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CASR Part 142
Technical Assessor Guidance
This technical assessor guidance is for internal CASA use only.
This document is published for reference only. It is not designed for
operators or manual developers use and should not be used as such.
CASA Inspectors should only use the internally published electronic
version.
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CASR Part 142
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Technical Assessor Handbook
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Version 1.0 June 2014
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CASR Part 142
Technical Assessor Handbook
CASR Part 142 – Technical Assessor Handbook
This document becomes an uncontrolled document when printed. Refer to <www.casa.gov.au> for the
current version.
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This is an internal CASA policy manual. It contains guidance material intended to assist CASA officers
and delegates in carrying out their regulatory responsibilities and is available to the public for
information purposes only.
You should not rely on this manual as a legal reference. You should refer to the Civil Aviation Act, Civil
Aviation Regulations, Civil Aviation Orders and other legislative instruments, to ascertain the
requirements of, and the obligations imposed by or under, the civil aviation legislation.
© Civil Aviation Safety Authority
This work is copyright. You may download, display, print and reproduce this material in unaltered form
only (retaining this notice) for your personal, non-commercial use or use within your organisation. Apart
from any use permitted under the Copyright Act 1968, all other rights are reserved.
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Management of this Handbook
Governance
In accordance with the Standards Division Governance Process, the following levels of
approval are required for amendment to and/or review of this handbook:
Authorising Manager
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Responsible for the Technical Content contained within
this manual as it relates to Standards.
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Manager,
Flight Crew Licensing,
Flight Standards Branch
Responsible Manager
Executive Manager,
Standards Division
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Asset Sponsor (Custodian)
Responsible for ensuring this manual complies with the
Flight Standards Branch policy and objectives.
Responsible for ensuring this manual complies with
CASA’s policy and objectives.
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Manager
Flight Standards Branch
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Review, Amendment and Upkeep of this Handbook
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To ensure that this handbook remains current, it is to be reviewed by the Manager, Flight
Crew Licensing (Flight Standards Branch) every two years. In addition, the handbook is to
be amended as soon as possible to reflect:
•
any changes to organisational arrangements, including title changes
•
changes to processes and procedures contained in this handbook
•
changes to regulations or advisory material.
Temporary Management Instructions (TMI) may be issued to reflect temporary revisions to
this handbook.
As a user, if you have a suggestion for improvements or corrections to this manual please
use the Standards Division Improvement Request Form and associated processes located
on the CASAConnect.
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Amendment/Revision Table
Revision History
Note: The revision history shows the most recent amendment first. Scroll down the table to
view details of previous amendment information.
Chapter/Section
Description of Amendment
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Version Date
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Temporary Revisions
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Table 1: Revision History
The following Temporary Management Instructions (TMI’s) are applicable to this version of
the Manual. These revisions will be incorporated into the next released version.
Issued By
Description
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TMI Reference Date Issued
Table 2: Temporary Revisions
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Director of Aviation Safety Preface
Foreword
As a Commonwealth government authority, CASA must ensure that its decision-making
processes are effective, fair, timely, transparent, consistent, properly documented and
otherwise in accordance with the requirements of the law.
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Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures will be conducive to the achievement of these outcomes.
From time to time, however, decision-makers will encounter situations in which the strict
application of policy, in the making of a decision involving the exercise of discretion, would
not be appropriate. Indeed, in some cases, the inflexible application of policy may itself be
unlawful.
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This preface and the following Introduction, explains the way in which the policy and
processes set out in this manual are to be used by all CASA’s personnel when making
decisions in the performance of their functions, the exercise of their powers and the
discharge of their duties. It also explains the processes to be followed if it appears that a
departure from policy is necessary or appropriate.
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Mandatory Use of Policy and Procedure Manuals
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This manual is one of the set of manuals and other documents which comprise CASA’s
authorised document set. The authorised document set contains the policy, processes and
procedures with which CASA personnel are expected to comply when performing assigned
tasks. All CASA personnel are required to have regard to the policies set out in this manual.
Except as described in the Introduction, CASA decision-makers should not depart from
these policies, processes and procedures.
John F. McCormick
Director of Aviation Safety
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Introduction
Regulatory Decision Making
Where the legislation provides for one, and only one decision—the “correct” decision—is the
only decision open to CASA. However, most of the decisions CASA makes involve the
exercise of discretion. In such cases, there may well be more than one acceptable or
correct decision. In these cases, the law requires that CASA makes the “preferable”
decision, that is, the most appropriate decision, having regard to the overriding interests of
safety and the obligation to be fair.
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In all such cases, CASA is bound to act in accordance with the applicable rules of
administrative law. These rules govern how CASA arrives at the ‘preferable’ decision in any
given case. Adherence to these rules is a requirement, not an option. Decisions and
actions taken in contravention of these rules are unlawful, unenforceable, and in most cases
invalid. CASA is legally accountable for the decisions it makes, and CASA decision-makers
are obliged to avoid the appearance, as much as the reality, of unlawful decision-making.
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Sound and lawful regulatory decision-making is generally governed by the 10 rules of
administrative law summarised below. Adherence to these rules is essential to CASA’s
obligations of accountability and good governance.
1. Natural Justice (Procedural Fairness)
Hearing Rule. Persons affected by CASA’s decisions have a right to be heard.
To be meaningful, the hearing rule normally requires that CASA provides persons
with notice (usually in advance) that a particular decision is going to be taken,
and the reasons for the decision CASA proposes to take. Without notice and a
statement of reasons, there may be little point to providing a person with an
opportunity to be heard.
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Rule Against Bias. Decision-makers should not have a personal or pecuniary
interest in the outcome of their decisions. Neither may decision-makers prejudge
(or pre-determine) matters in respect of which they are called upon to make a
decision.
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2. A decision-maker must not act for improper purposes. Even if the purposes for which
a particular decision are lawful, the decision may only be taken for the purposes
specifically authorised by the law under which the decision has been taken.
3. A decision-maker must not take any irrelevant considerations into account in coming
to a decision.
4. A decision-maker must take all relevant considerations into account in coming to a
decision.
Note:
Applicable Policy is Always a Relevant Consideration.
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5. A decision-maker must act on the basis of evidence, not mere supposition or
speculation.
6. A decision-maker must not formulate requirements in vague or uncertain terms.
7. A decision-maker must not inflexibly apply policy (although departures from policy will
normally need to be justified).
8. A decision-maker must not act under dictation (although this does not preclude
adherence to formal directions, compliance with lawful conditions in relation to the
process by which a decision is taken or the obligation to consult in the process of
considering a decision).
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9. A decision-maker must decide the matter within a reasonable time.
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10. A decision maker must not act in a way that is manifestly unreasonable. A decision
must not be so unreasonable that no reasonable person would make such a
decision.
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Note: The meaning and application of these principles, and related considerations of
administrative law, are covered more fully in the induction and orientation training undertaken
by all CASA employees. Any questions in relation to these matters should be referred to the
Legal Services Division.
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Departure from Authorised Policy
Adherence to CASA’s authorised policies will almost always produce an appropriate
decision. As said, however, from time to time there will be circumstances in which the strict
application of policy may not result in the “preferable” decision. In these cases it may be
appropriate (and possibly necessary) to depart from otherwise applicable policy.
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Any departure from policy must be justified in order to ensure that it:
•
Is genuinely necessary in the interests of fairness
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Does not inappropriately compromise the need for consistent decision-making;
and, of course
•
Is not in conflict with the interests of safety.
Without fettering a decision-maker’s discretion, it is therefore expected that appropriate
consultation will occur before a decision is made that is not the product of the policies and
processes set out in this manual. The prescribed consultation process is described below.
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Consultation Process
Decision-Maker’s Responsibilities
When a decision-maker believes there is a need to depart from policy he or she is expected
to consult with his or her direct supervisor. This process should be initiated in writing:
Setting out the pertinent facts and circumstances
•
Identifying the provisions of the policy normally applicable
•
Stating why the application of that policy would not result in the making of the
“preferable” decision in the circumstances to hand
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Specifying the approach the decision-maker believes is more likely to result in a
“preferable” decision.
Supervisor’s Responsibilities
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In considering a consultative referral, the decision-maker’s supervisor should:
Advise the decision-maker as to whether his or her assessment of the relevant
considerations appears to be complete and correct
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If, in the opinion of the supervisor, the circumstances do not warrant a departure
from policy, provide the decision-maker with written advice and guidance as to
how the decision might more properly be approached within the current policy
framework
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If, in the opinion of the supervisor, a departure from policy is warranted, the
supervisor should ensure the policy sponsor (normally the relevant Executive
Manager) is advised of:
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Note: Reliance on relevant precedent is a sound basis on which to ground such an opinion.
It may also be helpful to seek advice from peers, superiors and/or CASA’s Legal Services
Division.
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The intention to depart from the otherwise applicable policy
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The alternative approach the decision-maker will be taking to the matter.
The supervisor should ensure that a full written record of these actions is made and
maintained.
Note: In no case may the terms of decision be dictated to a delegate authorised to exercise
discretionary decision-making powers.
If a decision-maker’s supervisor or the policy sponsor is not satisfied that the decision the
decision-maker intends to make is the correct or preferable decision in all the circumstances,
responsibility for that decision should be assumed by, or assigned to, another authorised
delegate in accordance with appropriate processes and procedures.
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Policy Sponsor’s Responsibilities
If the policy sponsor concurs in the proposed departure from policy, he or she should ensure
the decision-maker is advised accordingly as soon as possible.
If the policy sponsor does not believe the proposed departure from policy is warranted, he or
she should:
Advise the supervisor accordingly
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Assume responsibility for the decision
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Ensure that the decision-maker and any person affected by the decision (for
which the policy sponsor has assumed responsibility) is advised accordingly
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Make the decision in a manner consistent with the applicable policy.
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The policy sponsor should ensure that a full written record of these actions is made and
maintained.
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Nothing in these processes should be interpreted or applied so as to dictate the terms of the
decision to be made by a decision-maker authorised to make discretionary decisions under
the civil aviation legislation, or to delay unreasonably the making of such decisions.
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Revisions to Policies and Manuals
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As a result of experience in applying policies and procedures, users will form views as to
accuracy, relevance and applicability of the content.
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CASA personnel are required to provide recommendations for revisions to policies and
processes in this or any other manual should they become aware of shortcomings. In this
way the policies and manuals will be continually improved and remain relevant to the tasks
being undertaken.
Each policy and manual has a sponsor and recommendations for amendment are to be
forwarded to the relevant individual for consideration. The revision process can be accessed
via the link <casaconnect/manuals/doc_control/process.htm>
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Table of Contents
Management of this Handbook .................................................................................. 2
Amendment/Revision Table ....................................................................................... 3
Director of Aviation Safety Preface ............................................................................ 4
PART A – Introduction to this Handbook .................................................................. 16
A1
Purpose of this Handbook ........................................................................... 16
Who is this Handbook for? ................................................................................ 16
A1.2
How to use this Handbook ................................................................................ 16
A1.3
What this Handbook Covers ............................................................................. 17
A1.4
What this Handbook does not Cover ................................................................. 17
A1.5
Where to go for Further Assistance................................................................... 17
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A1.1
Glossary ...................................................................................................... 18
Key Words ........................................................................................................ 18
A2.2
Definition of Terms ............................................................................................ 18
A2.3
Acronyms and Abbreviations ............................................................................ 18
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Legislation and Other Referenced Material ................................................. 20
CASA Regulatory and Technical Documentation .............................................. 20
A3.2
Other Referenced Material ................................................................................ 21
A4
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A3.1
Part 142 Overview ....................................................................................... 21
A4.1
Background ...................................................................................................... 21
A4.2
Part 142 Flight Training ..................................................................................... 21
A4.3
Contracted Recurrent Training .......................................................................... 22
A4.4
Contracted Checking ........................................................................................ 22
A4.5
Relationship with CASR Part 142 and Part 61 .................................................. 22
A5
Safety Management System Overview ........................................................ 23
A5.1
Background ...................................................................................................... 23
A5.2
Integration Considerations ................................................................................ 23
A6
CASR Part 142 Policy Statements .............................................................. 24
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PART B – Assessment Process ............................................................................... 25
B1
Objective of the Assessment ....................................................................... 25
B2
Assessment Overview ................................................................................. 25
B2.1
Preliminary and Application Requirements........................................................ 25
B2.2
CASR Part 142 Assessment Elements ............................................................. 25
B2.3
Approvals .......................................................................................................... 26
B3
Review and Subsequent Assessments ....................................................... 26
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PART C – Technical Assessment Criteria ................................................................ 27
C1.1
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EXPOSITION PART 1 ORGANISATION AND PERSONNEL ..................... 27
Operator Details................................................................................................ 27
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Name ........................................................................................................................... 27
C1.1.2
Contact Details ............................................................................................................ 27
C1.1.3
Operational Headquarters and Training Bases ........................................................... 28
Organisational Structure ................................................................................... 28
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Description and Diagram ............................................................................................. 29
C1.2.2
Chain of Command...................................................................................................... 30
C1.2.3
Organisational Design ................................................................................................. 31
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C1.3
Corporate Structure .......................................................................................... 33
C1.4
Key Personnel .................................................................................................. 34
C1.4.2
General ........................................................................................................................ 35
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C1.4.1
Fitness and Propriety................................................................................................... 35
C1.4.3
Temporary Absence .................................................................................................... 38
C1.4.4
Familiarisation Training ............................................................................................... 39
C1.5
Chief Executive Officer ..................................................................................... 40
C1.5.1
Applicant who is an Individual ..................................................................................... 41
C1.5.2
Experience ................................................................................................................... 41
C1.5.3
Additional Qualifications and Experience .................................................................... 43
C1.5.4
Responsibilities ............................................................................................................ 44
C1.5.5
Additional Responsibilities and Accountabilities ......................................................... 50
C1.5.6
Direction under subregulation 142.215(3) of CASR .................................................... 51
C1.6
C1.6.1
Head of Operations ........................................................................................... 52
Qualifications and Experience ..................................................................................... 53
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C1.6.2
Approval granted under Regulation 142.040 of CASR ............................................... 55
C1.6.3
Responsibilities ............................................................................................................ 56
C1.6.4
Additional Responsibilities ........................................................................................... 64
C1.6.5
Directions under subregulations 142.215(3) and 142.185(6) of CASR ....................... 65
C1.7
Safety Manager ................................................................................................ 69
Role and Duties ........................................................................................................... 69
C1.7.2
Experience ................................................................................................................... 69
C1.7.3
Additional Qualifications and Experience .................................................................... 71
C1.7.4
Responsibilities ............................................................................................................ 72
C1.7.5
Additional Responsibilities ........................................................................................... 73
C1.7.6
Direction under sub-regulation 142.215(3) of CASR................................................... 74
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C1.7.1
Quality Assurance Manager .............................................................................. 74
Role and Duties ........................................................................................................... 75
C1.8.2
Experience ................................................................................................................... 75
C1.8.3
Additional Qualifications and Experience .................................................................... 77
C1.8.4
Responsibilities ............................................................................................................ 78
C1.8.5
Additional Responsibilities and Accountabilities ......................................................... 80
C1.8.6
Direction under subregulation 142.215(3) of CASR .................................................... 80
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C1.9.1
Personnel Numbers, Qualifications and Experience ................................................... 82
C1.9.2
Responsibilities (Other than Key Personnel) .............................................................. 84
EXPOSITION PART 2 ACTIVITIES AND FACILITIES ................................ 85
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C2.1
Authorised Part 142 Activities ........................................................................... 85
C2.2
Other Operations .............................................................................................. 85
C2.3
Aircraft .............................................................................................................. 86
C2.3.1
Aircraft Details ............................................................................................................. 87
C2.3.2
Turbine-engined Aircraft .............................................................................................. 87
C2.3.3
Foreign Registered Aircraft ......................................................................................... 88
C2.4
Flight Simulation Training Devices .................................................................... 88
C2.4.1
Description ................................................................................................................... 89
C2.4.2
Qualification or Approval ............................................................................................. 89
C2.5
Facilities............................................................................................................ 91
C2.5.1
Description ................................................................................................................... 92
C2.5.2
Suitability ..................................................................................................................... 92
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C2.5.3
C3
Reference Library ........................................................................................................ 96
EXPOSITION PART 3 SYSTEMS AND PROCESSES ............................... 97
C3.1
Part 142 Flight Training and Contracted Recurrent Training ............................. 97
Procedures for Conduct and Management of Training ............................................... 98
C3.1.2
Training Management System .................................................................................. 108
C3.1.3
Training Management System Manual...................................................................... 108
C3.1.4
Compliance with Contractor’s Procedures ................................................................ 109
C3.1.5
Minimum Qualifications and Experience ................................................................... 109
C3.1.6
Command Responsibility ........................................................................................... 109
C3.1.7
Instructors and Examiners – Authorisation under Part 61......................................... 110
C3.1.8
Pilot in Command – Authorisation under Part 61 ...................................................... 110
C3.1.9
Student Pilot Competency - First Solo ...................................................................... 110
C3.1.10
Approval of Solo Training Flights - Other than Student Pilots ................................... 111
C3.1.11
Carriage of Passengers ............................................................................................. 112
C3.1.12
Flight Training Areas ................................................................................................. 112
C3.1.13
Low Flying Training Areas ......................................................................................... 113
C3.1.14
Flight Test Recommendation .................................................................................... 113
C3.1.15
Competency of Personnel using FSTD ..................................................................... 114
C3.1.16
Training Records ....................................................................................................... 114
C3.1.17
Access to Records..................................................................................................... 115
C3.1.18
Availability of Records ............................................................................................... 115
C3.1.19
Student Transfer between Operators ........................................................................ 115
C3.1.20
Checklists .................................................................................................................. 116
C3.2
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Areas of Operation .................................................................................................... 116
Contracted Checking ...................................................................................... 116
C3.2.1
Procedures to Conduct and Manage Contracted Checking ...................................... 117
C3.2.2
Conformance with Contracting Operator’s Procedures............................................. 118
C3.2.3
Minimum Qualifications and Experience of Personnel Conducting Contracted
Checking .................................................................................................................... 118
C3.2.4
Assignment of Command Responsibility ................................................................... 118
C3.2.5
Examiners - Authorisation under Part 61 .................................................................. 119
C3.2.6
Competency of Examiners using FSTD .................................................................... 119
C3.2.7
Record Keeping ......................................................................................................... 119
C3.2.8
Transfer of Records ................................................................................................... 120
C3.2.9
Carriage of passengers ............................................................................................. 121
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C3.2.10
C3.3
C3.3.1
C3.4
Training areas ............................................................................................................ 121
Operations Manual ......................................................................................... 121
Operations Manual .................................................................................................... 122
Internal Training and Checking System........................................................... 122
Internal Training and Checking Manual..................................................................... 123
C3.4.2
Description of Internal Training ................................................................................. 123
C3.4.3
Description of Internal Checking ............................................................................... 128
C3.4.4
Duties and Responsibilities ....................................................................................... 129
C3.4.5
Cyclic Training and Proficiency Program .................................................................. 130
C3.4.6
Training Management System .................................................................................. 130
C3.4.7
Completion of Internal Training and Checking .......................................................... 130
C3.4.8
Supervision of Personnel .......................................................................................... 130
C3.4.9
Command Responsibility ........................................................................................... 131
C3.4.10
Minimum Check Pilots/Minimum Qualifications all Personnel .................................. 131
C3.4.11
Safety Precautions .................................................................................................... 132
C3.4.12
Standards .................................................................................................................. 132
C3.4.13
Remedial Training ..................................................................................................... 132
C3.4.14
Instructor Standardisation and Proficiency Checks................................................... 133
C3.4.15
FSTD Competency .................................................................................................... 135
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C3.4.1
Quality Assurance Management System ........................................................ 136
Quality Assurance Management System Manual ..................................................... 136
C3.5.2
Operation and Maintenance of Flight Simulation Training Devices .......................... 139
C3.5.3
Monitoring the Conduct of the Activities .................................................................... 146
C3.6
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C3.5.1
Fatigue Management ...................................................................................... 151
C3.6.1
Fatigue Management ................................................................................................ 152
C3.6.2
Fatigue Risk Management System Manual .............................................................. 152
C3.7
Dangerous Goods Manual .............................................................................. 152
C3.8
Drug and Alcohol Management Plan ............................................................... 153
C3.9
Approvals under the Regulations .................................................................... 153
C3.9.1
Other matters to be approved by CASA .................................................................... 154
C3.9.2
Matters prescribed under regulation 142.045 ........................................................... 154
C3.10
Change Management ..................................................................................... 154
C3.10.1
Significant Changes................................................................................................... 155
C3.10.2
Changes to the Permanent Appointment of Key Personnel ..................................... 156
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C3.10.3
Changes that are not Significant Changes ................................................................ 157
C3.10.4
Changes to Name and Address ................................................................................ 158
C3.10.5
Changes directed by CASA ....................................................................................... 158
C3.11
Exposition ....................................................................................................... 159
C3.12
Third Party Suppliers ...................................................................................... 160
C4
EXPOSITION PART 4: SAFETY MANAGEMENT SYSTEM ..................... 161
C4.1
Safety Policy, Objectives and Planning ........................................................... 161
Safety Policy .............................................................................................................. 162
C4.1.2
Safety Objectives and Planning ................................................................................ 162
C4.1.3
Safety Accountabilities of Managers (including Key Personnel) ............................... 163
C4.1.4
Appointment of Safety Management Personnel ........................................................ 163
C4.1.5
Human Factors Integration ........................................................................................ 167
C4.1.6
SMS Implementation Plan ......................................................................................... 169
C4.1.7
Relevant Third Party Relationships and Interactions ................................................ 171
C4.1.8
Coordination of an Emergency Response Plan ........................................................ 172
C4.1.9
SMS Documentation.................................................................................................. 174
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C4.1.1
Safety Risk Management ................................................................................ 176
Hazard Identification .................................................................................................. 176
C4.2.2
Risk Management Process ....................................................................................... 176
C4.3
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Safety Assurance System ............................................................................... 177
Safety Performance Monitoring and Measurement................................................... 178
C4.3.2
Internal Safety Investigation ...................................................................................... 179
C4.3.3
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C4.3.1
Management of Change ............................................................................................ 181
C4.3.4
Continuous Improvement of the SMS ....................................................................... 183
C4.3.5
Flight Data Analysis Program (FDAP) ....................................................................... 184
C4.4
Safety Promotion ............................................................................................ 185
C4.4.1
SMS Training and Education..................................................................................... 186
C4.4.2
SMS Safety Communication ..................................................................................... 187
C4.5
Other Requirements Specific to a CASR Part 142 SMS .................................. 189
C4.5.1
Monitoring the Conduct of the Activities .................................................................... 190
C4.5.2
Operation and Maintenance of Flight Simulation Training Devices .......................... 194
C5
C5.1
EXPOSITION PART 5: APPENDICES ...................................................... 195
Other Documents ............................................................................................ 195
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APPENDIX 1 – CASR Part 142 Technical Assessor Worksheet ............................ 196
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APPENDIX 2 – Reserved ....................................................................................... 197
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PART A – Introduction to this Handbook
A1
Purpose of this Handbook
CASA has developed this handbook, in conjunction with its associated worksheet, to provide
a consistent assessment method for CASA technical assessors to assess applications for
compliance with the Civil Aviation Regulations 1988 (CAR) or the Civil Aviation Safety
Regulations 1998 (CASR).
nl
y
CASA does not expect its technical assessors to interpret legislation; this handbook provides
the necessary information relating to CASA standards, interpretations and explanations of
the law. CASA does, however, expect that its assessors will apply reasonable and
professional judgment in using this handbook during an assessment of legislative
requirements.
Who is this Handbook for?
se
A1.1
O
Using this handbook ensures a standardised assessment outcome in a manner consistent
with CASA legislation and policy.
U
The primary audience for this handbook is suitably qualified, trained and experienced CASA
Flying Operations Inspectors (FOIs) and Safety Systems Inspectors (SSIs) who are required
to determine if an applicant has met the requirements specified in Part 142 of CASR.
AS
A
This handbook may also be used or referenced by CASA delegates and authorised persons,
who exercise powers under Part 142 of CASR, to issue a Part 142 authorisation.
For the purposes of this handbook, FOIs and SSIs are referred to as Technical Assessors.
How to use this Handbook
C
A1.2
This handbook is to be used in conjunction with the associated Technical Assessor
Worksheet (referenced in Appendix 1 to this handbook), which is the primary tool for
undertaking a technical assessment to determine compliance with CASAs legislative
requirements.
The worksheet is a Microsoft Excel document with various functionalities and sheet TABs,
one of which is the User Instructions which should be read prior to commencing an
assessment.
The regulatory questions in the worksheet form the assessment criteria that an assessor
must consider in determining if an applicant’s exposition complies with regulation 142.340 of
CASR, and whether the applicant can conduct the proposed activities safely and in
accordance with the exposition. This handbook expands on those questions by providing an
understanding of the question (through things for consideration).
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Use the worksheet to undertake a standardised and unified entry control assessment of an
operator’s Part 142 exposition; documenting an auditable record of the decisions and
rationale against each of the assessment questions. Use the standardised legislation, policy
and philosophy statements contained in this handbook to thoroughly understand the
legislative requirements; thereby aiding a standardised decision-making process.
A1.3
What this Handbook Covers
This handbook and its associated worksheet only cover the technical aspects of assessing
an entry control application.
O
nl
y
The handbook includes the process and assessment elements for assessing an applicant’s
proposed exposition for compliance with regulation 142.340 of CASR, and for ensuring that
the applicant can conduct the proposed activities safely and in accordance with its exposition
and civil aviation legislation. The worksheet articulates the standardised assessment criteria
via a series of legislative questions, and is an auditable tool of the complex decision making
that occurs during the assessment.
What this Handbook does not Cover
AS
A
A1.4
U
se
This handbook has been developed in parts for ease of use by the assessor. Part A includes
introductory and policy information, Part B includes information on the assessment process
and Part C describes the things for consideration which correspond to the assessment
questions in the associated assessor worksheet.
C
This handbook does not cover how an assessor will make a decision about whether CASA
should grant a Part 142 authorisation. It assumes that Technical Assessors are suitably
qualified, trained and experienced in accurately assessing the quality of an application for
the purposes of ensuring satisfactory compliance.
Although this handbook provides guidance information, the ultimate decision must be made
by the assessor as to whether the information presented is suitable, complies with relevant
legislation and does not impose safety concerns.
The systems that surround the technical aspects of assessing an entry control application
are not covered in this handbook and are the responsibility of other CASA divisions; this
includes the administrative tasks for receipt of an application and issue of a final permission,
or ongoing surveillance activities.
A1.5
Where to go for Further Assistance
To obtain further assistance with any of the information contained within this handbook and
associated appendices, contact the Flight Standards Branch, Standards Division.
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A2
Glossary
This section provides a list of definitions and abbreviations used throughout this handbook.
A2.1
Key Words
This handbook, and its associated worksheet, uses the following key words to convey
requirement levels. This section defines those key words as they should be interpreted in the
handbook and worksheet.
y
Must: used to define an obligation. The term is used to convey the regulatory requirements.
‘Must’ is used sparingly in the handbook’s ‘things for consideration’ section to re-iterate
legislative requirements.
O
nl
Should: used to signify a recommendation. The term is typically used in the handbook’s
‘things for consideration’ section to denote those items that CASA recommends an assessor
considers in making a decision regarding the quality and suitability of an application.
A2.2
U
se
May: used to signify something that is permitted, but not required. The term is often used in
the handbook’s ‘things for consideration’ section to denote items that are optional and is
often followed by examples of how an applicant may demonstrate those items.
Definition of Terms
AS
A
The following definitions are referenced in this handbook:
C
Technical Assessor: For the purposes of this handbook, the term refers to a CASA FOI or
SSI who is suitably qualified, trained and experienced in undertaking an assessment of Part
142 requirements.
Technical Assessor Worksheet: a Microsoft Excel spreadsheet, containing various sorting
and filtering functionality, for recording outcomes and decisions to legislative assessment
questions.
A2.3
Acronyms and Abbreviations
AC
Advisory Circular
AOC
Air Operators Certificate
ARN
Aviation Reference Number
CAAP
Civil Aviation Advisory Publication
CAO
Civil Aviation Order
CAR
Civil Aviation Regulations 1988
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Civil Aviation Safety Regulations 1998
CRM
Crew Resource Management
DAMP
Drug and Alcohol Management Plan
ERP
Emergency Response Plan
FDAP
Flight Data Analysis Program
FOI
Flying Operations Inspector
FSB
Flying Standards Branch
FSTD
Flight Simulator Training Device
HF
Human Factors
HF&NTS
Human Factors Principles and Non-technical Skills
ICAO
International Civil Aviation Organization
LOSA
Line Oriented Safety Audit
MCC
Multi-crew Cooperation Courses
MOS
Manual of Standards
QTG
Qualification Test Guide
SAG
Safety Action Groups
SLA
Service Level Agreement
nl
O
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AS
A
C
SMS
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CASR
Safety Management System
SOPs
Standard Operating Procedures
SRB
Safety Review Board
SSI
Safety Systems Inspector
STOM
Synthetic Trainer Operations Manual
TEM
Threat and Error Management
TNA
Training Needs Analysis
VFR
Visual Flight Rules
VMC
Visual Meteorological Conditions
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A3
Legislation and Other Referenced Material
In developing this handbook, a number of legislative and technical documents were
referenced. This section provides information regarding those referenced documents, as well
as information on other material which may be useful in undertaking the technical
assessment.
A3.1
CASA Regulatory and Technical Documentation
This handbook supports and partners with the following CASA regulatory and technical
documentation:
Civil Aviation Act 1988 (the Act)
•
Part 60 of the Civil Aviation Safety Regulations 1998 (CASR)
•
Part 61 of the Civil Aviation Safety Regulations 1998 (CASR)
•
Part 141 of the Civil Aviation Safety Regulations 1998 (CASR)
•
Part 142 of the Civil Aviation Safety Regulations 1998 (CASR)
•
Part 60 Manual of Standards (MOS)
•
Part 61 Manual of Standards (MOS)
•
Civil Aviation Order (CAO) 82.3 and CAO 82.5
•
Civil Aviation Order (CAO) 48.0: Flight Time Limitations
•
Civil Aviation Advisory Publication (CAAP) 92-1(1): Guidelines for aeroplane
landing area
•
Civil Aviation Advisory Publication (CAAP) 92-2(2): Guidelines for the
establishment and operation of onshore Helicopter Landing Sites
•
Civil Aviation Advisory Publication (CAAP) 215 (draft)
•
Civil Aviation Advisory Publication (CAAP) 217 (draft)
•
Civil Aviation Advisory Publication (CAAP) SMS-1(0): Safety Management
Systems For Regular Public Transport Operations
•
Civil Aviation Advisory Publication (CAAP) SMS-2(0): Integration of Human
Factors (HF) into Safety Management Systems (SMS)
•
Civil Aviation Advisory Publication (CAAP) SMS-3(1): Non-Technical Skills
Training and Assessment for Regular Public Transport Operations
•
Civil Aviation Advisory Publication (CAAP) SMS-4(0): Guidance on the
establishment of a Flight Data Analysis Program (FDAP) – Safety Management
Systems(SMS)
•
Advisory Circular (AC) 60-1(0): Flight Simulator Evaluations
•
Advisory Circular (AC) 60-2: Flight Simulator Approvals – March 2014
•
Advisory Circular (AC) 60-3(0): Validation Tests-Guidance Material
C
AS
A
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•
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Advisory Circular (AC) 60-4(0): Flight Training Devices
•
ICAO Annex 19: Safety Management
•
ICAO, Safety Management Manual (SMM) - Doc 9859
•
Operational Standards and Requirements-Approved Synthetic Trainers (FSD2) –
version 1.5 November 2010
•
Fatigue Risk Management System Handbook – version 1.0 April 2013
•
Air Operators Certificate Manual (AOCM), Volume 2, Chapter 14.0 - (Leasing
Considerations)
•
Approved Testing Officer Manual – version 1.3, 10 February 2011 /
Flight Examiner Handbook
Other Referenced Material
nl
A3.2
y
•
O
The following material has been referenced during the development of, and/or is associated
with, this handbook:
CASA Application for a Part 142 authorisation
•
CASA Form 4: Nominated Personnel
•
Managing the Risks of Organisational Accidents – J.T. Reason, 1997, Ashgate
U
se
•
Part 142 Overview
AS
A
A4
This section provides an overview of the CASR Part 142 assessment, including background
information regarding the regulatory and assessment process and a series of policy
statements in relation to undertaking the assessment.
Background
C
A4.1
Part 142 of CASR makes provision for the authorisation of flight training organisations to
conduct any of the following Part 142 activities:
A4.2
•
Part 142 flight training
•
contracted recurrent training
•
contracted checking.
Part 142 Flight Training
Part 142 flight training is any of the following kinds of flight training:
1. An integrated training course for the grant under Part 61 of a private pilot licence or
commercial pilot licence.
2. Training for the grant under Part 61 of a multi-crew pilot licence, air transport pilot
licence or flight engineer licence.
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3. Multi-crew cooperation training.
4. Training:
(i)
that is for the grant under Part 61 of a flight crew rating that is not a type
rating mentioned in a legislative instrument under regulation 142.045
(ii)
that is conducted as a multi-crew operation.
5. Training for the grant under Part 61 of a flight crew endorsement that is conducted as
a multi-crew operation
y
6. Training that is given as part of a flight review that is conducted as a multi-crew
operation
that is required as mentioned in regulation 61.780 for a variant covered by a
type rating that is not a type rating mentioned in a legislative instrument under
regulation 142.045
(ii)
that is not conducted by a training and checking organisation approved under
regulation 217 of CAR.
U
se
O
(i)
Contracted Recurrent Training
AS
A
A4.3
nl
7. Differences training:
Contracted recurrent training is recurrent training conducted by a Part 142 operator for the
personnel of a contracting operator, to ensure the personnel are competent to carry out their
responsibilities.
Contracted Checking
C
A4.4
Contracted checking is the assessment of proficiency of personnel of a contracting operator
conducted by a Part 142 operator, to ensure the personnel are competent to carry out their
responsibilities.
A4.5
Relationship with CASR Part 142 and Part 61
Training courses for the grant of all Part 61 licences, ratings and endorsements must be
competency based and must use the competency standards listed in the Part 61 Manual of
Standards (MOS).
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A5
Safety Management System Overview
A5.1
Background
This handbook addresses aviation safety related processes and activities of a CASR Part
142 operator; rather than the occupational health and safety, environmental protection,
quality management systems or security systems. The operator is responsible for the safe
conduct of its authorised Part 142 activities and the safety of services provided by third party
suppliers.
y
As specified in CASR Part 142, a Part 142 operator must have a Safety Management
System (SMS). The SMS should be commensurate with the size and complexity of the
organisation to ensure hazards are identified and risks are assessed and mitigated.
organisational structures, accountabilities, policies and procedures necessary to
manage safety in a systemic way
•
a safety risk management system which includes hazard identification and risk
assessment and mitigation processes
•
a safety assurance system to monitor and measure safety performance
•
a safety training and promotion system to enable SMS training, education and
communication to all of the organisation’s employees.
U
se
O
•
AS
A
A5.2
nl
The fundamental SMS components required by a Part 142 operator are:
Integration Considerations
C
SMS goes beyond a traditional quality management system by focussing on the safety,
human and organisational aspects of an organisation. Within an SMS there is a distinct
focus on operational safety, and the human element in the system. Therefore, the integration
of Human Factors (HF) into the SMS is a key objective of the operator’s SMS program.
Although the coordination and integration process may be a challenging task for many
operators, and could impact on the ability to successfully implement an SMS program in the
short to medium term, an alternative would be to plan for integration once the SMS is initially
established within the organisation. This can be accomplished by a phased approach
through the organisation’s SMS implementation plan.
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A6
CASR Part 142 Policy Statements
1. This handbook and its associated worksheet are internal CASA assessment tools for
a technical assessor to use in undertaking an assessment for compliance against
Part 142 of CASR. They are not designed as a compliance statement for industry
and therefore should not be provided to industry.
2. It is CASA policy that this handbook be the principle reference when assessing
compliance with Part 142 of CASR, as such this handbook must be used to assess a
Part 142 operator.
O
nl
y
3. The questions in the assessor worksheet are the minimum requirements that an
assessor must consider before making a recommendation to a CASA delegate
regarding the grant of a Part 142 authorisation. Each question in the worksheet must
be assessed and the technical assessor must include detailed comments/rationale of
their decisions made.
C
AS
A
U
se
4. Whilst some questions in the assessment worksheet may appear to be a simple
yes/no response, CASA expects its technical assessors to undertake a qualitative
assessment for each question, having regard to the suitability of procedures and
practices that enable an applicant to conduct their operations safely and in
accordance with the legislation.
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PART B – Assessment Process
B1
Objective of the Assessment
The objective of this assessment process is to undertake a qualitative assessment of an
applicant’s exposition to ensure the applicant has suitable policy, processes and practices to
control their organisation and conduct their proposed Part 142 activities safely and in
accordance with aviation regulatory requirements.
B2
Assessment Overview
nl
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This section provides a high level overview of the logical flow and assessment elements
involved in the technical assessment of a Part 142 operator exposition.
Preliminary and Application Requirements
O
B2.1
1. Part 142 Flight Training
AS
A
3. Contracted Checking.
U
2. Contracted Recurrent Training
se
A person must apply to CASA for authorisation to conduct any of the following Part 142
activities:
It is the applicant’s responsibility to submit a complete application using a form approved by
CASA and in accordance with any CASA requirements prescribed by the Industry
Permissions or Operations Divisions.
C
Depending on the complexity of the organisation and proposed activities, an applicant may
be required to attend a preliminary application meeting with a CASA regional office, prior to
the commencement of the technical assessment. Any such arrangements will be advised by
the Industry Permissions or Operations Divisions, as necessary.
B2.2
CASR Part 142 Assessment Elements
The assessment of a Part 142 operator exposition will involve verification of the applicant’s
claims through a range of activities. Such activities will include:
•
desktop assessment of the documentation provided
•
assessment of key personnel
•
site inspection of facilities
•
examination and flight assessment of the head of operations (if necessary).
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In many instances, the desktop assessment may appear to merely require a simple ‘yes’ or
‘no’, in response to a worksheet question about the inclusion of required content in an
exposition or manual. However, an assessor is obliged to go further and make a qualitative
assessment of the suitability of policies and processes proposed by the applicant.
CASA must be satisfied (under section 28 of the Act for issue of an Air Operators Certificate
(AOC), and under regulation 142.110(1)(f) of CASR for issue of a certificate) about ‘suitable
procedures and practices to control the organisation and ensure the activities can be
conducted safely. Unless suitability is assessed, inferior procedures detrimental to training
may pass into practice.
B2.3
Approvals
O
nl
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Before finalising an assessment of a Part 142 operator, the technical assessor must
determine any limitations or conditions for the authorisation in relation to those activities;
having regard to the nature of the proposed activities and the applicant’s ability to conduct
the activities safely.
se
Once determined, the technical assessor should ensure that all decisions, conditions and
limitations are recorded in the Part 142 Assessment Worksheet.
Review and Subsequent Assessments
AS
A
B3
U
The technical assessor is also required to comply with any specific instructions issued by the
Industry Permissions or Operations Divisions in relation to preparing a recommendation, or
other requirements, for the issue of a Part 142 authorisation (certificate or AOC).
C
Where re-authorisation is required, the assessment process involves using the same
procedures utilised for the initial authorisation. However, the procedures should be suitably
modified to focus on the difference between the approved elements and the change that
drove the re-approval/review requirement.
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PART C – Technical Assessment Criteria
C1
EXPOSITION PART 1
ORGANISATION AND PERSONNEL
This part of the assessment evaluates the information the applicant must provide within its
exposition in relation to its organisation, including the organisational structure and personnel
details.
C1.1
Operator Details
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References
O
CASR: 142.340(1)
se
Introduction
AS
A
Things for Consideration
U
To enable CASA to maintain ongoing contact with the applicant in relation to the conduct of
the activities, and in accordance with subregulations 142.340(1)(a) and (b) of CASR, the
exposition must include the name, address and contact details of the applicant.
The following information may be of value in determining if the applicant has adequately
described their name, address and contact details within the exposition.
C1.1.1
Name
If the applicant has used the CASA Part 142 sample exposition structure, the
name and contact details will be located in Part 1, paragraph 1.3 of the
exposition.
•
If the applicant does not intend to trade under its own entity name (e.g. individual,
partnership or company name), the registered business name and Australian
Business Number must be included.
•
If the applicant already holds an Aviation Reference Number (ARN), an internal
search of CASA systems (AIRS/EAP) may be conducted to confirm the
applicant’s identity. For a company, an Australian Securities and Investments
Commission (ASIC) search may also be conducted.
C
•
C1.1.2
Contact Details
•
The exposition must contain the following contact details:
-
the applicant’s primary address for correspondence and primary contact
phone number
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•
-
the physical work address, phone numbers and email addresses for all
key personnel
-
the physical work address, phone numbers and email addresses for the
persons responsible for communications with CASA in relation to the
conduct of the activities.
The phone numbers and email address for the manager/senior base pilot (if any)
at each training base may also be provided.
C1.1.3
Operational Headquarters and Training Bases
The exposition must include the physical address of the applicant’s operational
headquarters, through which CASA may communicate with persons responsible
for the conduct of the activities.
•
The physical address and phone number/s for each training base proposed to be
used in the conduct of activities must be included in the exposition.
Organisational Structure
O
C1.2
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•
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References
Introduction
AS
A
U
CAA: section 28
CASR: 142.110, Subpart 142.D, 142.340(1)(c)
An applicant for an authorisation under CASR Part 142 must demonstrate that its
organisation comprises of sufficient resources and procedures to adequately support the
proposed Part 142 activities.
C
Under section 28(1)(b)(i) of the Civil Aviation Act 1988 (the Act) and subregulation
142.110(1)(b) of CASR, CASA must be satisfied that the applicant’s organisation is suitable
to ensure that the activities can be conducted safety - having regard to the nature of the
activities. CASA must also be satisfied that the organisation has the ability to continue to
meet these requirements.
In order to assist CASA in making such a determination, the applicant must describe its
organisational structure within its exposition.
Things for Consideration
The following information may be of value in determining if the applicant has adequately
described the structure of its organisation within its exposition, whether the chain of
command of the organisation is appropriate, and whether the applicant’s organisational
structure takes into account the matters set out in subregulation 142.160(1) of CASR.
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C1.2.1
Description and Diagram
The detail required for the description and diagram will vary dependent upon the size and
complexity of the organisation. An assessor should expect to see a diverse range of
structures.
Description
•
The description of the applicant’s organisational structure should be sufficient in
detail to provide a clear understanding of how the organisation is structured. An
example is provided in paragraph 1.7 of the CASA Part 142 sample exposition.
•
The applicant’s description should provide confirmation that:
all key personnel positions have been filled
-
the safety manager has independence from operational areas, so as not
to be subject to undue influence
-
the safety manager or quality assurance manager position are not
occupied by the chief executive officer or the head of operations.
O
nl
y
-
Position titles for key personnel, managers, and instructors having responsibility
for particular Part 142 flight training, may be described.
•
If the applicant has chosen to use titles for key personnel positions that are
alternative to those described in CASR Part 142, the applicant must identify
which titles are equivalent to the regulatory titles. These may be provided within
the description.
•
The description may include the position titles that have management
responsibility for each functional element of the Part 142 operation. The chain of
command and reporting structure of the organisation may be included
(considerations in relation to the chain of command are available in
section C1.2.2 of this handbook). The applicant may also identify the supervisory
positions within the organisation.
•
In smaller organisations proposing to conduct few activities, it may be acceptable
for the roles of the chief executive officer and head of operations to be combined.
For example, a small operator solely conducting contracted training and
checking, or multi-crew cooperation training.
se
•
(b)
C
AS
A
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(a)
Diagram
•
More than one diagram may be included in the exposition in order to provide a
comprehensive understanding of the whole organisation. This may be required
for large and complex organisations with multiple departments and long reporting
lines.
•
The diagram should correspond with the applicant’s description of the
organisation, and provide an accurate visual representation of the structure. An
example diagram is provided in paragraph 1.7 of the CASA Part 142 sample
exposition.
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-
the formal reporting lines for each of the key personnel
-
a direct reporting line from the safety manager to the chief executive
officer, or a direct reporting line from the safety manager to senior
management with a formal direct line of communication with the chief
executive officer
-
evidence of the safety manager’s independence from operational areas
-
position titles and reporting lines for positions having management
responsibility for each functional element of the Part 142 operation
-
reporting lines for personnel within each department, leading to the
respective head of that department
-
reporting lines for instructors appointed by the head of operations to have
responsibility for particular Part 142 flight training.
nl
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all key personnel positions (providing evidence that all positions have
been filled)
The diagram may also include communication lines, for example the line of
communication between the head of operations and the safety manager.
Chain of Command
U
C1.2.2
-
O
•
The diagram should clearly depict the management and reporting structure of the
organisation, including:
se
•
The organisational structure is the basis for the organisation’s chain of command.
The chain of command provides the reporting structure of the organisation and
must be appropriate to ensure that the activities can be conducted safely.
•
The applicant’s chief executive officer should be positioned at the pinnacle of the
organisational hierarchy, demonstrating the overall responsibility and
accountability of the position.
•
The applicant should demonstrate that clearly defined reporting and
communication lines exist between key personnel, management, supervisors and
other personnel.
•
To ensure the safety manager is not subject to undue influence, the
organisational structure should provide that the safety manager reports either
directly to the chief executive officer, or to senior management with a formal
direct line of communication with the chief executive officer. The safety manager
should remain independent from operational departments.
•
The applicant should demonstrate that a formal communication line exists
between the safety manager and the head of operations.
•
Evidence that flight instructors and examiners will report to the head of operations
should be included; this may be demonstrated through direct or indirect reporting
lines which ultimately lead to the head of operations.
C
AS
A
•
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An organisational structure that incorporates departments and branches should
show that the reporting lines for each branch manager lead to the manager of the
associated department, and reporting lines for instructors and examiners lead to
the associated branch manager. An example of an organisational structure that
incorporates departments and branches is provided in the CASA Part 142 sample
exposition.
•
To ensure that each managerial position has a suitable span of control, the
applicant’s organisational structure should demonstrate that the number of
managerial positions is appropriate to the size and scope of the proposed
operations. Whilst it is for the applicant to determine the level of responsibility for
each management position, an example of a suitable structure may be where a
management position does not have more than 7-9 direct reports.
•
For the chain of command to be effective, the delegation of responsibility and
accountability should rest with persons holding qualifications and experience that
are relevant to the position. Considerations relating to personnel qualifications
and experience are described in the individual key personnel sections of this
handbook (sections C1.5 to C1.8), and section C1.9 for other personnel.
C1.2.3
Organisational Design
O
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•
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To ensure the safe and effective management of the proposed Part 142 activities, the
applicant’s organisational structure must take into account the matters mentioned in
regulation 142.160 of CASR. The considerations for these matters are discussed under the
subsequent headings to this section.
AS
A
Nature and Complexity of Activities
•
If the applicant has followed the CASA sample exposition structure, the proposed
activities will be listed in Part 1, paragraph 1.4 of the exposition.
•
An applicant who intends to conduct multiple activities may choose to
incorporate, into their organisational structure, departments and individual
branches which are responsible for each particular activity. An example
organisational structure that incorporates departments and branches is provided
in the CASA Part 142 sample exposition.
C
(a)
(b)
Numbers and Kinds of Aircraft and Flight Simulation Training Devices Used
•
If the applicant has followed the CASA Part 142 sample exposition, the aircraft
and Flight Simulation Training Devices (FSTDs) to be used in the activities will be
set out in Part 2, paragraphs 2.1 and 2.2 of the exposition.
•
If the applicant’s fleet is large and contains multiple types, the applicant may
choose to appoint individual fleet training managers as responsible for aircraft
and FSTDs of a particular type. This may include the incorporation of separate
departments into the applicant’s organisational structure, as discussed in section
C1.2.3(a) of this handbook.
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Numbers and Locations of Training Bases Used
•
If the applicant has followed the CASA Part 142 sample exposition, details of the
applicant’s training bases (and operational headquarters) will be listed in Part 1,
paragraph 1.3 of the exposition.
•
If the applicant intends to establish multiple training bases, the applicant’s
organisational structure should support the safe management of the activities at
each location.
•
For an organisation to demonstrate how it will safely manage activities at multiple
training bases, evidence of how the head of operations will maintain effective
operational control over personnel and course participants at each training base
should be provided. Evidence may include the establishment of regular
communication and reporting channels between each base. The head of
operations may delegate some of the duties associated with their responsibilities
(but not the responsibilities themselves) to an appropriate person to act on their
behalf. In this situation, and particularly where the additional training bases are
remote, a senior base instructor/manager with a direct reporting line to the head
of operations should be nominated at each base. Details of such appointments
should be provided in the description of the applicant’s organisational structure.
•
Reporting lines between the head of operations and any management or
supervisory personnel at each base should be clearly defined in the applicant’s
organisational structure.
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Number of Personnel
Where the direct supervision of personnel is not able to be provided by the head
of operations due to the number or location of personnel, the applicant may have
appointed additional managers and supervisors to provide direct supervision on
behalf of the head of operations.
•
The number and nature of management and supervisory positions should be
appropriate to the number of the applicant’s personnel. Considerations and an
example of a relevant span of control for each management position are
discussed in section C1.2.2 of this handbook.
•
The applicant may choose to appoint senior instructors to provide supervision
and mentoring of junior instructors. Such appointments may be described in
applicant’s the organisational structure. The number of supervisory positions
should take into account the number of proposed subordinates. It may be
appropriate for supervisory positions to have a higher number of direct reports,
dependent upon whether direct or indirect supervision is required. The scope of
the supervisory positions may be described within the applicant’s training
