operations

5.7.1.1.1 The audit team visited the Qantas Airways Limited Flight Operations Department. The team confirmed that CASA is conducting surveillance on the Operator. The team looked specifically at the flight crew training system, training records, operation control system and ETOPs operations.

5.7.1.1.2 Training records are in the form of a booklet kept by the flight crew member as a personal record showing career path and profile. Every training session and test report are recorded on a specific page of the booklet. A detachable first page is kept by the company and a duplicate copy remains in the crew members booklet. Information on each of the training or testing exercise is entered in a database where it is compiled to establish a profile and identify trends. The training standards established by Qantas are exceeding the regulatory requirements established by CASA.

5.7.1.1.3 The Operation Control System implemented is structured to support Qantas flight operations and to provide service to other operators on a commercial basis.

5.7.1.1.4 The structure of the system and the training provided to flight operations officers exceed CASAs minimum requirements.

5.7.1.1.5 The team also noted that the system implemented by the operator is intended to provide self-audit capabilities and to detect any developing trends in their operation.

5.7.1.2 Airworthiness

The Qantas Maintenance and Engineering Centre was visited at Sydney Airport and a review of ETOPS and ADs procedures was made and found to be generally satisfactory. The audit team also focussed on quality control, maintenance personnel training and qualifications, maintenance programmes and maintenance package implementation and inspection. A maintenance package was reviewed randomly and it was found to be adequately documented.

5.7.2 Ansett Australia

5.7.2.1 Flight operations

5.7.2.1.1 The audit team visited the Ansett Australia Flight Operations Department where CASA was conducting surveillance on the operator. The team looked specifically at the flight crew training system, training records, operation control system and ETOPs operations.

5.7.2.1.2 Training records are kept in individual files for each crew member. The file contains documented training and competency reports. Ansett Australia has established a computerized system to keep track of flight crew performance in training and during proficiency checks. The system allows the operator to monitor the performance of individual crew members, specific aircraft fleet performance and check pilot performance. The system has been implemented for less than a year and only limited data is available. This new system, which is scheduled to replace paper files in the future, is also being used for trend monitoring as well as for monitoring the profiles of the flight crew members and the check pilots.

5.7.2.1.3 The operational control system developed by Ansett Australia provides adequate operational support and is in accordance with the requirements provided in the Air Operator Certification Manual. The operator conducts ETOPS operations and provides training to flight operations officers in the preparation of ETOPS flight plans based on current requirements. Training for flight crew members on extended operations is performed on initial type training and is supplemented by information from operational support and line flying.

5.7.2.2 Airworthiness

The audit team visited the Ansett Australia Airways Maintenance Engineering and Training Centre. This large maintenance facility is responsible for light to heavy maintenance of over eighty aircraft ranging from Boeing 747s down to SAAB-340's. A review of ETOPS airworthiness procedures revealed that, although generally satisfactory, there is a need for improvement in the development of the ETOPS manual. A review of maintenance training requirements revealed that all maintenance tasks are being managed in an excellent manner through a new computer Intranet system called AAEEMS (Ansett Australia Engineering Employee Management System) which gives all managers in the field select access to maintenance technician records and training data on a real-time basis. Three aircraft record files were reviewed and found satisfactory and appropriately documented and maintained. The cooperative attitude of the Ansett Australia personnel to the CASA inspectors proved that there is good rapport and cooperation between the airline and its regulator.

5.7.3 Australian Flying Training School

Accompanied by inspectors from the Bankstown Area Office, a member of the team visited the Australian Flying Training School. The objective of the visit was to assess the capability of the aviation authority to supervise the activities of the training school. Australian Flying Training School is a large aviation training school located in Bankstown Airport which provides ab initio training for most of the licences and ratings for aeroplanes. It also holds an AOC for charter operations. A review of instructors and student files revealed that there is no discrepancy between the practices of the school and the conditions set in its Air Operator Certificate and in the Australian regulations.

5.7.4 Gippsland Aeronautics Limited

5.7.4.1 Gippsland Aeronautics Limited, established in 1983, is a small aircraft manufacturer at Latrobe Regional Airport, Gippsland, Victoria. It produces GA-200 and GA-200C, two models of an agricultural aeroplane. At the time of the audit, about forty GA-200 had been produced and an eight-seat utility aeroplane GA-8 was under development. Gippsland Aeronautics is also involved in Piper Pawnee main spar carry through replacement programme and Piper Navajo and Chieftain life extension programme.

5.7.4.2 Gippsland Aeronautics was granted a certificate of approval for maintenance of light aircraft, design of aircraft and aircraft components, manufacture of aircraft and aircraft components, maintenance of airframes and distribution of aircraft components and materials.

5.7.4.3 Gippsland Aeronautics was granted a certificate of type approval for GA-200 (normal, agricultural and restricted categories) and GA-200C (agricultural and restricted categories) and a provisional type certificate for the GA-8 (after the reports on the certification testing are finalized, it will be issued with a formal type certificate).

5.7.4.4 The review of the procedures for material acceptance as well as the continuing airworthiness information provided to operators and the procedures manual were satisfactory.

5.7.5 Hawker Pacific Limited

5.7.5.1 Hawker Pacific Limited is a company involved in various activities such as aircraft sale and product support, technical support (including design of modifications), spare parts distribution and maintenance. Hawker Pacific is a subsidiary of the Swedish company Celsius. It has locations throughout Australia and operates in New Zealand, the Pacific area, some Asian countries and in the Middle East. The company employs 600 persons.

5.7.5.2 The audit team member visited the Airframe Group responsible for the following:

1. regional airliner scheduled maintenance and corrosion control programme;
2. scheduled maintenance and repair of corporate/executive turbofan/turboprop transport aircraft;
3. modifications and special order installations in corporate/executive transport aircraft;
4. scheduled maintenance, repair and modification of general aviation aircraft;
5. light piston engine overhaul; and
6. helicopter maintenance.

5.7.5.3 The system of maintenance release and answers to non-compliance notice was studied and a presentation was made of the quality system [the company is ISO 9001 approved and has the approval of different authorities including FAA of the United States, NCAA (National Civil Aviation Administration) of China and CAA of New Zealand] and it was found to be satisfactory.