management system manual.
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(d)
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(c)
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•
Number of Course Participants, Contracting Operators and Personnel for
whom Training is Conducted
•
The applicant should demonstrate that they have engaged, or have plans to
engage, a suitable number of instructors and/or examiners necessary for the safe
conduct of the proposed activities - taking into account the expected number of
course participants. Considerations relevant to the number of qualified and
experienced personnel are discussed in section C1.9 of this handbook.
•
An applicant with a large clientele base, and a commensurately large number of
instructors and examiners, should demonstrate that they have established an
appropriate number of management or supervisory positions to provide adequate
supervision of instructors, examiners and course participants. As an example, the
organisation may be structured to include the appointment of individual managers
or supervisors responsible for activities on a particular aircraft fleet, or to manage
contracted training and checking activities with particular contracting operators.
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(e)
The applicant should demonstrate that adequate provision has been made for the
training and checking of its personnel. Dependent upon the number of personnel
for whom internal training and checking is required, an applicant may establish a
separate department to fulfil the training and checking requirements. The
applicant may also appoint a manager for internal training and checking, to
oversight the conduct and management of the internal training and checking
system. An example of such an appointment has been demonstrated in the
CASA Part 142 sample exposition.
Corporate Structure
References
AS
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C1.3
C
CASR: 142.085(1)(d), 142.110(1)(a), 142.340(1)(d)
Introduction
The corporate structure is the legal structure of the organisation, including ownership
interests and company office holders.
An applicant who is a corporation must include a description of the corporate structure within
its exposition. This description should provide an understanding of the layout of the
corporate structure.
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Things for Consideration
The following information may be of value in determining if the applicant has provided an
adequate description of the corporate structure within its exposition.
An example description of a corporate structure, and a corresponding diagram, is
provided in paragraph 1.8 of the CASA Part 142 sample exposition. It is not
mandatory for the applicant to provide a diagram of its corporate structure - only
a description; however a diagram may be a useful means for providing an
understanding of the corporate structure.
•
The degree of detail provided by the applicant when describing their corporate
structure need not be exhaustive, however should be sufficient to provide an
understanding of the basic corporation layout. The description should include the
relationship between the various departments, divisions and job descriptions that
interact to conduct the business of the corporation. The reporting structure of the
corporation should also be described.
•
The description should give an outline of the corporation ownership. It should
describe whether the corporation is privately owned, or whether it is a publicly
listed company, charity, trust or government entity.
•
A greater level of detail should be provided in cases where the applicant is owned
(wholly or in part) by another aviation entity, particularly the holder of another
authorisation.
•
Ownership information provides an understanding of the relationship between
aviation entities holding CASA authorisations. This information becomes
essential when CASA enforcement action is being considered against persons
who are involved in multiple organisations. The applicant’s corporate structure
description should include the details of any other authorisations held, for
example an authorisation under Part 145 of CASR to provide aircraft
maintenance.
•
Each officer of the applicant’s corporation must be a fit and proper person to be
an officer of the corporation. Considerations relevant to assessing fitness and
propriety are described in section C1.4.2 of this handbook.
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C1.4
Key Personnel
References
CASR: 142.025, 142.085(1), Subpart 142.D
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Introduction
Regulation 142.025 of CASR defines ‘key personnel’ as the persons holding or carrying out
the responsibilities of the following positions:
1. Chief Executive Officer
2. Head of Operations
3. Safety Manager (for operators conducting activities only in aircraft, or in both aircraft
and flight simulation training devices)
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4. Quality Assurance Manager (for operators conducting activities only in flight
simulation training devices).
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This section of the handbook provides considerations that are common to each of the key
personnel positions. Considerations that are specific to individual key personnel positions
are described their respective section of this handbook (sections C1.5 through to C1.8).
Things for Consideration
General
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C1.4.1
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The following information may be of value in assessing those regulatory requirements which
are common to each of the applicant’s key personnel positions.
The full legal name of each key personnel appointee must be documented in the
applicant’s exposition.
•
It is not mandatory for an applicant to use the key personnel titles that are
described in CASR Part 142. If the applicant has chosen to use different position
titles for the key personnel positions, the exposition must specify which titles are
equivalent to the regulatory titles.
Fitness and Propriety
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C1.4.2
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In the assessment of fitness and propriety, CASA should consider the honesty,
integrity and reputation of a person, together with the person’s competence and
capability to fulfil their CASR Part 142 obligations (as described in C1.4.2(a) and
C1.4.2(b) of this section of the handbook). CASA must be satisfied that:
-
if the applicant is an individual—the applicant is a fit and proper person to
be issued an authorisation for the conduct of the proposed activities
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if the applicant is a corporation—each officer of the corporation is a fit and
proper person to be an officer of a corporation that is issued an
authorisation for the conduct of the proposed activities
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each of the applicant’s proposed key personnel are fit and proper persons
to be appointed to the position.
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Honesty, Integrity and Reputation
•
An evaluation of the person’s history, within the last ten years, should be
conducted to assess any criminal, regulatory, corporation or bankruptcy actions.
•
Subregulation 142.085(3) of CASR describes the matters CASA may consider in
deciding whether a person is a fit and proper person. These matters include the
following:
the person’s criminal record (if any), whether in Australia or a foreign
country
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the person’s bankruptcy (if any), whether in Australia or a foreign country
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the person’s history (if any) of serious behavioural problems
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any evidence held by CASA that the person has contravened:
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civil aviation legislation
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another law relating to transport (including aviation) safety,
whether in Australia or a foreign country.
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the person’s demonstrated attitude towards compliance with regulatory
requirements, in Australia or a foreign country - relating to transport
(including aviation) safety
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the record of compliance with regulatory requirements, relating to
transport (including aviation) safety, of any corporation in Australia or a
foreign country in which the person:
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holds or held a position equivalent to any of the applicant’s key
personnel.
for any corporation in which the person is or was an officer, or holds or
held a position equivalent to any of the applicant’s key personnel (in
Australia or a foreign country), the following records:
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is or was an officer or partner (however described)
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(a)
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the corporation’s criminal record (if any)
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the corporation’s record of insolvency, bankruptcy, receivership or
winding up (if any)
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the corporation’s record (if any) as a body subject to investigation
or comment by any statutory authority established to regulate the
share dealings or financial affairs of corporations.
any other matter relating to the fitness of the person to:
o
for an applicant—hold an AOC that authorises the conduct of the
activities
o
for an officer or proposed officer—be an officer of a corporation
that holds an AOC that authorises the conduct of the activities.
Note: Under regulation 142.110 of CASR, a reference to an AOC above may also be taken
as a reference to a certificate.
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When considering the above requirements of subregulation 142.085(3) of CASR,
CASA may take into account:
whether the person has been convicted of any criminal offence, including
any spent convictions - particular consideration will be given to offences,
committed within or outside of Australia, of dishonesty and fraud, and
offences against public safety and order
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whether the person has been the subject of any adverse finding or any
settlement in civil proceedings in connection with public and aviation
safety
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whether the person has been the subject of, or interviewed in the course
of, any existing or previous investigation or disciplinary proceedings by
CASA, applicable professional bodies, other regulatory authorities, or
government bodies or agencies in relation to aviation safety
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whether the person is, or has been, the subject of any proceedings of a
disciplinary or criminal nature, or has been notified of any potential
proceedings or of any investigation which might lead to those proceedings
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whether the person has contravened any of the requirements and
standards of CASA’s regulatory system, or the equivalent standards or
requirements of other regulatory authorities
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whether the person has been involved with a company, partnership or
other organisation that has been refused an aviation authorisation or a
licence to conduct aviation activities, or has had that registration,
authorisation, or licence suspended, cancelled or varied by a regulatory or
government body
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whether the person has ever been disqualified from acting as a director or
disqualified from acting in any managerial capacity
whether there is evidence that the person has not been candid and
truthful in all of the person’s dealings with regulatory bodies, and whether
the person has not demonstrated a readiness and willingness to comply
with the requirements and standards of a regulatory system
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whether the person has been convicted of, or dismissed or suspended
from employment for, or had a licence suspended, varied or cancelled,
due to drug or alcohol abuse or other abusive acts - this will be
considered only in relation to a person’s continuing ability to perform their
function for which the person is, or is to be, employed
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other matters such as the person’s experience (if any) in aviation, and
their knowledge of the regulatory requirements applicable to civil aviation
in Australia.
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Competence and Capability
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having any experience required for that grant
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having successfully completed any training required for that grant
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if there is a requirement as to the recency or currency of the applicant's
training or experience - meeting that requirement
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if particular attributes of character are required for that grant - having
those attributes
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if a standard of proficiency in an activity is required for that grant - meeting
that standard of proficiency.
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having any qualifications required for the grant of the authorisation
To determine a person’s competence and capability to hold a position, CASA will
also have regard to:
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whether the person satisfies the relevant aviation training and
competency requirements for the position
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whether the person has the experience to perform the function and meet
the responsibilities required by the position
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whether the person has adequate time to perform the function and meet
the responsibilities associated with the position.
Specific considerations in relation to the qualifications and experience for key
personnel, and the assessment of key personnel nominees, are discussed in
each of the key personnel sections of this handbook
(sections C1.5 through to C1.8).
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In the case of an applicant who is an individual, and in accordance with
subregulation 11.055(2) of CASR, a person who has applied for an authorisation
may be granted the authorisation only if the person meets the criteria specified
for the grant. A reference to meeting the criteria for the grant of an authorisation
includes:
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(b)
C1.4.3
Temporary Absence
•
The applicant must have a procedure, described in their exposition, to manage
the potential disruption to business due to the temporary absence or inability of a
key person to carry out their responsibilities.
•
The exposition must include the full name of the person authorised to act on
behalf of each key person during any period of temporary absence.
•
The applicant’s procedure must describe how CASA is notified of a key person’s
inability to carry out their responsibilities for a period of greater than 35 days. The
applicant must demonstrate that, in accordance with regulation 142.165 of CASR,
this notification will be provided:
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within 24 hours of the time that the applicant becomes aware of the
absence, if there is not another person authorised to carry out the
responsibilities for all or part of the period of absence
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within 3 days of the time that the applicant becomes aware of the
absence, if there is another person authorised to carry out the
responsibilities for all or part of the period of absence (ie the
temporary/acting key person nominated with the applicant’s exposition).
•
The applicant’s procedure should also specify that the applicant will maintain an
auditable register providing a chronological record of each occasion that the
temporary/deputy key person holds responsibility and accountability for the
position.
•
The applicant’s procedure may also:
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detail who is responsible for notifying CASA
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describe a means for providing the notification.
Ideally, the applicant’s procedures for nominating temporary/deputy key
personnel would require the temporary key person to have equivalent or similar
qualifications and experience as the primary position holder.
•
Each temporary/deputy key person must have received familiarisation training in
relation to the key person’s responsibilities and accountabilities, prior to carrying
out the responsibilities of the position. The applicant must provide a means to
demonstrate that familiarisation training is provided to temporary position holders.
Considerations in relation to familiarisation training are described in
section C1.4.4 of this handbook.
•
In the interests of safety, and to be satisfied that a temporary key person is
suitable to carry out the responsibilities of the key position on a temporary basis,
CASA may issue a direction for the temporary key person to undertake an
examination, be interviewed by CASA, or complete a stated training course. Such
a direction must be issued in writing. Considerations in relation to the
assessment of key personnel are described in sections C1.5 to C1.8 of this
handbook. These considerations may be applicable to the assessment of
temporary key personnel nominees.
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Familiarisation Training
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C1.4.4
•
The applicant must have a means for ensuring familiarisation training is provided
to each of its key personnel, prior to them carrying out their responsibilities.
•
Each temporary/deputy key person must also have received familiarisation
training in relation to the key person’s responsibilities and accountabilities, prior
to carrying out the responsibilities of the position.
•
The content of the familiarisation training should be documented within the
applicant’s exposition, or within a supplementary document to which the
exposition makes reference. For example, the applicant’s Internal Training and
Checking System Manual.
•
The content of the familiarisation training must include the matters necessary to
familiarise the person with the responsibilities and accountabilities of the position.
In addition to the responsibilities and accountabilities, it may cover the following:
-
the company structure, governance and management
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the scope of the applicant’s authorisation
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the applicant’s processes and procedures to support the conduct of the
duties associated with the responsibilities
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the reporting requirements for key personnel and other management, and
the duties and responsibilities of all personnel
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the legislative framework governing civil aviation
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the applicant’s policies
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the applicant’s systems
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the SMS, safety policy and safety culture
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key risks and risk management strategies
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the quality assurance management system
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familiarisation with the exposition, supporting manuals and documents,
and the processes and procedures described therein
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any other relevant internal procedures and approval processes.
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The applicant’s process for conducting familiarisation training should include
details of who will deliver the training for each key person. For example, the chief
executive officer may provide the training for the head of operations and safety
manager.
•
The applicant should demonstrate that a documented record of the satisfactory
completion of familiarisation training by each key person and temporary/acting
key person will be made and retained for audit purposes.
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Chief Executive Officer
References
AS
A
C1.5
C
CASR: 142.085, 142.175, 142.180, 142.215, 142.340(1)(e)&(f)
Introduction
The overall responsibility and accountability for the safety of the operation rests with the
chief executive officer.
The chief executive officer is responsible for overseeing the strategic direction and policies
of the organisation, as set out by its directors. In less complex organisations, such as sole
traders, it is the chief executive officer who sets the direction and oversees the operations.
The chief executive officer must meet the experience requirements of regulation 142.175 of
CASR, and must have a demonstrated ability and support within the organisation to manage
the responsibilities and accountabilities required under regulation 142.180 of CASR. An
applicant may also prescribe additional responsibilities and accountabilities for the position.
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Things for Consideration
The following information may be of value in determining if the applicant has nominated an
appropriate person, in accordance with regulatory requirements, to be the chief executive
officer.
C1.5.1
Applicant who is an Individual
An applicant who is an individual must be assessed as a fit and proper person in
order to be issued an AOC or certificate that authorises the conduct of the
proposed activities. Considerations relevant to assessing the fitness and
propriety of a person are described in section C1.4.2 of this handbook.
•
If the applicant is an individual, the individual must provide written evidence that
they will be the chief executive officer. Such evidence may be a declaration,
made within the Application for Part 142 Authorisation, which verifies the
applicant is, or proposes to be, the chief executive officer.
Experience
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C1.5.2
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Under regulation 142.175 of CASR, a chief executive officer must have sufficient
relevant experience in organisational, operational, financial and people
management of air operations, to enable the applicant to conduct safe operations
in accordance with its exposition and civil aviation legislation.
•
The applicant should have sufficient standards and processes for the assessment
and selection of individuals considered for the position of chief executive officer.
•
The applicant must provide evidence to verify that the chief executive officer
nominee holds the experience required by regulation 142.175 of CASR.
Verification should be confirmed through documentary evidence of the nominee’s
qualifications and experience.
•
The nominee’s qualifications and experience may be verified through the
submission of a curriculum vitae setting out the nominee’s employment history.
This may detail how the nominee meets the experience requirements of
regulation 142.175 of CASR.
•
The level of experience required for the chief executive officer nominee within
each of the criteria mentioned in regulation 142.175 of CASR will vary, dependent
upon the size and scope of the applicant’s organisation and the scope of the
proposed activities.
•
Without limiting the considerations involved in the determination of what is
deemed to be ‘sufficient’ and ‘relevant’ experience for a chief executive officer
nominee, the following are pertinent:
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the nature and complexity of the proposed activities, and whether the
nominee holds management experience from within a similar operation
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the need to ensure the safe conduct of the activities in accordance with
the applicant’s exposition and civil aviation legislation
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the leadership, management and standard-setting skills required by the
nominee for the proposed activities, and whether the nominee’s previous
experience would have enabled them to acquire these skills and carry out
the responsibilities of the position (discussed in section C1.5.4 of this
handbook)
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the need to maintain adequate corporate and financial governance
-
the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence
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how recently the nominee has used their aviation skills.
Organisational management of air operations involves the coordination of an
organisation’s resources by means of leading, planning, organising and
controlling the resources at a managerial level, with the overall aim of achieving
the objectives of the organisation. Organisational management of air operations
may include, but would not be limited to:
setting the strategic direction via business planning
-
determining and implementing a marketing strategy
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resource planning
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developing and implementing a personnel recruitment and training
strategy
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liaising and managing the relationship with key stakeholders such as
regulatory authorities, investors, financial institutions, suppliers and clients
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managing organisational change.
Operational management of air operations may include, but would not be limited
to:
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safety management
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ensuring compliance with legislative requirements
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quality assurance management
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resource allocation
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maintenance scheduling for aircraft/simulators.
Financial management of air operations may include, but would not be limited to:
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budget planning and finance allocation
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investment strategies and policies
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capital and operational expenditure control
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resource funding and purchasing
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profit and loss monitoring
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cash flow monitoring
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personnel payroll management
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creditor/debtor management.
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People management of air operations may include, but would not be limited to:
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personnel recruitment
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establishing position descriptions, responsibilities and accountabilities
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induction/familiarisation training
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managing personnel work arrangements
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implementing and managing personnel performance processes
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conducting staff performance appraisals
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overseeing personnel training, development and mentoring
-
managing industrial relations including liaison with employee trade unions
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establishing and maintaining a workplace compliant with work health &
safety legislation
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conducting personnel termination actions.
C1.5.3
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Further documentation and information which may be considered when
determining the suitability of the nominee for the position include CASA records
relating to the nominee, such as:
the nominee’s compliance history
-
the nominee’s enforcement history (obtained through the Investigations
Branch of the Legal Services Division)
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any records relating to the nominee’s previous areas of operations (held
on CASA’s internal files or in CASA databases).
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Additional Qualifications and Experience
An applicant may choose to develop a position description for the chief executive
officer role, which sets out mandatory and desirable qualifications and
experience. In such a scenario, the applicant’s specified mandatory experience
must meet the experience requirements of regulation 142.175 of CASR.
•
If the applicant requires the chief executive officer to hold qualifications and
experience in addition to those required by regulation 142.175 of CASR, these
additional qualifications and experience must be documented within the
applicant’s exposition.
•
CASA may, under regulation 142.215 of CASR, issue a direction for a chief
executive officer to hold qualifications and experience in addition to those
required under regulation 142.175 of CASR, in order to ensure that the applicant
can safely conduct the proposed activities.
•
In determining if additional qualifications and experience are required, CASA
must have regard to, but is not limited in considering, the matters mentioned in
subregulation 142.215(4) of CASR - which include the nature and complexity of
the activities and the leadership, management and standards-setting skills
required by the chief executive officer for the activities.
•
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
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•
The applicant must provide documentary evidence to verify that the chief
executive officer holds the additional qualifications and experience that are
required by CASA.
C1.5.4
Responsibilities
The chief executive officer may delegate duties to other personnel; however the
chief executive officer retains responsibility and accountability for the matters
specified in regulation 142.180 of CASR, and any additional responsibilities
required by the applicant.
•
The applicant must provide a means for the chief executive officer to carry out
each of the responsibilities of the position. This may be done by way of written
processes and procedures, supporting documentation, making available finance
and resources, or via support to the chief executive officer in carrying out the
functions required to fulfil each responsibility.
•
The applicant’s processes and procedures should be documented to ensure
clarity, repeatability and traceability, and enable the person appointed as the
chief executive officer (either permanently or temporarily) to effectively manage
the responsibilities for which the position is accountable.
•
Each of the applicant’s processes, relevant to the chief executive officer’s
responsibilities, should be comprised of a series of procedures or actions that
contribute to the desired outcome. Each documented procedure, which may be
included in the applicant’s exposition or supporting manuals/documents, should
address:
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who should do it
when it must be done
where it must be done
how it must be done
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what must be done
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(a)
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which documentation must be used (e.g. manuals, instructions, forms etc)
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how the procedure is to be monitored, and improved if required.
Considerations and examples of the way in which the chief executive officer may
fulfil each of the responsibilities are described under the subsequent subheadings
in this section of the handbook. The applicant must demonstrate that they provide
a means for the chief executive officer to carry out functions such as those
provided in the examples.
Sufficient Suitably Experienced, Qualified and Competent Personnel
•
To ensure the applicant has sufficient experienced, qualified and competent
personnel, a means must be provided for the chief executive officer to carry out
the functions required to fulfil this responsibility. These may include, but are not
limited to:
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conducting regular management reviews regarding staffing levels and
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undertaking recruitment action as necessary to maintain the appropriate
ratio of instructors and examiners to course participants
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recruiting personnel in a planned manner, including assessment of
competence and a requirement to retain recruitment records and
evidence of qualifications and experience
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modifying recruitment related processes and procedures where necessary
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ensuring all personnel, whatever their roles, are suitably trained and
authorised for the tasks they perform
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supporting the conduct of checks in accordance with the applicant’s
training and checking system, with continuation training being made
available when necessary to maintain competency levels.
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Whilst the chief executive officer holds the overall responsibility for ensuring the
applicant has sufficient suitable personnel, it is likely that the head of operations
would be involved in the recruitment selection process for instructors and
examiners.
Suitable Management Structure
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monitoring, reviewing and modifying the management structure as
necessary, to ensure it remains appropriate and relevant to the scope and
nature of the activities
establishing position descriptions for each management position that
clearly articulate the responsibilities and accountabilities of the position.
Adequate Financing and Resourcing
•
To ensure that adequate financing and resources are available for the safe
conduct of the activities, the applicant must ensure the chief executive officer has
the authority to approve or obtain funding. Where the finances of the organisation
are controlled by a board of directors, CASA must be satisfied that the board has
provided the chief executive officer with this authority.
•
The chief executive officer’s authority to approve or obtain funding must be
sufficient to enable the chief executive officer to carry out the functions necessary
to fulfil the responsibility. This includes, but is not limited to:
C
(c)
se
To ensure the applicant has a suitable management structure, a means must be
provided for the chief executive officer to carry out the functions required to fulfil
this responsibility. These may include, but are not limited to:
U
•
AS
A
(b)
O
nl
•
-
-
ensuring the activities are carried out in accordance with the procedures
contained within the exposition and supporting documentation
-
the ability to maintain and upgrade personnel qualifications as required,
including, but not limited to, making the necessary resources available for
the conduct of standardisation and proficiency flights, flight tests and
proficiency checks, staff mentoring and development
-
ensuring aircraft are maintained in accordance with legislative
requirements
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ensuring FSTDs are maintained in accordance with the operator’s
maintenance schedule
-
ensuring the facilities are appropriate to the proposed activities and the
number of course participants.
Set and Maintain Standards for the Activities
The chief executive officer holds responsibility and accountability for the overall
standard of the activities.
•
To ensure the applicant sets and maintains standards for the activities in
accordance with the exposition, a means must be provided for the chief executive
officer to carry out the functions required to fulfil this responsibility. These may
include, but are not limited to:
y
•
-
establishing and maintaining a schedule for regular monitoring of the
conduct of the activities against the exposition - such a schedule would
ensure the activities are carried out in accordance with written procedures
and practices
-
ensuring a regular and documented system of reporting and
communication is established and maintained between the chief executive
officer, the head of operations, instructors and examiners – such a system
would enable the chief executive officer to receive feedback on course
participant progress and standards of instruction
-
improving training standards when required (e.g. reviewing and amending
course content, remedial training for instructors and examiners).
AS
A
(e)
U
se
O
nl
(d)
-
Compliance with Civil Aviation Legislation
To ensure the applicant complies with civil aviation legislation, a means must be
provided for the chief executive officer to carry out the functions required to fulfil
this responsibility. These may include, but are not limited to:
C
•
(f)
-
ensuring the head of operations and the safety manager/quality
assurance manager provide regular documented reports on compliance
issues
-
making required resources available for remedial actions, to ensure
findings of non-compliance identified via either internal audit, CASA
surveillance or third party audit are adequately addressed.
Implement and Manage Safety Management System
•
The chief executive officer holds full accountability for the SMS, and must hold
full authority for its implementation, maintenance and ensuring necessary safety
activities are adequately resourced. The processes and procedures for the
management of these matters should be addressed within the applicant’s SMS
manual. Considerations relevant to safety management systems are described in
section C3.5 of this handbook.
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•
The applicant’s SMS manual must include a statement of the applicant’s safety
policy, established by the chief executive officer, which describes the safety
culture of the organisation and demonstrates organisational commitment to
safety. This statement may also be included within the applicant’s exposition.
•
To ensure the applicant implements and manages the SMS, has procedures
ensuring personnel understand the safety policy, and ensures the independence
of the safety manager, a means must be provided for the chief executive officer
to carry out the functions required to fulfil these responsibilities. These may
include, but are not limited to:
communicating the applicant’s safety policy to all personnel, and
maintaining a program of ongoing safety promotion and communication
-
clearly defining, for all personnel, their accountabilities and responsibilities
for the development and delivery of the applicant’s safety strategy and
performance
-
establishing a system of formal, documented and regular communications
between the chief executive officer and the safety manager (e.g. having
procedures that require the safety manager to provide a monthly written
report to the chief executive officer)
-
supporting safety investigations by making available the necessary
funding and resources
-
ensuring findings and recommendations made by the SMS are actioned in
accordance with the SMS processes and procedures, including making
the necessary funding and resources for any such action available
-
supporting the continuous improvement of the SMS and supporting
training and professional development of the safety manager in HF and
SMS topics
setting policy and establishing guidelines to ensure the safety manager
remains independent from operational areas, reports directly to the chief
executive officer or senior management and is not subject to undue
influence.
C
-
AS
A
U
se
O
nl
y
-
(g)
Arrangement for the Supply of Turbine-engined Aircraft
•
To ensure the applicant advises CASA of the arrangements and any safety
implications relating to the supply of each turbine-engined aircraft, a means must
be provided for the chief executive officer to carry out the functions required to
fulfil these responsibilities. These may include, but are not limited to:
-
ensuring a standard form of notification that sets out details of the
arrangement, together with a copy of any lease documentation, is given to
CASA
-
monitoring the activities conducted in the aircraft - this may include
receiving regular reports from the head of operations in relation to the
operation of the aircraft and any potential or known threat to safety
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(h)
-
notifying CASA in writing as soon as becoming aware of any known or
potential threat to safety resulting from the arrangement for the supply of
the aircraft
-
notifying CASA in writing as soon as becoming aware that a provision of
civil aviation legislation, or the law of the country in which the aircraft is
registered, will be contravened.
Compliance with Laws of each Foreign Country where Activities Conducted
To ensure the applicant complies with any foreign aviation safety laws, a means
must be provided for the chief executive officer to carry out the functions required
to fulfil this responsibility. These may include, but are not limited to:
-
appointing a project officer or responsible person to manage the
international operation and report to the chief executive officer on matters
of safety and compliance
-
ensuring instructors and examiners are briefed regarding the host
country’s rules, regulations and procedures, and that relevant legislation
is made available to them prior to commencement of operations within the
country
-
developing documented standard operating procedures to ensure
compliance with the host country’s civil aviation requirements, and any
conditions detailed on the international AOC (if any). Requirements of a
general nature, and relevant to all overseas operations, may be provided
within the operations manual (e.g. instructions regarding validity of pilot
licences and ratings, flight documentation to be used, and flight planning
requirements).
(i)
AS
A
U
se
O
nl
y
•
Maintain Foreign Registered Aircraft in accordance with Laws of the Foreign
Country
To ensure the applicant maintains each foreign registered aircraft in accordance
with the foreign country’s laws, a means must be provided for the chief executive
officer to carry out the functions required to fulfil this responsibility. These may
include, but are not limited to:
C
•
-
•
establishing a system that manages the maintenance and continuing
airworthiness applicable to the laws of the foreign country in which the
aircraft is registered - the system may include appointing a maintenance
controller to control the maintenance of the aircraft, and should include:
o
how scheduled and unscheduled maintenance will be controlled
o
where the maintenance will be carried out
o
how compliance with the airworthiness requirements of the foreign
country will be complied with, including any airworthiness
directives and service bulletins.
Restrictions on the use of foreign registered aircraft within Australian territory are
described in section C2.3.3 of this handbook.
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Implement and Manage the Quality Assurance Management System
•
The chief executive officer holds full accountability for the quality assurance
management system, and must hold full authority for its implementation,
maintenance and ensuring quality assurance actions are adequately resourced.
The processes and procedures for the management of these matters should be
addressed within the applicant’s quality assurance management system manual.
Considerations relevant to quality assurance management systems are described
in section C3.6 of this handbook.
•
To ensure the applicant implements and manages the quality assurance
management system, a means must be provided for the chief executive officer to
carry out the functions required to fulfil this responsibility. These may include, but
are not limited to:
establishing a system of formal, documented and regular communications
between the chief executive officer and the quality assurance manager
(e.g. having procedures that require the quality assurance manager to
provide a monthly written report to the chief executive officer)
-
ensuring findings and recommendations made during internal quality
assurance reviews, audits or inspection of the applicant’s facilities are
actioned in accordance with the processes and procedures described in
the quality assurance management system manual, including making the
necessary funding and resources for such actions available
-
supporting training and professional development for the quality
assurance manager in quality assurance management system topics
-
implementing procedures to ensure that any conditions attached to the
applicant’s Part 142 certificate, or any exemption, are complied with.
y
-
se
U
AS
A
(k)
O
nl
(j)
Implement and Review Safety Performance Indicators and Targets
To ensure the applicant’s safety performance indicators and targets are
established and regularly reviewed, a means must be provided for the chief
executive officer to carry out the functions required to fulfil this responsibility.
These may include, but are not limited to:
C
•
-
establishing performance indicators and targets, that assist in the
evaluation of safety performance, in consultation with the safety manager
and head of operations
-
conducting regular safety audits in order to measure performance and
make improvements or take corrective action
-
establishing formal, regular and documented communications with the
safety manager.
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Monitor and Manage Exposition for Continuous Improvement
To ensure the exposition is monitored and managed for continuous improvement,
a means must be provided for the chief executive officer to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
establishing and maintaining a schedule for review of the exposition (to
ensure it remains compliant with Part 142 requirements)
-
ensuring personnel can make suggestions for amendments to the
exposition
-
ensuring the processes and procedures described within the exposition
meet the requirements of Part 142 and adequately address the authorised
activities
-
implementing actions required to correct any deficiencies within the
exposition and supporting documents (in accordance with the applicant’s
change management procedures)
-
ensuring that any amendments made to the exposition do not contradict
other sections or procedures within the exposition, or legislative
requirements.
y
-
(m)
se
O
•
nl
(l)
Ensure Key Personnel Satisfactorily Carry out their Responsibilities
To ensure that key personnel carry out their responsibilities to a satisfactory
standard, a means must be provided for the chief executive officer to carry out
the functions required to fulfil this responsibility. These may include, but are not
limited to:
-
ensuring key personnel undertake familiarisation training prior to carrying
out their duties
ensuring each of the key personnel position responsibilities and
accountabilities are documented within the exposition and fully
understood by each incumbent
C
-
AS
A
U
•
•
C1.5.5
-
establishing a method of regular reporting and communication with key
personnel
-
conducting regular key personnel performance reviews and providing
remedial training when required.
Considerations in relation to familiarisation training for key personnel are
available in section C1.4.4 of this handbook.
Additional Responsibilities and Accountabilities
•
If the applicant has followed CASA’s Part 142 sample exposition structure,
additional responsibilities and accountabilities of the chief executive officer will be
listed in Part 1, paragraph 1.9.1.3 of the exposition.
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Additional duties and responsibilities of the chief executive officer, that are
required by the applicant, must not conflict with or distract from the
responsibilities required under regulation 142.180 of CASR. For example, if the
chief executive officer is also an instructor or examiner, and they are expected to
spend a significant proportion of time away from the key personnel role, the
additional duties must not inhibit the chief executive officer’s ability to meet the
responsibilities and accountabilities of the chief executive officer position.
•
The potential impact on a chief executive officer who may be involved with any
other legal entity should be considered, to determine whether this may affect their
ability to manage the responsibilities and accountabilities under regulation
142.180 of CASR.
•
Where an applicant nominates a chief executive officer who resides overseas or
whose base is away from the primary operating base of the applicant, the
applicant must describe how the chief executive officer will manage the
responsibilities and accountabilities of the position. These details may be
provided with the exposition or a supplementary manual to which the exposition
refers. Consideration must be given to the organisation’s reporting structure, the
experience and qualifications of personnel assigned to support the chief
executive officer, and the duties of these personnel. The applicant must also
provide a means to ensure that the chief executive officer is contactable,
accessible and available to meet with CASA when necessary.
se
O
nl
y
•
Direction under subregulation 142.215(3) of CASR
U
C1.5.6
In the interests of safety, and to be satisfied that the chief executive officer
nominee is suitable for the position, CASA may issue a direction for the nominee
to undertake an examination, be interviewed by CASA, or complete a stated
training course. Such a direction must be issued in writing.
•
An examination, interview or the completion of a stated training course would be
expected for nominees who have not previously held the role of chief executive
officer in a similar operation. A nominee who has previously undertaken an
examination or interview and deemed a suitable chief executive officer in a
similar operation, may not require a further CASA examination or interview particularly if this assessment was carried out in the preceding 12 months.
•
To assist CASA in determining the suitability of the chief executive officer
nominee, an interview may be deemed necessary. During such an interview, the
nominee must demonstrate a suitable knowledge and understanding of the
accountabilities and responsibilities of the position. The interview may also
include questions composed in order to determine that the nominee:
C
AS
A
•
-
displays an appropriate understanding of the position’s overall
responsibility for regulatory compliance
-
demonstrates an understanding of aviation legislation, having regard to
the activities to be covered by the authorisation
-
is able to describe, and demonstrates an understanding of, the roles and
responsibilities of all key personnel positions
-
demonstrates an ability to maintain effective oversight and operational
support of key personnel and management positions
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-
is able to describe the corporate policy relating to internal and external
communication and consultation
-
demonstrates an understanding of the requirement to communicate
operational and safety related matters to CASA
-
demonstrates an ability to effectively explain the use of the SMS or quality
assurance management system (as applicable), as a safety/quality
assurance tool
-
demonstrates an understanding of how standards are to be monitored
and maintained
-
demonstrates that they hold an ability to exercise due care and diligence,
which takes into account:
how the chief executive officer intends to implement the SMS or
quality assurance management system (as applicable) across the
organisation
o
how the chief executive officer intends to apply corporate risk
management policies to mitigate operational and compliance risks
o
how the chief executive officer intends to ensure the applicant’s
ongoing operational compliance
o
how the chief executive officer intends to ensure communication
systems adequately provide information to and from relevant
parties.
U
se
O
nl
y
o
Head of Operations
References
AS
A
C1.6
C
CASR: 142.185, 142.190, 142.215
Introduction
The head of operations is responsible for the safe management of the applicant’s authorised
Part 142 activities, and must meet the qualification and experience requirements of
regulation 142.185 of CASR. CASA may direct the head of operations to hold additional
qualifications and experience.
The head of operations must discharge the responsibilities required under regulation
142.190 of CASR. An applicant may prescribe additional responsibilities and accountabilities
for the position.
Things for Consideration
The following information may be of value in determining if the applicant’s nominated head of
operations holds the experience, competence and capability to effectively carry out the
responsibilities of the position.
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C1.6.1
Qualifications and Experience
•
The head of operations nominee must provide CASA with documented evidence
of their qualifications and experience.
•
Documentation and information which may be considered when determining the
suitability of the nominee’s qualifications and experience for the position include:
(b)
-
the nominee’s flight crew licence and medical certificate
-
the nominee’s employment history
-
any CASA records relating to the nominee, such as:
a CASA qualifications report
o
compliance history
o
enforcement history (obtained through the Investigations Branch of
the Legal Services Division)
o
records relating to nominee’s previous areas of operations (held
on CASA’s internal files or in CASA databases).
O
nl
y
o
se
The applicant must have sufficient standards and processes in place for the
assessment and selection of individuals considered for the position.
Flight Crew Qualifications
The nominee’s flight examiner rating must be current in accordance with
CASR Part 61 proficiency check requirements, and the nominee must hold a
valid class 1 medical certificate.
•
The head of operations need not hold an air transport pilot licence if the proposed
activities are limited to single pilot operations (i.e. integrated courses for the grant
of a private pilot licence or commercial pilot licence). In this situation a minimum
of a commercial pilot licence is suitable.
AS
A
•
C
(a)
the nominee’s pilot log book
U
•
-
Operational Experience
•
•
In relation to the requirement to meet authorisation and flight time requirements in
a particular aircraft, ‘kind of an aircraft’ means:
-
for an aircraft that is covered by an aircraft type rating – the aircraft type
rating
-
for an aircraft that is not covered by an aircraft type rating – the type of
aircraft.
The applicant must provide evidence to verify that the head of operations has a
satisfactory record in the conduct or management of air operations. Where the
nominee has not previously held any operational key personnel position, an
assessment of whether the nominee has suitable and satisfactory experience in
deputy or supervisory roles with other operators should be conducted.
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•
The head of operations must have sufficient safety and regulatory knowledge to
enable the activities to be conducted safely and in accordance with the
applicant’s exposition and civil aviation legislation. Considerations relevant to the
assessment of the nominee’s safety and regulatory knowledge are discussed in
section C1.6.5 of this handbook.
•
When considering the experience required under subregulation 142.185(2)(d) of
CASR (where all other requirements of subregulation 142.185(2) of CASR are
met), if the head of operations nominee does not hold both:
-
at least 500 hours flight time on a kind of aircraft used to conduct a
significant proportion of the activities, and
-
at least 6 months experience in the conduct or management of air
operations conducted under an AOC or equivalent foreign authorisation
In any other situation, for a head of operations nominee who does not meet the
requirements of subregulation 142.185(2) of CASR, the applicant may make
application to CASA for the nominee to hold an approval under regulation
142.040 of CASR to be head of operations. Considerations relevant to such an
approval are discussed in section C1.6.2 of this handbook.
•
If an operator requests to add new activities to their authorisation, the head of
operations must be reassessed as head of operations for the proposed activities
under the amended authorisation.
AS
A
U
se
O
•
Additional Qualifications and Experience
•
An applicant may choose to develop a position description for the head of
operations role, which sets out mandatory and desirable qualifications and
experience. In such a scenario, the applicant’s specified mandatory qualifications
and experience must meet the requirements of subregulation 142.185(2) of
CASR.
•
If the applicant requires the head of operations to hold qualifications and
experience in addition to those required by subregulation 142.185(2) of CASR,
these additional qualifications and experience must be documented within the
applicant’s exposition.
•
CASA may issue a direction for the head of operations to hold additional
qualifications and experience, beyond those required under subregulation
142.185(2) of CASR. Such a direction may be made in order to ensure the
nominee has the experience, qualifications and knowledge appropriate to the
size, scale and complexity of the proposed operation. For example, if the
applicant proposes to introduce a new aircraft type, CASA may require the head
of operations to gain a type rating on that particular aircraft type.
C
(c)
nl
y
the applicant may apply for an approval under regulation 142.040 of CASR for
the head of operations nominee to hold just one of these experience
requirements.
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•
In determining if additional qualifications and experience are required, CASA
must consider, but is not limited in considering, the matters mentioned in
subregulation 142.215(4) of CASR - which include the nature and complexity of
the activities and the leadership, management and standards-setting skills
required by the head of operations for the activities.
•
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
C1.6.2
Approval granted under Regulation 142.040 of CASR
In a situation where the applicant’s nominee for the head of operations position
does not hold the aeronautical experience and qualifications required by
subregulation 142.185(2) of CASR, the applicant may request an approval under
regulation 142.040 of CASR for the nominee to be the head of operations.
•
The applicant should provide CASA with an alternative means of compliance to
the requirements of subregulation 142.185(2) of CASR. The applicant’s
alternative means of compliance should include a detailed safety case describing
risk mitigation strategies for the management of the nominee’s shortfall in
qualifications and/or experience.
•
When assessing an application for an approval under regulation 142.040 of
CASR and the applicant’s alternative means of compliance, consideration should
be given, however may not be limited, to matters such as:
se
O
nl
y
•
the nature and scope of the proposed activities
-
the size of the organisation - in a smaller organisation with fewer support
personnel, it may be more appropriate for the head of operations to hold
operational experience relating to the proposed activities
the operational experience, qualifications and employment history of the
nominee
whether the experience and qualifications of the nominee are relevant to
the role and the activities the applicant proposes to conduct. Ideally, the
experience and/or qualifications of the nominated head of operations
would be generally equivalent to the requirements specified in
subregulation 142.185(2) of CASR
C
-
AS
A
-
U
-
-
whether the nominee’s experience is appropriately recent
-
the applicant’s supporting infrastructure, including the applicant’s
documented reporting structure, the experience and qualifications of
personnel available to support the head of operations, and the applicant’s
processes and procedures described within the exposition.
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The following scenarios are provided as examples:
an applicant requesting approval to conduct multi-crew cooperation
courses (MCC) only, may have nominated a head of operations who does
not hold an examiner rating. As the MCC course does not require course
participants to undertake a flight test, and taking into account the
considerations above, this may be determined to be satisfactory. The
nominated head of operations may be required to demonstrate that they
hold or have held an ATPL, and hold sufficient prior experience gained in
an air transport multi-crew operation. A further requirement, to
demonstrate experience relevant to the proposed activity, may be that the
nominee should hold experience in training Crew Resource Management
(CRM) or Threat and Error Management (TEM) in a multi-crew
environment.
-
an applicant for a Part 142 Certificate only (i.e. conducting activities in
FSTDs only) may nominate a head of operations who has previously held
an ATPL and has prior experience in multi-crew operations, however no
longer holds a valid flight crew qualification. When determining the
suitability of the nominee for an approval under regulation 142.040 of
CASR to be head of operations, the nominee’s prior operational
experience, particularly whether they hold instructional or training and
checking experience, and experience in the relevant aircraft type/s, would
be relevant considerations.
y
-
U
Where the nominee does not hold the required qualifications and experience to
be the head of operations, the applicant may nominate an instructional specialist
to cover the specific authorisations for which it seeks approval. In such a
situation:
-
the instructional specialist would be subject to the same assessment
process as a head of operations, and would be required to meet the same
standard for those areas for which they are responsible
the instructional specialist’s duties, responsibilities and reporting lines
should be clearly documented in the applicant’s exposition
C
-
AS
A
•
se
O
nl
•
C1.6.3
-
the instructional specialist would report directly to the head of operations
-
the approval to be head of operations would be issued with a condition
that states that the activities to be managed by the instructional specialist
can only take place whilst that specialist is employed by the applicant.
Responsibilities
•
The head of operations may delegate duties to other personnel; however the
head of operations retains responsibility and accountability for the matters
specified in regulation 142.190 of CASR, and any additional responsibilities
required by the applicant.
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The head of operations is responsible for all operations conducted at the various
bases, which may require the delegation of some of their duties to an appropriate
person to act on their behalf. This is normally achieved by appointing a senior
base pilot at each additional base, with a program for regular scheduled and nonscheduled visits by the head of operations or a delegate, to provide supervision
and conduct internal audits.
•
The applicant must provide a means for the head of operations to carry out each
of the responsibilities of the position. This may be done by way of written
processes and procedures, supporting documentation, making available finance
and resources, or via support to the head of operations in carrying out each
responsibility.
•
The applicant’s processes and procedures must be documented to ensure clarity,
repeatability and traceability, and enable the person appointed as the head of
operations (either permanently or temporarily) to effectively manage the
responsibilities for which the position is accountable.
•
Each of the applicant’s processes, relevant to the head of operation’s
responsibilities, should be comprised of a series of procedures or actions that
contribute to the desired outcome. Each documented procedure, which may be
included in the applicant’s exposition or supporting manuals/documents, should
address:
what must be done
-
who should do it
-
when it must be done
-
where it must be done
how it must be done
which documentation must be used (e.g. manuals, instructions, forms etc)
how the procedure is to be monitored, and improved if required.
C
-
AS
A
-
U
-
-
(a)
se
O
nl
y
•
Safely Manage the Activities
•
The head of operations must safely manage the authorised Part 142 activities.
This must be achieved by, however may not be limited to, the effective discharge
of each of the responsibilities of the head of operations under subregulation
142.190(2) of CASR. The applicant may also require additional responsibilities
for the head of operations. Any additional responsibilities required by the
applicant for the head of operations must be described within the exposition.
•
The applicant should provide a plan for the oversight of each training base to
assist in ensuring the safe management of the activities at each base. The plan
should include the methods for communication with personnel at each training
base, and a schedule for regular base visits and audits by the head of operations.
•
Considerations and examples of the way in which the head of operations may
fulfil each of the responsibilities under subregulation 142.190(2) of CASR are
described under the subsequent subheadings in this section of the handbook.
The applicant must demonstrate that they provide a means for the head of
operations to carry out functions such as those provided in the examples.
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Monitor, Maintain and Report on Compliance
To ensure the head of operations monitors, maintains and reports to the chief
executive officer on the applicant’s compliance with legislation and the exposition,
a means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
receiving information and data from the safety manager and the SMS –
for example, incident reporting and accident data and trending information
-
collecting and reviewing information obtained during internal audits of
documentation such as training records
-
ensuring the continual supervision of instructors, examiners and theory
instructors is maintained to monitor the standard of instruction provided
-
receiving regular feedback and reports in relation to compliance matters
from managers, supervisors or instructors assigned responsibility for
particular flight training
-
maintaining communications with personnel at remote bases, and
carrying out remote base inspections to ensure standardisation of
instruction
-
receiving and reviewing feedback from examiners and CASA regarding
flight test outcomes
-
reporting to the chief executive officer in relation to matters such as those
listed above.
y
-
U
se
O
•
nl
(b)
Set and Maintain Standards in accordance with the Exposition
•
AS
A
(c)
To ensure standards are set and maintained in accordance with the exposition, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
providing induction training for instructors and examiners, which includes
familiarisation with company policy and documented standard operating
procedures
C
-
-
providing mentoring and supervision of instructors and examiners, to
assist in achieving standardisation of instruction in accordance with the
exposition
-
monitoring student standards through surveillance of the activities (e.g.
via regular training record audits, the conduct of progress checks and the
receipt of flight test feedback from examiners and CASA)
-
providing remedial training for instructors and examiners where necessary
(e.g. following an unsatisfactory standardisation and proficiency check)
-
ensuring the timely provision of operational and safety sensitive material
to personnel.
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(d)
Ensure Training is Conducted in accordance with the Training Management
System
To ensure training is conducted in accordance with the training management
system, a means must be provided for the head of operations to carry out the
functions required to fulfil this responsibility. These may include, but are not
limited to:
-
ensuring instructors receive, or have access to, the training management
system manual, and are familiar with its contents prior to conducting
activities
-
ensuring personnel are competent in the use of any software program
which may be utilised as a tool for the training management system
-
providing training and guidance to instructors and examiners in the use of
competency based syllabuses, and providing supervision to confirm
training is conducted in accordance with the syllabuses and standardised
procedures of the training management system
-
analysing data relating to matters such as repeated lessons, time taken to
achieve first solo flights and actual student progress against the course
schedule - this may be achieved via the training management system
software tool, if used.
O
se
The head of operations must have the ability to make changes to the training
management system processes where required, and make consequential
amendments to the training management system manual.
•
Considerations relating to the training management system are available in
section C3.1 of this handbook.
U
•
AS
A
(e)
nl
y
•
Monitoring of Activities
To ensure the activities are monitored effectively, a means must be provided for
the head of operations to carry out the functions required to fulfil this
responsibility. These may include, but are not limited to:
C
•
-
making scheduled and unscheduled base visits to conduct surveillance
and audits
-
ensuring resources required to conduct day-to-day supervision of
personnel and monitoring of the operation are available
-
receiving and reviewing information regarding theory examination results,
flight test results and examiner feedback
-
conducting regular reviews of training records
-
meeting with senior and supervisory personnel to discuss course
participant and junior instructor standards and performance.
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Managing the Maintenance and Continuous Improvement of the Fatigue Risk
Management System
-
ensuring instructors and examiners receive education and training in
relation to the FRMS
-
receiving feedback from instructors and examiners in relation to their
fatigue levels and the effectiveness of the FRMS
-
evaluating incident and accident reporting data and making necessary
changes to the FRMS to ensure continuous improvement.
y
regularly consulting with the safety manager in relation to the FRMS
O
Proper Allocation and Deployment of Aircraft, FSTDs and Personnel
To ensure the proper allocation and deployment of resources, a means must be
provided for the head of operations to carry out the functions required to fulfil this
responsibility. These may include, but are not limited to:
se
•
(h)
-
-
ensuring the suitability of aircraft and/or FSTDs for each of the activities
-
effecting the timely transfer of aircraft between training bases
-
ensuring each training base has an appropriate number of suitable
personnel, through the monitoring of course scheduling and progress, and
providing recommendations to the chief executive officer.
U
(g)
To ensure the management and continuous improvement of the Fatigue Risk
Management System (FRMS), a means must be provided for the head of
operations to carry out the functions required to fulfil this responsibility. These
may include, but are not limited to:
nl
•
AS
A
(f)
Providing Personnel with Necessary Information and Documentation
To ensure personnel are provided with necessary information and
documentation, a means must be provided for the head of operations to carry out
the functions required to fulfil this responsibility. These may include, but are not
limited to:
C
•
-
providing personnel with the parts of the exposition that relate to each
person’s duties, prior to the person carrying out those duties
-
distributing or displaying (or providing easy access to) operational
information such as NOTAMs, weather reports and forecasts
-
providing timely communication to personnel of changes to company
procedures and manuals, and other operational matters
(e.g. standardisation instructions).
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Using Flight Simulation Training Devices in accordance with the Exposition
(j)
To ensure FSTDs are used only in accordance with the exposition, a means must
be provided for the head of operations to carry out the functions required to fulfil
this responsibility. These may include, but are not limited to:
-
ensuring instructors and examiners have access to those parts of the
exposition that relate to their duties
-
delivering training on the use of each device, prior to an instructor or
examiner using the device
-
supervising, monitoring and providing feedback relating to the ongoing
use of the devices by personnel and course participants (to confirm the
devices are operated according to written procedures and utilised only for
those sequences specified within the syllabus).
y
•
Flight Simulation Training Devices Qualified in accordance with Legislation
To ensure FSTDs are qualified in accordance with relevant legislation, a means
must be provided for the head of operations to carry out the functions required to
fulfil this responsibility. These may include, but are not limited to:
O
•
nl
(i)
assuring the initial evaluation and qualification of each device by CASA,
and providing sufficient notice to CASA to ensure that, prior to the expiry
of the device’s approval, a fidelity check is conducted and a new
certificate is issued
-
ensuring any upgrades of specification, equipment or visuals are
approved by CASA
U
ensuring CASA is advised of the relocation of any device, and a fidelity
check is conducted prior to the device being used for the activities
ensuring that any qualification standards prescribed by CASA (under a
legislative instrument) are complied with, or that the device complies with
the qualification standards of the national aviation authority of a
recognised foreign State (if applicable).
C
-
AS
A
-
se
-
(k)
Access to Exposition by Instructors and Examiners
•
To ensure instructors and examiners have access to the applicant’s exposition, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
-
distributing the exposition or relevant parts of the exposition, via hard
copy or electronic means, to personnel prior to the commencement of
duties
-
ensuring any amendments to the exposition are distributed to personnel
without delay
-
ensuring a record of distribution, and a method to confirm the receipt of
the exposition and any amendments by each instructor and examiner, is
maintained.
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Instructor Standardisation and Proficiency Checks
(m)
To ensure that each instructor holds a valid standardisation and proficiency
check, a means must be provided for the head of operations to carry out the
functions required to fulfil this responsibility. These may include, but are not
limited to:
-
maintaining a log of instructor checks to ensure validity (this may include
a software program to provide an alert to an upcoming check)
-
ensuring the resources that are required to carry out each check are
readily available (the head of operations may nominate a suitable
instructor or examiner to carry out the check)
-
maintaining a recording system which includes the content and outcome
of the checks.
y
•
Instructors and Examiners Authorised under CASR Part 61
To ensure that each instructor and examiner is authorised under CASR Part 61, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
O
•
nl
(l)
-
rostering instructors and examiners to ensure they are only allocated to
conduct activities for which they are authorised
-
making resources available for the timely conduct of proficiency checks.
U
se
maintaining up to date records of the currency of each instructor and
examiner’s qualifications and medical certificate
AS
A
(n)
-
Successful Completion of Training Required by the Training and Checking
System for Instructors and Examiners
To ensure the successful completion of training set out in the internal training and
checking system manual, a means must be provided for the head of operations to
carry out the functions required to fulfil this responsibility. These may include, but
are not limited to:
C
•
-
maintaining records of the completion of training and the outcome of
checks for each instructor and examiner
-
managing a system that provides alerts for an instructor or examiner’s
upcoming check (e.g. a software program)
-
ensuring resources required for the training and checking of instructors
and examiners are available when required.
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Training in Human Factors Principle and Non-technical Skills
•
(p)
To ensure exposition requirements relating to Human Factors Principles and
Non-Technical Skills (HF&NTS) are met, a means must be provided for the head
of operations to carry out the functions required to fulfil this responsibility. These
may include, but are not limited to:
-
ensuring suitable resources are available for the delivery of the training
course, prior to an instructor or examiner conducting activities
-
maintaining a record of the satisfactory completion of training for each
instructor and examiner.
Reporting on Personnel Qualifications, Currency and Training Requirements
To ensure the chief executive officer receives reports on compliance
requirements for personnel qualifications, currency and training, a means must
be provided for the head of operations to carry out the functions required to fulfil
this responsibility. These may include, but are not limited to:
recommending upgrade training or recruitment action (when necessary),
to meet instructor and examiner qualification requirements for the conduct
of a particular activity
-
providing evidence of the content, completion and results of the training
and checks required by the internal training and checking system and
exposition.
U
se
-
Ensuring Personnel have Access to Contracting Operator’s Training and
Checking Manual
To ensure personnel conducting contracted recurrent training or contracted
checking have access to the contracting operator’s training and checking manual,
a means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
C
•
AS
A
(q)
O
nl
•
y
(o)
(r)
-
providing a copy of each contracting operator’s training and checking
manual, prior to the contracted recurrent training or checking being
conducted
-
issuing documented instructions and procedures to instructors and
examiners regarding the requirements and standard operating procedures
of each contracting operator.
Communications with CASA in relation to Standardisation and Proficiency
Checks
•
To ensure CASA is advised of an unsuccessful or missed standardisation and
proficiency check within 14 days, a means must be provided for the head of
operations to carry out the functions required to fulfil this responsibility. These
may include, but are not limited to:
-
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implementing a method for receiving alerts of missed standardisation and
proficiency checks (e.g. a software program)
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-
(s)
providing a standardised form for notifying CASA of a missed or
unsatisfactory check (e.g. a form template) – such a form must contain
the person’s name, position and ARN.
Communications with CASA and each Contracting Operator, and Written
Reports to Contracting Operators
To ensure effective communication is maintained with CASA and each
contracting operator, a means must be provided for the head of operations to
carry out the functions required to fulfil these responsibilities. These may include,
but are not limited to:
-
establishing a reporting cycle and policy, which may be agreed to by each
contracting operator, for communications with the head of training and
checking of each contracting operator (including the provision of written
reports)
-
ensuring records of the content and results of contracted recurrent
training and contracted checking are made and retained
-
establishing guidelines regarding particular events that would necessitate
a report outside of the standard reporting cycle - such as a failed
proficiency check or a missed standardisation and proficiency check as
described in section C1.6.3(r) of this handbook.
O
se
•
U
Provision and Maintenance of a Reference Library
To ensure the applicant provides and maintains a suitable reference library, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
-
appointing a person responsible for the upkeep of the library, to ensure
the library is regularly updated to incorporate changes to legislation
establishing a cycle for the regular review of the reference library content,
to ensure it remains compliant with s28BH of the Act and relevant to the
activities
C
-
AS
A
(t)
nl
y
•
-
•
C1.6.4
ensuring the location of the library is easily accessible to personnel at all
times when access to material is required for their duties, and that
personnel are advised of any addition to, or removal of, material from the
library.
Considerations relevant to the applicant’s reference library are available in
section C2.5.3 of this handbook.
Additional Responsibilities
•
If the applicant has followed CASA’s Part 142 sample exposition structure,
additional responsibilities of the head of operations would be listed in Part 1,
paragraph 1.9.2.3 of the exposition.
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•
Any additional responsibilities of the head of operations, which are required by
the applicant, should not conflict with or distract from the responsibilities under
regulation 142.190 of CASR.
•
The potential impact on a head of operations who may be involved with any other
legal entity should be considered, to determine whether this may affect their
ability to manage the responsibilities under CASR Part 142.
C1.6.5
Directions under subregulations 142.215(3) and 142.185(6) of
CASR
In the interests of safety, CASA may direct the proposed head of operations
undertake an examination, be interviewed by CASA or complete a training
course. When determining whether to issue such a direction, CASA must
consider the matters set out in subregulation 142.215(4) of CASR. Such a
direction must be issued in writing.
•
In accordance with subregulation 142.185(6) of CASR, CASA may also issue a
direction for the head of operations nominee to undertake an assessment (which
may include a flight assessment) to demonstrate their suitability to hold the
position. Such a direction must be issued in writing.
•
An assessment to determine the suitability of the person would be expected for
nominees who have not previously held the role of head of operations, or where
the operation is significantly different to an operation for which the nominee has
previously held the position of head of operations. A nominee who has been
previously assessed as a suitable head of operations in a similar operation may
not require CASA assessment, particularly if this assessment was carried out in
the preceding 12 months.
•
If the nominated head of operations has provided evidence of current and
relevant flight training and/or checking experience (such as moving from one
organisation to another organisation that conducts similar Part 142 activities), the
assessment process may be reduced to cover only those aspects new to the
nominee.
•
A flight examiner rating proficiency check may be conducted by CASA as part of
the head of operations assessment. If conducted, the requirements of the Flight
Examiner’s Handbook, in addition to the requirements of this handbook, must be
considered.
•
The suitability of the head of operations may be determined through one or more
of the following:
C
AS
A
U
se
O
nl
y
•
-
an interview, including an oral examination
-
an aeronautical knowledge and briefing ability assessment – assessment
of the nominee’s ability to deliver long briefings and pre-flight briefings,
equivalent to those required for the issue of a flight examiner rating
-
a flight assessment - equivalent to that required for the issue of a flight
examiner rating.
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•
-
particular responsibilities or regulatory aspects
-
the head of operation’s role in the chain of regulatory responsibility
-
what can be expected during CASA surveillance
-
the requirements for maintaining communications with CASA.
Interview and Oral Examination
-
•
nl
Civil Aviation Act 1988
o
Civil Aviation Regulations 1988
o
Civil Aviation Safety Regulations 1998
o
Civil Aviation Advisory Publications (if referenced in the Exposition
or Operations Manual)
o
Civil Aviation Orders
o
Aeronautical Information Publication
o
Part 61 Manual of Standards.
O
o
the applicant’s exposition and supporting manuals (including flight training
syllabuses and training record proformas)
the aircraft flight manual
equipment associated with flying training, including training area maps
and access to NAIPS.
C
-
the current publication of the:
se
-
y
Where an interview is deemed necessary, the location and composition of the
interview should be tailored to the nature of the proposed Part 142 activities. The
nominee may provide documentation and reference material, as relevant to the
proposed activities, such as:
U
•
AS
A
(a)
CASA may also discuss, at a post-assessment briefing with the nominee, any
matters requiring particular emphasis - such as:
The interview process may include an oral examination involving scenario based
questions. The nominee should display evidence of their knowledge in relation to
matters such as:
-
the structure of the applicant’s organisation and its proposed activities
-
the legislative requirements pertaining to the proposed Part 142 activities,
including CASR Part 61 and the Part 61 MOS
-
the privileges and limitations of a pilot instructor rating, particularly relating
to the head of operations position
-
the organisation’s reporting structure, and the methods for liaison with the
chief executive officer and safety manager/quality assurance manager
-
the responsibilities of the position under regulation 142.190 of CASR and
any additional responsibilities proposed by the applicant for the position
(as detailed in the exposition)
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-
how the responsibilities of the position would be managed in a situation
where associated duties are delegated to other personnel
-
the head of operations’ working knowledge of the exposition, supporting
manuals and documents, including the following manuals:
operations manual
o
SMS manual/quality assurance management system manual
o
training and checking manual
o
training management system manual
o
dangerous goods manual (if required).
how the flight recording system works, including authorisations for solo
training flights (if applicable)
-
how and when flight training records are completed
-
the methods for reporting and assessing underachieving student
pilots/course participants
-
the implementation of the applicant’s fuel policy, including any variations
for student pilot operations
-
oversight of the training and checking system, including training and
checking legislation, documentation/records and ensuring that instructors
and examiners maintain their personal flight crew currency and recency
-
methods to be used to provide direct and indirect supervision of
instructors and examiners
AS
A
U
se
O
nl
y
-
•
o
methods to be used to ensure the appropriate supervision of student
pilots and other course participants on solo flights.
The outcome of the interview process must provide CASA with satisfactory
evidence that the nominee:
has a satisfactory knowledge of the processes and procedures contained
in the applicant’s exposition and supporting manuals/documentation
relating to the proposed activities
C
-
-
demonstrates an appropriate awareness of where a legislative reference
is located and how it is normally applied
-
is capable of implementing, managing and auditing systems in order to
verify that the applicant’s personnel are complying with the exposition and
supporting manuals, such as the operations manual (including
syllabuses). This may be demonstrated through an assessment of the
nominee’s knowledge of:
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o
the audit system to be used
o
the audit methodology to be used
o
the reporting and recording system to be used
o
the remedial actions to be taken on detection of non-compliance.
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(c)
Assessment of Aeronautical Knowledge and Briefing Ability
•
Where an assessment of aeronautical knowledge and briefing ability is deemed
necessary, the nominee would be required to demonstrate general aeronautical
knowledge and an ability to deliver briefings to a standard appropriate to the
proposed activities. If it is considered necessary for CASA to assess the
nominee’s capability to deliver such briefings, briefing content should be selected
from the flight training syllabuses contained within the applicant’s exposition.
•
If the proposed activities include training for the grant of a flight instructor rating,
the assessment should include questions relating to the principles and methods
of instruction.
Flight Assessment
CASA may carry out a flight assessment to assist in determining the suitability of
the nominee. When making a determination as to whether a flight assessment is
necessary, CASA may consider whether the nominee has, within the preceding
twelve months:
O
nl
•
y
(b)
been assessed by CASA as a competent head of operations, in an
operation conducting activities substantially similar to the applicant’s
proposed Part 142 activities; or
-
passed a flight test or proficiency check, conducted by a CASA officer, for
a flight examiner rating.
U
se
-
Where a flight assessment is considered necessary, the content of the flight
assessment and aircraft/simulator type to be used should be tailored to the
proposed Part 142 activities.
•
The outcome of the flight assessment should provide CASA with satisfactory
evidence that the nominee:
-
meets the standard for the initial issue of a flight examiner rating
is able to assess instructional deficiencies and provide suitable remedial
training actions and recommendations.
C
-
AS
A
•
•
CASA should consider choosing sequences to be assessed from the flight
training syllabuses contained in the applicant’s exposition.
•
CASA should be satisfied that the aircraft/simulator to be used for the flight
assessment is appropriate and suitably equipped for the evaluation of each of the
flight sequences selected.
•
The CASA officer conducting the assessment must hold the appropriate aircraft
type or class rating, and meet the appropriate CASR Part 61 recency
requirements.
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C1.7
Safety Manager
References
CASR: 142.265(2)(b)(iii)
Introduction
A Part 142 operator must have a safety manager if the operator conducts authorised
Part 142 activities only in aircraft, or in aircraft and flight simulation training devices.
se
O
nl
y
The appointment of an appropriate safety manager is critical to the success of the
organisation’s SMS. Depending on the size and complexity of the organisation, the safety
manager should have an adequate technical background to understand the systems
supporting the conduct of Part 142 activities, a sound understanding of safety management
principles and must have sufficient relevant safety management experience as defined by
regulation 142.195 of CASR.
Things for Consideration
U
The following information may be of value in determining if the applicant has nominated an
appropriate person to be the Safety Manager.
Role and Duties
AS
A
C1.7.1
The organisation must appoint a safety manager responsible for the management
of the applicant’s SMS.
•
The safety manager must have independence from the operational areas, so as
not to be subject to undue influence, and should have authority to look across all
facets of the operation from a safety perspective.
•
The safety manager should report directly to senior management and have a
formal direct line of communication with the chief executive officer.
•
The safety manager should regularly report to the chief executive officer on the
performance of the SMS and be able to suggest improvements where required.
•
The safety manager position must not be occupied by the person nominated as
the chief executive officer or the head of operations for the Part 142 operator.
•
The safety manager’s role, responsibilities and duties should be clearly
documented, specified and defined in the operator’s SMS manual.
C1.7.2
C
•
Experience
•
The applicant must provide evidence to verify that the safety manager nominee
holds the experience required by regulation 142.195 of CASR. Verification should
be confirmed through documentary evidence of the nominee’s qualifications and
experience.
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The nominee’s qualifications and experience may be verified through the
submission of a curriculum vitae setting out the nominee’s employment history.
This should detail how the nominee meets the experience requirements of
regulation 142.195 of CASR.
•
The level of experience required for the safety manager nominee within each of
the criteria mentioned in regulation 142.195 of CASR will vary, dependent upon
the size and scope of the applicant’s organisation and the scope of the proposed
activities.
Safety Management Experience
Depending on the size and complexity of the organisation, the safety manager
should have:
relevant operational knowledge and safety management experience in the
functions of an aviation organisation
-
an adequate technical background to understand the systems supporting
the activities
-
a sound understanding of safety management principles, including the
ability to:
-
nl
O
se
o
lead, manage and set standards with regard to the SMS
o
implement the SMS in accordance with the organisation’s
exposition.
a sound knowledge and understanding of HF&NTS and, if required, FDAP
and/or FRMS
the ability to relate to personnel at all levels, both inside and out of the
organisation.
Without limiting the considerations involved in the determination of what is
deemed to be ‘sufficient’ and ‘relevant’ safety management experience for a
safety manager nominee, the following are pertinent:
C
•
y
-
U
•
AS
A
(a)
•
-
the nature and complexity of the proposed activities, and whether the
nominee has safety management experience from within a similar
operation
-
the need to ensure the safe conduct of the activities in accordance with
the applicant’s exposition and civil aviation legislation requirements
-
the leadership, management and standard-setting skills required by the
nominee for the proposed activities, and whether the nominee’s previous
experience would have enabled them to acquire these skills and carry out
the responsibilities of the position (discussed in section C1.7.4 of this
handbook)
-
the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence.
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Conduct and Management of Air Operations
•
-
experience with ensuring compliance with legislative requirements
-
prior SMS operational experience
-
safety risk management experience
-
aviation operations experience
-
prior aviation management experience.
Safety and Regulatory Knowledge
The safety manager must have sufficient safety and regulatory knowledge to
enable the operator to conduct safe authorised Part 142 activities in accordance
with its exposition and civil aviation legislation.
•
Safety and Regulatory knowledge may include, but would not be limited to:
C1.7.3
O
nl
y
•
knowledge of current SMS legislative requirements
-
ICAO SMS recommendations
-
knowledge of the ICAO Safety Management Manual (SMM) – Doc 9859
and ICAO Annex 19, Safety Management
-
knowledge of human factors
-
knowledge of non-technical skills training.
U
se
-
AS
A
(c)
The safety manager must demonstrate a satisfactory record in the conduct or
management of air operations. This may be demonstrated by:
Additional Qualifications and Experience
•
An applicant may choose to develop a position description for the safety manager
role, which sets out mandatory and desirable qualifications and experience. In
such a scenario, the applicant’s specified mandatory experience must meet the
experience requirements of regulation 142.195 of CASR.
•
If the applicant requires the safety manager to hold qualifications or experience in
addition to that required by regulation 142.195 of CASR, the additional
experience must be documented within the applicant’s exposition.
•
CASA may, under regulation 142.215 of CASR, issue a direction for a safety
manager to hold qualifications and experience in addition to those required under
regulation 142.195 of CASR, in order to ensure that the applicant can safely
conduct the proposed activities.
•
In determining if additional qualifications and experience are required, CASA
must have regard to, but is not limited in considering, the matters mentioned in
subregulation 142.215(4) of CASR - which include the nature and complexity of
the activities and the leadership, management and standards-setting skills
required by the safety manager for the activities.
•
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
C
(b)
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•
The applicant must provide documentary evidence to verify that the safety
manager holds the additional qualifications and experience that are required by
CASA.
C1.7.4
Responsibilities
The safety manager may delegate duties to other personnel (i.e. a safety officer
or safety representative); however the safety manager retains responsibility and
accountability for the matters specified in regulation 142.200 of CASR, and any
additional responsibilities required by the applicant.
•
The applicant must provide a means for the safety manager to carry out each of
the responsibilities of the position. This may be done by way of written processes
and procedures, supporting documentation, making available finance and
resources, or via support to the safety manager in carrying out each
responsibility.
•
The applicant’s processes and procedures should be documented to ensure
clarity, repeatability and traceability, and enable the person appointed as the
safety manager (either permanently or temporarily) to effectively manage the
responsibilities for which the position is accountable.
•
Each of the applicant’s processes, relevant to the safety manager’s
responsibilities, should be comprised of a series of procedures or actions that
contribute to the desired outcome. Each documented procedure, which may be
included in the applicant’s exposition or SMS manual, should address:
U
se
O
nl
y
•
what must be done
-
who should do it
-
when it must be done
where it must be done
how it must be done
which documentation must be used (e.g. manuals, instructions, forms etc)
C
-
AS
A
-
-
(a)
how the procedure is to be monitored and, if required, improved.
Manage the Safety Management System
•
To ensure the safety manager manages the SMS, a means must be provided for
the safety manager to carry out the functions required to fulfil this responsibility.
These may include, but are not limited to:
-
implementing, maintaining (including day-to-day operation), reviewing and
revising the SMS and, if required, the FDAP/FRMS
-
drafting the SMS manual
-
management of the SMS including the management of corrective,
remedial and corrective action in relation to the system
-
providing safety advice to management and staff
-
promoting safety awareness and a positive safety culture throughout the
organisation
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participation in the organisation’s periodic safety meetings/committees
-
investigating accidents and incidents
-
maintaining an appropriate reporting system to identify and manage
hazards
-
identifying on-going safety training requirements to support the SMS
safety objectives
-
providing HF&NTS training or arranging a third party to provide the
training for the operator’s personnel
-
overseeing internal and external SMS audit programs
-
maintaining the emergency response plan.
To ensure the safety manager reports to the chief executive officer on the
effectiveness of the SMS, a means must be provided for the safety manager to
carry out the functions required to fulfil this responsibility. These may include, but
are not limited to:
O
•
y
Reporting on effectiveness of the SMS
nl
(b)
-
-
collecting and reviewing information obtained during internal audits and
surveys
-
receiving regular feedback and reports in relation to safety objectives and
safety performance indicators.
U
se
receiving information and data from the SMS (e.g. incident reporting and
accident data and trending information)
AS
A
(c)
-
Maintenance of the SMS
To ensure the safety manager manages the maintenance and continuous
improvement of the SMS and FRMS (if any), a means must be provided for the
safety manager to carry out the functions required to fulfil this responsibility.
These may include, but are not limited to:
C
•
C1.7.5
-
implementing, maintaining (including day-to-day operation), reviewing and
revising the SMS and, if required, the FDAP/FRMS
-
amending and reviewing the SMS manual
-
maintaining an appropriate reporting system to identify and manage
hazards
-
management of the risk management plan.
Additional Responsibilities
•
Any additional responsibilities of the safety manager which are required by the
applicant should not conflict with or distract from the responsibilities under
regulation 142.200 of CASR.
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C1.7.6
Direction under sub-regulation 142.215(3) of CASR
In the interests of safety, and to be satisfied that the safety manager nominee is
suitable for the position, CASA may issue a direction for the nominee to
undertake an examination, be interviewed by CASA, or complete a stated training
course. Such a direction must be issued in writing.
•
An interview would be expected for nominees who have not previously held the
role of safety manager in a similar operation. A nominee who has previously
undertaken an interview, and deemed a suitable safety manager in a similar
operation, may not require further CASA interview or assessment, particularly if
this assessment was carried out in the preceding 12 months.
•
To assist CASA in determining the suitability of the safety manager nominee, an
interview may be deemed necessary. During such an interview, the nominee
must demonstrate a suitable knowledge and understanding of the accountabilities
and responsibilities of the position. Appropriate interview questions may include
some of the following.
Can you outline the main components and elements of the operator’s
SMS?
-
Can you describe your role and responsibilities within the operator’s
SMS?
-
How do you monitor the operator’s safety performance?
-
What is the intent of the operator’s safety policy?
-
How is continuous improvement achieved within the operator’s SMS?
se
U
AS
A
-
O
-
-
How often is the operator’s risk management plan reviewed?
Where are minutes of safety meetings documented?
Quality Assurance Manager
C
C1.8
nl
y
•
References
CASR: 142.025, 142.205, 142.210
Introduction
If conducting authorised Part 142 activities only in flight simulation training devices, an
applicant must appoint a quality assurance manager. The quality assurance manager is
responsible for the operation, maintenance and continuous improvement of the applicant’s
quality assurance management system.
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A quality assurance manager must meet the experience requirements of regulation 142.205
of CASR and must have a demonstrated ability, and support within the organisation, to
manage the responsibilities required under regulation 142.210 of CASR. An applicant may
also prescribe additional responsibilities for the position.
The applicant must ensure that the quality assurance manager position is not occupied by
either the chief executive officer or head of operations – except during a period of unforseen
circumstance and in accordance with subregulation 142.120(2) of CASR.
Things for Consideration
Role and Duties
nl
C1.8.1
y
The following information may be of value in determining if the applicant has nominated an
appropriate person, in accordance with the regulatory requirements, to be the quality
assurance manager.
The organisation must appoint a quality assurance manager responsible for the
management of the applicant’s quality assurance management system.
•
The quality assurance manager must have independence from operational areas
so as not to be subject to undue influence, and should have authority to look
across all facets of the operation from a quality assurance perspective.
•
The quality assurance manager should report directly to the chief executive
officer, or to senior management with a formal direct line of communication with
the chief executive officer.
•
The quality assurance manager should regularly report to the chief executive
officer on the performance of the quality assurance management system and be
able to suggest improvements where required.
•
The quality assurance manager position must not be occupied by the person
nominated as the chief executive officer or the head of operations for the Part
142 operator.
•
The quality assurance manager’s role, responsibilities and duties should be
clearly documented, specified and defined in the applicant’s exposition or
supporting manual.
C1.8.2
C
AS
A
U
se
O
•
Experience
•
The applicant must provide evidence to verify that the quality assurance manager
nominee holds the experience required by regulation 142.205 of CASR.
Verification should be confirmed through documentary evidence of the nominee’s
experience.
•
The nominee’s qualifications and experience may be verified through the
submission of a curriculum vitae setting out the nominee’s employment history.
This may detail how the nominee meets the experience requirements of
regulation 142.205 of CASR.
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•
The level of experience required for the quality assurance manager nominee to
meet the requirements of regulation 142.205 of CASR will vary, dependent upon
the size and scope of the applicant’s organisation and the scope of the proposed
activities.
•
Documentation and information which may be considered when determining the
suitability of the nominee for the position may include the following CASA
records:
the nominee’s enforcement history (obtained through the Investigations
Branch of the Legal Services Division)
-
any records relating to the nominee’s previous areas of operations (held
on CASA’s internal files or in CASA databases).
y
-
The applicant should have sufficient standards and processes for the assessment
and selection of individuals considered for the position.
-
operational knowledge and quality assurance management experience,
ideally within the aviation industry, and particularly relating to flight training
-
experience in the operation of FSTDs and the technical standards with
which they must comply
-
a sound understanding of quality systems and quality assurance
principles
a sound understanding of audit techniques
the ability to relate to personnel at all levels, both inside and out of the
organisation.
C
•
se
Sufficient relevant quality assurance management experience may include, but
would not be limited to:
U
•
O
Quality Assurance Management Experience
AS
A
(a)
the nominee’s compliance history
nl
•
-
Without limiting the considerations involved in the determination of what is
deemed to be ‘sufficient’ and ‘relevant’ experience for a quality assurance
manager nominee, the following are pertinent:
-
the nature and complexity of the proposed activities, and whether the
nominee holds quality assurance management experience from within a
similar operation
-
the need to ensure the safe conduct of the activities in accordance with
the applicant’s exposition and civil aviation legislation
-
the leadership, management and standard-setting skills required by the
nominee for the proposed activities, and whether the nominee’s previous
experience would have enabled them to acquire these skills and carry out
the responsibilities of the position (discussed in section C1.8.4 of this
handbook)
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the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence
-
how recently the nominee has used their quality assurance skills.
Safety and Regulatory Knowledge
C1.8.3
Sufficient safety and regulatory knowledge may include, but would not be limited
to, a demonstrated knowledge of:
the legislative requirements of CASR Part 142 in relation to quality
assurance management systems
-
CASR Part 60—Synthetic Training Devices and the Part 60 Manual of
Standards (MOS)
-
the CASA Operational Standards and Requirements—Approved Synthetic
Trainers (FSD2) publication
-
human factors and non-technical skills training.
nl
y
-
O
•
Additional Qualifications and Experience
•
An applicant may choose to develop a position description for the quality
assurance manager role which sets out mandatory and desirable qualifications
and experience. In such a scenario, the applicant’s specified mandatory
experience must meet the experience requirements of regulation 142.205 of
CASR.
•
If the applicant requires the quality assurance manager to hold qualifications and
experience in addition to those required by regulation 142.205 of CASR, these
additional qualifications and experience must be documented within the
applicant’s exposition.
•
CASA may, under regulation 142.215 of CASR, issue a direction for a quality
assurance manager to hold qualifications and experience in addition to those
required under regulation 142.205 of CASR, in order to ensure that the applicant
can safely conduct the proposed activities.
•
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
•
In determining if additional qualifications and experience are required, CASA
must have regard to, but is not limited in considering, the matters mentioned in
subregulation 142.215(4) of CASR - which include the nature and complexity of
the activities and the leadership, management and standards-setting skills
required by the quality assurance manager for the activities.
•
The applicant must provide documentary evidence to verify that the quality
assurance manager holds the additional qualifications and experience that are
required by CASA.
C
AS
A
U
se
(b)
-
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C1.8.4
Responsibilities
The quality assurance manager may delegate duties to other personnel; however
the quality assurance manager retains responsibility and accountability for the
matters specified in regulation 142.210 of CASR, and any additional
responsibilities required by the applicant.
•
The applicant must provide a means for the quality assurance manager to carry
out each of the responsibilities of the position. This may be done by way of
written processes and procedures, supporting documentation, making available
finance and resources, or via support to the quality assurance manager in
carrying out the functions required to fulfil each responsibility.
•
The applicant’s processes and procedures should be documented to ensure
clarity, repeatability and traceability, and enable the person appointed as the
quality assurance manager (either permanently or temporarily) to effectively
manage the responsibilities for which the position is accountable.
•
Each of the applicant’s processes, relevant to the quality assurance manager’s
responsibilities, should be comprised of a series of procedures or actions that
contribute to the desired outcome. Each documented procedure, which may be
included in the applicant’s exposition or supporting manuals/documents, should
address:
what must be done
-
who should do it
-
when it must be done
-
where it must be done
how it must be done
which documentation must be used (e.g. manuals, instructions, forms etc)
how the procedure is to be monitored and, if required, improved.
C
-
AS
A
-
U
-
-
(a)
se
O
nl
y
•
Manage the Quality Assurance Management System
•
To ensure the quality assurance manager manages the quality assurance
management system, a means must be provided for the quality assurance
manager to carry out the functions required to fulfil this responsibility. These may
include, but are not limited to:
-
drafting the quality assurance management system manual, including
developing procedures for:
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o
the ongoing surveillance and periodic audit of the applicant’s
processes, procedures and documentation utilised in the conduct
of the activities, to ensure the activities are conducted in a planned
and systematic manner and in accordance with the applicant’s
exposition and civil aviation legislation
o
the ongoing review of training outcomes, to ensure any
deficiencies in the training are identified and addressed
o
the ongoing review of the operation and maintenance of FSTDs.
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managing the day-to-day operation of the quality assurance management
system
-
promoting the applicant’s quality policy to personnel and other relevant
stakeholders, and maintaining a program of ongoing quality promotion
and communication
-
ensuring personnel involved in quality assurance management receive
training relevant to the applicant’s quality assurance management system
-
establishing a schedule for the regular audit of the applicant’s processes,
procedures and documentation utilised in the conduct of the activities
-
ensuring the quality assurance management system is regularly reviewed
and evaluated for its effectiveness in identifying, documenting and
correcting deficiencies, and that it remains compliant with regulation
142.275 of CASR (considerations relevant to the quality assurance
management system’s procedures and supporting documentation are
provided in section C3.4 of this handbook)
-
taking corrective action resulting from audit findings, when required
-
providing quality control advice to management and other personnel.
O
se
(b)
nl
y
-
Reporting on the Effectiveness of the Quality Assurance Management System
To ensure the quality assurance manager regularly reports to the chief executive
officer on the effectiveness of the quality assurance management system, a
means must be provided for the quality assurance manager to carry out the
functions required to fulfil this responsibility. These may include, but are not
limited to:
-
AS
A
U
•
following a system of formal, documented and regular communication with
the chief executive officer (e.g. providing a monthly written report to the
chief executive officer) on matters such as:
C
o
(c)
the compliance by personnel with the applicant’s procedures and
instructions relating to the conduct of the activities
o
the findings of training outcome audits, including details of any
identified deficiencies and recommended corrective and
preventative actions
o
the recommendations to address deficiencies identified in the
operation and maintenance of the applicant’s FSTDs.
Managing the Maintenance and Continuous Improvement of the Quality
Assurance Management System
•
To ensure the quality assurance manager manages the maintenance and
continuous improvement of the quality assurance management system, a means
must be provided for the quality assurance manager to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
-
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conducting regular reviews of the quality assurance management system
to ensure that its processes and procedures continue to meet the
requirements of subregulation 142.275(1) of CASR
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-
-
C1.8.5
conducting regular reviews of the quality assurance management system
to ensure it promotes a culture of continual improvement in:
o
the way the applicant’s activities are conducted
o
training outcomes.
providing a means for personnel to recommend changes to the quality
assurance management system and manual (via the applicant’s change
management procedures).
Additional Responsibilities and Accountabilities
Any additional duties and responsibilities of the quality assurance manager which
are required by the applicant, must not conflict with or distract from the
responsibilities required under regulation 142.210 of CASR. For example, if the
quality assurance manager is also an instructor or examiner, and they are
expected to spend a significant proportion of time away from the key personnel
role, the additional duties must not inhibit the quality assurance manager’s ability
to meet the responsibilities and accountabilities of the quality assurance manager
position.
•
The potential impact on a quality assurance manager who may be involved with
any other legal entity should be considered, to determine whether this may affect
their ability to manage the responsibilities and accountabilities under regulation
142.210 of CASR.
U
se
O
nl
y
•
C1.8.6
Direction under subregulation 142.215(3) of CASR
In the interests of safety, and to be satisfied that the quality assurance manager
nominee is suitable for the position, CASA may issue a direction for the nominee
to undertake an examination, be interviewed by CASA, or complete a stated
training course. Such a direction must be issued in writing.
•
An examination, interview or the completion of a stated training course would be
expected for nominees who have not previously held the role of quality assurance
manager in a similar operation. A nominee who has previously undertaken an
examination or interview, and deemed to be a suitable quality assurance
manager in a similar operation, may not require a further CASA examination or
interview – particularly if this assessment was carried out in the preceding 12
months.
•
To assist CASA in determining the suitability of the quality assurance manager
nominee, an interview may be deemed necessary. During such an interview, the
nominee must demonstrate a suitable knowledge and understanding of the
accountabilities and responsibilities of the position. The interview may also
include questions composed in order to determine that the nominee:
C
AS
A
•
-
demonstrates an understanding of civil aviation legislation, having regard
to the activities to be covered by the authorisation
-
demonstrates an ability to effectively explain the use of the quality
assurance management system as a quality assurance tool
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-
understands how the quality assurance management system will function
within the applicant’s organisation
-
is able to describe how they intend to manage the quality assurance
management system across the organisation, including a knowledge of
the applicant’s processes for:
auditing the activities and evaluating training outcomes
o
promoting the continual improvement of the activities
o
ensuring the correct operation and maintenance of the applicant’s
FSTDs
o
assessing the suitability of the facilities and resources to be used
in the conduct of the activities
o
recommending and effecting changes to the quality assurance
management system, training management system and internal
training and checking system.
C1.9
O
nl
y
o
Other Personnel
se
References
Introduction
AS
A
U
CAA: section 28
CASR: 142.110(1)(d), 142.340(1)(g), 142.340(1)(i)
C
CASA must be satisfied that an applicant has appointed a sufficient number of suitably
qualified and competent personnel to ensure the activities can be conducted safely. The
expected level of qualifications and experience will vary according to the scope and
complexity of the activities.
To ensure CASA is aware of how and to whom responsibilities under Part 142 are allocated
within an organisation, instructors who have been assigned responsibilities must be
identified by name within the exposition.
Things for Consideration
The following information may be of value in determining if the applicant has appointed a
sufficient number of suitably qualified and competent personnel for the safe conduct of the
activities, and whether the responsibilities of personnel under Part 142 (other than key
personnel) have been adequately described within the exposition.
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C1.9.1
Personnel Numbers, Qualifications and Experience
the number of aircraft and/or FSTDs to be used, as opposed to the
number of pilot instructors and examiners qualified to fly these aircraft or
qualified to use the FSTDs
-
the projected flying/simulator hours to be flown, the theory subjects to be
delivered, and the proposed number of course participants
-
the proposed number of contracting operators and participating personnel
for whom the applicant will conduct contracted training and checking
-
whether a sufficient number of personnel are available to manage and
conduct the training and checking required by CASA and the applicant’s
internal training and checking system
-
the rostering arrangements for the instructors and examiners (whether
they will be available on a full time, part time or casual basis).
nl
y
-
The applicant should provide a means for determining the required number of
qualified pilot instructors, examiners and theory instructors, relevant to the
authorised activities and the proposed number of course participants. This may
be achieved through the establishment of an instructor to course participant ratio,
which must be sufficiently small to enable the effective supervision of course
participants. The establishment of an appropriate ratio will also support the
continuity of training, which is particularly important when the activities are
required to be completed within a condensed period of time (e.g. for PPL/CPL
integrated training). The ratio may vary for each activity, based on considerations
such as:
-
the overall course timeline
the hours to be flown each day
C
-
AS
A
U
se
•
When determining if the applicant has engaged an appropriate number of
instructors for the conduct of the proposed activities, consideration should be
given to:
O
•
•
-
the number of aircraft and FSTDs available
-
the phase of training being conducted (e.g. during early training phases
such as ab initio sequences, the ratio may be higher than during CPL
cross country training sequences)
-
contingencies, such as adverse weather and aircraft unserviceabilities.
The applicant must ensure a sufficient number of appropriately qualified
personnel are available to conduct training and checking for its own personnel.
Considerations in relation to the internal training and checking system are
discussed in section C3.4 of this handbook.
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The applicant must demonstrate that they have a sufficient number of
management/supervisory positions to enable effective supervision and monitoring
of the standard of instruction of junior instructional personnel. As an example,
where an operator has instructors with grade 3 and grade 2 training
endorsements, the applicant would need to have a sufficient number of
instructors holding a grade 1 training endorsement to provide the direct and
indirect supervision required, having regard to the number of instructors for whom
supervision is required and the nature and scope of the activities.
•
The applicant must demonstrate that they have a sufficient number of instructors
and examiners, relevant to the size of the student cohort, available to provide
authorisation and supervision of student pilot solo activities.
•
The applicant should demonstrate that they have a sufficient number of
instructors and/or examiners to conduct contracted recurrent training and
contracted checking activities, relevant to the number of contracting operators,
the fleet types to be operated, and the number of contracted training and/or
checking events conducted for each contracting operator.
•
Instructors and examiners must be appropriately qualified under, and meet the
validity and recency requirements of, Part 61 of CASR for the activities they are
assigned to conduct. The applicant may specify additional minimum experience
requirements, for example minimum multi-crew pilot training experience prior to
conducting training for an air transport pilot licence, or a minimum time on a type
for which an instructor will conduct type rating training.
•
Theory instruction should be provided by instructors holding appropriate
qualifications and experience for each course. For example, theoretical
instruction for class or type ratings should be provided by instructors holding the
relevant class or type rating, and having appropriate experience and knowledge
of the aircraft involved.
•
If the applicant has appointed pilot instructors and examiners to
management/supervisory positions, consideration should be given to flight time
limitations, and the management/supervisory responsibilities relating to each
position, to ensure an appropriate balance between flying and managerial duties
is maintained. In this situation it would be appropriate for the applicant to
determine a reduction in annual flight hours for each position, commensurate with
the management/supervisory responsibilities of the position.
•
If other operations (other than those under Part 142 of CASR) will be conducted,
consideration should be given to the shared responsibilities of pilot instructors
and examiners across the operation. As an example, where instructors and
examiners will also be involved in an applicant’s regular public transport, charter
and/or aerial work operations, an assessment of their availability and capacity to
discharge their duties in relation to the Part 142 activities should be considered.
•
The applicant may outline in the exposition, or a supplementary
manual/documentation, the process by which it will regularly review the numbers
of qualified and competent personnel to address the need for additional
personnel to ensure the continuing safe conduct of the activities. The method by
which additional personnel are engaged, and the steps taken to ensure these
additional personnel are suitably qualified and competent, may also be described.
C
AS
A
U
se
O
nl
y
•
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C1.9.2
Instructors and Examiners
•
-
a statement of the job description
-
responsibilities
-
accountabilities
-
duties.
The applicant should provide a means for demonstrating how the head of
operations is able to supervise, and communicate with, personnel holding
responsibility for particular Part 142 flight training. This may require the
appointment of managers or supervisors holding duties delegated from the head
of operations.
Other Personnel
An example of an assigned responsibility under Part 142 for a personnel member
(other than an instructor) may be for the up-keep of the applicant’s reference
library. Details of the responsibilities must be included in the exposition. The level
detail of the responsibility given within the exposition may include the duties to be
carried out to ensure the applicant meets the relevant regulatory requirements.
The exposition need not name the persons responsible for fulfilling these duties.
C
AS
A
U
•
se
(b)
O
nl
•
The exposition must provide the name of instructors appointed by the head of
operations to have responsibility for particular Part 142 flight training. The
following should also be described:
y
(a)
Responsibilities (Other than Key Personnel)
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C2
EXPOSITION PART 2
ACTIVITIES AND FACILITIES
This part of the assessment evaluates the applicant’s description of the proposed Part 142
activities and the facilities to be used in the conduct of the activities.
C2.1
Authorised Part 142 Activities
References
nl
y
CASR: 142.015, 142.340(1)(j)
O
Introduction
se
An applicant’s exposition must provide a description of the Part 142 activities it proposes to
conduct. Part 142 activities are described in regulation 142.015 of CASR and include
Part 142 flight training, contracted recurrent training and contracted checking.
Things for Consideration
U
The following information may be of value in determining if the applicant has adequately
described, within its exposition, the Part 142 activities the applicant proposes to conduct.
If the applicant has followed the CASA Part 142 sample exposition structure,
Part 142 activities will be listed in Part 1, paragraph 1.4 of the exposition.
•
The applicant’s exposition must clearly describe the licences, operational and
type ratings and other courses for which the applicant will provide flight training.
•
Contracted recurrent training and contracted checking activities must be clearly
described in the exposition, providing details of the checks the applicant intends
to conduct.
C
AS
A
•
C2.2
Other Operations
References
CASR: 142.340(1)(q)
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Introduction
The exposition must provide a description of any operations, other than the authorised
Part 142 activities, that are conducted or are proposed to be conducted by the applicant.
CASA must consider these ‘other operations’ to ensure that personnel who hold shared
responsibilities across the operations of the organisation are capable of discharging their
responsibilities in relation to the Part 142 activities.
Things for Consideration
The following information may be of value in determining if the applicant has provided, within
its exposition, a sufficient description of the other operations that the applicant conducts.
An example of an applicant’s other operations, that may be documented in the
exposition, include:
aerial work
-
charter
-
regular public transport operations.
O
-
se
Whilst training for the grant of design feature or flight activity endorsements under
Part 61 does not fall under CASR Part 142, an operator may conduct this training
if the instructor providing the training is appropriately qualified. If the applicant
intends to conduct this training, the exposition should provide details of the
training, together with training plans and syllabuses for each endorsement.
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•
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•
Aircraft
References
AS
A
C2.3
C
CASR: 142.340(1)(l), 142.395
Introduction
An exposition must identify certain details in relation to registered aircraft which are flown
into, out of or outside Australian territory in the course of conducting the applicant’s Part 142
activities. Certain details relating to foreign registered aircraft must also be provided.
If the operator’s aircraft include turbine-engined aircraft, the exposition must also include the
following information:
•
any leasing, financing or supply arrangements for the aircraft
•
how the aircraft will be managed and maintained
•
how continuing airworthiness is assured.
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Things for Consideration
The following information may be of value in determining if the applicant has adequately
identified and described the aircraft used for the conduct of its Part 142 activities, including
any maintenance and leasing/supply arrangements for turbine-engined aircraft.
C2.3.1
Aircraft Details
If the applicant has followed the CASA Part 142 sample exposition format, details
of each aircraft flown into, out of, or outside Australian territory are included in
Part 2, paragraph 2.1 of the exposition.
•
The applicant’s exposition must describe the kind and registration mark for each
registered aircraft flown into, out of, or outside Australian territory. If the aircraft
are flown solely within Australian territory, the kind and registration mark is not
required.
•
The exposition must provide the kind of aircraft, nationality and registration mark
for each foreign registered aircraft.
nl
Turbine-engined Aircraft
O
C2.3.2
y
•
(b)
Leasing or Other Supply Arrangements
The description of the arrangements for the supply of any turbine-engined aircraft
should provide the basic details of any leasing agreement, financing arrangement
or describe whether the aircraft is supplied by a third party. If supplied by a third
party, that party should be identified.
•
Aircraft leasing can be arranged in many ways, which may result in varied and
complex safety situations, particularly if an aircraft registered in another
contracting state is to be operated in Australia by an Australian operator.
•
The review of an aircraft lease may identify any conditions, limitations or
penalties that could be detrimental to the safe operation of a particular aircraft. A
copy of any applicable aircraft lease may be requested from the applicant, if
considered necessary. The arrangements for the operational control of the leased
aircraft, aircraft maintenance and ensuring continuing airworthiness should be
assessed.
•
Refer to Volume 2, Chapter 14.0 of the AOC Handbook for considerations
applicable to reviewing an aircraft lease.
AS
A
•
C
(a)
U
se
A description of any leasing or other arrangements for the supply of any turbine-engined
aircraft must be included in an applicant’s exposition, to assist CASA to make a
determination as to whether the arrangement will compromise operational safety.
Management, Maintenance & Continuing Airworthiness
•
The applicant’s exposition must include a description of how it will manage,
maintain and assure the continuing airworthiness of any turbine-engined aircraft,
and who is responsible for this.
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•
The description should indicate whether maintenance of the aircraft is required
under an approved system of maintenance (class A aircraft) or a maintenance
schedule (class B aircraft).
•
If a maintenance schedule (class B aircraft) is applicable, the exposition should
also indicate whether the schedule is the manufacturer’s schedule or the CASA
maintenance schedule for the aircraft.
•
If the aircraft is used for Part 142 activities and is also authorised to operate
under an AOC for the conduct of regular public transport (subregulation 206(1)(c)
of CAR), the exposition should state that the aircraft is subject to the continuing
airworthiness requirements of CASR Part 42.
C2.3.3
Foreign Registered Aircraft
The applicant must describe its procedure for ensuring that any foreign registered
aircraft is not operated in Australian territory for in excess of 90 days within a 12
month period. The description should include who is responsible and how the
operation of the aircraft will be monitored and documented.
•
A 90 day period under subregulation 142.395(1) refers to 90 days in total, rather
than 90 consecutive days.
•
If an applicant holds an approval under regulation 142.040 of CASR to operate a
foreign registered aircraft in excess of 90 days, the applicant’s exposition should
include a procedure to ensure compliance with any such approval.
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se
O
nl
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•
Flight Simulation Training Devices
References
AS
A
C2.4
C
CASR: 142.340(1)(n), 142.240
Introduction
Under CASR Part 142, CASA now provides oversight of the operation of flight simulation
training devices at an organisational level.
Each of the applicant’s FSTDs must be qualified or approved, as prescribed by the
legislation relevant to the device. The applicant must provide information within its exposition
in relation to the way it will ensure the devices are approved or qualified under the applicable
legislation.
The applicant’s exposition must also include a description of each FSTD, together with the
purpose (as described in Part 61 of CASR) for which each device will be used.
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Things for Consideration
The following information may be of value in determining if the applicant has adequately
described, in its exposition, the flight simulation training devices to be used for the activities,
their purpose under Part 61, and the way the approval or qualification of each device will be
assured.
C2.4.1
Description
the manufacturer’s name and the model of each device, or the aircraft
type the device has been built to simulate
-
the category of the device
-
the credits for which the device is approved
-
an overview of each device’s systems and capabilities.
nl
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-
To describe its FSTDs, the applicant may refer to certificates such as:
O
•
The applicant’s description of its devices should include:
-
the Flight Simulator Qualification Certificate
-
the Flight Training Device Qualification Certificate
-
the Synthetic Trainer Certificate.
se
•
If the applicant refers to FSTD certificates within their exposition, the certificates
should be attached as annexes to the exposition.
•
The applicant’s exposition must describe the purpose (under CASR Part 61) for
which each device will be used. For example, if the applicant intends using the
device to accrue aeronautical experience for the issue of private and commercial
pilot licences, this must be described in the exposition. The applicable number of
hours and lesson content should be clearly detailed within the relevant training
plans and syllabuses.
•
The applicant must ensure that instructors or examiners are competent to
conduct an activity in a FSTD, prior to the activity being conducted.
Considerations for assessing instructors and examiners to conduct activities in
FSTDs are included in section C3.1.15 of this handbook.
C
AS
A
U
•
C2.4.2
Qualification or Approval
•
Initial evaluation and qualification of new CASR Part 60 devices is conducted by
the Airworthiness and Engineering Standards Branch and the Flying Standards
Branch (FSB). FSB has responsibility for the oversight of domestic and
internationally located flight simulators and flight training devices approved under
CASR Part 60.
•
The initial evaluation, qualification and oversight of synthetic trainers, approved
under CAO 45.0, is managed as follows:
-
FSB, in collaboration with the appropriate regional office, has
responsibility for conducting the initial evaluation and qualification of any
new synthetic trainer wishing to meet Category C approval
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CASA’s regional offices have responsibility for the oversight of
domestically located synthetic trainers. FSB will provide technical advice
to the regional offices as required. For information regarding the
inspection of synthetic trainers, refer to Operational Standards and
Requirements—Approved Synthetic Trainers (FSD2),
version 1.5: November 2010
-
FSB has responsibility for internationally located synthetic trainers
approved under CAO 45.0.
The exposition must include a description of the applicant’s procedures to ensure
the initial and ongoing qualification/approval of each FSTD. The description
should include, or make reference to a supplementary manual or documentation
that provides:
a record of the initial qualification/approval of the FSTD
-
a procedure to manage recurrent fidelity checks, including the person
responsible for ensuring the checks are completed within the required
timeframe
-
a procedure to manage a known or suspected deficiency in the realism or
accuracy of the device, including the tests and calibration procedures
required to establish the nature of the deficiency (the applicant may
include references to other documentation such as the quality system
manual for qualified flight simulators and qualified flight training devices,
or the Synthetic Trainer Operations Manual (STOM) for synthetic trainers
approved under CAO 45.0 (synthetic trainers)
-
a method for recording and reporting deficiencies
O
nl
y
-
-
•
a means for determining if a deficiency will suspend the qualification or
approval of the device (e.g. a minimum equipment list that includes the
deficiency)
the procedure for the requalification or re-approval of the device following
relocation.
C
-
AS
A
U
se
•
-
The applicant’s documented procedures and instructions must set out the
requirements for the operation of each FSTD. These procedures may be
contained within a supplementary manual to which the exposition refers, for
example the quality system manual or STOM. These procedures and
instructions must be complied with in order to ensure the continuing qualification
or approval of each device.
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Further information in relation to the qualification or approval of FSTDs may be
obtained from the following documents 1:
CASR Part 60—Synthetic Training Devices
-
Part 60 Manual of Standards—Synthetic Training Devices, which contains
flight simulator criteria and standards for validation, functions and
subjective tests
-
AC 60-1(0)—Flight Simulator Evaluations, which provides guidance on
the content, process and proformas relevant to Part 60 FSTD evaluations
-
AC 60-2(2)—Flight Simulator Approvals, provides guidance on the type
and quality of information to be included in an application to CASA, and
incorporates a list of the States for which CASA currently recognises
Flight Simulator Qualification Certificates
-
AC 60-3(0)—Validation Tests–Guidance Material, provides flight simulator
operators with guidance on the Qualification Test Guide and aircraft data
requirements and applicable tolerances
-
AC 60-4(0)—Flight Training Devices, which provides advice on the
application method and information requirements for Part 60 FSTD
approval
-
Operational Standards and Requirements—Approved Synthetic Trainers
(FSD2), which contains the requirements for the approval of synthetic
trainers
-
Form 248—Approved Synthetic Trainer Standards, which details the
standards required for approved synthetic trainers. These standards are
set out as a checklist which may be used as the ‘accreditation test guide’.
y
-
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AS
A
C2.5
O
nl
•
Facilities
C
References
CAA: section 28
CASR: 142.110(1)(e), 142.340(1)(p)
Introduction
The applicant’s exposition must include a description of the facilities to be used by the
applicant in the conduct of the proposed activities.
CASA must be satisfied, under section 28 of the Act and regulation 142.110 of CASR, that
the applicant’s facilities are sufficient to conduct the activities safely.
1
Locations, version details and links for these listed documents are available in chapter A3 of this handbook.
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Facilities may include aircraft, flight simulation training devices, the premises and training
aids used in the conduct of the activities.
For an applicant who proposes to conduct activities from multiple training bases,
assessment of the facilities should be considered for each of the locations.
Things for Consideration
The following information may be of value in determining if the applicant has suitable and
sufficient facilities to ensure the safe conduct of their proposed operations.
C2.5.1
Description
The applicant’s exposition must include a description of the facilities located at
the operational headquarters premises, and those located at each of the
applicant’s training bases.
•
Considerations relevant to the applicant’s aircraft and flight simulation training
devices (which may also be designated to be facilities) are contained in the
corresponding sections C2.3 and C2.4.1 of this handbook.
(b)
Inspection of Premises
A site inspection of the facilities may be necessary to verify that the premises at
each location (headquarters and each training base) are suitable.
•
The requirement to inspect a particular location may be waived where, within the
preceding 12 months, the proposed premises and facilities were inspected for a
substantially similar operation, and were found suitable. Alternative inspection
criteria may be determined, which may include the use of photographs or video
presentation.
•
For contracted recurrent training and contracting checking activities conducted at
a contracting operator’s premises, the applicant should determine the suitability
of each contracting operator’s facilities for flight planning and briefings involved in
the conduct of the proposed activities.
AS
A
U
•
C
(a)
Suitability
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C2.5.2
O
nl
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•
Briefing Rooms
•
Briefing rooms should:
-
be of a number and size appropriate to the number of course participants
to be briefed
-
have provision for adequate climate control (heating and/or cooling)
-
have lighting (natural or artificial) that is suitable for the size of the room
-
be located and constructed so that outside disturbances and distractions
are minimised
-
be separate from administrative and recreational areas
-
be adequately furnished and equipped for the conduct of briefings.
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•
(c)
The applicant should also have briefing rooms and facilities necessary for the
conduct of internal training and checking.
Instructional Aids
•
The applicant’s instructional aids should include:
-
suitably sized smart boards, whiteboards or chalkboards to assist in the
delivery of briefings. Computer assisted training aids are encouraged,
however are not mandatory
-
training aids such as aircraft models, panel posters, cockpit cut-outs and
reference books relevant to the activities.
Training aids and equipment, including any audio-visuals, charts, model aircraft
or aircraft components listed in course outlines, must be as described in the
applicant’s exposition or training plans, and be appropriate to the activities for
which they are used.
•
The applicant should also provide the training aids necessary for the conduct of
internal training and checking.
The applicant should have an area, separate from classroom and recreational
areas, which allows for flight planning by students.
•
A suitable flight planning area may, as relevant to the proposed activities:
-
provide ready access to flight planning materials such as the AIP, weather
reports/forecasts and NOTAM
provide access to a facility to submit flight plan notifications
include a display of current revisions of maps and charts which may be
relevant to the area of operation of the activities.
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-
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•
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(e)
O
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Flight Planning Area
AS
A
(d)
nl
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•
Examination Areas
•
The applicant should have a room which is free from noise or other distractions
available for the conduct of examinations. A briefing room may be used as an
examination room, provided sufficient other briefing rooms are available for use in
the conduct of any other expected activities.
•
An area for the secure storage of examination material should be provided, for
both unused and completed examination papers. Access to this area should be
limited to those persons who have a direct need to access the location (e.g. the
head of operations and the conducting officer). Access limitations may be
documented in the applicant’s exposition or supplementary manual.
•
The examination area should include furniture and equipment adequate for the
conduct of examinations.
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•
The applicant’s facilities should enable operational instructions and information of
an essential nature to be produced and circulated to relevant personnel in a
timely manner.
•
The facilities must include an up to date reference library. Considerations in
relation to assessing the reference library are discussed in section C2.5.3 of this
handbook.
Tarmac Areas
(h)
provide for safe access to the tarmac and aircraft parking area by course
participants
-
include appropriate access controls to allow course participants access to
restricted areas, when required.
nl
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-
The applicant should have procedures to ensure that course participants are
aware of precautions to observe around aircraft whilst on the tarmac area.
O
•
Where applicable, the design of the applicant’s premises should:
Aerodrome
•
se
•
The aerodromes used for flight training should be suitable for the purpose. To be
considered suitable:
-
the aerodromes must meet the specifications in CAAP 92-1(1) or 92-2(2)
for the type of activities being conducted2
the runways, taxiways and parking areas must be suitable for the
proposed activities
the aerodrome operator or control service (if any) should allow the
proposed activities
a satisfactory reporting mechanism should be in place for aerodromes
that are not registered or certified, which ensures that aerodrome
serviceability or availability matters are referred by the aerodrome owner
to the applicant.
C
-
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(g)
Operational Information
AS
A
(f)
•
2
Considerations relevant to flight training areas and training area maps are
included in section C3.1 of this handbook.
Locations, version details and links to CAAP 92-1(1) and 92-2(2) are available in chapter A3 of this handbook
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Aircraft
The applicant should demonstrate that it has a sufficient number of aircraft when
considering the proposed number of course participants, and that the aircraft are
suitable for the proposed activities. This is important to enable flying programmes
to be carried out in the correct sequence and with due allowance made for
contingencies such as unfavourable weather.
•
If an applicant has or intends to have cross-hire agreements in place, the
applicant should demonstrate how the airworthiness of the cross-hired aircraft will
be assured. For considerations in relation to third party suppliers, refer to
section C3.12 of this handbook.
•
The aircraft that the applicant proposes to use should be of a kind that are
satisfactory for the activities and the stage of training for which they will be
utilised. The aircraft must:
hold the appropriate Certificate of Airworthiness categorisation (e.g. utility
category)
-
be certified for operations appropriate to the flight rules under which the
activities are conducted.
O
nl
-
se
The aircraft should be equipped, to a satisfactory standard, for the conduct of the
particular activities for which they will be operated, for example:
-
aircraft first registered after 1 January 1981 are fitted with an electronic
intercom
-
aircraft are fitted with fully functional dual controls
-
for aircraft used during contracted checking activities, where the examiner
does not intend to occupy a control seat, there should be an appropriate
‘jump’ seat and intercom system that enables the examiner to observe the
flight crew under check
for the simulation of instrument meteorological conditions, a satisfactory
means for limiting external visual reference should be provided. The
applicant’s means for limiting external visual reference should be
sufficient to ensure that all required manoeuvres and procedures are
conducted by sole reference to instruments, whilst not restricting the
instructor or examiner’s ability to maintain an effective lookout.
C
-
U
•
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•
AS
A
(i)
(j)
Flight Simulation Training Devices
•
Each device should be suitable for each described purpose under CASR Part 61.
The device’s systems and capabilities should be appropriate for the particular
activity, and the stage of training, for which it will be used.
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C2.5.3
•
An applicant must maintain a reference library. The library may be a physical
library containing hard copy documents or may be an electronic library where
documents are maintained and accessible in a digital format. The applicant’s
exposition, or supplementary manual, must describe a means for ensuring the
applicant’s reference library is kept up to date and readily available to the
applicant’s personnel.
•
An exposition should identify, through position titles, the personnel responsible
for maintaining the reference library.
•
An exposition may contain a list of the material that is included in the reference
library.
y
Electronic Libraries
If an applicant intends to maintain all or part of the reference library in digital
form, the applicant must demonstrate how access to the digital reference library
is provided to all personnel. The applicant may meet this requirement by
providing personnel with access to the CASA website (which contains links to all
current and relevant aviation legislation on the ComLaw website), or by providing
direct access to the ComLaw website.
•
The CASA website or the ComLaw website should be available to personnel at
all times when access to the legislation, for the purpose of fulfilling their duties, is
required. The applicant may choose to provide access to websites at some
locations, and to provide hard copies of legislation at other locations.
•
The applicant should describe how it ensures that personnel can competently
access legislation via the CASA website or ComLaw website.
•
To demonstrate how the accessibility requirements will be met in the event that
the CASA website or ComLaw website are unable to be accessed, the following
may be considered to be reasonable methods for controlling such situations:
nl
•
C
AS
A
U
se
O
(a)
Reference Library
-
the applicant’s procedures for providing access to personnel include
‘downloading’ the up-to-date legislation from the ComLaw website onto a
computer or computer network that is maintained by the applicant
-
the applicant provides access to the legislation by way of ‘hard copies’
printed from the ComLaw website.
•
If the applicant downloads legislation onto a computer or computer network, the
applicant’s procedures should verify that the downloaded legislation is controlled
by means of regular updates to incorporate legislative changes.
•
Whether or not downloaded or printed legislation is updated with sufficient
regularity will depend on the circumstances. However, given that recent
legislative changes can be readily identified on the CASA website, the applicant
should demonstrate that legislation will be updated with little delay.
•
The applicant should describe how it will ensure that outdated versions of
legislation are rendered inaccessible.
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C3
EXPOSITION PART 3
SYSTEMS AND PROCESSES
This part of the assessment evaluates the applicant’s systems for managing compliance with
the requirements of CASR Part 142.
In this part, a reference to an exposition means a set of documents meeting the
requirements of regulation 142.340 of CASR. The set of documents must include an
operations manual and any applicable manuals required under subregulation 142.340(1)(s)
of CASR.
Part 142 Flight Training and Contracted Recurrent
Training
nl
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C3.1
O
References
se
CASR: 142.230, 142.235, 142.240, 142.245, 142.250, 142.255, 142.340,
142.355, 142.360, 142.365, 142.370, 142.375, 142.380, 142.385,
142.386
U
Introduction
AS
A
This part of the assessment evaluates how the applicant conducts and manages integrated
and multi-crew pilot flight training, as well as contracted recurrent training in aeroplanes,
rotorcraft or airships – referred to collectively as ‘aircraft’.
Part 142 of CASR refers to integrated and multi-crew pilot flight training as Part 142 flight
training, which is any of the following:
C
1. An integrated training course for the grant under Part 61 of a private pilot licence or
commercial pilot licence.
2. Training for the grant under Part 61 of a multi-crew pilot licence, air transport pilot
licence or flight engineer licence.
3. Multi-crew cooperation training.
4. Training for the grant under Part 61 of a type rating other than a type rating
mentioned in an instrument under regulation 142.045. Training for a type rating
mentioned under the instrument may be conducted by a Part 141 operator.
5. Training, conducted as a multi-crew operation, for the grant under Part 61 of a flight
crew rating other than a type rating.
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6. Training conducted as a multi-crew operation, for the grant under Part 61 of a flight
crew endorsement other than:
(i)
a design feature endorsement; or
(ii)
a flight activity endorsement.
7. Training that is given as part of a flight review that is conducted as a multi-crew
operation.
8. Differences training:
that is required as mentioned in regulation 61.780, 61.835 or 61.1370 for a
variant covered by a type rating that is not a type rating mentioned in a
legislative instrument under regulation 142.045; and
(ii)
that is not conducted by a training and checking organisation approved under
regulation 217 of CAR.
O
nl
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(i)
Things for Consideration
se
Contracted recurrent training means recurrent training conducted by a Part 142 operator for
a contracting operator.
AS
A
U
The following information may be of value in determining if the applicant has met the
requirements of Part 142 in relation to Part 142 flight training and contracted recurrent
training.
C3.1.1
Procedures for Conduct and Management of Training
An exposition must include a description of procedures by which the operator
conducts and manages the training.
•
The conduct and management of training should be based on coordinated
processes designed to transform inputs into standardised training outcomes.
•
Effective training management should include processes 3 for:
C
•
-
development of training and assessment plans, course outlines and
syllabuses
-
production of joining instructions
-
management of training records
-
determination and provision of instructional and support personnel for
completion of a course
-
scheduling of instructional staff and resources
3
Some considerations relevant to the processes in this list are described in the numbered headings subsequent
to this list.
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-
determination and provision of facilities and equipment
-
management of examinations and tests
-
participant performance review
-
management of flight training areas and low flying training areas
-
establishment and maintenance of flight check systems for training
operations
-
authorisation of pilot in command
-
supervision of student pilot solo flight
-
carriage of passengers
-
protocols for relationships and behaviour with course participants
-
graduation administration.
what must be done
-
who should do it
-
when
-
where
-
how it must be done
-
nl
U
-
se
O
Each process should be comprised of a series of procedures or actions that
contribute to the desired outcome. The procedures should be documented in an
appropriate manual, and may address:
-
which documentation must be used
monitoring the operation and output of the procedure.
Training plans
C
(a)
y
instructional standardisation and supervision
AS
A
•
-
•
A training plan must be prepared for each proposed course of training and
included in an exposition. For example, courses of training for the grant of type
ratings for different types of aircraft should be subject to separate training plans.
•
A training plan provides details on:
-
what training will take place
-
what are the competencies that need to be established
-
what are the objectives and expected outcomes
-
who are the course participants:
-
how training will be delivered
-
how it will be assessed (assessment plan)
-
when will the training be conducted
-
a time-frame for achieving competencies.
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•
Training plans should outline a strategy for the transfer of skills, knowledge and
behaviours to course participants in a clear, logical and systematic manner.
•
The successful completion of training will depend on the quality of the training
plan developed. An applicant should demonstrate the capability for preparing
training plans via a plan preparation process.
•
A process for developing training plans should address:
personnel responsible for the preparation
-
course development responsibilities
-
regulatory requirements for the qualification (e.g. Part 61 MOS)
-
participant demographic, prior learning and training needs analysis
-
identification of units and elements of competency
-
identification of standards
-
selection of course phases and objectives
-
allocation of training lessons and periods to address the prescribed units
and elements of competency (the planned rate of delivery and course
progression should be set to accommodate learning by a person of
average intelligence)
-
modes of delivery and training techniques (e.g. individual, group, selfpaced, aircraft or FSTD, lectures, guided group discussion, supervised
practice)
-
sequencing of theory and practical training periods
-
nl
O
se
U
training material
progressive review and examination of competency
remedial training policy
planning validation.
C
-
AS
A
-
y
-
•
As training for the grant of all Part 61 licences, ratings and endorsements is
competency based, each course must be designed in accordance with the units
of the relevant competency standard as specified in Schedule 1 of the Part 61
MOS.
•
Course planning should consider the elements within each unit of competency.
The elements of knowledge for each qualification are described at Appendix 3 to
the MOS, while elements of competency (skill) are described in Appendix 2 to the
MOS.
•
An applicant should ensure that personnel appointed to develop the training
plans for each course, have appropriate expertise in flight instruction, course
design and management.
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(b)
With reference to the units and elements required for the course, each training
plan should demonstrate that the applicant has considered the following:
the division of the course into phases, based on the appropriate grouping
of similar material
-
the number of lessons required for each element - the duration of lessons
related to knowledge training should be limited to approximately
45 minutes. However, the duration of flight training periods is more
variable due to factors such as the type of training (e.g. ab initio or
advanced training), the type of operation or aircraft type
-
the sequencing of lessons to ensure the logical development of
knowledge and skills
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the coordination of theory and flight training to ensure the delivery of
theory training is timed to optimise flight training
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provision for contingencies such as unexpected weather or operational
restrictions.
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•
Planning should include a process for listing all lessons and periods in
chronological order to form a ‘program of instruction’ for the course.
•
The planning process should determine, and the plan should describe, the
resources required for delivery of each course - including the minimum
qualifications and experience for instructional and examining personnel to be
engaged to conduct the course.
•
The facilities to be used for all training activities must be described in an
exposition. As specification of resources required to conduct a course should be
determined during the planning process, a description of course facilities and
equipment may be included in the training plan.
•
The level of detail for the facilities should be sufficient to identify items essential
to the conduct of each course - these may include briefing rooms (air conditioned
and free of noise distraction), briefing aids, a flight preparation office with internet
access, amenities, aircraft/simulators and operational publications etc.
•
An applicant should describe a procurement process to ensure the timely
acquisition of all facilities and equipment necessary for the conduct of each
training course.
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Assessment Plans
•
Competency based training should also include assessment of competency.
Assessment is the process of reviewing evidence of the trainee’s performance
against the standards of the Part 61 MOS, which are expressed as performance
criteria and knowledge standards for each unit and element of competency.
•
An assessment plan for each course of training should be documented in detail.
•
The plan should be based on obtaining evidence of competency in knowledge,
through the results of reviews and examinations, and evidence of competency in
skills through the recorded observation of instructors and examiners.
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Evidence should reflect task skills, management skills, contingency skills and the
ability to apply skills and knowledge in new circumstances.
•
During flight training, each assessment plan should provide for continuous
(formative) assessment, and for periodic (summative) assessment at
predetermined milestones - such as phase or course completion.
•
The exposition should provide guidance to instructors to ensure formative
assessments are made consistently as a participant progresses and becomes
more competent with each element.
•
The exposition should provide policy and procedure for summative assessments,
including flight tests and examinations of knowledge.
•
Sufficient summative assessment should be planned throughout the course to
verify formative assessment.
•
Summative assessments of both skill and knowledge should be conducted at the
conclusion of course phases or stages of training.
•
Guidance to instructors and examiners should be provided in the exposition to
ensure correct implementation of the assessment plan.
•
When relevant, an assessment plan should ensure a student pilot is assessed as
competent to conduct first time solo flights in the circuit, training area, cross
country and at night.
•
Pre solo assessments must include assessment of competency in skill,
knowledge and the general standard for proficiency in the English language.
•
As assessment planning is an integral part of the development of a training
course, a process for preparation of assessment plans should be described.
•
The process for preparation of assessment plans should address:
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personnel responsible for preparation
plan development responsibilities
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(c)
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regulatory requirements for the qualification (e.g. CASR Part 61)
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identification of standards (Part 61 MOS)
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formative assessment policy and practice
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summative assessment policy and practice (including compliance with
regulation 142.385, in relation to assessment of competency for certain
solo flights)
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record keeping
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planning validation.
Course Syllabuses
•
A detailed syllabus for each course of flight training or contracted recurrent
training listed in the application, must be included in an exposition.
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•
A syllabus may contain, but is not limited to:
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course description and structure
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objectives and learning outcomes
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detailed program of the course
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summary of topics to be covered in a course
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assessment details such as markings and standards to be met.
As competency is achieved through the transfer of knowledge, skills and
behaviours from the instructor to the participant, a syllabus should describe the
sequence of transfer of knowledge and skills in terms of course lessons or
periods.
•
For each knowledge lesson, a syllabus should list the elements of knowledge as
specified in the training plan, together with related topics and specific content
described in the Part 61 MOS.
•
For each flight lesson a syllabus should list the elements of performance
together with related performance criteria described in the Part 61 MOS.
•
An exposition should describe a process for the preparation of course syllabuses.
•
The process for the preparation of course syllabuses may include:
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personnel responsible for preparation
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responsibilities
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regulatory requirements for the qualification (e.g. Part 61 MOS)
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(d)
review of the training plan
allocation of specific content or performance criteria to each lesson
identified in the training plan
lesson plans for each period
validation.
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For each flight training lesson a syllabus should include time allocated for:
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flight training briefings, including underpinning knowledge
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private study periods for participant preparation
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pre-flight briefing
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flight lesson
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debriefing
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administration.
Course Outlines
•
For each kind of flight training or contracted recurrent training proposed to be
authorised, CASR regulation 142.255 requires an applicant’s training
management system to include a course outline for each course.
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•
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an overview of the course
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course objectives and outcomes
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a course program, indicating the sequence of theory and flight training,
progress assessments, examinations and tests
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participant pre-requisites (e.g. minimum age, education or aptitude)
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course commencement
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training delivery methods
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assessment criteria and methods.
An applicant’s exposition should include instructions for the production of course
outlines.
(f)
Procedures when standard is not met
An applicant’s exposition must include a process to be followed when a standard
is not met during training.
•
The process should include a means to ensure that when conducting an
assessment, an examiner or instructor records the details of when competencies
have not been demonstrated, and provide recommendations for further training.
•
The exposition should include a process for remedial training to address
deficiencies identified in an assessment report.
•
The process should include provisions to ensure that further assessment may
only be made on recommendation by a senior instructor, when the retraining plan
has been completed.
•
The re-training plan and records should be included in the participant’s training
file.
•
Provision should also be made for re-examination in accordance with any
knowledge deficiency report resulting from a CASA aeronautical knowledge
examination. A means to control the re-examination process should be detailed in
the manual or exposition.
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A course outline may include:
Approval of Solo Flight
•
Policy and process for approval of solo flights conducted by course participants,
should be included in an applicant’s exposition.
•
The process should ensure that, before giving approval for a solo flight, the
responsible flight instructor is satisfied that:
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the solo pilot holds and carries a class 1 or 2 medical certificate or
exemption
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the solo pilot is medically fit to conduct the flight
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training records indicate the solo pilot has completed training for the flight,
as specified in the applicant’s Part 142 exposition, and has been
assessed and certified as competent by a flight instructor to conduct the
flight
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recent experience requirements as required by regulation 61.115 of
CASR have been met
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actual and forecast weather conditions are suitable
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the aircraft is serviceable and fuel state is appropriate.
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the training objectives of the flight and the limitations on the conduct of the
flight, have been provided orally and (preferably) in writing to the solo
pilot, and entered by the instructor in the designated parts of the flight
training record
The approval of a solo flight including terms and conditions, must be discussed
with the solo pilot during the pre-flight briefing, and authenticated on the training
record by the signature of the responsible instructor.
•
Provision should be made for the solo pilot to acknowledge the terms and
conditions of the approval (e.g. by countersigning the document).
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Supervision of Student Pilot Solo Flight
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An applicant’s exposition must describe a means for ensuring, in accordance with
regulation 61.112 of CASR, that a person not holding a pilot licence (a student
pilot) when authorised to pilot an aircraft in command, that the flight is approved
and supervised by a Part 142 flight instructor who is authorised for the purpose
by the operator.
•
The process must meet the minimum standard of supervision prescribed by
subregulation 61.112(3) of CASR, as follows:
the instructor must provide guidance to the student pilot in relation to the
flight
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(g)
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during the flight, the instructor:
o
must be at the aerodrome of departure or flying within 15 nm of
the departure aerodrome
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can be contacted during the flight by radio or other electronic
means.
•
The process should include provision for active monitoring of each solo flight by a
Part 142 flight instructor. As well as active monitoring, the supervising instructor
should provide flight following, operational control and the rendering of assistance
if necessary.
•
For solo circuit operations, the applicant should ensure that a competent
instructor is assigned to visually monitor circuit operations. The supervising
instructor should be provided with two way radio communication with circuit
aircraft for the purpose of exercising operational control over solo flights, if
necessary.
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•
•
An applicant’s exposition must include procedures for the supervision of persons
participating in Part 142 activities.
•
The exposition should describe the duties and responsibilities of Part 142
personnel for ensuring participants in activities are supervised to an extent
necessary to avoid incidents and accidents.
Approval of Dual Instructional Flights
Policy for the approval of dual instructional flights should be described in an
applicant’s exposition.
•
Dual instructional flights conducted in accordance with the course syllabus or
course program may be deemed to have approval by virtue of a published daily
flight training program. Some activities such as helicopter touch down autorotations or low flying may require specific approval.
•
The policy for dual flights should provide that during dual flight time, the flight
instructor must be the pilot in command, and that during flight tests or checks, the
flight examiner must be the pilot in command.
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Supervision of Instructors
•
The performance of instructional activities must be closely supervised to ensure
flight safety and quality of product. The applicant’s policy and process for the
appointment of supervisory personnel, as well as the scope and limitations of
responsibility of each supervisory position, should be described in an exposition.
•
The process should include formalising of appointments through letters of
appointment, contracts or amendments to the exposition.
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(j)
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(i)
Supervision of Part 142 Activity Participants
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(h)
For training area and navigation solo flight operations, an applicant should ensure
that an instructor is assigned to monitor radio frequencies when possible, to
provide assistance if necessary, and maintain a search and rescue watch.
(k)
Integrated Training
•
CASR Part 61 provides reduced aeronautical experience requirements for the
PPL and CPL when training is integrated. If an applicant proposes to conduct
integrated training, the exposition must describe how the applicant will integrate
the training to meet the requirements of CASR Part 61. The method of integration
should be evident within the training plan and detailed within the syllabus.
•
CASR Part 61 defines ‘integrated training’ as meaning an intensive course
completed within a condensed period of time, and designed so that the ground
theory training is integrated with practical flight training.
•
The applicant should demonstrate that theory and flight training will be conducted
in accordance with a syllabus meeting the standards specified in the Part 61
MOS.
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•
The delivery of theory training should be timed to optimise flight training. The
applicant should demonstrate that sufficient underpinning knowledge is provided
to enable an understanding by the student of what is happening in a flight lesson
and why. A flight training lesson should not commence until relevant
underpinning knowledge has been provided.
•
The applicant’s training plan should demonstrate that consideration has been
given to dividing courses into logical phases, separated by course milestones.
general flying phase
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navigation phase
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advanced navigation phase
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instrument flight phase.
navigation progress test or private pilot licence flight test
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CPL examinations
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check conducted prior to licence test.
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An applicant should include policy to protect the integrity of integrated courses,
by controlling extensions or interruptions to training. Significant breaks to training
may require recommencement or remedial training.
•
To maximise integration, the proposed courses should be conducted on a full
time basis.
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Contracted Recurrent Training
•
Contracted recurrent training is training, other than initial qualification training,
given by a Part 142 operator to the personnel of a contracting operator for the
purpose of ensuring the personnel are competent to carry out their
responsibilities.
•
Under Part 142, contracted recurrent training is not limited to multi-crew
operation.
•
An applicant proposing to conduct contracted recurrent training must describe in
an exposition, procedures for managing the contracted training.
•
The exposition must include training/ assessment plans and syllabuses for each
course of contracted training.
•
The exposition should nominate a person responsible for managing each course
of contracted training.
•
An applicant should provide for the timely acquisition of the contracting operator’s
relevant publications, such as the training and checking manual, standard
operating procedures and aircraft flight manuals.
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(l)
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Examples of milestones may be:
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Examples of phases may be:
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•
An applicant should have a process to ensure compliance with the contracting
operator’s procedural manuals. The process should provide for the systematic
review and subsequent awareness training, for contracted instructors, of the
contracting operator’s procedural manuals relevant to the contracted training.
•
Procedures should include a safety review of training areas at unfamiliar
locations, prior to the conduct of contracted recurrent flight training.
•
An exposition may describe procedures for making agreements with contracting
operators as to the scope, conditions and limitations of services to be contracted.
The process should ensure that:
each contract confirms that the chief pilot/head of flying operations of the
contracting operator retains responsibility for the contracted training
services
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if training requires operation of the contracting operator’s aircraft, the Part
142 contracting personnel are inducted into the organisation of the
contracting operator
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any arrangements for Part 142 personnel to have recency flying with the
contracting operator, is reflected in the agreement.
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Training Management System
An applicant must have a training management system that includes:
a course outline
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a detailed syllabus
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standards to be met
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record forms
procedures when a standard is not met
an auditable training record management system.
A training management system may be used for the scheduling, recording,
reporting and monitoring of training.
•
The training management system may be a software application.
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C3.1.3
Training Management System Manual
•
An applicant’s exposition must include a training management system manual
that describes a training management system. The manual may be included:
-
within an exposition or,
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in an operations manual that forms part of an exposition or,
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a manual subordinate to an operations manual forming part of an
exposition.
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•
C3.1.4
The manual should include:
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reference to the legal authority for the manual
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a statement of relationship to the exposition
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a table of contents
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a list of effective pages
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a distribution list
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an amendment record.
Compliance with Contractor’s Procedures
An applicant proposing to conduct contracted recurrent training must describe a
process to ensure that training is conducted in accordance with the contracting
operator’s procedure manuals.
•
The process must provide for the timely acquisition of the contracting operator’s
relevant publications (such as the training and checking manual, standard
operating procedures and aircraft flight manuals).
•
The process should also include provision for the systematic review and
subsequent awareness training for contracted instructors, of the contracting
operator’s procedure manuals (relevant to the contracted training).
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Minimum Qualifications and Experience
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C3.1.5
An exposition must describe the minimum qualifications and experience for
personnel conducting training activities.
•
As regulation 142.230 of CASR requires instructors and examiners conducting
authorised activities to be authorised to do so under CASR Part 61, the minimum
qualifications established by the applicant must be at least those required under
CASR Part 61.
•
The minimum experience should be at least sufficient to safely and competently
conduct each kind of training.
•
The specification of criteria for qualifications and experience should be evident as
part of the planning process and be included in the training plan for each kind of
training course.
C3.1.6
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Command Responsibility
•
An applicant’s exposition must describe policy for command responsibility during
flight.
•
For other than sole occupant flights, the exposition should include a means for
identifying and recording the name of the pilot in command of the aircraft. Any
command responsibilities, in addition to those required under civil aviation law,
may also be recorded.
•
The policy for command responsibility should specify that during dual flight time,
the flight instructor is to be the pilot in command, and that during flight tests or
checks the flight examiner is to be the pilot in command.
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C3.1.7
Instructors and Examiners – Authorisation under Part 61
•
An exposition must describe a process to ensure that all applicable qualification
and recency requirements of CASR Part 61 are met by personnel undertaking
Part 142 activities.
•
Common industry practice is to employ a software recording/monitoring/alerting
program for renewable qualifications and recency, which forms an integral part of
the crew scheduling process.
•
The exposition must also describe a process for ensuring an instructor or
examiner is not rostered to conduct training or examining activities in an FSTD,
unless the applicant’s means for managing the status of qualifications, indicates
all qualification and competency requirements have been met.
Pilot in Command – Authorisation under Part 61
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C3.1.8
An exposition must describe a process to ensure that instructors, examiners and
trainees are appropriately authorised as pilot in command to undertake
authorised Part 142 activities.
•
The requirement should be initially addressed during the course planning
process, however the ultimate responsibility for compliance should be met by the
applicant’s processes for crew scheduling and flight authorisation/approval.
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Student Pilot Competency - First Solo
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C3.1.9
For the purposes of the CASR, the term ‘student pilot’ refers to persons who are
receiving flight training prior to holding a pilot licence.
•
An applicant must describe a process in the exposition:
for securing compliance with the requirements of regulation 142.385 of
CASR (completion of training and assessment of competency for certain
solo flights) relating to solo flights by student pilots for the first time in the
circuit, training area, cross country or at night, and
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•
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compliance with regulation 142.386 of CASR (appropriate briefing and
capability to conduct certain solo flights etc).
The process employed by the applicant should include:
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a statement of relevant responsibilities and accountabilities
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a means of confirming the solo pilot has an ARN
-
methods to verify completion of prescribed training for the solo flight
-
standards and methods for assessing competence of the student pilot to
conduct the solo flight
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assessors should be provided with sufficient guidance and instruction to
ensure valid assessments are made and recorded
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assessment and certification that the student pilot is capable of
conducting the solo flight safely
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a means of ensuring a student pilot meets the general English language
proficiency standard, or has completed an approved course of training in
English language proficiency
-
instructions for approval of solo flight
-
a means to ensure that flights are only conducted under the Visual Flight
Rules (VFR) and in accordance with the instructor’s approval
-
instructions for pre-flight briefing of solo pilots
-
the briefing should include the terms and conditions of the approval of the
solo flight
-
provision for the solo pilot to acknowledge the terms and conditions of the
approval (e.g by countersigning the document)
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record keeping.
Approval of Solo Training Flights - Other than Student Pilots
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C3.1.10
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An applicant’s exposition must describe a process for securing compliance with
the requirements of regulation 142.385 of CASR (completion of training and
assessment of competency for certain solo flights) in relation to course
participants other than student pilots, when receiving training for a rating or
endorsement and conducting a solo flight at night for the first time (e.g. the holder
of a commercial pilot licence receiving training for the grant of a night VFR
rating).
•
The process must also ensure compliance with regulation 142.386 of CASR
(appropriate briefing and capability to conduct certain solo flights etc), in relation
to the conduct of any solo flight for the first time.
•
The process employed by the applicant should include:
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a statement of responsibilities and accountabilities
a means of confirming the solo pilot has an ARN
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methods to verify completion of prescribed training for the solo flight
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standards and methods for assessing competence of the pilot to conduct
the solo flight
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assessors should be provided with sufficient guidance and instruction to
ensure valid assessments are made and recorded
-
assessment and certification that the pilot is capable of conducting the
solo flight safely
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instructions for approval of solo flight
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a means to ensure that flights are only conducted under the VFR and in
accordance with the instructor’s approval
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instructions for pre-flight briefing of solo pilots
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the briefing should include the terms and conditions of the approval of the
solo flight
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provision for the solo pilot to acknowledge the terms and conditions of the
approval (e.g. by countersigning the document)
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record keeping.
C3.1.11
Carriage of Passengers
An applicant must have a means for ensuring that passengers are not carried
during student pilot operations - including dual training flights. Subregulation
61.113(2) of CASR provides that a student pilot is not authorised to pilot an
aircraft carrying passengers. ‘Pilot’ means ‘to manipulate the flight controls of an
aircraft during flight’ or ‘to occupy a flight control seat in an aircraft in flight’.
•
An applicant must also include a means for ensuring passengers are not carried
in aircraft when conducting the following operations:
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simulated system failures affecting aircraft performance or handling
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low flying.
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Additionally, the applicant must describe a means to ensure that authorisation for
the carriage of passengers, in aircraft conducting Part 142 activities, will not be
permitted unless the pilot in command is authorised under CASR Part 61 to fly
the aircraft as pilot in command with a passenger on board. This requirement
may be applicable in circumstances when the holder of an RPL, who is
participating in integrated licence training, may seek to carry more than one
passenger.
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C3.1.12
Flight Training Areas
Each flight training area used to conduct Part 142 activities must be described in
the applicant’s exposition.
•
The description should identify established areas or describe the lateral and
vertical boundaries, and the kind of flight training permitted in the area.
•
As well as including descriptions in an exposition, an applicant should have a
process for managing training areas.
•
The process should provide for the safe establishment, promulgation and review
of each flight training area, with an emphasis placed on ensuring that information
about flight training areas is disseminated to all relevant personnel.
•
An applicant should demonstrate that they have considered the following in the
establishment of a flight training area:
•
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the location and size of the area compared to the type of training and the
maximum number of aircraft planned to use the area
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minimum utilisation of airspace over populous or sensitive areas.
Training areas should be depicted on a 1:100,000 or larger scale topographical
map prominently displayed in the training facility. Noise sensitive areas, obstacles
such as towers and powerlines and proximity to controlled airspace, should be
clearly marked.
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•
The boundaries of a day VFR training area should be readily identifiable by
prominent landmarks, rather than distances from the departure aerodrome such
as DME arcs.
•
When a training area does not include the departure aerodrome, entry and exit
paths to the training area should be identified.
•
The management process should include procedures for a safety review of
training areas at unfamiliar locations, prior to the conduct of flight training including contracted recurrent training.
C3.1.13
Low Flying Training Areas
An applicant must have a process for determining suitable low flying training
areas required for Part 142 activities.
•
The process should provide for the safe establishment, promulgation and review
of each low flying training area.
•
An area proposed for low flying training should be subject to an inflight
assessment conducted from a safe height above obstacles.
•
The proposed area should free from high risk obstacles (such as power lines or
cables) and should not be located over livestock.
•
The review process should include regular aerial inspections of low flying areas,
to monitor obstacles and hazards.
•
Management positions responsible for the process should be included in the
description.
•
An applicant must have a means to ensure that low flying training is conducted
only over a flight training area approved by CASA, if required.
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C3.1.14
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•
Flight Test Recommendation
When a participant is required to demonstrate a required level of skill, an
exposition should include a process for planning and conducting the assessment.
•
The process must describe procedures for ensuring a person recommended for a
flight test meets the flight test prerequisites provided under regulation 61.235 of
CASR
•
The procedures may provide for an initial check of the prerequisites, by a flight
instructor, before final verification and certification.
•
The head of operations, or another person named in the exposition, must certify
that an applicant for a licence (other than ATPL) or a rating, has met the
prescribed eligibility requirements.
•
The process may include a checklist of prerequisites with provision for verification
and certification.
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C3.1.15
Competency of Personnel using FSTD
If conducting activities in an FSTD, an applicant must describe a means for
ensuring instructors and examiners have been assessed as competent to
conduct the activity in the device.
•
Although subregulation 142.315(j) of CASR requires an operator’s internal
training and checking system to include procedures to ensure an instructor is
competent to use an FSTD, the requirement under regulation 142.240(1) of
CASR is applicable to all Part 142 personnel – including flight examiners.
•
An applicant’s means for compliance should ensure simulator instructors and
examiners are not rostered for Part 142 activities in FSTD, unless assessed as
competent for the activity. Common industry practice is to employ a software
recording/alerting program for renewable qualifications, recency and other
regulatory requirements, as part of the crew rostering process.
•
Assessment of an applicant’s ability to ensure instructors and examiners are
competent to conduct activities in FSTD, should include an assessment of the
suitability of the applicant’s internal training and checking system to ensure that
personnel are suitably qualified and competent.
C3.1.16
Training Records
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An applicant’s exposition must include an auditable process for ensuring secure
and confidential training record keeping. The exposition should include templates
of training and assessment forms, and guidance to instructors and examiners for
the correct completion of training records.
•
An exposition must include a means to ensure that a record is made within 21
days of a person’s participation in a Part 142 training activity.
•
Training records should include a description and assessment of the person’s
performance, including areas of weakness, and should be comprehensive with
enough information to enable other instructors to efficiently continue the training.
•
A training record should detail:
•
C
AS
A
U
•
-
participant name/ARN
-
lesson number and activities to be conducted
-
briefings completed
-
assessments and supporting evidence
-
certification, by an instructor, of achievement of competency in each
element
-
remedial training
-
flight time
-
instructor/participant sign-off.
Training records should certify end of phase competence and suitability for
progression to the next phase.
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•
An exposition should include a process of internal audit to check for compliant
operation of the record management process, and to verify the accuracy and
completeness of training records.
•
An applicant must provide a documented means for giving a copy of a flight
training record to the person to whom it relates, within seven days of completion
of the record.
C3.1.17
Access to Records
An exposition must describe procedures for ensuring instructors and examiners
have access to the records of course participants, prior to conducting a Part 142
activity.
•
The procedures should ensure the security and confidentiality of the records.
Availability of Records
nl
C3.1.18
y
•
An applicant must have a process for providing, within seven days, a copy of a
training record to another Part 142 operator when requested.
•
The process:
O
•
should only respond to written requests from an authorised representative
of the requesting operator (the request should be authenticated)
-
may provide for date stamping of a request
-
must ensure the transfer of a record is subject to the written authorisation
from the person to who the record relates
-
should ensure the security and confidentiality of the records
C3.1.19
U
AS
A
-
se
-
should ensure the original records are retained.
Student Transfer between Operators
Regulation 142.380 of CASR provides for the transfer, between Part 142
operators, of persons participating in integrated training courses. The provision
only applies to prior training received while participating in an integrated course
conducted by an authorised Part 142 operator.
•
To meet the requirements, an applicant should have a process described in an
exposition, to ensure that before continuing to provide any part of a course to a
person, the applicant has determined:
•
C
•
-
the parts of the course the person has completed with previous operators
-
the parts of the course the person needs to complete to ensure that all
applicable standards of the Part 61 MOS are satisfied.
The process for managing the transfer of students from another operator should
include procedures for:
-
obtaining training records from previous training organisations
-
analysis of student logbook and calculation of aeronautical experience
-
analysis of previous training records to determine completed training
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-
acceptance of units/elements certified as competent by a previous
operator
-
non acceptance of partially completed units of knowledge
-
restructuring of a syllabus to accommodate a previous syllabus that is
incompatible with the current operator’s syllabus
-
flight checking to establish areas of competency
-
checking currency of results of CASA examinations.
C3.1.20
Checklists
Aircraft operating checklists applicable to training, and instructions and
circumstances for use, must be described in an exposition.
•
For contracted recurrent training, an applicant must ensure that instructors are
provided with prior access to aircraft flight check systems required to be used by
the contracting operator.
se
The areas of operation for flight training and contracted recurrent training must be
included in an applicant’s exposition.
C3.2
Contracted Checking
U
•
Areas of Operation
O
C3.1.21
nl
y
•
AS
A
References
CASR: 142.230, 142.240, 142.340, 142.355, 142.360, 142.370, 142.375
C
Introduction
Contracted checking is checking conducted by a Part 142 operator for a contractor operator
who enters into an agreement with a Part 142 operator.
Checking is the assessment of proficiency of the personnel of an aircraft operator of the
operator of a FSTD that is conducted to ensure that the personnel are competent to carry
out their responsibilities.
Checking may be conducted to meet regulatory requirements or other requirements such as
those of a third party or client.
When contracted checking is conducted to meet regulatory requirements, the contracting
operator retains responsibility for meeting the requirement.
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Things for Consideration
The following information may be of value in determining if the applicant has met the
requirements of Part 142 applicable to the conduct of contracted checking.
C3.2.1
Procedures to Conduct and Manage Contracted Checking
•
An exposition must include a description of the applicant’s processes for the
conduct and management of contracted checking. In practical terms, the
description may be included in an operations manual or other manual
subordinate to an exposition – such as a contracted checking manual.
•
The applicant’s processes for the conduct and management of contracted
checking may include the following:
provision for consultation with the contracting operator as to the
operational terms and conditions applicable to the checking
-
a process for developing binding agreements with contracting operators,
to ensure the scope, requirements, conditions, limitations and
responsibilities for the services to be provided are clearly defined
-
a means for ensuring each contract confirms that the chief pilot/head of
flying operations of the contracting operator retains responsibility for
contracted checking conducted to meet regulatory requirements
-
if the checking requires operation of the contracting operator’s aircraft, a
process for ensuring the contract also provides for the induction of
Part 142 contracted personnel into the organisation of the contracting
operator. The applicant may also include a means for ensuring the
contract reflects any arrangements for Part 142 personnel to have
recency flying (if required) with the contracting operator
-
provision for access to CASA approvals of the contracting operator’s tests
and checks
nomination of a person responsible for managing the checking for each
contracting operator
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-
-
protocols for liaison with the contracting operator
-
management responsibility for the conduct and management of
contracted checking
-
provision for examiner competency, including minimum qualifications and
experience, recency and requalification
-
induction of examiners into the practices and procedures of the
contracting operator
-
agreement with the contracting operator for proficiency checking
standards
-
assessment plans for each kind of checking (these should be developed
in consultation with the contracting operator) - the plan should describe
how and when the assessments will be conducted and recorded
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-
command responsibility for flights in aircraft under the control of the
contracting operator
-
recording and reporting requirements, including reporting to the Part 142
operator
-
provision for safety reviews of training areas at unfamiliar locations, prior
to the conduct of contracted checking.
C3.2.2
Conformance with Contracting Operator’s Procedures
An exposition must include procedures to ensure that a Part 142 operator will
conduct contracted checking in accordance with the contracting operator’s
training and checking manual and standard operating procedures.
•
The procedures for conformance with contracting operator procedures should
ensure:
y
•
the conduct of a systematic analysis of the relevant manuals of the
contracting operator, to establish requirements, procedures and practices
for the conduct of checking
-
the contracting operator’s relevant publications (such as the training and
checking manual, standard operating procedures and aircraft flight
manuals) are provided to the Part 142 operator in a timely manner
-
changes to the contracting operators standard operating procedures
(SOPs), operational techniques are effectively captured by the contractor.
-
Part 142 examiners are trained in the practices and procedures of the
contracting operator
O
se
U
Part 142 examiners are aware of the requirements of the contracting
operators SMS such as hazard/incident reporting.
a post checking review by Part 142 management of checking records for
conformance with the contracting operator’s requirements.
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A
-
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C3.2.3
Minimum Qualifications and Experience of Personnel
Conducting Contracted Checking
•
The minimum qualifications and experience for personnel conducting contracted
checking must be included in the exposition or subordinate manual.
•
An applicant must have a process to ensure that examiners conducting
contracted checking will be authorised to do so according to the minimum
qualification and experience requirements under CASR Part 61.
C3.2.4
Assignment of Command Responsibility
•
An applicant must describe policy and processes for command responsibility
during flights for contracted checking. These matters must be described in either
the exposition or subordinate manual.
•
The policy must not countermand the regulatory requirements for command
responsibility, but may include additional responsibilities imposed by the
applicant.
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•
An applicant should include a means for obtaining agreement about command
responsibility with prospective contracting operators.
•
The process should specify a means of identifying and recording the name of the
pilot in command of the aircraft and any command responsibilities that are in
addition to those required under civil aviation law.
•
During flight tests or checks, the policy may specify that the flight examiner will be
the pilot in command.
C3.2.5
Examiners - Authorisation under Part 61
An applicant must have a means, described in either the exposition or
subordinate manual, for ensuring that examiners are appropriately qualified under
CASR Part 61 for the conduct of contracted checking in either aircraft or FSTDs,
as applicable. The applicant should demonstrate that the means will be initially
addressed during the planning process, and finalised by the applicant’s process
for crew scheduling and authorisation.
•
Common industry practice is to employ a software monitoring/alerting program for
renewable qualifications and recency, which forms an integral part of the crew
scheduling process.
O
se
C3.2.6
nl
y
•
Competency of Examiners using FSTD
The applicant must have a means for ensuring an examiner has been assessed
as competent to conduct an activity in an FSTD, before conducting the activity in
the FSTD. A description of how the applicant ensures examiners have been
assessed must be included in the exposition or subordinate manual.
•
The process must ensure that examiners are not rostered for contracted checking
activities unless assessed as competent for the activity.
•
Assessment of an applicant’s ability to ensure examiners are competent to
conduct contracted checking in FSTD may also include an assessment of the
applicant’s internal training and checking system, so as to ensure personnel are
suitably qualified and competent.
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•
C3.2.7
Record Keeping
•
An applicant must provide a suitable means to ensure reliable, auditable, secure
and confidential record keeping of the performance of each participant in
contracted checking. If not using a contracting operator’s forms, the system
should include templates of assessment forms and guidance for examiners to
ensure the correct completion of records.
•
If using assessment forms provided by the contracting operator, an applicant
should have a means to ensure that an examiner is competent in using the forms.
•
A record of a person’s participation in contracted checking activities must include
a description and assessment of the person’s performance, and should be
sufficiently comprehensive with enough information to enable assessment of
competence against relevant standards.
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•
The process must ensure that a record is made within 21 days after the
contracted checking activity, and that a copy of the record is provided on request,
to the person to whom the record relates.
•
A record should detail:
participant’s name/ARN
-
activities conducted
-
briefings completed
-
assessments and supporting evidence
-
recommendations including remedial training (if any)
-
flight/FSTD time
-
examiner/participant sign-off.
-
support pilot’s (if any) name and ARN.
nl
y
-
Records of participation in Part 142 activities must be retained by the Part 142
operator for a period of at least 7 years.
•
The applicant should provide a process of internal audit to check for compliant
operation of the management system and to verify the accuracy and
completeness of records.
se
O
•
Transfer of Records
U
C3.2.8
An applicant must describe a means for providing, within seven days, a copy of a
record of participation in contracted checking to another Part 142 operator when
requested. A means for compliance must be documented in an exposition or
subordinate manual, and should provide confidentiality and security of the record.
•
An applicant must have a process for providing, within seven days, a copy of a
record of contracted checking to another Part 142 operator when requested.
•
The process:
C
AS
A
•
-
should only respond to written requests from an authorised representative
of the requesting operator (the request should be authenticated)
-
should provide for date stamping of a request
-
must ensure the transfer of a record is subject to the written authorisation
from the person to who the record relates
-
should ensure the security and confidentiality of the records
-
should ensure the original records are retained
-
must ensure a copy is provided within seven days after receiving the
request.
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C3.2.9
Carriage of passengers
•
-
simulated system failures affecting aircraft performance or handling
-
low flying activity.
If required to carry passengers during contracted checking, an applicant should
have a means to ensure that:
-
the Part 142 examiner will be qualified under CASR Part 61 to be pilot in
command of the aircraft
-
the carriage of passengers during contracted checking activities is
managed effectively (a description of the means must be sufficient in
scope and detail to provide clear guidance to personnel)
-
management responsibilities in relation to the carriage of passengers, are
defined.
O
Training areas
se
C3.2.10
nl
y
•
An applicant must describe a means, in the exposition or subordinate manual, to
ensure that passengers are not carried in aircraft when conducting the following
operations:
An applicant must include in an exposition, a description of areas of operation.
•
Considerations relevant to the assessment of procedures for the management of
training areas are available in section C3.1.3 of this handbook.
U
•
Operations Manual
References
AS
A
C3.3
C
CASR: 142.340(1)(s)(i)
Introduction
An exposition must include an operations manual. The CASR Part 1 Dictionary defines an
‘operations manual’ as meaning the manual required under CAR 215. For practical reasons
the manual need not be included within the exposition document, but may be included as a
supplementary document to the exposition.
For the safe conduct of flight operations, CAR 215 requires an operator to include
information, procedures and instructions, in their operations manual (other than information,
procedures or instructions set out in other documents required to be carried in the aircraft),
regarding the flight operations for all types of aircraft operated by the operator.
Assessing compliance of an operations manual against relevant legislation should be
conducted in accordance with current CASA policy.
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Things for Consideration
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(s)(i) in relation to operations manuals.
C3.3.1
Operations Manual
An exposition must include an operations manual. The manual may be included
as a supplementary document. As a supplement to the exposition, the operations
manual forms part of the exposition and is subject to the same requirements and
controls.
•
The applicant’s operations manual must contain adequately documented policies,
processes and procedures to control the safety of flight operations under CASR
Part 142.
•
For applicants intending to conduct activities only in FSTDs, the operations
manual may be an equivalent manual such as a Synthetic Trainer Operations
Manual.
O
nl
y
•
Internal Training and Checking System
se
C3.4
U
References
Introduction
AS
A
CASR: 142.310, 142.340(1)(p)
C
Regulation 142.310 of CASR requires a Part 142 operator to have an internal training and
checking system. The system must be described in an internal training and checking system
manual that forms part of the operator’s exposition.
A Part 142 internal training and checking system, or the appointment of training and
checking personnel, are not subject to approval by CASA.
CASR Part 142 does not specify the training and checking to be conducted under the
internal system. Therefore although the objectives and extent of internal training and
checking are at the discretion of the operator, there are several mandatory training and
checking requirements under Parts 61 and 142 of CASR (such as instructor proficiency
checks, HF&NTS training etc.) that should be performed by that part of the applicant’s
organisation responsible for the internal training and checking system.
Things for Consideration
The following information may be of value in determining if the applicant has met the
requirements of subpart 142.J of CASR (internal training and checking system) and
regulation 142.340 of CASR in relation to internal training and checking.
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C3.4.1
Internal Training and Checking Manual
•
An applicant’s exposition must include an internal training and checking system
manual that describes the applicant’s internal training and checking system.
•
An applicant must demonstrate a means of ensuring that a copy of the manual
will be provided to all Part 142 personnel who have duties or responsibilities
related to internal training and checking. The manual must be provided before the
person first begins carrying out those duties or responsibilities. For example,
compliance may be achieved during training for induction to the internal training
and checking organisation.
•
The organisational structure and reporting lines of the training and checking
organisation should be described.
Description of Internal Training
y
C3.4.2
An exposition must describe how the applicant proposes to conduct internal
training.
•
The description should include the objectives, scope, depth, frequency and
methods for the internal training.
•
Specific training to be conducted by an internal training and checking system is
not prescribed. However, to align with common industry practice, the
responsibility for Part 142 internal training should be assigned to that part of the
applicant’s organisation responsible for the Part 142 internal training and
checking system. If an operator does not choose to do this, then the exposition
must make other provisions to ensure personnel complete mandatory training.
•
An applicant’s system for internal training must include coordinated processes
designed to contribute to the desired training outcome. The system should
include processes for:
development of training and assessment plans, course outlines and
syllabuses and course joining instructions
C
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AS
A
U
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O
nl
•
-
addressing unsatisfactory performance
-
training records management
-
determining instructional and support personnel required for completion of
a course
-
determining minimum qualifications and experience of instructional staff
-
scheduling of instructional staff and resources
-
instructional standardisation and supervision
-
determining and providing facilities and equipment
-
management of flight training areas and low flying training areas
-
flight check systems for training operations
-
command responsibilities
-
authorisation of pilot in command
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carriage of passengers
-
student performance review
-
examinations and tests
-
relationship protocols with internal course participants
-
graduation administration.
•
CASR Part 142 requires an operator to provide internal training in HF&NTS, and
familiarisation training for key personnel.
•
Other internal training, while not prescribed under Part 142 but essential in
ensuring suitably qualified and competent personnel, includes induction training
and upgrade training.
y
Induction Training
The internal training and checking system manual should describe the applicant’s
process for ensuring induction training is given to all Part 142 personnel, before
commencing their duties and responsibilities.
•
The process should include analysis of training requirements for each inductee
(the training must be appropriate to each person’s role in the Part 142
organisation and sufficient to enable each person to safely and effectively
discharge their duties and responsibilities).
•
Objectives for the applicant’s induction training may include:
-
company structure, governance, management and authorised activities
introduction to human factors principles and non-technical skills
the training management system
the internal training and checking system
the safety management system
C
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U
se
O
nl
•
AS
A
(a)
-
-
the fatigue management system
-
the change management system
-
drug and alcohol management plan
-
the administration system
-
employment conditions
-
section manager introduction
-
role task training and mentoring - including responsibilities, duties.
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Human Factors Principles and Non-technical Skills Training
The primary objective of internal HF training within a Part 142 organisation is to
give instructors and examiners an understanding of relevant HF hazards and how
and why errors (theirs and their students) may be committed during Part 142
activities. This HF knowledge can then be used to develop non-technical skills to
minimise the potential for errors and/or to limit any consequences.
•
HF training for a Part 142 organisation should not be something radically new. HF
training may initially appear to cover many safety principles and practices which
are already incorporated within operations; however these practices are often
both informal and inconsistent in application. In describing and explaining the
underlying HF principles for certain practices within an organisation, HF&NTS
training can ensure that Part 142 activities are carried out in a more consistent
and professional manner such that aircraft are operated and students are trained
with a higher level of safety.
•
Course Design and Development
nl
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•
An operator should have a means for designing and developing a
HF&NTS course. The operator may choose to develop an internal training
program or contract a third party training provider.
-
If the organisation designed and developed their HF&NTS course
internally, the development process should ensure that personnel
experienced or qualified in HF were involved in developing the content of
the course.
-
If training has been contracted to a third party training provider, the Part
142 organisation should still ensure appropriately trained and competent
staff are employed in relation to HF&NTS course design and delivery.
-
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The provision of training services in HF&NTS by a third party training
provider may be managed in line with SMS processes and procedures for
third party interactions.
To ensure the HF&NTS training course is relevant and effective, the
operator’s process for design, review and revision of the course may use
data from its SMS to identify training needs. Such data may include:
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o
investigation processes
o
hazard identification processes
o
risk management processes.
If an operator has followed the guidance given in CAAP SMS 3(1) for the
design and development of their HF&NTS training course, have they
addressed those specific influences that will be present in the flying
training/checking environment?
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Course Objectives
The objectives of the operator’s HF&NTS training program should include:
o
improved safety during Part 142 activities, through:

•
•
improved [HF] hazard identification
•
reduced errors
•
increased capture and correction of errors
committed.
The learning outcomes of the HF&NTS training should provide the course
participant with:
knowledge of potential HF influences and hazards
o
non-technical skills to reduce the potential for error, improve their
ability to identify hazards and to identify and correct their errors
earlier
o
an ability to portray expected safety related behaviours associated
with how the organisation manages human performance and error,
including:
O
nl
y
o

influencing people’s attitudes away from simply ‘accepting’
HF related hazards and risks

influencing individual and organisational behaviour in
response to HF hazards and risks to consistently apply
new or existing controls.
AS
A
-
decreased organisational exposure to risk, by:
se
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•
Course Structure and Content
Though not an exhaustive list the following are examples of specific areas
of focus that may be seen within a Part 142 HF&NTS course:
o
Communication and anticipation of communication difficulties
associated with students and novice performance. For example,
heavy student workload and low level of knowledge of ‘jargon’ and
standard aviation phraseology.
o
Workload management and information processing, with a focus
on the influence of instructor workload (associated with teaching)
on accurately and effectively processing available information and
maintaining awareness of potential internal and external flight
safety hazards.
o
Teamwork, with a focus on the difficulties of establishing
coordination of actions and associated positive team behaviours
with students - especially during early lessons.
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o
Delivery and Assessment of Training
The training delivery and assessment procedures for the HF&NTS course
must be documented in the organisation’s exposition.
-
The exposition should describe the rationale for selection of facilitators,
including the selection criteria for appointment. The quality of facilitation is
crucial to ensuring the course is effective in delivering real improvements
in human performance and a reduction in the number and consequence
of errors within the operation. A suitable selection criteria may include:
qualifications and/or experience in training delivery
o
experience in the aviation work environment
o
an appropriate level of knowledge in HF, or an ability and means
to ensure an adequate level of understanding of the course
material.
O
The delivery and assessment procedures should describe how the
assessment and evaluation processes will adequately identify
achievement of required attitude, knowledge or skill development by
personnel. Examples of methods include:
written exam for evaluating knowledge
AS
A
o
o
interaction and facilitator assessment of personnel’s attitude to HF
principles and non-technical skills
o
observation for skill development.
The exposition should describe explicit procedural controls to ensure that
no instructors or examiners carry out part 142 activities before completing
the organisation’s HF&NTS training. Such a control may be ensuring that
personnel complete the HF&NTS training as part of their induction
training, which is completed before commencement of personnel duties.
The operator may also require the head of operations, as part of their
responsibilities, to approve the instructor and examiner’s completion of
the training prior to personnel commencing Part 142 activities.
C
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nl
o
se
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-
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•
Decision making, this may include influences on decisions such as
the pressure to allow students to be exposed to learning
opportunities while maintaining adequate safety margins. For
example, approach to stall and stall recovery - when to assume
control.
(c)
Familiarisation Training for Key Personnel
•
An internal training and checking system manual may describe the applicant’s
process for ensuring familiarisation training is provided to each prospective key
personnel, prior to the appointee carrying out the duties and responsibilities of the
position. Considerations relevant to the assessment of familiarisation training for
key personnel are available in section C1.4 of this handbook.
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(d)
Upgrade Training
•
C3.4.3
An applicant should include a process for providing training to Part 142
instructors and examiners for progression to new training and checking roles and
tasks.
Description of Internal Checking
An exposition must describe how the applicant proposes to conduct internal
training.
•
The description should include the objectives, scope, depth, frequency and
methods for the internal training.
•
CASR Part 142 does not prescribe the specific checks to be conducted by an
internal training and checking system. However, to align with common industry
practice that the responsibility for Part 142 internal checking should be assigned
to that part of the applicant’s organisation responsible for the Part 142 internal
training and checking system. If an operator does not choose to do this, then the
exposition must make other provisions to ensure personnel complete mandatory
checking.
•
The mandatory checking of Part 142 instructors and examiners, as prescribed by
CASR Part 61 and CASR 142, are logical starting points for internal checking.
•
Instructor or examiner rating revalidation required under CASR Part 61, is
achieved through biennial proficiency checks, and should be the foundation of the
applicant’s internal checking system. Instrument rating revalidation, through
annual proficiency checks, may also form part of the checking regime.
•
An applicant must have a means to ensure instructor proficiency checks are
conducted by either CASA, a flight examiner or an approved person, and that
examiner proficiency checks are only conducted by CASA or an approved
person.
•
Additionally, under Part 142, an applicant must provide for annual standardisation
and proficiency checking of instructors..
•
Part 142 standardisation and proficiency checks must only be conducted by the
head of operations or a delegate.
•
Although examiners are not subject to mandatory checks of standardisation and
proficiency, an applicant may include checking of examiners for standardisation
and proficiency. If an applicant proposes to include examiner standardisation
proficiency checking, the applicant must describe these in their internal training
and checking system manual.
•
Other than as required under CASR Part 61 and Part 142, an operator is not
bound to conduct checks more frequently. The content and frequency of
additional checking is at the discretion of an operator.
C
AS
A
U
se
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•
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•
As the frequency of mandatory checks under CASR Part 61 and Part 142 may
not provide sufficient assurance of competence on a continual basis, an applicant
may schedule additional checks to unequivocally establish the competence of an
instructor or examiner to perform any assigned task according to the applicant’s
published requirements (this may include specialist skills such as instruction in
formation aerobatics or helicopter winching).
•
In relation to internal checking, an applicant’s internal training and checking
system manual should include:
policy statements describing the objectives, scope, depth, frequency and
methods of internal checking
-
a process for ensuring proficiency checks are devised to assess
competence of personnel to perform assigned roles (the elements and
standards in terms of Part 61 MOS, should be specified for each check)
-
a means for ensuring the checks assess both knowledge and skill of
personnel
-
methods and procedures for assessment of competency
-
an assessment rating system
-
instructions to examiners for the conduct of each check
-
provision of clear assessment guidelines addressing both technical and
non-technical skills
-
guides may include a ‘word picture’ grading system
-
the competencies and standards to be assessed should be listed in a
proforma applicable to each type of check
-
nl
O
se
U
a means for examiner standardisation
scheduling of checks
proforma templates for reporting performance
C
-
AS
A
-
y
-
C3.4.4
-
procedures for when standards are not met
-
assessments of ‘not competent’ should be followed by retraining before
further assessment is conducted)
-
procedures for managing checks that are not completed before a due
date.
Duties and Responsibilities
•
An exposition must describe the duties and responsibilities of personnel assigned
to conduct internal training and checking.
•
While a Part 142 operator is not required to establish a key personnel position of
head of training and checking, a person responsible for managing and
supervising the organisation should be appointed.
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C3.4.5
Cyclic Training and Proficiency Program
•
An internal training and checking system manual must describe a cyclic training
and proficiency program, if proposed by the applicant.
•
Guidance for assessment of the cyclic training and proficiency program is
available in (draft) CAAP 217)
C3.4.6
Training Management System
An applicant must have a means of ensuring training and checking personnel
have an understanding of the training management system.
•
Procedures for use of the system may be included in training given on induction
to the training and checking organisation.
y
•
Completion of Internal Training and Checking
nl
C3.4.7
An applicant’s internal training and checking system manual must describe a
process to ensure that all Part 142 personnel complete the internal training and
checking described in the manual.
•
The following considerations may be relevant to the process:
the process should ensure that personnel are not rostered for Part 142
activities unless training and checking requirements have been met
-
this should also apply to all Part 142 instructors and examiners
conducting internal training and checking
-
compliance may be monitored either manually or electronically
AS
A
U
-
-
common industry practice is to employ a software
recording/monitoring/alerting program for renewable qualifications,
recency and other regulatory requirements, as part of the crew rostering
process.
Supervision of Personnel
C
C3.4.8
se
O
•
•
An applicant must provide a means for ensuring internal training and checking
personnel are effectively supervised.
•
The ratio of supervisors to instructors and examiners should be stated, and
should be sufficiently small to enable effective supervision at all times.
•
The performance of instructional and examining activities must be closely
supervised to ensure flight safety and quality of product. The applicant’s policy
and process for the appointment of supervisory personnel, as well as the scope
and limitations of responsibility of each supervisory position, should be described.
•
The process should include formalising of appointments through letters of
appointment, contracts or amendments to the exposition.
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•
•
C3.4.9
Supervision may be enhanced through regular staff meetings with agenda for:
-
review of current and planned internal training and checking activities
-
standardisation of training and checking
-
review of the reporting of training and checking.
An applicant’s internal training and checking system manual should describe the
minimum qualifications and experience for appointment of a person responsible
for managing and supervising the training and checking organisation, together
with the selection process.
Command Responsibility
An applicant’s internal training and checking system manual must describe a
policy for command responsibility for each training and checking activity
•
Prudent policy should require that Part 142 instructors and examiners conducting
internal training and checking in aircraft, must be authorized as pilot in command.
nl
Minimum Check Pilots/Minimum Qualifications all Personnel
O
C3.4.10
y
•
An applicant’s internal training and checking system manual must describe the
minimum number of check pilots required to meet all obligations for checking.
•
The minimum number should be sufficient to provide for unforeseen
contingencies.
•
The manual must also describe the minimum qualifications and experience for
personnel conducting training activities.
•
The manual should describe a method for establishing the minimum number of
training and checking positions required (the method may be based on known
Part 142 activity commitments, including a margin for contingencies).
•
As regulation 142.230 of CASR requires instructors and examiners conducting
authorised activities to be authorised to do so under CASR Part 61, the minimum
qualifications established by the applicant must be at least those required under
CASR Part 61.
•
The minimum experience should be at least sufficient to safely and competently
conduct each kind of training.
•
The specification of criteria for qualifications and experience should be evident as
part of the planning process, and be included in the training plan for each kind of
training course.
•
describe a method of establishing the minimum number of training and checking
positions required (the method may be based on known Part 142 activity
commitments, including a margin for contingencies).
C
AS
A
U
se
•
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C3.4.11
Safety Precautions
•
An applicant’s internal training and checking system manual must include any
restrictions, specifications or precautions applicable to the conduct of internal
training and checking.
•
These may relate to aircraft system shutdown, the simulation of emergency and
abnormal conditions, and limitations on weather and environment).
Examples may be:
instructors or examiners must not introduce simultaneous multiple
unrelated simulated emergency or abnormal situations during the flight
-
after a simulated failure in an aircraft, instructors or examiners must
ensure the aircraft is configured back to a normal operating mode before
another simulated failure may be introduced - except where the simulated
failures are linked (e.g. electrical failure leading to a loss of aircraft
attitude information)
-
instructors or examiners must not trip circuit breakers as a means of
introducing systems/component failure, unless this is specifically
permitted in the aircraft flight manual
-
only emergency and abnormal systems failures listed in the aircraft Pilot
Operating Handbook, Quick Reference Handbook, Minimum Equipment
List, Flight Crew Operating Manual (or however described), are to be
simulated by an instructor or examiner during training or checking
-
limitations and conditions for practicing touchdown autorotation landings
in a helicopter
O
se
U
instructors or examiners must ensure that the visual component of an
instrument approach, when flown in an aircraft in VMC, conforms to the
published circuit direction.
Standards
C
C3.4.12
AS
A
-
nl
y
-
•
An applicant’s internal training and checking system manual must describe the
standards to be achieved when conducting training and checking.
•
While the minimum competency standards are those specified in the Part 61
MOS, an applicant may specify more stringent or additional standards. If the
standards of the Part 61 MOS are adopted, the manual must include a statement
of policy to that effect.
•
Specific standards of competency for each manoeuvre or procedure should be
specified on each checklist for internal checking.
C3.4.13
Remedial Training
•
An applicant’s internal training and checking system manual must describe
standardised techniques for remedial training of common faults.
•
Standardised techniques should be included in instructor standardisation and
proficiency checks.
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C3.4.14
Instructor Standardisation and Proficiency Checks
•
Standardisation of training personnel is essential for maintaining safe and
effective flight instruction. Policy and process for standardisation should be
described in the internal training and checking system manual.
•
A process for standardisation of training personnel may include:
-
policy
-
management responsibility
-
procedures for setting and recording instructional standards
-
procedures for establishing and conducting a detailed program of
standardisation to ensure consistent instructional content and methods.
Standardisation of instructors should be verified through internal checking, which
must include the standardisation and proficiency check for instructors, required
under regulation 142.320 of CASR.
•
The scope of checking should be sufficient to unequivocally establish
competence to perform any assigned Part 142 instructional task according to the
operator’s published requirements.
•
An applicant should have a process to ensure records are kept of each
standardisation check, including:
se
O
nl
y
•
the specific objectives of each check
-
descriptions and assessments of performance
-
a pass or fail result.
AS
A
U
-
The procedures should ensure that non-standard practices or knowledge
deficiencies noted during the check, are debriefed, recorded and subject to
remedial training as determined by the head of operations or delegate.
•
If an applicant’s personnel will conduct activities under CASR Parts 141 and 142,
the applicant must demonstrate that the flight crew competency requirements of
both Parts of CASR are satisfied. For example, a standardisation and proficiency
check applicable to a Part 142 instructor must check competencies required to
conduct Part 142 activities; a check conducted under CASR Part 141 is unlikely
to suffice. However, in some cases, a more stringent requirement applicable to
the competency of personnel under one CASR Part, may satisfy a less stringent
requirement of the other (e.g. an instrument proficiency check).
C
•
(a)
Validity
•
Regulation 142.325 of CASR prescribes the requirements for a valid check. An
applicant’s internal training and checking system manual must describe a
process for ensuring instructors hold valid standardisation and proficiency checks
for the operator, or successfully participate in an approved cyclic training and
proficiency program.
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•
The process must ensure personnel are not rostered for authorised activities
unless holding a valid check. Standard industry practice is to employ a software
recording/monitoring/alerting program for renewable qualifications, recency and
other regulatory requirements, as part of the crew rostering process.
•
The process for ensuring instructors hold valid standardisation and proficiency
checks should address:
scheduling of checks to ensure compliance with regulation 142.325 of
CASR
-
policy for determining that both the competency and standardisation
content of checks is relevant to the activity an instructor has been
engaged to conduct
-
recording performance
-
remedial action.
O
nl
y
-
The process must ensure standardisation and proficiency checks are only
conducted by the head of operations or a delegate.
Content
An applicant’s internal training and checking system must include a process for
managing the content of standardisation and proficiency checks.
•
The process must ensure the content of each check addresses the competencies
necessary to conduct activities an instructor has been engaged to conduct, and
must address instructional standardisation and instructional proficiency.
•
An applicant should describe a policy for instructional standardisation, with
objectives of ensuring instruction is consistent with standard operating policy and
procedures. For example, an operator may require a standardised instructional
sequence for demonstrating the effects of aircraft controls, or a standardised
method for teaching forced landing.
•
The procedures should ensure the minimum instructional standard includes an
ability to deliver briefings and flight instruction to at least the standards under the
Part 61 MOS.
•
Checks should be based on demonstrations of representative lessons selected
from company syllabuses, and should include demonstrations of:
AS
A
U
•
C
(b)
frequency of checking (not less than prescribed under regulation 142.325
of CASR)
se
•
-
-
a flight lesson briefing (long briefing)
-
pre-flight briefing
-
flight/simulator lesson
-
administrative requirements for the selected lesson.
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•
The process must ensure proficiency is assessed against the standards of the
Part 61 MOS for flight instructor ratings and endorsements.
•
Management of the content of standardisation and proficiency checks should
include:
a means for selecting different cross sections of knowledge and
competencies, for each check
-
procedures for designing the conduct of the check
-
procedures for preparing an assessment plan
-
scheduling the conduct of a check to ensure compliance with regulation
142.325 of CASR (relating to validity periods)
-
recording and reporting procedures
-
a means for recommending remedial training.
O
nl
y
-
An applicant must describe a process for ensuring the head of operations notifies
CASA, in writing, when a standardisation and proficiency check is not completed
to the standard described by the operator. The notification must be made within
14 days of the attempt, and include the instructor’s name, position and ARN.
U
Conduct
•
A check may only be carried out by the head of operations or a person authorised
by the head of operations. An applicant’s internal training and checking system
manual must describe a process for authorising persons to conduct Part 142
instructor standardisation and proficiency checks.
•
The process for authorising persons to conduct checks should include:
selection criteria
C
-
AS
A
(c)
determination of knowledge and competency requirements for each
instructor to complete their duties
se
•
-
C3.4.15
-
training
-
a duty and responsibility statement
-
monitoring and review of performance.
FSTD Competency
•
An applicant proposing to conduct activities in FSTDs, must describe in an
internal training and checking system manual, a process for ensuring simulator
instructors are competent to use the device for activities assigned to an
instructor.
•
The process may include training, but must include an assessment to determine
competency.
•
Results of an assessment should be recorded.
•
A simulator instructor should not be assigned to conduct activities in FSTDs
unless the instructor is competent to perform the activity in the make and model
of device to be used.
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C3.5
Quality Assurance Management System
References
CASR: Part 60, Subpart 142.H, 142.340(1)(s)(v)
MOS: Part 60
AC:
60-1(0), 60-2(2), 60-3(0), 60-4(0)
Other: Operational Standards and Requirements—Approved Synthetic
Trainers (FSD2)
Introduction
If conducting authorised Part 142 activities only in flight simulation training devices, an
applicant must have a quality assurance management system.
se
O
nl
y
The applicant’s quality assurance management system should define the day to day
procedures or working practices by which the applicant’s quality objectives will be achieved,
and must meet the requirements of regulation 142.275 of CASR. A successful quality
assurance management system ensures the highest possible standard for the operation and
maintenance of the flight simulation training devices and the conduct of the authorised Part
142 activities.
U
In accordance with subregulation 142.275(1) of CASR, the applicant’s quality assurance
management system must provide processes and procedures that are implemented to
ensure:
the correct operation and maintenance of the applicant’s flight simulation training
devices
•
that the applicant’s authorised activities are conducted in a planned and
systematic manner, and that deficiencies in training outcomes are identified and
addressed.
AS
A
•
C
Things for Consideration
The following information and questions may be of value in determining if the applicant’s
quality assurance management system meets the requirements of regulation 142.275 of
CASR.
C3.5.1
Quality Assurance Management System Manual
•
The applicant must include, within its exposition, a manual which describes its
quality assurance management system.
•
The applicant’s quality assurance management system should be structured
according to the size and complexity of the organisation.
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what must be done
-
who should do it
-
when it must be done
-
where it must be done
-
how it must be done
-
which documentation must be used (e.g. manuals, instructions, forms etc)
-
how the procedure is to be monitored and, if required, improved.
nl
y
-
O
The applicant’s quality assurance management system manual should describe
procedures to ensure that, on a continuing basis:
the applicant’s written procedures and instructions, contained within its
exposition and supporting documentation, are adequately defined and
documented
-
the applicant’s written procedures and instructions are appropriate to the
conduct of the activities
-
the applicant’s personnel comply with written procedures and instructions,
and civil aviation legislation relevant to the conduct of the activities
-
FSTDs are operated and maintained in accordance with the applicant’s
written procedures and instructions and the manufacturer’s maintenance
schedule
FSTDs are operated and maintained in compliance with relevant
legislative and technical requirements
C
-
se
-
U
•
Each of the quality assurance management system processes should be
comprised of a series of procedures or actions that contribute to the desired
outcome. Each documented procedure, which may be described in the quality
assurance management system manual or other documentation to which the
manual refers, should address:
AS
A
•
-
•
the applicant’s facilities and resources are appropriate for the conduct of
the activities.
The quality assurance management system manual should describe how the
applicant will:
-
identify and address deficiencies and non-compliances
-
provide for the development, implementation and recording of corrective
and preventative actions
-
ensure feedback is provided to the chief executive officer in relation to the
efficiency and outcomes of the system
-
ensure documentation in relation to the system and procedures is
recorded and retained.
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The applicant’s quality assurance management system manual should contain,
but may not be limited to, the following:
-
a quality policy statement
-
manual version control
-
relevant terminology
-
management and organisational details, such as:
-
-
management responsibilities
o
personnel experience requirements, responsibilities and allocation
of duties
o
personnel training and education requirements.
•
y
o
nl
FSTD operation, evaluation, maintenance and repair procedures, such as:
FSTD qualification
o
master qualification test guide
o
day to day procedures
o
functions and subjective testing
o
software configuration and control
o
resource allocation.
se
O
o
procedures for ensuring the activities are conducted in a planned and
systematic manner, evaluating training outcomes and addressing
deficiencies in training
procedures for promoting the continual improvement of the activities and
assessing facility and resource suitability
system processes and procedures, including:
C
-
a description of the applicant’s organisational structure
U
-
o
AS
A
•
o
reporting procedures
o
corrective and preventative action procedures
o
implementation, monitoring and closure procedures
o
standard forms and checklists.
-
audit procedures
-
management analysis procedures
-
change recommendation procedures
-
document retention policy.
Where information or procedures referred to above are contained in other
documentation, the applicant may choose to make reference to this
documentation within the quality assurance management system manual.
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C3.5.2
Operation and Maintenance of Flight Simulation Training
Devices
•
-
continues to be an effective training tool
-
remains compliant with the legislative requirements and technical
standards of CASR Part 60, the Part 60 MOS and the relevant flight
simulation training device ACs (AC 60 series).
Considerations in relation to the initial evaluation and approval of FSTDs are
provided in section C2.4.2 of this handbook.
•
The applicant’s quality assurance management system must include, but may not
be limited to, the following documentation and information relating to the
operation and maintenance of FSTDs:
a quality policy
-
management responsibility
-
document control
-
resource allocation
-
quality procedures
-
internal audit.
AS
A
U
se
-
O
nl
y
•
Quality Policy
•
Management’s commitment to, and responsibility for, quality assurance should be
formally expressed in a series of statements in the applicant’s quality policy. The
policy, usually signed by the applicant’s chief executive officer, should
demonstrate that the quality assurance management system is endorsed at the
highest level of management within the applicant’s organisation.
•
The quality policy, usually documented within the quality assurance management
system manual, should define the applicant’s quality objectives for the operation
and maintenance of its FSTDs. It may also refer to the applicant’s quality
objectives for the conduct of the authorised activities and training outcome
targets.
•
The quality policy should highlight how the applicant intends to meet its stated
quality objectives, and establish an environment and culture of continual
improvement.
C
(a)
The applicant’s quality assurance management system should support the
operation of the FSTDs in a structured and systematic way, to ensure that each
device:
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•
The applicant’s quality objectives for the operation of FSTDs should include:
-
maintaining ongoing compliance with the required technical, legislative
and operator specific standards
-
reaching the applicant’s targets for the reliability and availability of each
FSTD
-
meeting other specific requirements (e.g. work health and safety
standards).
The applicant should demonstrate how the quality policy will be communicated,
with visible endorsement from management, to personnel throughout its
organisation.
•
The applicant should communicate its quality policy and objectives to third parties
involved in the supply of goods and services for the conduct of the activities. The
applicant holds the overall responsibility for the quality of all goods, services and
resources used during the conduct of the activities, and therefore written
agreements between the applicant and third parties should clearly define the
quality objectives in relation to the goods and services to be provided.
Considerations in relation to third party suppliers are provided in section C3.12 of
this handbook.
Management Responsibility
The chief executive officer is responsible for ensuring the implementation and
ongoing management of the quality assurance management system. The chief
executive officer, in conjunction with the quality assurance manager, should
establish the quality policy and set the applicant’s quality objectives.
•
Management should have a means to communicate and promote the quality
policy to personnel throughout the organisation, ensuring all personnel are aware
of and accept the quality policy and objectives, and the standards required to
meet the objectives. Considerations in relation to the applicant’s quality policy are
provided in section C3.5.2(a) of this handbook.
•
The chief executive officer is responsible for ensuring adequate finances,
resources and personnel are in place to support the quality assurance
management system.
•
The responsibilities of the quality assurance manager are set out in regulation
142.210 of CASR. Considerations in relation to the quality assurance manager
are provided in section C1.8 of this handbook.
•
Quality assurance responsibilities, accountabilities and processes should be
documented within the quality assurance management system manual, and
communicated to personnel.
•
Lines of responsibility throughout the organisation should be clearly defined,
including responsibilities for quality on the part of senior management.
AS
A
U
•
C
(b)
se
O
nl
y
•
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The responsibilities of all members of management, irrespective of other
functions, as well as of employees with respect to the quality assurance
management system, should be identified.
•
Management positions with authority to make decisions regarding the quality
assurance management system should be defined.
Document Control
the master Qualification Test Guide (QTG)
-
modification records
-
quality system records
-
the results of all validation tests mentioned in the master QTG, and all
functions and subjective tests.
O
nl
y
-
The applicant should describe within the quality assurance management system
manual the requirements for the retention of documentation such as:
se
•
The applicant must provide verification that, in accordance with regulation 60.095
of CASR, the following documents relating to each particular FSTD shall be
retained until at least 3 years after the device is decommissioned:
-
technical logs
-
update history
-
other system records (e.g. audit schedules, quality inspection and audit
reports, responses to findings, corrective and preventative action reports,
follow-up and closure reports and management evaluation reports).
U
•
AS
A
(c)
•
The applicant should provide a means for controlling the revision and distribution
of the quality assurance management system manual to personnel.
•
The applicant must provide a means to ensure that the quality assurance
management system manual, and any related documentation, is up to date and
made readily accessible to personnel involved in the operation and maintenance
of FSTDs and the conduct of the activities.
•
The quality assurance management system manual may be electronic, provided
the applicant can demonstrate that controls have been implemented to ensure
the currency and integrity of the manual. These controls may include:
C
•
-
provisions to ensure that any downloaded or printed copies are
automatically designated as ‘uncontrolled’ as part of the download
process
-
methods for maintaining the integrity of the manual, including:
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access arrangements
o
identifying who is authorised to make amendments to the master
document
o
identifying how amendments will be traced.
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-
a means and schedule for backing up the manual.
Resource Allocation
The applicant should demonstrate that sufficient resources are allocated to
ensure proper operation of the quality assurance management system and
internal audit program.
•
Considerations in relation to personnel numbers, qualifications and experience
are provided in section C1.9.1 of this handbook.
•
The applicant should provide a means for ensuring that personnel who are
delegated duties for managing the quality assurance management system
receive training which covers:
y
•
an introduction to the concept of the quality assurance management
system
-
quality management principles
-
the contents of the quality assurance management system manual
-
audit techniques
-
reporting and recording methods
-
how the quality assurance management system supports continuous
improvement within the organisation.
U
se
O
nl
-
The applicant must ensure that instructors and examiners are competent to
conduct an activity in a FSTD, prior to the activity being conducted.
Considerations for assessing instructors and examiners to conduct activities in
FSTDs are provided in section 3.1.15 of this handbook.
AS
A
•
(e)
acceptance of electronic signatures on the master document
Quality Procedures
•
The quality assurance management system must include procedures to ensure
the correct operation and maintenance of the applicant’s FSTDs and the capture
of systematic defects.
•
The system should detail schedules and methods for monitoring all aspects of the
operation of each FSTD.
•
The applicant’s quality assurance management system procedures may include,
but would not be limited to, procedures for:
C
(d)
-
-
the day to day operation of each device in order to ensure that the
applicant’s quality objectives are achieved, for example:
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daily functional pre-flight checks
o
defect reporting, follow up investigation and rectification
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o
notification to personnel of defects
o
the use of tracking mechanisms
o
equipment calibration, software and hardware control, and spares
handling.
monitoring compliance with the required technical standards
-
ensuring that each device is maintained in accordance with the
requirements of CASR Part 60
-
ensuring that preventative maintenance is carried out in accordance with
the manufacturer’s published schedules
-
ensuring compliance with airworthiness directives issued for the particular
aircraft being simulated
-
ensuring notifications received from the original equipment manufacturer
regarding routine improvements to systems and procedural changes (e.g.
manufacturer service bulletins and advisory material) are reviewed and if
necessary incorporated into standard operating procedures and training
syllabuses
-
configuration management, which ensures:
-
se
o
that each device is maintained in a configuration that accurately
represents the aircraft being simulated (e.g. control of training
loads, updates to visual models, navigation aids etc.).
U
the continued integrity of the equipment and software of each
FSTD
ensuring the review of device modifications to determine any potential
effect on the characteristics of the device
the conduct of validation tests and functions and subjective tests
monitoring compliance with the procedures of the quality assurance
management system
C
-
o
AS
A
-
O
nl
y
-
-
•
reporting to CASA in relation to:
o
changes in the characteristics of a device
o
a significant non-compliance or major failure of a device
o
the deactivation or relocation of a device
o
a major safety issue associated with the installation of a device.
The quality assurance management system may also include procedures to
ensure compliance with the relevant work health and safety regulations. These
may include, but would not be limited to, procedures describing:
-
safety briefing requirements
-
actions to be taken in the event of a fire or smoke detection
-
actions to be taken in the event of electrical, mechanical, hydraulic and
pneumatic hazards.
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The quality assurance management system should include procedures to
produce and review performance measures, usually referred to as metrics, for
monitoring FSTD reliability and serviceability. The applicant should demonstrate
how these metrics will be used as a tool for measuring the system’s effectiveness
against the quality objectives. Metrics may be used to track:
-
FSTD availability
-
defects
-
open defects
-
defect closure rates
-
training session interrupt rates
-
training session compliance rating.
y
•
The quality assurance management system should provide for the ongoing
assessment of the quality of the actions performed during each of the quality
procedures, ensuring that deviations from the standard are recognised, reported
and corrected.
•
The applicant should provide a means for personnel to provide feedback in
relation to the quality assurance management system and its effectiveness, and
for this feedback to be reviewed and acted upon when required.
se
U
Internal Audits
•
The applicant should monitor and assess compliance with the procedures of the
quality assurance management system to ensure the objectives of the system
are met, and improvements are made to the system when required. Assessment
of compliance may be achieved through a program of scheduled internal audits.
•
The applicant’s internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
each FSTD is operated and maintained to the highest standard
C
-
AS
A
(f)
O
nl
•
•
-
the required technical standards for each FSTD are met
-
the applicant’s written procedures and relevant civil aviation legislation are
complied with by all personnel
-
the applicant’s written procedures are relevant and adequate to ensure
ongoing compliance.
The applicant’s quality assurance management system manual should describe
the following in relation to the internal audit program:
-
a statement of the scope for each scheduled audit
-
how internal audits are to be planned, conducted and documented
-
how evidence is to be collected and analysed
-
how non-compliances are to be recorded
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-
how feedback is to be provided and received
-
the requirement to report significant audit findings to CASA, including who
is responsible and how these reports will be provided.
The quality assurance management system manual should identify personnel
within the organisation who have the training, experience, responsibility and
authority for:
managing the internal audit program
-
carrying out internal audits at each of the applicant’s training bases
-
identifying and recording any audit findings or deficiencies, and providing
evidence in support of these findings or deficiencies
-
analysing the root cause of a finding or deficiency
-
developing and recommending corrective and preventative actions
-
conducting management reviews to ensure corrective and preventative
actions are addressed within an acceptable timeframe.
O
nl
y
-
To support the effectiveness of the quality assurance management system, the
applicant should provide a means for personnel conducting internal audits to:
se
•
how findings are to be reported
-
maintain independence so as not to be subject to undue influence
-
report directly to the quality assurance manager.
U
•
-
The number of audits required will vary dependent upon the size of the
organisation, the number of FSTDs utilised and the scope of the authorised
activities. The applicant’s schedule for internal audits should ensure that all
aspects of the operation are audited within a 12 month period.
•
The applicant’s internal audit procedures should provide for the assessment of:
whether the applicant’s organisational structure and chain of command
are appropriate to assist in achieving the applicant’s quality objectives
C
-
AS
A
•
-
whether the applicant’s quality objectives remain relevant to the operation
-
compliance with the applicant’s quality assurance procedures, and the
effectiveness of these procedures
-
the effectiveness of the corrective action program
-
the qualification level and technical status of each device
-
device configuration management, including airworthiness directives
issued for the particular aircraft being simulated
-
completed documentation, such as validation tests mentioned in the
master QTG for the device
-
completed records relating to all functions and subjective tests conducted
within the current (and planned) training program (or equivalent sample
approved by CASA)
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-
technical log sheets, maintenance records and configuration control
records
-
the suitability of the applicant’s quality assurance documentation, such as
standard forms, logs and checklists
-
the effectiveness and suitability of personnel training.
The conduct of scheduled functions and subjective tests (fly-outs) for each device
may be included as part of the applicant’s internal audit program to assist in
confirming the continued suitability of each FSTD. The applicant’s procedures
should ensure that, during functions and subjective testing, the assigned check
pilot/flight examiner:
holds the relevant aircraft type rating
-
is current on the aircraft type
-
is familiar with the operation of the FSTD.
O
nl
y
-
The applicant should provide evidence to verify that at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
a description of the audit findings and observations (e.g. non-compliances
or change recommendations)
-
evidence in support of audit findings and observations
-
required follow up and corrective actions
-
a plan for the implementation of corrective and preventative actions
-
se
-
U
•
defect deferral rates
AS
A
•
-
a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
The applicant’s internal audit program should include procedures to verify that the
recommended corrective and preventative actions resulting from internal audit
findings have been implemented, and that the desired outcomes have been
achieved.
•
The applicant’s internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
•
The applicant should provide a means for the quality assurance manager to
report to the chief executive officer in relation to audit findings.
•
The applicant may require personnel involved in the conduct of internal audits
(normally the quality assurance manager or delegate) to have received internal
quality auditor training. Considerations in relation to additional qualifications and
experience for the quality assurance manager are provided in section C1.8.2 of
this handbook.
C3.5.3
C
•
Monitoring the Conduct of the Activities
•
The quality assurance management system should support the authorised
activities in a structured and systematic way, by providing the policy and
procedures for monitoring the conduct of the activities and ensuring they are
conducted to the highest possible standard.
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Auditing the Activities
•
The applicant must provide a process for auditing the activities in order to:
-
confirm that the applicant’s systems, processes and procedures ensure
that the activities are conducted in a planned and systematic manner
-
determine the effectiveness of the training
-
identify and correct deficiencies.
•
The applicant should describe, within its quality assurance management system
manual, a program of scheduled internal audits.
•
The applicant’s internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
-
the activities are conducted in compliance with relevant civil aviation
legislation
-
the activities are conducted to the highest possible standard and the
desired outcomes are being achieved
-
the applicant’s written procedures are relevant to the activities, and are
adequate to ensure ongoing compliance.
se
O
nl
y
the activities are conducted in accordance with the applicant’s written
procedures, contained within the exposition and supporting documents
The applicant’s quality assurance management system manual should describe
the following in relation to the auditing of activities:
U
•
-
-
how internal audits are to be planned, conducted and documented
how evidence is to be collected and analysed
how non-compliances are to be recorded
how findings are to be reported
C
-
a statement of the scope for each scheduled audit
AS
A
(a)
•
-
how feedback is to be provided and received
-
the requirement to report significant audit findings to CASA, including who
is responsible and how these reports will be provided.
The applicant’s internal audit program should include, but would not be limited to,
procedures for:
-
reviewing the applicant’s written procedures and practices for the conduct
and management of activities, and ensuring course participants,
instructors and examiners are complying with them
-
reviewing the training management system, including training records and
course syllabuses, to assist in determining student progress and identify
any patterns of training deficiencies
-
reviewing the internal training and checking system, including records
relating to standardisation and proficiency checks, and personnel
qualifications
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receiving feedback from instructors and examiners relating to student
progress
-
surveillance activities (e.g. monitoring the conduct of individual theory and
flight lessons)
-
reviewing training outcomes, which may be via pass rates, post-flight test
feedback from examiners and average hours required to achieve a
qualification (further considerations in relation to the evaluation of training
outcomes are provided in section C3.5.3(c) of this handbook)
-
reviewing theory examination outcomes.
The applicant should provide evidence to verify that at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
a description of the audit findings and observations (e.g. non-compliances
or change recommendations)
-
evidence in support of audit findings and observations
-
required follow up and corrective actions
-
a plan for the implementation of corrective and preventative actions
-
a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
O
nl
y
-
se
•
-
The applicant should describe a means to verify that following each audit, the
applicant’s written procedures and course syllabuses will be assessed and
improved where necessary, in order to address any identified patterns of training
deficiencies.
•
The quality assurance management system manual should identify personnel
within the organisation who have the training, experience, responsibility and
authority for:
-
managing the applicant’s internal audit program
carrying out internal audits at each of the applicant’s training bases
C
-
AS
A
U
•
•
-
identifying and recording any audit findings or deficiencies, and providing
evidence in support of these findings or deficiencies
-
analysing the root cause of a finding or deficiency
-
developing and recommending corrective and preventative actions
-
conducting management reviews to ensure corrective and preventative
actions are addressed within an acceptable timeframe.
To support the effectiveness of the quality assurance management system, the
applicant should provide a means for personnel conducting internal audits to:
-
maintain independence so as not to be subject to undue influence
-
report directly to the quality assurance manager.
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The number of audits required will vary dependent upon the size of the
organisation and the scope of the activities. The applicant’s schedule for internal
audits should ensure that all aspects relating to the conduct of the activities are
audited within a 12 month period.
•
The applicant’s internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
•
The applicant should provide a means for the quality assurance manager to
report to the chief executive officer in relation to audit findings.
•
The applicant may require personnel involved in the conduct of internal audits
(normally the quality assurance manager or delegate) to have received internal
quality auditor training. Considerations in relation to additional qualifications and
experience for the quality assurance manager are provided in section C1.8.2 of
this handbook.
Promoting the Continual Improvement of the Activities
The applicant should continually seek to improve the standards and outcomes
achieved in the conduct of the activities. The applicant may demonstrate this
commitment via its quality policy.
•
The applicant must describe, within its quality assurance management system
manual, a process for promoting the continual improvement of the activities.
•
The continual improvement of the activities may include, but would not be limited
to, procedures which:
U
se
O
•
-
provide for regular review of the activities to determine the validity of the
quality policy and objectives
encourage personnel to provide feedback and suggestions for
improvement in relation to the activities (e.g. providing mechanisms for
feedback relating to the applicant’s resources, written processes and
procedures)
C
-
ensure the ongoing promotion of the applicant’s quality policy and
objectives
AS
A
(b)
nl
y
•
(c)
-
encourage course participant feedback (e.g. via observations during dayto-day conduct of the activities, surveys, comments made during audits,
end of course evaluations)
-
ensure the timely implementation of corrective and preventative actions in
response to deficiencies identified or recommendations made by the
quality assurance management system and audit program
-
ensure changes are communicated to personnel.
Evaluation of Training Outcomes from Examiner Feedback
•
The quality assurance management system must provide a process for
evaluating the training outcomes from pre-flight test assessments and post-flight
test feedback from examiners.
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•
To evaluate training outcomes, the applicant’s quality assurance management
system manual should describe a means for receiving feedback from examiners,
and identify the person who is responsible for reviewing and evaluating the
feedback.
•
When deficiencies in training are identified via the evaluation of examiner
feedback, the applicant should have a means to ensure that:
-
an investigation into the root cause of the deficiency is undertaken
-
recommendations for corrective and preventative actions are made
-
a plan is established for the implementation and monitoring of corrective
and preventative actions.
The applicant may choose to review root causes raised over a period of time, in
order to determine any significant trends and identify areas requiring further
rectification.
•
The applicant should describe how feedback and evaluations in relation to
training outcomes are to be recorded and retained.
O
Assessment of the Suitability of Facilities and Resources
The applicant’s quality assurance management system must provide a process
for the regular assessment of the suitability of the facilities and resources used in
the conduct of the activities.
•
The applicant’s process for assessing the suitability of facilities and resources
should include procedures for assessing:
U
se
•
-
each FSTD, to determine it remains suitable for each described purpose
under CASR Part 61 (the device’s systems and capabilities should be
appropriate for the particular activity and the stage of training for which it
will be used)
the facilities at each training base, to determine if:
C
-
AS
A
(d)
nl
y
•
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o
briefing rooms are of a number and size appropriate to the number
of course participants, free from outside disturbances, adequately
furnished and equipped, and have provision for adequate climate
control
o
instructional aids relevant to the activities are available and are of
an adequate number (such as suitably sized smart boards or
whiteboards)
o
training aids and equipment relevant to the activities are available
and are of an adequate number (such as audio-visuals and charts)
o
examination areas are of a number and size appropriate to the
number of course participants, and include furniture and
equipment required for the conduct of examinations
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•
examination material is maintained in secure storage with
appropriate controls in place for examination access
o
the reference library and operational information are up to date,
relevant to the conduct of the activities, and readily available.
The applicant should describe how facility and resource assessments will be
recorded and retained.
Change Recommendation
•
The applicant’s quality assurance management system must provide a process
for recommending changes to the applicant’s systems for quality assurance,
training management and internal training and checking.
•
The applicant should describe the means whereby personnel can make change
recommendations in relation to each of these systems.
•
Recommendations for change should be raised and reviewed in accordance with
the applicant’s change management processes, described within the applicant’s
exposition or document to which the exposition refers.
•
Considerations in relation to change management processes are provided in
section C3.10 of this handbook.
se
O
nl
y
(e)
o
Fatigue Management
U
C3.6
AS
A
References
CASR: 142.340(1)(o)
C
Introduction
Under a revision to CAO 48, introduced in April 2013, operators and flight crew must share
the responsibility to manage fatigue. The revision adopts a tiered approach to managing
fatigue, ranging from prescriptive requirements, to a mix of prescriptive and managed, to a
fully developed fatigue risk management system.
The tiered structure will allow operators to choose how they manage fatigue in their
organisations based on their operating environment and needs. Refer to the CASA fatigue
management toolkit for further information.
Things for Consideration
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(o) of CASR in relation to the inclusion, in the
exposition, of a description of the way an applicant intends to manage the risk of fatigue in
personnel.
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C3.6.1
Fatigue Management
•
An exposition must include a description of the way an applicant proposes to
manage the risk of fatigue in personnel.
•
Refer to the CASA fatigue management toolkit for considerations relevant to
assessing the suitability of the applicant’s policy for managing personnel fatigue.
C3.6.2
Fatigue Risk Management System Manual
If an applicant elects to employ a FRMS, an exposition must include the
applicant’s fatigue risk management system manual.
•
Refer to The Fatigue Risk Management Handbook (V 1. April 2013) for guidance
in developing an FRMS Manual.
Dangerous Goods Manual
U
CASR: 142.340(1)(s)
se
O
References
nl
C3.7
y
•
Introduction
AS
A
CASR Part 92 prescribes the minimum safety requirements for the consignment and
carriage of dangerous goods by air. If required by CASR Part 92 to have a dangerous goods
manual, an applicant must include the manual in their exposition.
Things for Consideration
C
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(s) of CASR in relation to the inclusion of a dangerous
goods manual in an exposition.
•
•
The applicant’s dangerous goods manual may be include as a document
separate to the exposition, if separate the manual must include:
-
the legal authority for the manual
-
a statement of relationship to the exposition (e.g. regulation 142.340(1)(s)
of CASR)
-
a table of contents
-
a list of effective pages
-
a distribution list
-
an amendment record.
Assessing compliance of a dangerous goods manual against relevant legislation
must be conducted in accordance with current CASA policy.
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C3.8
Drug and Alcohol Management Plan
References
CASR: Part 99
Introduction
nl
y
CASR Part 99 requires the development of Drug and Alcohol Management Plans (DAMPs)
covering persons involved in safety sensitive aviation activities. If required by CASR Part 99
to have a drug and alcohol management plan, an applicant must include their DAMP in their
application.
Things for Consideration
U
Assessing compliance of a DAMP against relevant legislation must be conducted
in accordance with current CASA policy.
C3.9
Approvals under the Regulations
References
AS
A
•
se
O
The following information may be of value in determining if the applicant has met the
requirements of CASR Part 99 in relation to the inclusion of a DAMP in their application.
C
CASR: 142.340(1)(u)
Introduction
Regulation 142.340(1)(u) of CASR requires the applicant to include, in their exposition, any
other matter in relation to Part 142 activities that is required to be approved by CASA. This
includes any request for approval to be the head of operations for the operator or any
requirement to hold a Part 142 authorisation.
Regulation 142.340(1)(v) of CASR requires the applicant to include, in their exposition, any
matters prescribed by a legislative instrument that CASA considers to be necessary in the
interest safety.
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Things for Consideration
The following information may be of value in determining if the applicant has met the
requirements of subregulations 142.340(1)(u) and 142.340(1)(v) of CASR.
C3.9.1
Other matters to be approved by CASA
regulation 142.050(3)(b) – a person must hold a certificate under
Division 142.B.2 of CASR or an approval under regulation 142.050(3)(b)
of CASR, if conducting Part 142 activities in an FSTD
-
regulation 142.185(1)(b) – approval to be head of operations
-
regulation 142.185(4)(a) - approval to be head of operations.
y
-
An exposition must include a description of these matters if an approval is
required.
nl
•
Other matters that may require CASA approval are specified under regulation
142.040(3) of CASR, and include:
O
•
C3.9.2
Matters prescribed under regulation 142.045
An exposition must include matters prescribed by a legislative instrument, as
required under regulation 142.045 of CASR.
•
This provision is only applicable if information, in addition to that currently
required under CASR Part 142, is considered by CASA to be necessary in the
interest of safety.
U
se
•
Change Management
References
AS
A
C3.10
C
CASR: Subpart 142.C
Introduction
A change management system provides a structured framework for managing most aspects
of change. Adherence to an appropriate system minimises the inherent risks of change,
ensures effectiveness and will provide a means for compliance with Subpart 142.C of CASR.
CASR Part 142 refers to changes as either ‘significant changes’ or ‘changes that are not
significant changes’.
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Regulation 142.030 of CASR defines ‘significant changes’. Subpart 142.C of CASR makes
requirements for those changes, including requesting formal approval of the change by
CASA – prior to the change taking place.
An applicant is entitled to make changes that are not significant changes without prior
approval from CASA. However, an applicant must have a means to ensure that notification
of all changes and a copy of the exposition detailing changes, are received by CASA.
An exception is a change to the applicant’s name (including any operating or trading name),
contact details and operational headquarters address (if different to the mailing address). An
applicant is required to amend the exposition to reflect changes, give CASA written notice
and a copy of the amended part of the exposition, before making those changes.
y
Things for Consideration
(b)
Identification
An applicant’s change management system must include a reliable means for
ensuring all proposed changes are identified, captured by the system and
classified as significant or not significant.
•
Significant changes, as defined by regulation 142.030 of CASR, should be clearly
identified and recorded in the system. For example, a change to the operator’s
responsibilities for the head of operations, should be identified as a significant
change under regulation 142.030(a)(vii) of CASR (change to the qualifications,
experience and responsibilities of key personnel).
•
The applicant’s system for identifying significant changes must be capable of
distinguishing changes that do not maintain or improve, or are not likely to
maintain or improve, aviation safety.
AS
A
•
C
(a)
An applicant’s exposition must describe a means for identifying, managing and
applying to CASA for approval of significant changes.
se
•
Significant Changes
U
C3.10.1
O
nl
The following information may be of value in determining if the applicant has met the
requirements of subpart 142.C of CASR (changes).
Management and Application for CASA Approval
•
The applicant must have a means to ensure that any significant changes are not
implemented until CASA has approved the change. There are two exceptions to
this rule, which refer to the permanent appointment of key personnel on
occasions when substantive key personnel are absent or unable to carry out the
responsibilities. Considerations relating to the permanent appointment of key
personnel are located in section C3.10.2 of this handbook.
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An applicant’s exposition must include a system for managing change. The
system must describe:
-
how changes are initiated and assessed
-
a process for applying for CASA approval
-
development of a case for the change
-
risk assessment and planning, including:
implementing change in an incremental manner to minimise
potential adverse effects (if necessary)
o
ensuring use of resources will not impact on operational safety
o
communication and consultation takes place with all key
stakeholders.
-
preparation of a plan
-
implementation of the change
-
ongoing monitoring and review.
nl
y
o
O
•
Further considerations relating to the process for managing changes are
contained in the SMS section of this handbook.
•
The applicant’s change management system should describe how unexpected
changes are managed.
•
The applicant should provide a means for ensuring awareness training for all
personnel, including induction and key personnel familiarisation, will include
training on significant changes.
•
The applicant’s change management system must include a means to ensure
applicable changes are incorporated into the exposition. The means must
address:
version control
C
-
AS
A
U
se
•
-
archiving previous versions of the exposition
-
notifying personnel of the updates to the exposition.
•
An applicant may nominate a person or a change management committee as
responsible for managing the system. Persons responsible must be nominated in
the exposition or subordinate manual.
•
CASA may approve a change if satisfied that the applicant can continue to meet
the conditions of issue, for the AOC or certificate (as applicable), as described in
regulation 142.085(1) and regulation 142.110(1) of CASR respectively.
C3.10.2
•
Changes to the Permanent Appointment of Key Personnel
An applicant’s process for managing changes to the permanent appointment of
key personnel must be described in an exposition or supplementary manual.
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•
The change management system should include suitable procedures for making
application to CASA for approval, and for subsequent amendment, of the
exposition in accordance with the appropriate timeframes prescribed in regulation
142.140(2) of CASR. The applicant’s procedures should ensure that:
-
if the applicant permanently appoints a person who has previously been
authorised to carry out the responsibilities of the position, the applicant
applies to CASA for approval within 7 days after making the changes
-
if the applicant permanently appoints a person who has not previously
been authorised to carry out the responsibilities of the position, the
applicant applies to CASA for approval within 3 days after making the
change.
Regulation 142.030 of CASR defines certain changes as ‘significant changes’.
Changes not meeting that definition are referred to as ‘not significant changes’.
An applicant’s exposition must describe a means for identifying, managing and
notifying CASA of, changes that are not significant changes.
(b)
An applicant’s change management system must include a reliable means for
ensuring all proposed changes are identified, captured by the system and
classified as significant or not significant.
U
•
se
Identification
Management
•
AS
A
(a)
O
nl
•
Changes that are not Significant Changes
y
C3.10.3
An applicant’s exposition, or supplementary manual, must include a system for
managing change, including changes that are not significant. The system must
describe:
-
development of the case for the change
C
-
how changes are initiated and assessed
-
•
risk assessment and planning, including:
o
implementing change in an incremental manner to minimise
potential adverse effects (if necessary)
o
ensuring use of resources will not impact on operational safety
o
communication and consultation takes place with all key
stakeholders.
-
preparation of a plan
-
implementation of the change
-
notification to CASA of a change to the exposition
-
ongoing monitoring and review.
Further considerations relating to the process for managing changes are
contained in the SMS section of this handbook.
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•
The applicant’s change management system should describe how unexpected
changes are managed.
•
The applicant should provide a means for ensuring awareness training for all
personnel, including induction and key personnel familiarisation, will include
training regarding changes that are not significant changes.
•
The applicant’s change management system must include means to ensure
applicable changes are incorporated into the exposition. The means must
address:
-
version control
-
archiving previous versions of the exposition
-
notifying personnel of the updates to the exposition.
An applicant may nominate a person or change management committee as
responsible for managing the system. Persons responsible must be nominated in
the exposition or subordinate manual.
•
Under regulation 142.340(t) of CASR, an applicant must have a means for
advising CASA of changes that are not significant changes, together with
providing a copy of the revised exposition to CASA.
se
O
nl
y
•
C3.10.4
U
A change to the applicant’s name (including any operating or trading name),
contact details and operational headquarters address (if different to the mailing
address) must be approved by CASA. The applicant’s exposition, or
supplementary manual, must include a procedure to ensure that, prior to the
change taking place, the applicant:
-
C3.10.5
•
•
amends the exposition to reflect the changes
provides CASA with a written notice of the changes and a copy of the
amended exposition identifying the changes.
C
-
AS
A
•
Changes to Name and Address
Changes directed by CASA
In the interests of safety, CASA may direct an operator to change their
exposition. The direction may relate to:
-
the removal, inclusion or variation of information, procedures or
instructions
-
the removal of a person from a key personnel position.
An applicant’s system for managing change must include provision for changes
directed by CASA. The system must provide evidence that the applicant will
comply with any conditions imposed by CASA, such as time limitations.
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C3.11
Exposition
References
CASR: 142.350
Introduction
Part 142 includes several provisions relating to expositions, including the requirement under
regulation 142.350 of CASR for an operator to make the exposition available to personnel.
y
Things for Consideration
se
An exposition must describe how the applicant ensures personnel have access to
the parts of the exposition that are relevant to their duties. The description should
address:
how an applicant will maintain a written record of the distribution of its
exposition to personnel
-
how personnel receive the sections of the exposition that relate to their
duties, prior to carrying out the duties (this may be achieved through the
applicant’s distribution procedures)
how an applicant will ensure that changes are communicated to
personnel, if changes are made that may affect their duties (this may form
part of the applicant’s change management system procedures)
C
-
U
-
AS
A
•
O
nl
The following information may be of value in determining if the applicant has a suitable
means for ensuring that the parts of the exposition, relating to the duties of personnel, are
made available to the personnel prior to carrying out their duties.
-
how records will be maintained to show that any subsequent amendments
have been distributed to personnel
-
the nominated individual, by position, responsible for ensuring personnel
have access to the exposition.
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C3.12
Third Party Suppliers
References
CASR: 142.340(1)(r)
Introduction
The applicant’s exposition must provide a description of any aeronautical or aviation related
services provided, or to be provided, by third parties to the applicant.
y
Things for Consideration
O
nl
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(r) of CASR relating to descriptions of services
provided by third party suppliers.
The exposition must provide details of any third party relationships between the
applicant and third party suppliers (e.g a supplier of aircraft fuel or aircraft
performance data, or leased aircraft etc.).
•
If the supply relates to an FSTD, a description of the management of leases as
well as the relationship with, and responsibilities of, the lessee (the applicant) and
the owner (the supplier of the FSTD) must be provided in the exposition or
subordinate manual – such as the quality assurance management system
manual.
C
AS
A
U
se
•
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C4
EXPOSITION PART 4:
SAFETY MANAGEMENT SYSTEM
C4.1
Safety Policy, Objectives and Planning
References
CASR: 142.265(1)(d), 142.265(2)(b)
y
Introduction
se
O
nl
In the SMS framework management’s commitment to and responsibility for safety is formally
expressed in a series of statements in the applicant’s safety policy. The safety policy reflects
the applicant’s philosophy of safety management and becomes the foundation on which the
organisation’s SMS is built. The safety policy outlines what the applicant will do to achieve
the desired safety outcomes.
AS
A
U
Safety objectives often accompany the safety policy. They define what the applicant wishes
to achieve, and the safety policy declares the applicant’s commitment to achieving them.
The safety objectives should state an intended safety outcome and may be expressed in
terms of short, medium and long term safety objectives. The safety objectives, like the safety
policy, should be publicised and widely distributed across the applicant’s organisation.
Things for Consideration
•
C
The following information and questions may be of value in determining if the applicant has
captured all of the appropriate elements required for the safety policy, objectives and
planning.
The applicant’s safety policy, objectives and planning should provide information
and statements covering:
-
management commitment and responsibility for safety
-
safety accountabilities and responsibilities of managers (including key
personnel)
-
appointment of safety management personnel
-
human factors integration into the SMS
-
SMS implementation plan
-
relevant third party relationships and interactions
-
coordination of an emergency response plan
-
SMS Documentation.
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C4.1.1
Safety Policy
•
The organisation’s safety policy is contained within the SMS manual and may
also be promulgated around the organisation to highlight management’s
commitment to safety.
•
The organisation’s safety policy should set a clear, high-level direction for the
operator to follow in order to manage safety effectively.
•
As with the SMS, the safety policy should reflect the chief executive officer’s
written approach and commitment to safety.
•
The applicant’s safety policy should:
reflect the organisation’s commitment regarding safety
-
highlight the organisation structures in place to systematically manage
safety
-
include a clear statement about the provision of the necessary resources
for the implementation and maintenance of the organisation’s SMS and
the safety policy
-
include safety reporting procedures
-
clearly articulate which behaviours are unacceptable in relation to the
organisation’s aviation activities, and include the circumstances under
which disciplinary action will not apply
-
be signed by the chief executive officer of the organisation
-
be communicated, with visible endorsement, throughout the organisation
C4.1.2
nl
O
se
U
AS
A
-
y
-
be periodically reviewed to ensure it remains relevant and appropriate to
the organisation and the conduct of the authorised Part 142 activities.
Safety Objectives and Planning
Effective safety objectives consist of broad directions that assist in establishing
safety goals or desired safety targets, and should be in line with the applicant’s
safety vision and management’s commitment to the systematic management of
safety.
•
Safety objectives should state intended safety outcomes. Some examples may
be:
C
•
-
providing feedback to staff on safety reports within 2 weeks
-
to note an increase in safety reporting by 20% over the next 12 months
-
to see a reduction in maintenance-related events by 15% over the next
12 months.
•
Safety objectives may be expressed in terms of short, medium and/or long term
desired outcomes.
•
Safety objectives should be SMART (Specific, Measurable, Achievable, Realistic
and Timely) so that their effectiveness can be measured.
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•
•
The applicant should have a documented plan of action (implementation
plan/phased approach) to achieve each specified safety objective. For example:
-
Phase 1 may be objectives to be addressed within 6 months
-
Phase 2 may be objectives to be addressed within 12 months
-
Phase 3 may be objectives to be addressed within 24 months.
The applicant should carry out a periodic review of the stated safety objectives to
ensure they are still relevant, and that they are providing desired outcomes in line
with the organisation’s strategic safety goals.
C4.1.3
Safety Accountabilities of Managers (including Key Personnel)
The applicant should provide evidence that the chief executive officer,
irrespective of other functions, has ultimate responsibility and accountability for
the implementation and maintenance of the SMS.
•
Lines of safety accountability throughout the organisation should be clearly
defined, including direct accountability for safety on the part of senior
management.
•
The accountabilities of all members of management, irrespective of other
functions, as well as of employees with respect to the safety performance of the
SMS, should be identified.
•
Safety responsibilities, accountabilities and authorities should be documented,
normally within the SMS manual, and communicated throughout the organisation
so that everyone is aware of their respective roles and responsibilities.
•
Management positions with authority to make decisions regarding safety risk
tolerability should be defined.
AS
A
U
se
O
nl
y
•
C4.1.4
Appointment of Safety Management Personnel
Depending on the size and complexity of the organisation the safety manager
should have operational aviation management experience, an adequate technical
background to understand the systems supporting the activities and a sound
understanding of safety management principles.
•
Depending on the size and complexity of an organisation an operator may have
other safety management personnel, in addition to a safety manager, to provide
guidance and direction on the SMS. In these organisations there may be the
need for safety committees to oversight various departments within the
organisation. Examples of these safety committees may include:
C
•
-
a Safety Review Board (SRB) or Safety Committee
-
a Safety Action Group (SAG).
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(a)
Safety Manager
•
Safety Review Board/Safety Committee
•
The size and/or complexity of the organisation will determine whether the
applicant has a Safety Review Board (SRB), as the highest-level internal safetyrelated meeting. For smaller operators, a safety committee may provide the
guidance required for the operator’s SMS. Normally an SRB would provide
direction to the organisation’s various Safety Action Groups (SAGs), whereas a
safety committee may address all of the operator’s SMS issues.
•
If the operator has an SRB, then it should be chaired by the chief executive
officer or a non-executive director with the chief executive officer in attendance,
and include the Safety Manager. A safety committee would typically consist of the
chief executive officer, the Safety Manager and other members of the senior
management team.
•
In determining whether the organisation has provided sufficient evidence to show
that the SRB/Safety Committee is appropriate for its size, complexity and scope
of work, consideration should be given to:
Accountability
o
Membership
AS
A
-
The SRB/Safety Committee should be chaired by the chief
executive officer.
U
-
o
-
se
O
nl
y
(b)
Considerations relevant to assessing a Part 142 operator’s Safety Manager are
described in sections C1.4 and C1.7 of this handbook.
Terms of Reference
C
o
o
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Typically the SRB would comprise the chief executive officer,
senior managers and the Safety Manager.
The terms of reference for the SRB/Safety Committee should be
documented within the organisation’s SMS manual.
The SRB/Safety Committee may be responsible for:

monitoring the effectiveness of the organisation’s safety
management processes

monitoring the effectiveness of the corporate oversight
processes which independently validate the organisation’s
safety performance

monitoring and reviewing the organisation’s safety/hazard
reports and reviewing controls/defences within the
organisation’s risk management plan

ensuring any corrective action is being taken in a timely
manner
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
ensuring appropriate resources are allocated to meet
agreed actions which enhance safety performance beyond
that required by regulatory compliance

monitoring the effectiveness of safety oversight of subcontracted operations carried out on behalf of the
organisation

giving strategic direction and guidance to the organisation’s
SAGs.
Safety Manager Duties
y
The Safety Manager is responsible for:
acting as Secretary for the SRB

taking minutes of the meetings, and documenting and
tracking outstanding action items

ensuring that any strategic direction for the SAG is
documented and recorded and then passed onto the SAG
for further action.
U
Safety Action Group
nl

O
o
SAGs are accountable to, and take strategic direction and guidance from, the
SRB. The SAGs comprise a representative section of the line management and
supervisory staff of all departments in the organisation (not only operations and
maintenance, but also other disciplines such as financial and commercial).
•
In a large organisation there may be more than one SAG. These groups should
meet periodically to support the identification of hazards and the assessment of
risks faced by the organisation, and to suggest methods of mitigation. They
should also support the systematic review of safety-related standards and
procedures, as well as providing experienced advice on major aviation safety
issues.
•
In determining whether the organisation has provided sufficient evidence to show
that the SAG is appropriate for its size, complexity and scope of work,
consideration should be given to:
AS
A
•
C
(c)
monitoring the organisation’s safety performance, including
review of safety objectives and performance indicators
se
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
-
Accountability
o
-
Membership
o
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SAGs are responsible and accountable to the corporate SRB.
Each SAG is chaired by the appropriate functional director and is
responsible for that function’s contribution, development and
improvement of the SMS.
SAG membership will normally be drawn from managers,
supervisors and staff from within the appropriate functional area.
The safety manager would normally attend each SAG primarily as
an independent facilitator/observer.
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-
Terms of Reference
o
The terms of reference for the SAG should be documented within
the organisation’s SMS manual.
o
The SAG is responsible for:
overseeing operational safety within the functional area of
responsibility

ensuring any corrective action is taken in a timely manner

reporting to, and accepting strategic direction from, the
corporate SRB.
The SAG terms of reference may include:

ensuring that hazard identification and risk assessments
are carried out, reviewed and monitored as appropriate,
with involvement of staff as necessary to increase safety
awareness

ensuring that satisfactory arrangements (e.g. hazard
reports) exist for safety data capture and actioning of
personnel feedback

ensuring that suitable safety performance indicators are
developed and are regularly reviewed for the functional
area

convening of meetings to ensure that effective
opportunities are available for all personnel to participate
fully in the management of safety
C
AS
A
U
se
O
nl
y
o

-
ensuring that adequate investigation of safety
events/issues takes place and that safety reviews are
conducted and any actions arising tracked to completion

ensuring that appropriate safety, emergency and technical
training of personnel is carried out to meet or exceed
minimum regulatory requirements.
Safety Manager Duties
o
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
The Safety Manager is responsible for:

acting as a facilitator or observer for the SAG meetings

ensuring minutes are taken, documented and tracked for
each functional area

ensuring that relevant outcomes from each SAG are
communicated throughout the organisation for all
personnel

ensuring that the SRB are kept informed of SAG meetings
and outcomes.
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C4.1.5
Human Factors Integration
•
The operator’s integration of human factors into an organisation’s SMS should
provide a managerial and organisational framework to ensure the systematic
identification and analysis of relevant HF issues, and the application of
appropriate tools, methods and measures to address such issues. The practical
and methodical application of HF within an SMS is essential to ensure
compliance and to optimise human performance.
•
The basic HF principles an operator should adopt to integrate HF into their SMS
are:
-
putting people at the centre of the system
-
accounting for human variability
-
ensuring transparency of organisational processes and actions
-
taking into account social and organisational influences
-
involving staff and respecting and valuing their input
-
encouraging timely, relevant and clear two-way communication
-
ensuring fairness of treatment.
se
O
nl
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adoption of a holistic and integrated approach for HF principles into the
organisation’s SMS
U
Integrating HF is essential in the elements of the SMS. In particular the following
elements require an integration of human factors principles:
-
management of change
the design and procurement of systems, equipment and facilities, and
their subsequent use
HF&NTS training
C
-
risk management
AS
A
•
-
(a)
-
job and task design
-
safety reporting and data analysis
-
incident investigation.
Risk management
•
Integration may be demonstrated by processes that:
-
acknowledge HF issues within the organisation’s hazard identification
process
-
ensure risk management strategies are applied during any proposed
organisational changes
-
recognise different human error types (slips, lapses, mistakes etc.)
-
include human error management within the risk assessment process
-
acknowledge fatigue related hazards.
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Management of change
•
ensure transparency of organisational processes and actions
-
involve staff by encouraging two-way communication
-
identify personnel who are likely to be affected by the proposed change
-
identify roles and tasks likely to be affected by the proposed change.
The design and procurement of systems, equipment and facilities, and their
subsequent usability
Integration may be demonstrated by processes that:
identify how personnel within the organisation may be affected by
modifications to systems, facilities and/or equipment
-
identify how personnel may potentially interact with the new system,
facility and/or equipment
-
assess the risks associated with new systems, facilities and equipment.
nl
Integration may be demonstrated by:
-
internal/external HF&NTS training for personnel
-
specialised HF&NTS training (e.g. CRM, FRMS etc.)
-
a periodic review process of HF&NTS training to ensure effectiveness and
relevance.
Job and task design
Integration may be demonstrated by processes that:
C
•
-
(f)
O
HF&NTS training of personnel
•
(e)
y
-
se
•
(d)
-
U
(c)
Integration may be demonstrated by processes that:
AS
A
(b)
identify human performance limitations, such as:
o
tasks involving time pressures
o
tasks involving complex sequencing of events
o
tasks that involve memory reliance.
-
identify safety critical tasks, and the personnel that perform them
-
take into consideration the working environmental conditions.
Safety reporting and data analysis
•
Integration may be demonstrated by:
-
a safety culture-based non-punitive hazard and incident reporting system
-
provision of confidential reporting
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(g)
-
formal and informal meetings to openly discuss safety concerns
-
feedback from management regarding action taken as a result of safety
meetings and/or hazard/incident reports.
Incident Investigation
Integration may be demonstrated by:
-
the use of conceptual models (such as Reason’s model of accident
causation) to determine active, latent and organisational failures
-
the adoption of a positive safety culture where the organisation seeks to
learn lessons from mistakes
-
the provision of HF training for investigators, to provide the necessary
skills to examine possible human performance limitations that may have
contributed to an event
-
ensuring fairness of treatment during incident investigations.
SMS Implementation Plan
O
C4.1.6
nl
y
•
The applicant’s SMS implementation plan should be a detailed guide which
defines the approach to the implementation of the SMS. It should be a realistic
plan for implementing an SMS that meets the applicant’s safety strategy, safety
objectives, safety management activities, resource implications, safety training,
safety promotion and timelines.
•
In determining whether an operator has provided sufficient evidence to show that
their SMS implementation plan is appropriate for their organisation, consideration
should be given to:
-
the gap analysis used to determine the competent and elements of the
SMS
the major elements of an SMS implementation plan
C
-
AS
A
U
se
•
-
(a)
the operator’s approach and methodology in implementing the plan.
Gap Analysis
•
In implementing an SMS the applicant should undertake a gap analysis to
determine which components and elements of an SMS are currently in place, and
which components need to be added or modified to meet SMS regulatory
requirements.
•
Items identified in a gap analysis as missing or deficient should form the basis of
the SMS implementation plan. The applicant should ‘tailor’ the SMS to:
-
the size, complexity, and scope of the organisation and its proposed
activities
-
the hazards and risks inherent with the proposed activities.
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Implementation Plan
•
The applicant’s initial gap analysis should form part of the SMS implementation
plan.
•
Major elements that should be addressed within the implementation plan include:
Safety Policy, Objectives and Planning, including details of:
o
safety accountabilities of managers (including key personnel)
o
the appointment of safety management personnel
o
human factors integration into the SMS
o
relevant third party relationships and interactions
o
coordination of an emergency response plan
o
SMS Documentation.
nl
O
o
hazard identification
o
risk assessment and mitigation.
Safety Assurance, including details of processes for:
o
safety performance monitoring and measurement
o
internal safety investigation
o
management of changes
o
continuous improvement of the SMS
o
an FDAP, if applicable.
AS
A
-
Safety Training and Promotion, including details of:
o
SMS training and education
o
SMS safety communication.
C
-
•
y
management commitment to, and responsibility for, safety
Safety Risk Management, including processes for:
-
-
o
se
-
U
(b)
Other requirements specific to a CASR Part 142 SMS, including
processes for:
o
internal auditing of Part 142 activities
o
promoting continual improvement of Part 142 activities
o
evaluating the training outcomes of pre-flight test assessments
and post-flight test feedback from examiners
o
regularly assessing the suitability of the operator’s facilities and
resources used for conducting the authorised Part 142 activities
o
recommending changes to the SMS, training management system
and internal training and checking system.
The implementation plan should provide details on the development of processes
(e.g. hazard identification and risk assessment, reporting processes etc.) and
how it intends to implement all of the key SMS components and elements.
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Phased Approach
•
Due to the possible deficiencies an organisation faces after the initial gap
analysis, it would be unrealistic to impose tight timeframes for SMS
implementation. Typically, depending on the size and complexity of the
organisation, 12 to 18 months is normally sufficient time to implement an SMS up
to 24 months. Timelines can be discussed further with the CASA inspectorate, if
required.
•
It is recommended that organisations undertake a phased approach to SMS
implementation. If a phased approach is undertaken it should include realistic
timelines for starting and completing each of the major SMS elements. Examples
of timelines and phased implementation can be found in CAAP SMS-1(0).
Relevant Third Party Relationships and Interactions
y
C4.1.7
Considerations relating to third party suppliers, in addition to those mentioned in
this section, are available in section C3.12 of this handbook. For additional
considerations relevant to leasing and other supply arrangements for turbineengined aircraft, refer to section C2.3.2(a) of this handbook.
•
The applicant’s SMS should ensure that the level of safety of an organisation is
not eroded or compromised by the inputs, services and supplies provided by
external (third party) organisations.
•
Third party interfaces may include:
U
se
O
nl
•
-
the lease and cross-hire of aircraft
-
aircraft and simulator maintenance providers
-
AS
A
(c)
instructors and examiners engaged on a contract basis
fuel supply arrangements.
The applicant holds the overall responsibility for the safety of services provided
by a contractor. Therefore, the contract between the applicant and the third party
must specify the expected safety standards that the applicant will ensure the
contractor complies with.
•
An operator should ensure the following minimum standards apply when
engaging third party contractors:
C
•
(a)
-
Service Level Agreements (SLAs)
-
evidence of contractor prior safety performance
-
evidence of contractor experience and qualifications.
Service Level Agreements
•
There should be a written contract, known as a Service Level Agreement (SLA),
in place between the applicant and the contractor prior to services being
provided.
•
All SLAs should contain a schedule of oversight to monitor the third party’s
performance on a regular basis.
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All agreements should detail how any noted safety hazards and deficiencies will
be addressed, and the timeframe in which to accomplish this.
•
Where a service being provided is CASA-licensed or certified, the written
agreement should require the third party to advise the organisation of any CASA
regulatory action that may affect their ability to provide the required services.
Contractor Performance/Qualifications
All third party providers should hold the appropriate qualifications/credentials or
approvals for the work being carried out.
•
All third party organisations should be able to demonstrate that they are providing
trained and competent staff.
•
All third parties should understand the applicant’s SMS, and their responsibilities
within it. This should be accomplished by third party SMS induction training
delivered by the applicant.
•
There should be a mechanism in place where the applicant can assess the third
party’s previous safety record, prior to the contracted services commencing.
nl
y
•
O
(b)
•
Coordination of an Emergency Response Plan
se
C4.1.8
An Emergency Response Plan (ERP) is an integral part of the applicant’s SMS
and should be established to facilitate management of a hazardous event or
accident and mitigate the impact on normal operations. All of the applicant’s
operational locations should develop ERPs (where applicable) and maintain a
robust means of coordinating these with the main accident coordination
procedures.
•
The applicant’s ERP should:
-
assign responsibilities to specific individuals
provide emergency procedures
C
-
AS
A
U
•
-
control notification to outside agencies (fire, police etc)
-
nominate channels and centres of communication
-
provide for ‘in-house’ emergency response
-
provide effective liaison with accident investigators and outside
emergency services
-
provide methods for communicating with the public in the event of a major
incident.
•
The applicant should ensure that their ERP is properly coordinated with the ERPs
of those organisations it must interface with during the conduct of the proposed
activities.
•
An ERP may be a stand-alone document, may form a part of the applicant’s SMS
manual, or may be a combination of both. For example, the ERP policies, roles
and responsibilities may be contained within the SMS manual, and immediate
response information may be contained in easily accessible booklets, pamphlets
etc.
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purpose of the ERP
-
when to activate the ERP
-
external agency interface
-
crew and passenger welfare
-
casualty and next-of-kin coordination
-
accident investigation
-
coordination of the ERP at the accident site
-
preservation of evidence
-
media relations
-
claims and insurance procedures
-
aircraft wreckage and removal (if applicable)
-
emergency response planning.
O
nl
y
-
se
The applicant should provide a means for ensuring that personnel are adequately
trained and familiar with the procedures that will be employed in the event of an
accident or serious incident. This should include rehearsing plans regularly and
providing training, including:
-
actual scenario-based training on-site
-
desktop exercises
-
safety stand-down day review.
U
•
As a minimum, the applicant’s ERP should include the following elements:
AS
A
•
The applicant should ensure that personnel are aware of the location of the ERP
instructions to enable efficient access in case of an emergency. This may be
achieved by the applicant ensuring the emergency response posters, instructions
and information pamphlets etc. are accessible in all relevant workplaces.
•
Following an ERP training exercise, or should personnel have feedback relating
to the operator’s ERP which will provide improvements, the applicant should have
a mechanism in place to incorporate lessons learned into the SMS and ERP
amendment process.
•
The applicant’s mechanism should ensure that feedback and improvements are
widely disseminated throughout the applicant’s organisation, to ensure personnel
are aware of the lessons learned. Methods the organisation can employ to
achieve this may be via:
C
•
-
company intranet
-
safety newsletters
-
safety stand-down days.
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C4.1.9
An applicant’s SMS should be supported by robust, current and controlled
documentation.
•
The applicant should ensure the requirements for personnel to support the SMS,
at all levels, are documented and the relevant documents are freely available.
•
The applicant’s safety documentation should demonstrate to all personnel and
third parties that business is conducted based on safety management principles.
•
If the applicant’s procedures are in separate manuals (as may happen in larger
organisations), the applicant should to clearly publicise this so that all personnel
have simple and effective access to detailed information about the SMS
procedures and processes.
•
An applicant’s SMS documentation must consist of:
-
the SMS Manual, describing the operator’s SMS.
O
nl
the SMS Implementation plan
SMS Manual
U
se
The organisation’s SMS documentation should include the SMS implementation
plan. Considerations in relation to the SMS implementation plan are discussed in
section C4.1.6 of this handbook.
•
The applicant’s exposition must include a SMS manual which describes its safety
management system. The SMS manual should be developed and maintained as
part of the applicant’s SMS documentation.
•
The most effective method for an operator to document all SMS procedures,
policies and practices is to consolidate all of the information within one manual
(an SMS Manual).
•
The applicant’s SMS manual should:
•
AS
A
(b)
-
Implementation Plan
•
y
•
C
(a)
SMS Documentation
-
contain all of the written policies, procedures and instructions covering the
organisation’s SMS standards and SMS requirements
-
be concise and clearly written to facilitate easy comprehension and
application.
Any information that may change regularly in the SMS manual (e.g. personnel
assigned with specific safety roles and responsibilities) may be put into
appendices/annexes to the SMS manual to enable this information to be easily
updated and maintained.
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The following components and elements of the applicant’s SMS should be
documented within the SMS manual:
Safety Policy, Objectives and Planning, including details of:
o
safety accountabilities of managers, including key personnel
o
the appointment of safety management personnel
o
how human factors principles are integrated into the SMS
o
the SMS implementation plan, including the initial gap analysis
o
relevant third party relationships and interactions (e.g. contracted
activities)
o
coordination of the applicant’s ERP
o
SMS documentation, such as examples of hazard reports, risk
management forms etc.
nl
y
management’s commitment to, and responsibility for, safety
O
Safety Risk Management, including processes for:
-
o
hazard identification
o
risk assessment and mitigation.
Safety Assurance, including details of processes for:
o
safety performance monitoring and measurement
o
internal safety investigations
o
the management of change
o
continuous improvement of the SMS
o
FDAP, if required.
AS
A
-
Safety Training and Promotion, including details of:
C
-
o
se
-
U
•
-
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o
SMS training and education
o
safety promotion.
Other requirements Specific to a CASR Part 142 SMS, including
processes for:
o
internal auditing of Part 142 activities
o
promoting continual improvement of Part 142 activities
o
evaluating the training outcomes of pre-flight test assessments
and post-flight test feedback from examiners
o
regularly assessing the suitability of the operator’s facilities and
resources used for conducting the authorised Part 142 activities
o
recommending changes to the SMS, training management system
and internal training and checking system.
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C4.2
Safety Risk Management
References
CASR: 142.265(2)(c)
Introduction
nl
y
Safety risk management is the identification of hazards and the analysis and evaluation of
associated risks to an acceptable level. The systematic identification and treating of risks
and hazards in an organisation, together with the continual monitoring and communication of
the risk management processes, are vital to the sustainability and effectiveness of the SMS.
Things for Consideration
se
O
The following information and questions may be of value in determining if the applicant has
sufficient processes to ensure hazards are identified and associated risks analysed and
mitigated, and where possible eliminated.
C4.2.1
Hazard Identification
The applicant should develop and maintain a process that ensures hazards
associated with its aviation operations are identified.
•
The applicant’s hazard identification process should be based on a combination
of reactive, proactive and predictive methods of safety data collection.
•
The starting point for any safety risk management process needs to be the
establishment of the context of hazard identification. The applicant must have a
systematic and comprehensive hazard identification process because hazards
not identified at this stage may be excluded from further risk analysis and
mitigation.
C
AS
A
U
•
C4.2.2
Risk Management Process
•
The specific design and development, integration and implementation of the
organisation’s safety risk management process will be influenced by the size,
complexity and requirements of the operator, its processes, policies, practices
and its SMS.
•
At a minimum, the applicant should employ the following risk management
methodology:
-
Hazard Identification - identification of hazards that could adversely affect
people, equipment, property or the environment.
-
Assess and Rank - assessment of the risks in regards to likelihood and
severity of the hazards and their rank in order of importance.
-
Controls - identification of the current controls/processes in place to
manage the hazards.
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-
Evaluate - evaluation of the effectiveness of each defence/control (has the
hazard been reduced towards as low as reasonably practicable?).
-
Further Mitigation - identification of additional defences/controls to be
implemented to mitigate the hazards/risks (is the risk now as low as
reasonably practical?).
-
Record, Monitor and Review - recording, and continual review and
monitoring, of the information in a hazard/risk register, as well as the
effectiveness of all steps of the risk management process.
C4.3
Safety Assurance System
O
CASR: 142.265(2)(d), 142.265(3)-(7)
nl
y
References
se
Introduction
Safety assurance systems need to include the following internal elements:
-
•
U
Safety Performance Monitoring and Measurement
An operator must be able to receive appropriate feedback within their
respective SMS, so that the safety management cycle can be completed.
The feedback is utilised to evaluate system performance and to
implement changes to the system if required. Furthermore, it gives
stakeholders an indication of the level of safety within the organisation.
AS
A
•
Internal Safety Investigation
Enables an operator to investigate occurrences that are not required to be
investigated or reported to the ATSB or CASA, and investigate potential
hazards that would only be revealed through a systematic investigation.
C
-
•
Management of Change
-
•
An operator should have a formal process for identifying internal and
external change that may affect established processes and services, or
have an adverse effect on safety.
Continuous Improvement of the SMS
-
All operators (regardless of size and complexity) require a means of
regular review to ensure the aims and objectives of the SMS are being
achieved. Periodic safety reviews validate the SMS and pave the way for
continuous improvement. Regular review and evaluation allows the
operator’s senior management to pursue continuous improvements in
safety management and ensure that the SMS remains effective and
relevant to the conduct of the operator’s activities.
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•
FDAP (if required)
-
The FDAP is a useful tool for operators to proactively and predictively
identify safety hazards, and to mitigate the associated risks by allowing an
operator to compare their SOPs with those actually carried out during
flight. The key to a successfully implemented FDAP within the
organisation’s SMS is the review of data to ensure current procedures
and processes remain relevant or require change due to operational
considerations.
Things for Consideration
y
The following information and questions may be of value in determining if the applicant has
an appropriate safety assurance system in place to ensure the organisation’s safety
objectives are being met and periodically reviewed for relevance.
Safety Performance Monitoring and Measurement
nl
C4.3.1
An operator’s safety performance monitoring program should be specifically
‘tailor-made’ to determine the best methods employed according to the
organisation’s size and complexity.
•
A typical safety performance monitoring program will employ the following:
-
safety monitoring
-
safety measurement
-
safety review.
U
safety performance
AS
A
(a)
-
se
O
•
Safety Performance Program
•
An effective safety performance program may include:
an effective hazard reporting system
C
-
(b)
-
safety objectives where ‘SMART’ targets have been established
-
defined and promulgated safety performance indicators
-
relevant safety performance indicators that are linked to the applicant’s
safety objectives
-
safety objectives, safety targets and safety performance indicators that
are reviewed and updated periodically.
Safety Monitoring
•
The applicant’s periodic monitoring processes may include:
-
monitoring and reporting on safety management activities (by the safety
committee, SAG and/or SRB)
-
measuring and reporting on safety management performance
-
monitoring and trend analysis of safety performance indicators.
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Safety Measurement
-
safety surveys/questionnaires
-
safety studies
-
internal/external safety audits, that include:
assessing normal operations
o
ensuring adequate resources are available to carry out the audits
o
ensuring personnel are adequately trained to carry out the audits
o
assessing risk mitigations and controls/defences to ensure they
remain relevant
o
tracking audit findings through to completion
o
conducting feedback and trend analyses to identify systemic
issues throughout the organisation and appropriate actions to be
taken.
nl
y
o
•
Safety review may include:
-
systematic capture of daily performance data (e.g. using programs such
as FDAP and LOSA)
-
a feedback mechanism within the program to ensure relevant data is
collected, analysed and used to assess safety performance
-
systematic review and follow-up on all reports of identified safety issues
communication to all stakeholders of the level of safety within the
organisation.
Internal Safety Investigation
C
C4.3.2
se
Safety Review
U
(d)
The applicant may accomplish safety measurements through:
O
•
AS
A
(c)
•
The scale and scope of any investigation should be suitable to determine and
validate the underlying hazards. A systems approach is useful to provide a broad
appreciation of the context of any occurrence. Effort expended should be
proportional to the perceived benefit to the organisation in terms of identifying
hazards and risks.
•
The applicant’s internal safety investigation system should include:
-
a reporting system
-
an investigation policy
-
the investigation methodology
-
investigation recommendations and follow-up.
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Reporting System
•
-
a paper based reporting system (e.g. via drop boxes)
-
a web-based reporting system
-
a reporting system on the Company’s intranet.
The applicant should have a documented procedure to determine what hazards
and/or events need to be investigated. The procedure should be able to
demonstrate that the operator has a review, classification and decision process in
place to establish which hazards/events are investigated, and how thoroughly.
•
O
Documentation for internal safety investigations should be clearly documented
within the applicant’s SMS. Points covered should include:
-
the scope of the investigation
-
the composition of the investigation team
-
how investigation outcomes are recorded for follow-up trend analysis
-
the timeframes for completion.
se
•
nl
Investigation Policy
U
(b)
The operator should have certain processes in place for personnel to report
hazards and/or events in the workplace. Processes that enable reporting may
include:
y
•
The applicant’s investigation policy documented within the SMS should highlight
the purpose of the investigation. The policy should clearly state that:
-
each investigation will be systemic in nature (focus on the ‘why’ rather
than just the ‘what’)
the purpose of each investigation will not be to apportion blame to
individuals, confirming that safety culture principles apply in relation to
individual or team behaviours (therefore not focussing solely on the ‘who’
was involved)
C
-
AS
A
(a)
-
(c)
all contributing factors to the event should be considered, as well as root
causes, rather than focusing only on the active failure (i.e. the event
itself).
Investigation Methodology
•
The extent of each investigation will depend on the actual and potential
consequences of the hazard/event. The applicant may determine this through an
initial risk assessment. Where resources are limited the applicant needs to
determine that the effort expended, in terms of identifying hazards and risks to
the organisation, will be proportional to the perceived benefit of the investigation.
•
The applicant should have a means to ensure personnel conducting internal
safety investigations (normally the safety manager or designate) are trained in
aviation safety and safety investigations.
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•
-
the authority to interview personnel or managers
-
access to the source of any relevant company information.
Investigation Recommendations
-
using identified safety issues (as a result of an investigation) in reevaluating existing risk controls/defences
-
ensuring that identified safety issues and lessons learned, as well as
further controls/defences incorporated to prevent a recurrence of the
hazard/event, are reviewed by the appropriate safety committee
-
ensuring that recommendations are used to improve and/or amend the
organisation’s SMS.
Identified safety issues, lessons learned and controls/defences implemented to
prevent the recurrence of a hazard/event should be disseminated throughout the
applicant’s organisation. Methods the applicant may use to facilitate this include:
O
•
The applicant should have a means for:
y
•
nl
(d)
The applicant should provide the safety investigator with:
safety stand down days
-
company intranet
-
safety newsletter
-
specific safety posters, prominently displayed within the operator’s
headquarters and training bases.
AS
A
U
se
-
C4.3.3
Management of Change
The management of change process included in the applicant’s SMS should be a
formal process to be used in the event of external and/or internal change that
may affect established processes and services.
•
The applicant’s management of change process should utilise the organisation’s
existing risk management processes to ensure that there is no adverse effect on
safety.
•
The applicant’s management of change process within an SMS should only focus
on hazard identification and the controls/defences to be employed to improve the
safety of the conduct of the Part 142 activities. Other potential risk factors (such
as a lack of business growth) may also be considered; whilst they are additional
to the scope of SMS management of change they may have the potential to
affect operational safety.
•
In determining whether the applicant’s management of change process is
appropriate, consideration should be given to the applicant’s processes for:
C
•
-
identifying the change
-
managing the change
-
monitoring and review after the change.
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Management of Change Identification
implementation of new design systems
-
amendments and/or modifications to new procedures or operations
-
appointment of a new senior management team, or senior managers
-
changes to the work environment
-
new training programs
-
changes in customer expectations or requirements
-
relocation or expansion
-
reallocation of resources and/or responsibilities of key personnel.
The applicant’s management of change process should involve the following
steps:
-
develop the case
-
conduct risk assessment and planning
-
prepare the plan
-
implement the change
•
se
•
nl
Management of Change Process
y
-
U
(b)
Changes that require a formal risk assessment, such as organisational changes,
should be clearly identified and documented in the applicant’s SMS.
Organisational changes that may require a formal risk assessment may include:
O
•
AS
A
(a)
ongoing monitoring and review.
The applicant’s management of change process should demonstrate that:
the changes made are implemented in a prudent and staggered way in
order to minimise potential adverse effects on organisational and
operational safety
C
-
(c)
-
the use of resources and the involvement of personnel in the process will
not impact operational safety
-
a review of previous risk assessments and existing known hazards (and
current controls/defences) are undertaken to determine possible validity
and consequence
-
communication and consultation takes place with all key stakeholders
during the management of change process.
Monitoring and Review
•
To ensure changes incorporated do not alter the operator’s priorities, the
applicant should have a means to ensure implementation is constantly monitored
and reviewed, and where necessary, adjusted.
•
The applicant should ensure that communication and consultation takes place
with all key stakeholders during the ongoing monitoring and review of changes.
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C4.3.4
Continuous Improvement of the SMS
•
a continual improvement process
-
feedback mechanisms
-
review and follow-up of feedback mechanisms.
Continuous Improvement Process
The continuous improvement process may be achieved and demonstrated by:
formal annual review of the SMS by the SRB (or equivalent)
-
regular monitoring of safety performance against stated safety objectives
-
identifying hazards, and employing appropriate controls/defences in a
timely manner
-
reactive evaluations, following incidents, accidents and/or investigations,
to verify the effectiveness of controls/defences.
O
nl
y
-
se
•
Feedback Mechanisms for Continuous Improvement
•
Feedback methods employed to determine and measure whether the continuous
improvement process is effective may include:
U
(b)
-
-
regular internal and external (third party) safety surveys
evaluation of individual performance to verify safety responsibilities
tracking organisational changes to ensure they are relevant and effective
regular SAG or safety committee meetings to provide high-level SMS
review details to the SRB for consideration.
C
-
internal safety audits
AS
A
(a)
The applicant should monitor and assess the effectiveness of its SMS processes
to enable continuous improvement of the overall performance of the SMS.
Methods to achieve this may include:
(c)
Review and Follow-up
•
The applicant should have a means for ensuring follow-up from feedback
mechanisms is reviewed and considered by the safety committee and/or safety
manager to ensure issues raised are addressed to the SRB (or equivalent).
•
Any incorporated improvement processes included in the applicant’s SMS should
be communicated to all personnel.
•
Following review, the applicant should ensure that any amendments or additions
to the SMS are monitored and evaluated for ongoing effectiveness. The applicant
should provide a means for ensuring that evidence of improvements are
documented as a part of the continual improvement process.
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C4.3.5
•
The FDAP should form an integral part of the SMS. Normally the FDAP would be
located, as stand-alone element, within the safety assurance component of the
SMS.
•
The applicant’s FDAP should be non-punitive and de-identify the person who is
the source of the data, whilst ensuring data gathered is secure. A feedback loop,
which should be a part of the SMS, will allow timely corrective action to be taken
where safety may be compromised by significant deviation from SOPs.
•
In determining the appropriateness of the applicant’s FDAP, consideration should
be given to how the organisation:
nl
y
Operator’s conducting authorised Part 142 activities in aeroplanes with a MTOW
of more than 27,000kg and/or rotorcraft with a MTOW of more than 7,000kg
require an FDAP.
will implement their FDAP
-
will integrate the FDAP with their SMS
-
will ensure the FDAP process is clearly documented within their SMS
manual.
FDAP Implementation
se
O
-
The applicant’s FDAP may be implemented by the operator or a third party
service provider deemed an appropriate person.
•
If the FDAP is provided by a third party the applicant should have a means for
acknowledging and retaining responsibility for the provision of the program and
its effectiveness.
U
•
AS
A
(b)
•
FDAP & SMS Integration
•
To maximise safety benefits the applicant must ensure that the FDAP is
integrated seamlessly within their SMS.
•
The applicant may use the FDAP operational data provided by the program to
provide quantitative information to support investigations that would otherwise be
based on subjective reports.
•
The applicant should have a means for ensuring operational data provided by the
FDAP is regularly analysed and recorded in support of improving flight
operations, and, as a direct consequence, the improvement of the SMS.
C
(a)
Flight Data Analysis Program (FDAP)
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Documentation
•
The FDAP process should be clearly documented within the organisation’s SMS
manual.
•
The FDAP process should clearly outline:
the aim of the program
-
the data access and security policy, which restricts information to
specifically authorised persons - identified by their position
-
the method used to obtain de-identified crew feedback on those
occasions that require specific flight follow-up for contextual information
-
the data retention policy and accountability, including the measures taken
to ensure the security of the data
-
the policy highlighting instances where the identity of the person who is
the source of the data may be disclosed, such as:
nl
y
-
where the source provides written consent
o
where a court order has been provided.
O
o
the conditions under which advisory briefing or remedial training should
take place
-
the conditions under which punitive action will not occur in relation to the
data, unless the person has:
se
-
o
persistently engaged in unsafe actions without appropriate safety
reasons.
the participation of flight crew member representatives in the assessment
of the data, the action and review process, and the consideration of
recommendations
C
-
deliberately contravened a provision of civil aviation legislation or
the organisation’s exposition
AS
A
o
U
(c)
the policy for the publishing the findings resulting from the FDAP, in order
to improve the organisation’s flight safety program and SMS.
-
C4.4
Safety Promotion
References
CASR: 142.265(2)(e)
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Introduction
A safety management system should have a safety promotion system, which includes SMS
training and education, and SMS safety communication. Safety training is related to, but
different from, safety promotion. An operator should ensure that their personnel are trained
and competent to perform their roles within the SMS, and that the training programs are
‘tailored’ to suit the needs and complexity of the organisation.
Safety promotion assists in setting the SMS tone and aids in building a robust safety culture.
Safety promotion communicates the lessons learned, safety information, safety procedures,
and key safety messages from senior management that can also assist the organisation to
foster improved safety performance.
y
Things for Consideration
SMS Training and Education
O
C4.4.1
nl
The following information and questions may be of value in determining if the applicant has
an appropriate safety promotion system in place for the organisation’s size and complexity.
Providing appropriate safety training to all personnel highlights management’s
commitment to providing an effective SMS. The applicant should have a means
to ensure that the key function of SMS training is to create awareness of the SMS
and all personnel’s (internal and external) involvement within the system.
•
The applicant’s SMS training should focus on the identification and reduction of
hazards in the system, and the significance of the human component in achieving
this.
•
Depending on the size and/or complexity of the organisation, the SMS training
may include:
SMS training for all personnel, and where possible third party service
providers
C
-
AS
A
U
se
•
-
SMS training aimed at the safety responsibilities of key personnel and
other senior management
-
specific safety training and SMS training for operational personnel
-
specific safety training for safety specialists.
•
The applicant should develop and maintain a safety training program that
ensures personnel are trained and competent to perform their SMS duties. The
scope of the safety training program should be appropriate to each individual’s
involvement in the organisation’s SMS.
•
The applicant’s SMS training program should include:
-
the conduct of a Training Needs Analysis (TNA)
-
an SMS Induction Course
-
SMS recurrent training
-
continuous improvement and review of the SMS courses.
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(a)
Conduct of a Training Needs Analysis
•
SMS Induction Course
•
The applicant should have a means for ensuring that all personnel, including
safety-critical personnel, operational personnel, supervisors, managers and
senior management within the applicant’s organisation, take part in an SMS
induction course and recurrent SMS training.
•
The applicant should ensure that their SMS induction course is made available to
third party contractors, part-time employees and temporary workers who are
conducting activities related to the organisation’s operations.
SMS Recurrent Training
The applicant should be able to demonstrate that they have an on-going program
of SMS training for all employees.
•
While the training doesn’t necessarily have to be the same as the SMS induction
training, the applicant’s recurrent training should cover:
a review of the organisation’s SMS principles
-
hazard identification and risk mitigation (risk assessment)
-
hazard reporting
-
review of safety occurrences and/or reports
any changes/improvements to the organisation’s SMS
safety objectives (have targets been met?)
HF&NTS principles.
C
-
U
-
-
(d)
se
O
•
AS
A
(c)
nl
y
(b)
In order for the applicant to develop an internal SMS training program, the
organisation should have undertaken a TNA to determine what level of SMS
training is required.
Continuous Improvement
•
C4.4.2
The applicant should demonstrate that information gathered from various
feedback mechanisms (e.g. critiques/surveys) is used to regularly amend/review
future courses. This process should form part of the continuous improvement
cycle of the organisation’s SMS.
SMS Safety Communication
•
The applicant’s on-going safety promotion and communication program should
ensure that the personnel benefit from safety lessons learned and continue to
understand the organisation’s SMS.
•
Safety communication is essential to maintaining two-way communication,
ensuring that all staff are informed and that their feedback is captured and acted
upon where appropriate.
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•
-
ensure all staff are aware of the organisations SMS
-
convey safety critical information
-
explain why particular actions are taken
-
explain why safety procedures are introduced or changed.
•
The applicant may also use safety communication as a valuable tool to
communicate ‘good to know’ safety principles and information to staff.
•
The applicant should have developed a formal means for safety communication
that:
ensures personnel are aware of the SMS to a degree commensurate with
their positions
-
conveys safety-critical information
-
explains why particular safety actions are taken
-
explains why safety procedures are introduced or changed.
O
nl
y
-
se
The applicant should have methods to achieve safety communication. Such
methods should include:
standards for safety communication
-
the delivery of safety communication
-
the feedback and review loops for safety communication.
U
-
AS
A
•
Standards for Safety Communication
•
All methods of safety communication require competence, skill and experience in
order to be effective. The applicant should provide a means for their senior
management personnel to determine the best methods for getting the SMS
message across as a part of the organisation’s safety strategy.
•
The applicant should have a means to ensure, through effective communication,
that all personnel are aware of the SMS to a degree commensurate with their
positions.
•
The applicant should have a means to ensure they use their safety
communication processes to highlight relevant hazard reporting outcomes,
recommendations from safety meetings, internal investigations, and to highlight
various improvements to the SMS (e.g. why particular safety actions are taken,
why safety procedures are introduced and/or changed).
•
Safety communication is closely linked with safety training and the dissemination
of information. Therefore, the applicant should base safety topics on the
experience of past events and/or incidents, hazards or potential hazards raised
by recent hazard analyses, and observations from routine internal safety audits.
•
Where appropriate, the applicant may have a means for sending some safetyrelated outcomes and/or information to third party contractors or customers in
order to highlight the applicant’s commitment to improving safety.
C
(a)
At a minimum safety communication should:
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Safety Promotion Delivery
(c)
The applicant may deliver safety communication and promotion internally through
various methods, such as:
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SMS training courses
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a safety newsletter or bulletin
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posters
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DVDs
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a safety ‘stand-down’ day
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workshops and/or seminars.
Safety Communication Feedback and Review
In order to be effective, safety communication should be a ‘two-way’ process. The
applicant should provide a means for managers to convey safety messages, and
for personnel to be able to voice their concerns and have them acted upon so
that the feedback loop is closed. Various methods may be used to achieve this,
such as:
surveys
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questionnaires
-
observations
-
interviews.
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(b)
As part of the continual improvement process the applicant should have a means
to evaluate whether the current communication processes are being received,
and are relevant and understood.
•
The applicant should have a means to ensure safety communication content and
methodologies are reviewed in response to feedback.
•
The applicant should have a means for ensuring that safety-related outcomes are
widely published. It is essential that the operator publishes safety-related
outcomes raised through the hazard/risk reporting process. This ensures that
safety messages communicated and promoted by the organisation are widely
read, understood and acted upon.
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C4.5
Other Requirements Specific to a CASR Part 142 SMS
References
CASR: 142.265(1)(b)&(c), 142.265(8)
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Introduction
The applicant’s SMS must have processes in place to ensure authorised Part 142 activities
are conducted in a planned and systematic manner; this includes processes for identifying
and addressing deficiencies in training outcomes.
Things for Consideration
The following information and questions may be of value in determining if the applicant’s
SMS integrates quality assurance processes for the applicant’s activities and flight simulator
training devices.
C4.5.1
Monitoring the Conduct of the Activities
The SMS should support the authorised activities in a structured and systematic
way, by providing the policy and procedures for monitoring the conduct of the
activities and ensuring they are conducted to the highest possible standard.
The applicant must provide a process for auditing the activities in order to:
confirm that the applicant’s systems, processes and procedures ensure
that the activities are conducted in a planned and systematic manner
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determine the effectiveness of the training
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identify and correct deficiencies.
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Auditing the Activities
•
The applicant should describe, within the safety assurance section of the SMS
manual, a program of scheduled internal audits.
•
The applicant’s internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
the activities are conducted in accordance with the applicant’s written
procedures, contained within the exposition and supporting documents
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•
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the activities are conducted in compliance with relevant civil aviation
legislation
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the activities are conducted to the highest possible standard and the
desired outcomes are being achieved
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the applicant’s written procedures are relevant to the activities, and are
adequate to ensure ongoing compliance.
The applicant’s SMS manual should describe the following in relation to the
auditing of activities:
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a statement of the scope for each scheduled audit
-
how internal audits are to be planned, conducted and documented
-
how evidence is to be collected and analysed
-
how non-compliances are to be recorded
-
how findings are to be reported
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how findings will contribute to the continuous improvement of the activities
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how feedback is to be provided and received
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the requirement to report significant audit findings to CASA, including who
is responsible and how these reports will be provided.
The applicant’s internal audit program should include, but would not be limited to,
procedures for:
reviewing the applicant’s written procedures and practices for the conduct
and management of activities, and ensuring course participants,
instructors and examiners are complying with them
-
reviewing all SMS elements, in particular hazard identification and risk
management procedures
-
reviewing the training management system, including training records and
course syllabuses, to assist in determining student progress and identify
any patterns of training deficiencies
-
reviewing the internal training and checking system, including records
relating to standardisation and proficiency checks, and personnel
qualifications
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receiving feedback from instructors and examiners relating to student
progress
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surveillance activities (e.g. monitoring the conduct of individual theory and
flight lessons)
-
reviewing training outcomes, which may be via pass rates, post-flight test
feedback from examiners and average hours required to achieve a
qualification (further considerations in relation to the evaluation of training
outcomes are provided in section C4.5.1(c) of this handbook)
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reviewing theory examination outcomes.
The applicant should provide evidence to verify that, at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
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•
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a description of the audit findings and observations (e.g. non-compliances
or change recommendations)
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evidence in support of audit findings and observations
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required follow up and corrective actions
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a plan for the implementation of corrective and preventative actions
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a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
The applicant should describe a means to verify that following each audit, the
applicant’s written procedures and course syllabuses will be assessed and
improved where necessary in order to address any identified patterns of training
deficiencies.
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managing the applicant’s internal audit program
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carrying out internal audits at each of the applicant’s training bases
-
identifying and recording any audit findings or deficiencies, and providing
evidence in support of these findings or deficiencies
-
analysing the root cause of a finding or deficiency
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developing and recommending corrective and preventative actions
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conducting management reviews to ensure corrective and preventative
actions are addressed within an acceptable timeframe.
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To support the effectiveness of the SMS, the applicant should provide a means
for personnel conducting internal audits to:
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•
The SMS manual should identify personnel within the organisation who have the
training, experience, responsibility and authority for:
-
maintain independence so as not to be subject to undue influence
-
report directly to the safety manager, and for the safety manager to report
audit findings directly to the chief executive officer.
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•
The number of audits required will vary dependent upon the size of the
organisation and the scope of the activities. The applicant’s schedule for internal
audits should ensure that all aspects relating to the conduct of the activities are
audited within a 12 month period.
•
The applicant’s internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
•
The applicant should provide a means for the safety manager to report to the
chief executive officer in relation to audit findings.
•
The applicant may require personnel involved in the conduct of internal audits
(normally the safety manager or delegate) to have received internal quality
auditor training. Considerations in relation to additional qualifications and
experience for the safety manager are provided in section C1.7.3 of this
handbook.
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(b)
Promoting Continual Improvement of the Activities
•
The applicant should continually seek to improve the standards and outcomes
achieved in the conduct of the activities.
•
The applicant must describe, within the safety assurance section of the SMS
manual, a process for promoting the continual improvement of the activities.
•
The continual improvement of the activities may include, but would not be limited
to, procedures which:
-
ensure the ongoing promotion of the applicant’s safety policy and
objectives
-
provide for regular review of the activities to determine the validity of the
safety policy and objectives
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encourage personnel to provide feedback and suggestions for
improvement in relation to the activities (e.g. providing mechanisms for
feedback relating to the applicant’s resources, written processes and
procedures)
-
encourage course participant feedback (e.g. via observations during dayto-day conduct of the activities, surveys, comments made during audits,
end of course evaluations)
-
ensure the timely implementation of corrective and preventative actions in
response to deficiencies identified or recommendations made by the SMS
and audit program
-
ensure changes are communicated to personnel.
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Evaluation of Training Outcomes from Examiner Feedback
The SMS must provide a process for evaluating the training outcomes from preflight test assessments and post-flight test feedback from examiners.
•
To evaluate training outcomes, the applicant’s SMS manual should describe a
means for receiving feedback from examiners, and identify the person who is
responsible for reviewing and evaluating the feedback.
•
When deficiencies in training are identified via the evaluation of examiner
feedback, the applicant should have a means to ensure that:
-
(d)
an investigation into the root cause of the deficiency is undertaken
(considerations in relation to internal safety investigation are provided in
section C4.3.2 of this handbook)
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(c)
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recommendations for corrective and preventative actions are made
a plan is established for the implementation and monitoring of corrective
and preventative actions.
The applicant may choose to review root causes raised over a period of time, in
order to determine any significant trends and identify areas requiring further
rectification.
•
The applicant should describe how feedback and evaluations in relation to
training outcomes are to be recorded and retained.
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•
Assessment of the Suitability of Facilities and Resources
•
The applicant’s SMS must provide a process for the regular assessment of the
suitability of the facilities and resources used in the conduct of the activities.
•
The applicant’s process for assessing the suitability of facilities and resources
should include procedures for assessing:
-
each FSTD, to determine it remains suitable for each described purpose
under CASR Part 61 (the device’s systems and capabilities should be
appropriate for the particular activity and the stage of training for which it
will be used)
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o
instructional aids relevant to the activities are available and are of
an adequate number (such as suitably sized smart boards or
whiteboards)
o
training aids and equipment relevant to the activities are available
and are of an adequate number (such as audio-visuals and charts)
o
examination areas are of a number and size appropriate to the
number of course participants, and include furniture and
equipment required for the conduct of examinations
o
examination material is maintained in secure storage with
appropriate controls in place for examination access
o
the reference library and operational information are up to date,
relevant to the conduct of the activities, and readily available.
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briefing rooms are of a number and size appropriate to the number
of course participants, free from outside disturbances, adequately
furnished and equipped, and have provision for adequate climate
control
The applicant should describe how facility and resource assessments will be
recorded and retained.
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Change Recommendations
The applicant’s SMS must provide a process for recommending changes to the
applicant’s systems for safety management, training management and internal
training and checking.
•
The applicant should describe the means whereby personnel can make change
recommendations in relation to each of these systems.
•
Recommendations for change should be raised and reviewed in accordance with
the applicant’s change management processes, described within the applicant’s
exposition or document to which the exposition refers.
•
Considerations in relation to change management processes are provided in
sections C3.10 and C4.3.3 of this handbook.
C4.5.2
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(e)
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•
the facilities at each training base, to determine if:
O
-
Operation and Maintenance of Flight Simulation Training
Devices
•
Considerations in relation to the operation and maintenance of flight simulation
training devices are provided in section C3.5.2 of this handbook.
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CASR Part 142
Technical Assessor Handbook
C5
EXPOSITION PART 5:
APPENDICES
C5.1
Other Documents
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In this section of an exposition, an applicant may include a list of manuals and other
documents provided in support of the application. Other documents may include system
forms or other proforma’s mentioned in the exposition. If not included as appendices under
this part, the other documents must be included in relevant parts of the exposition or
manuals.
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CASR Part 142
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APPENDIX 1 – CASR Part 142 Technical Assessor
Worksheet
The following Technical Assessor Worksheet is an appendix of this handbook:
1. CASR Part 142 – Technical Assessor Worksheet
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Note: The technical assessor worksheet is contained in an electronic excel format and
published with this technical assessor handbook on the CASA website suite of manuals under
the topic Flight Operations.
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Technical Assessor Handbook
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APPENDIX 2 – Reserved
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USER INSTRUCTIONS
PAGE 1 of 6
Version 1.0: June 2014
Issued in accordance with the following legislation as current on the ComLaw website June 2014:
Part 142 of the Civil Aviation Safety Regulations 1988 (CASR)
Civil Aviation Legislation Amendment (Flight Crew Licensing and Other Matters) Regulation 2013
Document F2013L02129 - December 2013
User Instructions - General
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Important information
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1. This worksheet contains the assessment criteria that, at a minimum, an assessor must consider in
undertaking a technical assessment. Whilst some questions may appear to be a simple yes/no
response an assessor is required to undertake a qualitative assessment for each assessment question,
having regard to the suitability of procedures and practices that enable the applicant to conduct their
operations safely.
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2. This worksheet is intended to be used in conjunction with the CASR Part 142 Assessor Handbook
and relevant legislation. Its purpose is not to provide formal notification to an applicant on outcomes but
to maintain a CASA record of the assessment. Applicants should be notified of the outcomes to their
assessment through formal documentation as specified in various CASA policies.
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3. This Handbook Appendix (technical assessor worksheet) is a web-based asset. This means that once
it is printed or saved locally it becomes an uncontrolled document and you may not be using the latest
revision. As a user of this Appendix, it is recommended that you always use the published electronic
version.
4. A “Blank Worksheet” has been developed and provided as part of this Appendix as a means to
address new or amended legislation and/or to enter additional assessment criteria questions and
comments relating to the assessment of an application for a CASR Part 142 authorisation.
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5. There may be editorial delays between any future legislation amendments and their associated CASA
documentation, due to CASA processes. It’s the user’s responsibility to ensure they are referring to the
latest revision of this worksheet and check its content revision status for currency against the current
legislation. Legislation content applicable to this version of the Assessment Worksheet is described
above.
6. This electronic assessment worksheet may be filtered and printed or saved as a PDF and provided to
the applicant to support CASA’s findings. However, to ensure the record of communications of the
assessment are not compromised, this worksheet must not be provided to an applicant in any other
means, including in the current excel format.
CASR Part 142 Technical Assessor Worksheet - Appendix 1
USER INSTRUCTIONS
PAGE 2 of 6
Worksheet Tabs
This is the main section to access the assessment criteria
for assessing compliance against relevant legislation for
the issue of a CASR Part 142 authorisation.
The sign off sheet is used to record the final assessment
result/recommendation.
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A Blank Worksheet has been developed and provided
within this Appendix as a means to address new or
amended legislation and/or to enter additional assessment
criteria questions and comments relating to the
assessment. This worksheet may also be used as a note
pad.
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Column E - More Info
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The 'More Info' column is located within the Assessment Worksheet tab
and is referenced as Column 'E'. The purpose of this column is to provide
background to the questions and indications of how criteria may be
satisfied. This is for guidance only and further information is provided in
the CASR Part 142 - Assessor Handbook.
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Each assessment Subpart begins with a 'Title Row' which may contain
further information regarding the assessment criteria. Where further
information is available, the 'More Info' column contains a red arrow in the
top right hand corner of the cell. Click on this cell to review the comments.
Note: Due to limited cell size only some
reference information will be contained. For
further information, refer to the latest
revision of the CASR Part 142 Assessor
Handbook. In particular, the section titled
'Things for Consideration'.
Column J - Comments
The purpose of this column is for the user to enter relevant comments and decision rationale for the
assessed criteria, which will support the final status. Relevant comments include why and where
there are areas for clarification or to highlight requirements for verification.
Note: For traceability it is recommended comments be provided against each assessment criteria
and retained even if compliance is eventually achieved.
If you need to enter onto a new line within a specific cell (i.e. comments cells) use ALT+Enter.
CASR Part 142 Technical Assessor Worksheet - Appendix 1
USER INSTRUCTIONS
PAGE 3 of 6
Column G - Applicant Exposition or Manual Reference
This cell enables the Assessor to record the reference to where the evidence of compliance can be
found in the applicant's exposition or related manual (i.e. the applicant's operations manual). This
may be a reference to a page number or a numbered heading as applicable.
Cell J1 – Operator Name and Assessment Date
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The purpose of this cell is to enter the operator’s name and the date of assessment. This is achieved
by:
1. Right Click in Cell J1
2. Click in the Formula Bar after Operator Name and type the name of the operator
3. Click after the text Assessment Date and type the date of assessment Column H - Present
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There are five available responses:
Yes
No
Site Visit
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The purpose of this column is to indicate, through a desktop assessment, if the necessary evidence
has been supplied.
MI (More Information)
N/A (Not Applicable)
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Where the assessment criteria has multiple sub elements, the criteria will pre-populate in a specific
order of priority based on the responses to the sub elements. This assists the Assessor as it
automatically shows the most critical response. The order of priority for these responses is:
'No', 'MI', 'Site Visit', 'Yes', 'N/A'
E.g. If one sub element to the criteria is 'No' this will automatically populate a 'No' against the criteria.
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Note: The Site Visit response enables the Assessor to note the items for which a site visit is required
to determine compliance.
Column I - Satisfactory
The purpose of this column is to indicate if the evidence complies with the relevant legislation.
There are four available responses:
Yes
No
MI (More Information)
N/A (Not Applicable)
Where the assessment criteria contains multiple sub elements, the criteria pre-populates the same
way it does for the present column, with the order of priority being: 'No', 'MI', 'Yes', 'N/A'
Note: Onsite verification and testing may be required to complete this section, and will have been
determined in the desktop assessment by selecting 'site visit' in the 'present' column.
CASR Part 142 Technical Assessor Worksheet - Appendix 1
USER INSTRUCTIONS
PAGE 4 of 6
Subpart Status
The purpose of these Status fields is to allow the assessor to record
an appropriate decision on the overall compliance within a particular
assessment subpart. To enter the relevant status, select the
appropriate response using the drop down menus in the 'Title Row'.
The status should reflect one of the following:
Satisfactory: The overall status for the particular assessment part is satisfactory. This means the
assessment criteria under that subpart has been satisfied through a 'Yes' status.
Unsatisfactory: The overall status for the particular assessment part is unsatisfactory and/or may
require further information. This means that the assessment criteria under that particular subpart
contains a 'No' or 'More Information' status.
Not Applicable: The overall status for the particular assessment part is not applicable. This means that
all of the assessment criteria under that subpart contains an 'N/A' status and that the criteria is not
applicable to the assessment.
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Note: A status of Not Applicable must include justification as to why the content is not applicable.
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Sorting/Filtering the worksheet
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The worksheet can be filtered and sorted to assist with identifying
outstanding and unsatisfactory items. You can filter more than one
column and even tick multiple criteria which will enable you to filter a
single heading by multiple options.
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Sorting/Filtering data
This action displays only certain criteria and hides some of the data in
your worksheet. Using the drop down arrows against each heading,
click the arrows to view the list of available filters for each row.
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Applying Multiple Filters
You can further filter the results by selecting options from another
column's drop down list. Rows that don't meet the criteria are hidden,
rows that remain visible have a blue number in the row. The drop
down arrow also changes to a filter symbol (see Filters Applied screen
shot below).
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Removing Filters
To remove a filter applied to one column in a range or list, click the
filter button for that column and select 'clear filter from.....'. To remove
filters applied to all columns in a range or list, select "clear" from the
Sort and Filter drop down menu under the editing group of the home
tab.
Filters
Applied
CASR Part 142 Technical Assessor Worksheet - Appendix 1
USER INSTRUCTIONS
PAGE 5 of 6
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Some popular filters:
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You may wish to apply more than one filter to criteria. This is
particularly useful when you only want to display those questions that
are not yet satisfactory.
For example: you have completed the desktop assessment and now
need to go onsite to verify and test some of the criteria. You only
want to display the items still to be verified.
To do this, apply a filter to the 'present' column by ticking only the
“MI”, “SiteVisit” and “No” options.
Refer to the example on the following page for what a worksheet
could look like with filters applied.
Printing The Worksheet
The assessment worksheet tab has been set up to print in landscape at A3 size. You can print either
to a printer or to PDF. You can also chose to filter specific information before printing. For example,
you may like to filter the 'present' column by status 'Site Visit' and print a report detailing only those
items required to be verified and tested onsite.
CASR Part 142 Technical Assessor Worksheet - Appendix 1
USER INSTRUCTIONS
PAGE 6 of 6
Examples of a Filtered Worksheet:
The following worksheet has a filter applied to the 'present' column. This is visible by the auto filter
symbol in cell H1 and by the blue row numbers.
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The filtering options ticked on this column were: 'MI' 'Site Visit' and 'No'
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Another useful filter is by legislation reference. This filter enables you to conduct the assessment by
legislation requirements, rather than using the headings and flow in the current view.
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This is completed by unticking the 'select all' filter in column B and filtering by only one legislation
reference (e.g. regulation 142.340)
CASR Part 142 Technical Assessor Worksheet - Appendix 1
Assessor Recommendation
CASR Part 142
Applicant ARN:
Name of
Assessor:
Task Reference
Number:
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Name of
Applicant:
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This form certifies that the CASR Part 142 application for the above named applicant has been assessed in accordance with the Assessor Handbook and
this Assessor Worksheet and successfully demonstrates compliance with all assessment criteria.
Recommendation
Yes
No
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Applicant complies with legislative requirements:
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ASSESSMENT REMARKS AND RECOMMENDATIONS
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Comments and any relevant conditions/restrictions/limitations applicable
Signature of Assessor:
Last Printed 1/08/2014 1:15 PM
Date of Assessment:
Page 1 of 1
CASR Part 142 Technical Assessor Worksheet - Appendix 1
Assessment Worksheet
CASR PART 142
CASR
sub para
More
Info
Handbook
Reference
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Applicant
Exposition
or Manual
Reference
Present?
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
Operator Name:
Assessment Date:
1
EXPOSITION PART 1 - ORGANISATION AND PERSONNEL

C1
Insert Comments/Justification of Decisions against each question below
(as applicable)
2
APPLICANT DETAILS

C1.1
Comments
10
11
12
13
(1)(a)
contact details?
142.340 (1)(b)(i)
operational headquarters address?
142.340 (1)(b)(ii)
address of each training base?
19
20
23
24
25
26
27
28
29
30
31
32
33
34

Does the exposition include a description and diagram of the applicant's organisational structure?
142.340
(1)(c)
Does the diagram show:
142.340
(1)(c)
formal reporting lines?
142.340
(1)(c)
formal reporting lines for each of the key personnel?
sect. 28 CAA
(1)(b)
(1)(c)
142.160
If the application is for an AOC authorising activities in aircraft or aircraft and an FSTD, has the applicant
demonstrated that the chain of command of the organisation is appropriate?
142.160
the number and kinds of aircraft and/or flight simulation training devices used?
142.160
(1)(c)
the number and location of training bases used?
142.160
(1)(d)
the number of the applicant’s personnel?
142.160
(1)(e)
--
--
--
--
--
--
C1.2.3(a)
C1.2.3(b)
C1.2.3(c)
C1.2.3(d)
If the applicant conducts flight training, does the structure take into account the number of course
participants?
C1.2.3(e)
If the applicant conducts contracted recurrent training, does the structure take into account:
142.160
(1)(f)
the number of contracting operators?
142.160
(1)(f)
the number of personnel for which the applicant conducts the training?
C1.2.3(e)
C1.2.3(e)
C1.2.3(e)
If the applicant conducts contracted checking, does the structure take into account
142.160
(1)(g)
the number of contracting operators?
142.160
(1)(g)
the number of personnel for which the applicant conducts the checking?
CORPORATE STRUCTURE
142.340
(1)(d)
142.340
(1)(d)
does the exposition include a description of the corporate structure?
142.085
(1)(d)
is each officer of the corporation a fit and proper person to be an officer of the corporation?
C1.2.3(e)
C1.2.3(e)
C1.2.3(e)

If the applicant is a corporation:
KEY PERSONNEL
Comments
C1.3
C1.3
--
--
C1.3
C1.3

Have all key personnel positions been filled?
142.340 (1)(e)(iii) Does the exposition identify all key personnel appointees by name?
Last Printed: 1/08/20141:15 PM
--
C1.2.2
C1.2.3
(1)(b)
(1)(c)
--
C1.2.2
If the application is for a certificate authorising activities in an FSTD, has the applicant demonstrated that
the chain of command of the organisation is appropriate?
the nature and complexity of the activities?
142.160
Comments
C1.2.1
(1)(a)
142.100
C1.2.1
C1.2.1
142.160
142.160
C1.2
C1.2.1
Does the structure take into account:
21
22
C1.1.3
(1)(c)
142.110
18
C1.1.3
142.340
15
17
C1.1.2
ORGANISATIONAL STRUCTURE
14
16
C1.1.1
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142.340
C1.1.1
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ABN, if applicable?
--
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7
142.340
(1)(a)
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name, including any operating or trading name?
--
C1.1
A
5
142.340
(1)(a)
Does the exposition include the applicant’s:
AS
4
(1)
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3
142.340
C1.4
Comments
C1.4.1
C1.4.1
Page: 1 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
(1)(e)
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Have each of the applicant’s key personnel been assessed as a fit and proper for the position?
Handbook
Reference
36
C1.4.3
37
142.340 (1)(e)(iv) Does the exposition name each person who will carry out the responsibilities of a key person, when the
position holder is absent or unable to do so?
C1.4.3
142.165
(1)
142.165
(2)(a)
39
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
142.170
Does the applicant provide familiarisation training for key personnel?
142.170
Are key personnel required to complete familiarisation training prior to carrying out their responsibilities?
(1)(c)
142.085
(1)(c)(i)
142.085 (1)(c)(ii)
142.110
(1)(a)
a fit and proper person to be issued the certificate?
142.110
(1)(e)
the proposed chief executive officer?
operational management of air operations?
142.175
financial management of air operations?
142.175
people management of air operations?
C1.5.2
having additional qualifications and experience, if required by the applicant?
142.085 (1)(e)(iv)
having additional qualifications and experience, if required by CASA?
142.180
Does the applicant provide a means for the chief executive officer to ensure the applicant:
142.180 (1)(a)(i)
has sufficient suitably experienced, qualified and competent personnel?
142.180 (1)(a)(ii)
has a suitable management structure?
142.180 (1)(a)(iii)
is adequately financed and resourced?
142.180 (1)(b)(i)
sets and maintains standards for the activities in accordance with its exposition?
142.180 (1)(b)(ii)
complies with civil aviation legislation?
If the applicant conducts activities in aircraft, does the applicant provide a means for the chief executive
officer to ensure the applicant:
142.180 (1)(c)(i)
implements and manages the safety management system?
142.180 (1)(c)(ii)
has procedures that ensure all personnel understand the applicant’s safety policy?
Last Printed: 1/08/20141:15 PM
--
--
--
--
--
--
--
--
--
C1.5.2
142.085 (1)(e)(iii)
142.180
67
Has the chief executive officer been assessed as:
--
C1.5.1
142.340 (1)(e)(i) If the applicant requires the chief executive officer to hold qualifications and experience in addition to those
under subpart 142.D, are these described in the exposition?
142.085
C1.5.1
C1.5.1
Does the chief executive officer have sufficient relevant experience in:
142.175
--
C1.5.1
If the applicant is an individual and conducts activities in FSTDs, is the applicant:
organisational management of air operations?
--
Comments
C1.5.1
the proposed chief executive officer?
142.175
C1.5
C1.5.1
a fit and proper person to be issued the AOC?
142.110
142.175
C1.4.4

If the applicant is an individual and conducts activities in aircraft, is the applicant:
(1)
65
66
C1.4.4
CHIEF EXECUTIVE OFFICER
142.085
C1.4.3
O
44
to advise CASA within 3 days if there is another person authorised to carry out the responsibilities?
U
se
43
--
C1.4.3
A
42
(2)(b)
C1.4.3
to advise CASA within 24 hours if there is not another person authorised to carry out the
responsibilities?
AS
41
142.165
If the applicant becomes aware that a key person is unable to carryout their responsibilities for longer than
35 days, does the applicant have a procedure:
C
40
--
Operator Name:
Assessment Date:
C1.4.2
142.340 (1)(e)(v) Does the exposition describe how the responsibilities for each key person will be managed when the
position holder is absent or unable to do so?
38
Applicant
Exposition
or Manual
Reference
Satisfactory?
142.085
sub para
More
Info
y
35
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
C1.5.2
C1.5.2
C1.5.2
C1.5.3
C1.5.3
C1.5.3
C1.5.3
C1.5.4
C1.5.4(a)
C1.5.4(b)
C1.5.4(c)
C1.5.4(d)
C1.5.4(e)
C1.5.4
C1.5.4(f)
C1.5.4(f)
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Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
maintains an organisational structure where the safety manager is independent and not subject to
undue influence ?
notifies CASA of an arrangement for the supply of turbine-engined aircraft?
142.180 (1)(c)(v)
notifies CASA if the arrangement for supply of a turbine-engined aircraft will affect the safety of
activities?
C1.5.4(g)
notifies CASA if the arrangement for supply of turbine-engined aircraft will contravene the law of the
country in which the aircraft is registered?
C1.5.4(g)
142.180 (1)(c)(v)
71
72
complies with the aviation safety laws of any foreign country where activities are conducted?
142.180 (1)(c)(vii)
will maintain a foreign registered aircraft used in activities, in accordance with the law of the country in
which the aircraft is registered?
142.180
(1)(d)
74
76
77
142.180
establish and regularly review safety performance indicators and targets?
142.180
(1)(f)
ensure the applicant’s exposition is monitored and managed for continuous improvement?
142.180
(1)(g)
ensure key personnel satisfactorily carry out their responsibilities in accordance with the exposition and
civil aviation legislation?
(1)(f)
79
(3)
80
(1)
If required by CASA, has the proposed chief executive officer been assessed, through examination,
interview or training, as suitable for the role?
C1.5.6

(2)(a)
hold and be able to exercise, a flight examiner rating?
142.185
(2)(b)
(3)(a)
(2)(b)
(3)(b)
(2)(c)
hold an air transport pilot licence if any activities relate to the operation of multi-crew aircraft?
142.185
86
142.185
(5)(a)
87
142.185
(5)(b)
88
89
94
hold a Part 61 authorisation to pilot a kind of aircraft used to conduct a significant proportion of the
activities?
have sufficient safety and regulatory knowledge to enable the applicant to conduct the activities safely,
and in accordance with its exposition and civil aviation legislation?
(4)(a)
142.185
(5)(a)
(5)(b)
If the applicant holds an approval under regulation 142.040, does the head of operations have:
at least 500 hours flight time on a kind of aircraft used to conduct a significant proportion of the
activities, or at least 6 months experience in the conduct or management of air operations conducted
under an AOC or equivalent foreign authorisation?
142.340 (1)(e)(i) Does the exposition describe the qualifications and experience, if required by the applicant, in addition to
those required under subpart 142.D?
142.085
Last Printed: 1/08/20141:15 PM
Has the head of operations been assessed as:
--
--
--
--
C1.6.1(a)
C1.6.1(b)
C1.6.1(b)
(2)(f)
--
C1.6.1(a)
have at least 6 months experience in the conduct or management of air operations conducted under an
AOC or equivalent foreign authorisation?
142.185
--
C1.6.1(a)
C1.6.1(b)
have a satisfactory record in the conduct or management of air operations?
142.185
C1.6.1
have at least 500 hours flight time on a kind of aircraft used to conduct a significant proportion of the
activities?
(2)(e)
92
93
hold a commercial pilot licence or air transport pilot licence, in any other case?
142.185
90
91
A
142.185
142.185
Comments
C1.6
For other than a person requiring approval to be head of operations, does the proposed head of operations:
AS
85
C1.5.4(m)
C1.5.5
C
84
--
C1.5.4(l)
If the applicant requires the chief executive officer to have responsibilities or accountabilities in addition to
those in regulation 142.180, are they described in the exposition?
82
83
--
C1.5.4(k)
HEAD OF OPERATIONS
142.185
C1.5.4(j)
C1.5.4
(1)(e)
142.215
C1.5.4(i)
Does the applicant provide a means for the chief executive officer to:
142.180
142.340
C1.5.4(h)
If the applicant conducts the activities only in flight simulation training devices, does the applicant provide a
means for the chief executive officer to ensure the applicant will implement and manage the quality
assurance management system?
78
81
C1.5.4(g)
142.180 (1)(c)(vi)
73
75
C1.5.4(f)
142.180 (1)(c)(iv)
70
Operator Name:
Assessment Date:
O
69
Applicant
Exposition
or Manual
Reference
y
142.180 (1)(c)(iii)
68
Handbook
Reference
nl
sub para
More
Info
Present?
Assessment Worksheet
CASR PART 142
CASR
U
se
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
C1.6.1(b)
C1.6.1(b)
C1.6.1(b)
C1.6.1(b)
C1.6.1(c)
C1.6.1(c)
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98
142.085 (1)(e)(iii)
having additional qualifications and experience, if required by the applicant?
142.085 (1)(e)(iv)
having additional qualifications and experience, if required by CASA?
142.190
(1)
142.190
(2)(a)
99
100
101
102
C1.6.3
safely manage the activities?
C1.6.3(a)
monitor, maintain and report to the chief executive officer on compliance with relevant legislation and
the exposition?
142.190
(2)(b)
set and maintain standards for the activities, in accordance with the exposition?
142.190
(2)(c)
ensure authorised training is conducted in accordance with the training management system?
142.190
(2)(d)
ensure activities are monitored effectively?
142.190
(2)(e)
manage the maintenance and continuous improvement of the fatigue risk management system (if any)?
C1.6.3(c)
107
108
C1.6.3(e)
142.190
(2)(f)
ensure the proper allocation and deployment of aircraft, FSTD and personnel for use in activities?
142.190
(2)(g)
ensure personnel are provided with information and documentation necessary to carryout their
responsibilities?
142.190
(2)(h)
ensure that FSTDs (if any) are used only in accordance with the exposition?
142.190
(2)(i)
ensure that flight simulators or flight training devices, if any, are qualified under Part 60?
142.190
(2)(j)
ensure that synthetic trainers (if any) are qualified under CAO 45.0?
142.190
(2)(k)
if activities are conducted in any other device, the device meets the standards prescribed by an
instrument under regulation 61.045, or is qualified by the national aviation authority of a recognised
foreign state?
109
142.190
(2)(l)(i)
C1.6.3(j)
C1.6.3(j)
(2)(m)
142.190
ensure that each instructor holds a valid standardisation and proficiency check under regulation
142.325?
A
142.190
ensure that each examiner has access to the parts of the exposition relating to the examiner's duties?
ensure that each instructor or examiner:
is authorised under Part 61 to conduct an activity?
142.190 (2)(n)(ii)
has successfully completed training set out in the applicant's internal training and checking system
manual?
142.190 (2)(n)(iii)
142.190
(2)(o)
117
142.190
(2)(p)
118
142.190
(2)(q)
119
142.190
(2)(r)
120
142.190
(2)(s)
121
Last Printed: 1/08/20141:15 PM
C
142.190 (2)(n)(i)
115
116
C1.6.3(i)
AS
142.190 (2)(l)(ii)
114
C1.6.3(h)
C1.6.3(j)
C1.6.3(k)
111
113
C1.6.3(g)
ensure that each instructor has access to the parts of the exposition relating to the instructor's duties?
110
112
C1.6.3(d)
U
se
106
C1.6.3(b)
C1.6.3(f)
105
--
C1.6.1(c)
103
104
--
Operator Name:
Assessment Date:
C1.6.1(c)
Does the applicant provide a means for the head of operations to:
142.190
Applicant
Exposition
or Manual
Reference
Satisfactory?
97
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
y
96
sub para
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Info
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95
Assessment Worksheet
CASR PART 142
CASR
O
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
has successfully completed training in non-technical skills and human factors principles?
C1.6.3(l)
C1.6.3(k)
C1.6.3
--
C1.6.3(m)
C1.6.3(n)
C1.6.3(o)
report to the chief executive officer on compliance with the authorisation and training requirements
under regulation 142.190 (2)(n)?
C1.6.3(p)
ensure that each instructor or examiner who conducts contracted recurrent training or contracted
checking, has access to the contracting operator's training and checking manual?
C1.6.3(q)
tell CASA in writing within 14 days, of the name, position and ARN of an instructor who does not
successfully complete a standardisation and proficiency check mentioned in the applicant's internal
training and checking system manual?
C1.6.3(r)
ensure that effective communications about activities are established and maintained with CASA and
each contracting operator that the applicant conducts contracted recurrent training or contracted
checking?
C1.6.3(s)
ensure that written reports are provided to the head of training and checking of each contracting
operator, about the performance of each person for whom checking or recurrent training is conducted?
--
C1.6.3(s)
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142.340 (1)(e)(ii) If the applicant requires the head of operations to have responsibilities in addition to those mentioned in
regulation 142.190, are they described in the exposition?
(3)
142.185
(6)
125
128
129
142.195
134
135
136
137
138
141
142
143
Are the chief executive officer and safety manager positions occupied by separate individuals?
142.100
(1)(g)
Are the head of operations and safety manager positions occupied by separate individuals?
142.195
(a)
Does the safety manager have sufficient relevant safety management experience to capably lead, manage
and set standards to enable the operator to safely implement its safety management system in accordance
with its exposition?
(b)
Does the safety manager have a satisfactory record in the conduct or management of air operations?
142.195
(c)
Does the safety manager have sufficient safety and regulatory knowledge to enable the operator to conduct
safe authorised Part 142 activities in accordance with its exposition and civil aviation legislation?
C1.7.2
C1.7.2
C1.7.2
142.340 (1)(e)(i) If the applicant requires the safety manager to hold qualifications and experience, in addition to those
required under subpart 142.D, are these described in the exposition?
Has the safety manager been assessed as:
having additional qualifications and experience, if required by the applicant?
142.085 (1)(e)(iv)
having additional qualifications and experience, if required by CASA?
(1)
Does the applicant provide a means for the Safety Manager to manage the SMS?
142.200
(2)
Do the responsibilities of the safety manager include:
142.200
(2)(a)
(2)(b)
142.200 (2)(c)(ii)
managing the maintenance and continuous improvement of the FRMS (if any)?
C1.7.4
--
C1.7.4(a)
C1.7.4(b)
C1.7.4(c)
C1.7.4(c)
142.340 (1)(e)(ii) If the applicant requires the safety manager to have responsibilities in addition to those mentioned in
regulation 142.200, are they described in the exposition?
C1.7.5
If required by CASA, has the proposed safety manager been assessed, through examination, interview or
training, as suitable for the role?
QUALITY ASSURANCE MANAGER
(1)(f)
--
C1.7.4
regularly reporting to the CEO on the effectiveness of the SMS?
managing the maintenance and continuous improvement of the SMS?
142.120
--
C1.7.3
managing the operation of the SMS including managing corrective, remedial and preventative action in
relation to the system?
142.200 (2)(c)(i)
(3)
--
C1.7.3
142.200
142.200
C1.7.3
C1.7.3
142.085 (1)(e)(iii)
142.215
C1.7.6

C1.8
Comments
Are the chief executive officer and quality assurance manager positions occupied by separate individuals?
146
147
C1.7.1
C1.7.1
142.195
142.085
Comments
C1.7
C1.7.1
(1)(f)
144
145

142.100
139
140
C1.6.5
Does the operator employ a safety manager?
132
133
If required by CASA, has the proposed head of operations demonstrated, through flight assessment, their
suitability for the role?
SAFETY MANAGER
130
131
C1.6.5
U
se
127
If required by CASA, has the proposed head of operations been assessed, through examination, interview
or training, as suitable for the role?
A
126
C1.6.4
O
142.215
124
Operator Name:
Assessment Date:
C1.6.3(t)
AS
123
ensure that section 28BH of the Act (Reference Library) is complied with, if activities are conducted in
aircraft?
Applicant
Exposition
or Manual
Reference
y
(2)(t)
122
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
Present?
sub para
More
Info
nl
142.190
Assessment Worksheet
CASR PART 142
CASR
C
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
C1.8.1
142.120
(1)(g)
142.205
(a)
148
142.205
(b)
149
Last Printed: 1/08/20141:15 PM
Are the head of operations and quality assurance manager positions occupied by separate individuals?
C1.8.1
Does the quality assurance manager have sufficient relevant quality assurance management experience to
capably lead, manage and set standards to enable the applicant to safely implement its quality assurance
management system in accordance with its exposition?
C1.8.2(a)
Does the quality assurance manager have sufficient safety and regulatory knowledge to enable the
applicant to conduct authorised Part 142 activities safely and in accordance with its exposition and civil
aviation legislation?
C1.8.2(b)
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155
156
157
158
159
142.085 (1)(e)(iv)
having additional qualifications and experience, if required by CASA?
142.210
142.210
(2)(a)
manage the operation of the QAMS including managing corrective, remedial and preventative action?
142.210
(2)(b)
regularly report to the chief executive officer on the effectiveness of the QAMS?
142.210
(2)(c)
manage the maintenance and continuous improvement of the QAMS?
safely manage the quality assurance management system?
142.110
(1)(d)
163
142.340
(1)(g)
164
142.340
(1)(i)
165
If the application is for a certificate authorising activities in FTSDs, has the applicant demonstrated that the
organisation has sufficient suitably qualified and competent personnel?
C1.9.1
For Part 142 flight training, does the exposition include the name of each instructor appointed by the head of
operations to have responsibility for particular flight training?
C1.9.2(a)
Does the exposition describe the responsibilities under CASR Part 142 of personnel, other than key
personnel?
C1.9.2(b)
OTHER OPERATIONS
AIRCRAFT
142.340
(1)(l)
142.340
(1)(l)(i)
173
174
175
176
177
178
179
142.340 (1)(l)(ii)
If the applicant conducts activities in aircraft, does the exposition include:
the kind and registration mark of each registered aircraft flown into, out of or outside Australian
territory?
the kind, nationality and registration mark of each foreign registered aircraft, if any?
142.340 (1)(l)(iv) If conducting activities in turbine-engined aircraft, does the exposition include a description of:
142.340 (1)(l)(iii)
the leasing or other supply arrangements?
142.340 (1)(l)(iv)
the way the aircraft are managed?
142.340 (1)(l)(iv)
the way the aircraft are maintained?
142.340 (1)(l)(iv)
the way continuing airworthiness of the aircraft is assured?
142.395
(1)
180
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C2
Insert Comments/Justification of Decisions against each question below
(as applicable)

C2.1
Comments
C2.1

If the applicant conducts operations other than Part 142 activities, are these operations described in the
exposition?
C
142.340
170

Is a description of the authorised Part 142 activities, conducted by the applicant, included in the exposition?
168
(1)(q)
Comments
C1.9
C1.9.1
AUTHORISED PART 142 ACTIVITIES
(1)(j)
C1.8.6

167
142.340
C1.8.5
If the application is for an AOC authorising activities in aircraft, or aircraft and FSTDs, has the applicant
demonstrated that the organisation has sufficient suitably qualified and competent personnel?
EXPOSITION PART 2 - ACTIVITIES AND FACILITIES
172
C1.8.4(c)
If required by CASA, has the proposed quality assurance manager been assessed, through examination,
interview or training, as suitable for the role?
166
171
C1.8.4(a)
C1.8.4(b)
OTHER PERSONNEL
162
--
C1.8.4(a)
142.340 (1)(e)(ii) If the applicant requires the quality assurance manager to have responsibilities in addition to those required
under regulation 142.210, are they described in the exposition?
sect. 28 CAA
169
C1.8.4
142.210
(3)
--
C1.8.3
(1)
142.215
--
C1.8.3
Does the applicant provide a means for the quality assurance manager to:
160
161
C1.8.3
having additional qualifications and experience, if required by the applicant?
Satisfactory?
Has the quality assurance manager been assessed as:
142.085 (1)(e)(iii)
--
C1.8.3
y
154
142.085
Operator Name:
Assessment Date:
nl
153
142.340 (1)(e)(i) If the applicant requires the quality assurance manager to hold qualifications and experience, in addition to
those required under subpart 142.D, are these described in the exposition?
Applicant
Exposition
or Manual
Reference
O
152
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
U
se
151
sub para
More
Info
A
150
Assessment Worksheet
CASR PART 142
CASR
AS
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
If using foreign registered aircraft, has the applicant demonstrated that each foreign aircraft will not be used
in Australian territory for more than 90 days in any 12 month period?
Comments
C2.2
C2.2

Comments
C2.3
C2.3.1
--
--
--
--
C2.3.1
C2.3.1
C2.3.2
C2.3.2(a)
C2.3.2(b)
C2.3.2(b)
C2.3.2(b)
C2.3.3
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File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
142.340 (1)(n)(ii)
the purposes mentioned in CASR Part 61 that each device may be used for?
142.340 (1)(n)(iii)
if using flight simulators and flight training devices – the procedures by which the applicant ensures the
simulators and devices are qualified under CASR Part 60?
C2.4.2
if using synthetic trainers – the procedures by which the applicant ensures the trainers are approved
under CAO 45.0?
C2.4.2
189
190
191
if applicable, is qualified by the national aviation authority of a recognised foreign State?
FACILITIES
142.110
196
(1)(e)
142.075
199
200
201
202
203
204
Does the exposition include a description of the facilities used for the activities?
207
208
209
210
211
212
C2.5
If the application is for an AOC authorising activities in aircraft or aircraft and in FSTDs, has the applicant
demonstrated that the facilities are sufficient to conduct the activities safely?
C2.5.2
If the application is for a certificate authorising activities in FSTDs, has the applicant demonstrated that the
facilities are sufficient to conduct the activities safely?
C2.5.2
C2.5.3
142.075
(a)
civil aviation legislation relevant to the activities?
142.075
(b)
parts of the AIP that are relevant to the activities?
142.075
(c)
information about the flight operations of each kind of aircraft necessary for the safe conduct of the
activities?
Present?
--
--
--
--
--
--
C2.5.3
142.075
(d)
sect. 28BH CAA
(1)
Is the reference library readily available to all operating crew members?
sect. 28BH CAA
(3)
Does the applicant have a procedure to ensure the library is kept up-to-date and readily accessible?
sect. 28BH CAA
(4)
Does the applicant keep up-to-date records of the distribution of operational documents to:
sect. 28BH CAA
(4)
flight crew?
sect. 28BH CAA
(4)
cabin crew?
sect. 28BH CAA
(4)
employees involved with fuelling, loading or despatching aircraft?
142.125
(1)
any other publications, information or data required by the applicant's exposition, if any?
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
If the applicant conducts activities in flight simulation training devices only, does its reference library include:
C2.5.3
142.125 (2)(a)(i)
all operational documents and material?
142.125 (2)(a)(ii)
civil aviation legislation relevant to the activities?
142.125 (2)(a)(iii)
parts of the AIP that are relevant to the activities?
142.125 (2)(a)(iv)
information about the operation or maintenance of each kind of flight simulation training device used?
142.125 (2)(a)(v)
any other publications, information or data required by the applicant's exposition, if any?
142.125
(2)(b)
Is the reference library readily available to all personnel?
142.125
(2)(c)
Does the applicant have a procedure to ensure the library is kept up-to-date and readily accessible?
Last Printed: 1/08/20141:15 PM
Comments
C2.5.3
205
206
C2.4.2
C2.5.1
If conducting activities in aircraft, does the applicant's reference library include:
197
198
C2.4.2

193
195
C2.4.2
(B)
sect. 28 CAA
194
if using any other device, the applicant’s procedures to ensure that the device:
142.340 (1)(n)(v)
192
--
C2.4.1
if applicable, meets the qualification standards prescribed by a legislative instrument under
regulation 61.045, or
142.340
--
C2.4.1
142.340 (1)(n)(v)
(A)
(1)(p)
--
y
142.340 (1)(n)(v)
--
nl
142.340 (1)(n)(iv)
Operator Name:
Assessment Date:
Comments
C2.4
a description of the devices?
186
188
C2.4
142.340 (1)(n)(i)
185
187

If the applicant conducts activities in flight simulation training devices, does the exposition include:
Applicant
Exposition
or Manual
Reference
O
184
(1)(n)
Handbook
Reference
U
se
183
FLIGHT SIMULATION TRAINING DEVICES
142.340
More
Info
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
A
182
sub para
AS
181
Assessment Worksheet
CASR PART 142
CASR
C
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
Page: 7 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
142.125
(3)
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Does the applicant keep up-to-date records of the distribution of operational documents to personnel?
EXPOSITION PART 3 - SYSTEMS AND PROCESSES

215
PART 142 FLIGHT TRAINING AND CONTRACTED RECURRENT TRAINING

216
142.250
Does the applicant have a training management system?
142.255
For each kind of authorised Part 142 flight training or contracted recurrent training, does the training
management system include:
218
222
223
a course outline?
142.255
(a)
a detailed syllabus?
142.255
(a)
the standards to be met?
142.255
(a)
record forms?
142.255
(b)
the procedure to be followed when a standard is not met?
142.255
(c)
an auditable system for maintaining records of the results of the operator’s flight training or contracted
recurrent training?
224
225
226
227
228
229
(1)
142.385
(1)
232
235
236
240
241
C3.1
C3.1.9
to the training area?
142.385
(2)(c)
on a cross-country flight?
142.385
(2)(d)
at night?
142.385
(3)
142.386
has been briefed appropriately for the flight?
142.386
(2)(b)
is capable of conducting the flight safely?
Last Printed: 1/08/20141:15 PM
--
C3.1.9
C3.1.9
(2)(a)
--
C3.1.9
has completed training, as described in the applicant’s training management system manual or
exposition, for the conduct of a solo flight of that kind?
has been assessed as competent to conduct the solo flight?
--
C3.1.9
C3.1.9
(3)(b)
--
C3.1.9
Do the procedures for assessing the competency of a student pilot to fly solo for the first time ensure that
the student pilot:
142.385
--
C3.1.6
Does the applicant have a procedure to ensure the competency of a student pilot prior to flying solo for the
first time:
(2)(b)
--
C3.1.5
C3.1.8
142.385
(3)(a)
C3.1.4
Does the applicant have a means to ensure that a person flying as pilot in command is authorised to do so
under CASR Part 61?
in the circuit?
142.385
C3.1.3
C3.1.7
(2)(a)
238
C3.1.2
Does the applicant have a means to ensure its instructors and examiners only conduct activities for which
they are authorised under CASR Part 61?
142.385
237
239
For authorised Part 142 activities, does the exposition include:
the requirements for the assignment of command responsibility during flight?
142.365
--
C3.1.2
142.340 (1)(j)(iii)
231
234
C3.1.2
the minimum qualifications and experience for personnel conducting the activities?
142.230
233
C3.1.2
142.340 (1)(j)(ii)
230
--
C3.1.2
C3.12
142.340 (1)(j)(iv) For contracted recurrent training, does the exposition include procedures to ensure that the training is
conducted in accordance with the contracting operator’s training and checking manual and standard
operating procedures?
(1)(j)
C3.1.1
C3.1.2
142.340 (1)(s)(iii) Does the exposition include a training management system manual, describing the applicant's training
management system?
142.340
Comments
C3.1
U
se
221
(a)
A
220
142.255
AS
219
Insert Comments/Justification of Decisions against each question below
(as applicable)
C3.1.2
C
217
Does the exposition contain a description of procedures by which the applicant conducts and manages the
activities, including the supervision of instructors and persons participating in activities?
Operator Name:
Assessment Date:
O
(1)(k)
Applicant
Exposition
or Manual
Reference
C2.5.3
214
142.340
Handbook
Reference
Present?
sub para
More
Info
y
213
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
C3.1.9
C3.1.9
C3.1.9
Page: 8 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
243
142.386
(2)(d)
142.385
(4)
244
142.385
(4)
245
246
247
248
249
250
has completed the solo flight training, mentioned in the training management system manual or
exposition, for the rating or endorsement?
(4)
142.386
(2)(a)
has been briefed appropriately for the flight?
142.386
(2)(b)
is capable of conducting the flight safely?
142.386
(2)(d)
has an ARN?
142.370
(1)
142.370
(1)
142.370
(1)
142.375
(1)
has been assessed as competent to conduct the solo flight?
C3.1.10
C3.1.10
C3.1.10
C3.1.10
C3.1.10
C3.1.10
Does the applicant have a means to ensure that passengers are not carried:
C3.1.11
when conducting a simulated engine or system failure that affects the aircraft’s performance or handling
characteristics?
when conducting low-flying training?
254
142.340 (1)(l)(v) If the applicant conducts activities in aircraft, does the exposition include a description of each flight training
area?
C3.1.12
258
142.340
142.340
142.245
(1)(j)(i)
(C)
(1)(j)(i)
(B)
(1)(b)
259
142.240
(1)
260
142.255
(c)
261
262
263
264
265
266
267
A
257
For each kind of authorised Part 142 flight training or contracted recurrent training, does the exposition
include:
checklists (if any) and the circumstances when the use of a checklist is permitted?
the areas of operation for the training?
AS
(1)(j)(i)
If the applicant will conduct low-flying activities, does the exposition describe how the applicant will
determine a suitable flight training area for the activities?
Does the applicant have procedures to ensure a person recommended for a flight test is eligible under
CASR 61.235 (flight test prerequisites)?
If conducting activities in a flight simulation training device, does the applicant have a means to assess the
competency of an instructor or examiner to conduct the activity in the device, prior to conducting the
activity?
C
142.340
256
Are records of results of flight training or contracted recurrent training maintained using an auditable
system?
142.355
(1)
142.355
(1)(b)
a record of the person’s participation is made within 21 days after the activity?
142.355
(1)(b)
a description and assessment of the person’s performance is included in the record?
142.355
(2)
the record of participation is retained for at least 7 years after the record is made?
142.360
(1)
a copy of the record is available, on request, to the person to whom it relates?
142.235
(1)
Does the applicant provide its instructors and examiners with access to records for course participants?
142.360
(2)
Does the applicant have a procedure to ensure that, when another Part 142 operator requests a record of a
persons participation in an activity, the applicant:
268
Last Printed: 1/08/20141:15 PM
--
--
--
--
--
--
--
C3.1.11
C3.1.11
(1)(m)
--
C3.1.11
Does the applicant have a means to ensure that passengers are not carried unless the pilot is authorised to
fly the aircraft as pilot in command with a passenger on board?
142.340
--
C3.1.9
253
255
--
Operator Name:
Assessment Date:
C3.1.9
For a person who holds a pilot licence and is receiving training for a rating or endorsement, does the
applicant have a procedure to ensure that, prior to conducting a solo flight at night for the first time, the
person:
142.385
251
252
has an ARN?
Satisfactory?
242
has been assessed by CASA or an examiner as meeting the general English language proficiency
standard mentioned in the Part 61 MOS, or has completed an approved course of training in English
language proficiency?
Applicant
Exposition
or Manual
Reference
y
(2)(c)
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
nl
sub para
More
Info
O
142.386
Assessment Worksheet
CASR PART 142
CASR
U
se
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
For a person participating in an activity, does the applicant have a means to ensure:
C3.1.13
C3.1
C3.1.20
C3.1.21
C3.1.14
C3.1.15
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.17
C3.1.18
Page: 9 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
sub para
More
Info
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
(2)
142.380
(2)
142.380
(2)
will provide a copy of the record within 7 days after receiving the request?
Does the applicant have a procedure to manage the transfer of a person seeking to undertake part of an
integrated training course, when the person has previously undertaken part of the course with another Part
142 operator?
C3.1.19
Does the procedure for managing transfer from another operator require prior to providing any part of the
course, a determination be made:
C3.1.19
142.380
(3)(a)
regarding what part of the course the person has already completed?
142.380
(3)(b)
regarding what part of the course the person needs to complete?
142.380
(3)(b)
that the parts of the course already completed, when taken together with the parts to be completed,
meet the standards specified in the Part 61 MOS for the course?
275
(1)(k)
277
(1)(j)
142.340 (1)(j)(iii)
the requirements for the assignment of command responsibility during flight?
(1)
142.240
(1)
283
286
287
288
If conducting activities in a flight simulation training device, does the applicant have a means to assess the
competency of an examiner to conduct the activity in the device, prior to conducting the activity?
C3.2.6
142.355
(1)(b)
a record of the person’s participation is made within 21 days after the activity?
142.355
(1)(b)
a description and assessment of the person’s performance is included in the record?
142.355
(2)
the record of participation is retained for at least 7 years after the record is made?
142.360
(1)
a copy of the record is available, on request, to the person to whom it relates?
142.360
(2)
289
142.360
For a person participating in contracted checking, does the applicant have a means to ensure:
C3.2.7
292
297
--
--
--
C3.2.7
C3.2.8
C3.2.8
142.360
(2)
142.370
(1)
142.370
(1)
142.370
(1)
142.375
(1)
295
296
--
C3.2.7
holds written authority from the person to whom the record relates, prior to the record being provided?
will provide a copy of the record within 7 days after receiving the request?
C3.2.8
Does the applicant have a means to ensure that passengers are not carried:
C3.2.9
when conducting a simulated engine or system failure that affects the aircraft’s performance or
handling characteristics?
293
294
--
C3.2.7
290
291
--
C3.2.7
Does the applicant have a procedure to ensure that, when another Part 142 operator requests a record of a
persons participation in an activity, the applicant:
(2)
--
C3.2.4
C3.2.5
(1)
--
C3.2.3
Does the applicant have a means to ensure its examiners only conduct activities for which they are
authorised under CASR Part 61?
142.355
Comments
C3.2.2
C3.2
the minimum qualifications and experience for personnel conducting the activities?
142.230
285
For contracted checking, does the exposition include:
142.340 (1)(j)(ii)
282
284
C3.2.1
142.340 (1)(j)(iv) Does the exposition include procedures to ensure that contracted checking is conducted in accordance with
the contracting operator's training and checking manual and standard operating procedures?
142.340
C3.2
U
se
281

Does the exposition contain a description of the applicant’s procedures used to conduct and manage
contracted checking?
A
280
C3.1.19
AS
279
C3.1.19
CONTRACTED CHECKING
142.340
278
C3.1.19
C
276
--
C3.1.18
y
(2)
O
142.360
272
274
--
Operator Name:
Assessment Date:
C3.1.18
271
273
Applicant
Exposition
or Manual
Reference
holds written authority from the person to whom the record relates, prior to the record being provided?
269
270
Handbook
Reference
Satisfactory?
142.360
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
C3.2.9
when conducting low-flying?
C3.2.9
Does the applicant have a means to ensure that passengers are not carried unless the pilot is authorised to
fly the aircraft as pilot in command with a passenger on board?
C3.2.9
142.340 (1)(l)(v) If the applicant conducts checking activities in aircraft, does the exposition include a description of each
flight training area?
OPERATIONS MANUAL
Last Printed: 1/08/20141:15 PM
C3.2.10

C3.3
Page: 10 of 15
Comments
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
142.340 (1)(s)(i) Does the exposition include an operations manual?
(1)(s)
300
302
303
142.315
305
306
307
308

Does the exposition include an internal training and checking system manual, describing the applicant's
internal training and checking system?
142.315
a description of how the applicant proposes to conduct internal training?
142.315
(a)
a description of how the applicant proposes to conduct internal checking?
142.315
(b)
a description of the duties and responsibilities assigned to personnel conducting internal training and
checking?
142.315
(d)(i)
procedures to ensure all personnel have an understanding of the training management system?
142.315
(d)(ii)
procedures to ensure all personnel complete the internal training and checking?
142.315
(d)(iii)
procedures to ensure all personnel are supervised effectively?
142.315
(e)
details of any cyclic training and proficiency program used (if applicable)?
C3.4.5
C3.4.6
C3.4.7
C3.4.8
requirements for assignment of command responsibility during flights for internal training and checking?
(f)
(g)
any general restrictions, specifications or safety precautions (including in relation to fuel load, ballast
and minimum weather conditions) required for internal training and checking, by the applicant?
C3.4.11
(h)(i)
the standards to be achieved when conducting the training and checking?
142.315
(h)(ii)
the training sequences for common faults when conducting the training and checking?
142.315
(h)(iii)
the methods of simulating emergencies or malfunctions when conducting the training and checking?
142.315
(i)
procedures to ensure instructors hold a valid standardisation and proficiency check for the applicant?
142.315
(j)
procedures to ensure instructors are competent to use any flight simulation training devices (if used by
the applicant)?
317
142.330
(1)
318
142.330
(2)
319
142.335
(1)(b)
320
142.340
(1)(h)
321
(1)(a)
142.275
(2)
Last Printed: 1/08/20141:15 PM
A
C3.4.14
C3.4.15
C3.4.14(a)
Does the applicant's standardisation and proficiency check assess the competency of the instructor to
conduct authorised activities?
C3.4.14(b)
Are standardisation and proficiency checks carried out by the head of operations, or a person authorised by
the head of operations?
C3.4.14(c)
Does the applicant have a means to ensure that before an instructor or examiner conducts an authorised
Part 142 activity for the applicant, the instructor or examiner has met the requirements in the applicant’s
exposition about training in human factors principles and non-technical skills?
C3.4.2(b)
Does the applicant's exposition include a description of the applicant’s program for training and assessing
personnel in human factors principles and non-technical skills?
142.340 (1)(s)(v) Does the exposition include a quality assurance management system manual that describes the applicant’s
quality assurance management system?
142.275
C3.4.11
Prior to instructors conducting authorised activities, does the applicant have procedures to ensure
instructors hold a valid standardisation and proficiency check for the operator, or are successfully
participating in an approved cyclic training and proficiency program?
QUALITY ASSURANCE MANAGEMENT SYSTEM
324
C3.4.13
AS
(2)
C3.4.12
C
142.320
325
C3.4.10
142.315
316
323
the minimum number of check pilots and the minimum crew qualifications required (if any) for each kind
of internal training and checking conducted?
U
se
142.315
322
Present?
C3.4.4
C3.4.9
311
315
--
C3.4.3
(c)
142.315
314
--
C3.4.2
142.315
310
313
Comments
C3.4
C3.4
(a)
309
312
Operator Name:
Assessment Date:
C3.4.1
Does the internal training and checking system include:
304
Applicant
Exposition
or Manual
Reference
C3.3.1
INTERNAL TRAINING AND CHECKING SYSTEM
142.340
301
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
y
299
sub para
More
Info
nl
298
Assessment Worksheet
CASR PART 142
CASR
O
Ref
CASR
Reference
- Assessment Worksheets Satisfactory?
CASR Part 142
Does the quality assurance management system ensure the correct operation and maintenance of the flight
simulation training devices?
Does the quality assurance management system include:
C3.4.2(b)

Comments
C3.5
C3.5.1
C3.5.2
C3.5.2
Page: 11 of 15
--
-File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
333
334
335
336
337
(2)(b)
management responsibility?
142.275
(2)(c)
document control?
142.275
(2)(d)
resource allocation?
142.275
(2)(e)
quality procedures?
142.275
(2)(f)
internal audit?
142.275
(1)(b)
142.275
(1)(b)
ensure that the authorised activities are conducted in a planned and systematic manner?
142.275
(1)(b)
identify and address deficiencies in training outcomes?
142.275
(3)
142.275
(3)(a)
auditing the activities?
142.275
(3)(b)
promoting the continual improvement of activities?
142.275
(3)(c)
evaluating the training outcomes from pre-flight test assessments and post-flight feedback from
examiners?
339
340
341
342
343
344
345
348
349
the internal training and checking system?
C3.5.3(e)

Does the exposition describe the way the risk of personnel fatigue is managed?
142.340
(1)(o)
If a fatigue risk management system is used, does the exposition include the fatigue risk management
system manual?
C3.6.2

(1)(v)

142.340
(1)(t)(i)
142.140
(1)
356

C3.9.2

Does the exposition describe how the applicant will manage significant changes, including applying to
CASA for approval of the change?
(4)
142.140
(4)(a)
be in writing?
142.140
(4)(b)
set out the change?
Does the applicant specify that an application to CASA for approval of a significant change will:
Comments
C3.9
If applicable, does the exposition describe a matter prescribed by a legislative instrument under regulation
142.045?
142.140
Last Printed: 1/08/20141:15 PM
C3.8
C3.9.1
Does the exposition describe how significant changes are identified?
Comments
C3.8
If applicable, does the exposition describe any other matter required to be approved by CASA under the
CASR, in relation to the activities?
CHANGE MANAGEMENT
Comments
C3.7
C3.7
Has the applicant met the requirements of Subpart 99.B of CASR in regard to a drug and alcohol
management plan?
(1)(u)
Comments
C3.6
C3.6.1
If a dangerous goods manual is required by Part 92 of CASR, is it included in the exposition?
APPROVALS UNDER THE REGULATIONS
--
C3.5.3(d)
C3.5.3(e)
(1)(o)
DRUG AND ALCOHOL MANAGEMENT PLAN
--
C3.5.3(c)
C3.5.3(e)
142.340
(1)(s)
--
C3.5.3(e)
FATIGUE MANAGEMENT
DANGEROUS GOODS MANUAL
--
C3.5.3(b)
the quality assurance management system?
142.275 (3)(e)(iii)
142.340
359
C3.5.3(a)
142.275
353
358
C3.5.3
(3)(e)(i)
142.340
C3.5.3
C3.5.3
Does the quality assurance management system include a process for recommending changes to:
352
357
C3.5.3
(3)(e)
142.340
355
C3.5.2(f)
142.275
350
354
C3.5.2(e)
regularly assessing the suitability of facilities and resources used for conducting the activities?
99.B
351
C3.5.2(d)
(3)(d)
346
347
C3.5.2(c)
142.275
the training management system?
--
C3.5.2(b)
Does the quality assurance management system include processes for:
142.275 (3)(e)(ii)
--
C3.5.2(a)
Does the quality assurance management system:
338
Satisfactory?
332
142.275
y
331
a quality policy?
Operator Name:
Assessment Date:
nl
330
(2)(a)
Applicant
Exposition
or Manual
Reference
O
329
142.275
Handbook
Reference
U
se
328
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
A
327
sub para
More
Info
AS
326
Assessment Worksheet
CASR PART 142
CASR
C
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
Comments
C3.10
C3.10.1(a)
C3.10.1(b)
C3.10.1(b)
--
--
C3.10.1(b)
C3.10.1(b)
Page: 12 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
(4)(c)
be accompanied by a copy of the relevant part of the exposition, clearly identifying the change?
142.140
(2)
For a change to the permanent appointment of any of the applicant’s key personnel, does the exposition
state that:
C3.10.2
where the person appointed is authorised within the applicant’s exposition to carry out the
responsibilities temporarily, the application for change to CASA will be made within 7 days after the
change is made?
C3.10.2
where the person appointed has not previously been authorised to carry out the responsibilities of the
position temporarily, the application for change to CASA will be made within 3 days after the change is
made?
C3.10.2
(2)
142.140
(3)
363
Does the exposition describe how the applicant will manage changes that are not significant changes,
including telling CASA of the change?
367
368
369
370
371
142.135
(1)(a)
142.135
(2)(a)
name (including any operating name or trading name)?
142.135
(2)(a)
contact details?
142.135
(1)(a)
operational headquarters address, if different from its mailing address?
142.135
(1)(b)
142.135
(1)(b)(i)
142.135 (1)(b)(ii)
372
374
375
376
update its exposition to reflect the change?
give CASA written notice of the change, including a copy of the amended part of the exposition, clearly
identifying the change?
change its exposition?
142.155
(2)
remove a person from a key personnel position?
Does the exposition describe how the applicant will comply with a direction from CASA to:
THIRD PARTY SUPPLIERS
381
SAFETY POLICY, OBJECTIVES AND PLANNING
383
384
385
386
387
388
389
390
C3.10.5
142.265
(2)
Does the SMS include a statement of the applicant's safety policy?
142.265
(2)
Does the SMS include a statement of the applicant's safety objectives and planning?
142.265
(2)(b)
142.265
(2)(b)(i)
Does the applicant's safety policy, objectives and planning documentation include:
a statement regarding management's commitment to, and responsibility for, safety?
142.265 (2)(b)(ii)
safety accountabilities of managers (including key personnel)?
142.265 (2)(b)(iii)
appointment details for safety management personnel?
142.265 (2)(b)(iv)
confirmation of how human factors principles are integrated into the SMS?
142.265 (2)(b)(v)
details of the SMS implementation plan?
142.265 (2)(b)(vi)
details of relevant third party relationships and interactions?
Last Printed: 1/08/20141:15 PM
--
--
C3.10.5

Comments
C3.11
C3.11

If applicable, does the exposition describe aeronautical or aviation-related services to be provided by third
parties?
EXPOSITION PART 4 - SAFETY MANAGEMENT SYSTEM
--
C3.10.4
Does the applicant have a means to ensure that parts of the exposition relating to the duties of personnel
are made available to them prior to carrying out the duties?
380
--
C3.10.5
EXPOSITION
379
--
C3.10.4
(1)
(1)(r)
--
C3.10.4
C3.10.4
142.155
142.350
382
C3.10.4
Before making the change, will the applicant:
(4)
142.340
C3.10.4
C3.10.4
142.155
377
378
Does the exposition describe how the applicant will manage a change to its:
A
373
C3.10.3(b)
O
366
C3.10.3(a)
U
se
142.150
--
C3.10.1(b)
142.340 (1)(t)(ii) Does the exposition describe how changes that are not significant changes are identified?
365
--
Operator Name:
Assessment Date:
y
142.140
362
Applicant
Exposition
or Manual
Reference
Satisfactory?
142.140
361
364
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
nl
sub para
More
Info
AS
360
Assessment Worksheet
CASR PART 142
CASR
C
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
Comments
C3.12
C3.12

C4
Insert Comments/Justification of Decisions against each question below
(as applicable)

C4.1
Comments
C4.1.1
C4.1.2
C4.1
--
--
C4.1.1
C4.1.3
C4.1.4
C4.1.5
C4.1.6
C4.1.7
Page: 13 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
details of coordination of the applicant's emergency response plan?
142.265 (2)(b)(viii)
details of all SMS documentation?
397
398
399
400
401
402
403
404
405
406
407
408
142.265
(1)(d)
Does the SMS integrate human factors principles?
142.265
(1)(a)
Does the SMS include:
142.265
(2)(a)
organisational structures necessary to manage safety a systematic way?
142.265
(2)(a)
accountabilities necessary to manage safety in a systematic way?
142.265
(2)(a)
policies necessary to manage safety in a systematic way?
142.265
(2)(a)
procedures necessary to manage safety in a systematic way?
142.265
(2)(c)
142.265
142.265
(2)(d)(i)
142.265 (2)(d)(i)
142.265
(C)
(2)(d)(i)
(D)
142.265
(3)
142.265 (2)(d)(ii)
142.265
(4)(a)
415
142.265
(4)(b)
142.265
(5)
417
142.265 (4)(c)(i)
(A)
(4)(c)(i)
(B)
142.265 (4)(c)(i)
421
422
(C)
C4.2.2

Does the SMS include a safety assurance system?
Comments
C4.2.1
Comments
C4.3
C4.3
Does the applicant's safety assurance system detail processes for:
C4.3
safety performance monitoring and measurement?
--
--
C4.3.1
internal safety investigation?
C4.3.2
management of change?
C4.3.3
continuous improvement of the safety management system?
does the applicant have a flight data analysis program (FDAP)?
is the FDAP included in the applicant's safety assurance system?
C4.3.4

C4.3.5
--
--
--
--
--
--
C4.3.5
C4.3.5
C4.3.5
Is the FDAP provided by the applicant or another appropriate person?
C4.3.5
If the FDAP is provided by another appropriate person (not the applicant), does the applicant acknowledge
and retain responsibility for providing and ensuring the effectiveness of the program?
C4.3.5
a person whose duties require the person to analyse operational flight data?
Comments
C4.3
Does the applicant's FDAP regularly record and analyse the operational flight data of individual and
aggregated operations for the purpose of improving safety of flight operations?
C4.3.5
C4.3.5
a person who has access to the person’s identity solely for the purpose of analysing operational flight
data?
C4.3.5
a pilot appointed by the applicant to liaise with flight crew in relation to matters arising from the flight
data analysis program?
C4.3.5
142.265 (4)(c)(i) Does the FDAP ensure that the identity of a person who is the source of the data is protected from
disclosure other than:
Last Printed: 1/08/20141:15 PM
C4.2
C4.2
142.265 (4)(c)(i) Does the FDAP ensure that the identity of a person who is the source of the data is protected from
disclosure to anyone other than:
142.265
420

If conducting Part 142 activities in aeroplanes with a MTOW of >27000 kg and/or rotorcraft with a MTOW of
>7000 kg:
412
419
C4.1
Does the SMS include a safety risk management system?
Safety Assurance System - Flight Data Analysis Program
142.265
418
C4.1
(A)
(2)(d)(i)
(B)
142.265
416
C4.1
SAFETY ASSURANCE SYSTEM
410
414
C4.1
142.265 (2)(c)(ii) Does the applicant’s risk management system include risk assessment and mitigation processes?
142.265 (2)(d)(i)
413
C4.1
142.265 (2)(c)(i) Does the applicant’s risk management system include hazard identification processes?
(2)(d)
--
C4.1.9
C4.1.5
SAFETY RISK MANAGEMENT
409
411
Does the applicant's safety management system manual adequately describe the safety management
system?
y
396
--
C4.1.9
U
se
395
Operator Name:
Assessment Date:
C4.1.8
nl
(1)(s)
Applicant
Exposition
or Manual
Reference
O
142.340
Handbook
Reference
Satisfactory?
142.265 (2)(b)(vii)
393
394
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
A
392
sub para
More
Info
AS
391
Assessment Worksheet
CASR PART 142
CASR
C
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
C4.3.5
Page: 14 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
(7)(a)
423
142.265
(7)(b)
424
142.265
(6)(a)
425
142.265
(6)(b)
426
427
428
429
430
431
if the applicant has evidence that the person deliberately contravened a provision of civil aviation
legislation or the applicant’s exposition?
C4.3.5
if the applicant has evidence that the person persistently engaged in unsafe actions without appropriate
safety reasons?
C4.3.5
Does the FDAP ensure that the identity of a person who is the source of data may be disclosed with the
written consent of the person?
C4.3.5
Does the FDAP ensure that the identity of a person who is the source of the data may be disclosed under a
court order?
C4.3.5
142.265 (4)(c)(ii) Does the FDAP ensure that no punitive action in relation to the data may be taken by the operator against
the person who is the source of the data, unless the operator has evidence that the person:
142.265
(7)(a)
has deliberately contravened a provision of civil aviation legislation or the operator's exposition?
142.265
(7)(b)
has persistently engaged in unsafe actions without appropriate safety reasons?
142.265
(2)(e)
C4.3.5
C4.3.5
C4.3.5
SAFETY PROMOTION

Does the SMS include a safety training and promotion system?
142.265 (2)(e)(i) Does the applicant’s safety training and promotion system provide details of SMS training and education?
438
OTHER REQUIREMENTS SPECIFIC TO A CASR PART 142 SMS
U
se
437
--
Comments
C4.4.2

(1)(b)
142.265
(1)(b)
the applicant's authorised Part 142 activities are conducted in a planned and systematic manner?
142.265
(1)(b)
deficiencies in training outcomes are identified and addressed?
142.265
(8)(a)
Does the SMS include a process for auditing the operator's authorised Part 142 activities?
142.265
(8)(b)
Does the SMS include a process for promoting the continual improvement of the operator's authorised Part
142 activities?
C4.5.1(b)
Does the SMS include a process for evaluating the training outcomes from pre-flight test assessments and
post-flight test feedback from examiners?
C4.5.1(c)
Does the SMS include a process for regularly assessing the suitability of the operator's facilities and
resources used for conducting the operator's authorised Part 142 activities?
C4.5.1(d)
Does the SMS include a process for recommending changes to the following:
C4.5.1(e)
439
142.265
(8)(c)
440
142.265
(8)(d)
441
(8)(e)
Does the SMS ensure that:
442
142.265
443
142.265 (8)(e)(i)
the safety management system?
444
142.265 (8)(e)(ii)
the training management system?
445
142.265 (8)(e)(iii)
the internal training and checking system?
142.265
(1)(c)
446
Comments
C4.5
142.265
C4.5.1
--
--
--
--
C4.5.1
C4.5.1
C4.5.1(a)
A
436
142.265 (2)(e)(ii) Does the applicant’s safety training and promotion system provide details of SMS safety communication?
AS
435
--
Operator Name:
Assessment Date:
C4.4.1
C
434
C4.4
C4.4
432
433
Applicant
Exposition
or Manual
Reference
Satisfactory?
Legislation Revision Status:
CASR Part 142 - Document F2013L02129 and Civil Aviation Act 1988 - Document C2012C00006
Handbook
Reference
y
sub para
More
Info
nl
142.265
Assessment Worksheet
CASR PART 142
CASR
O
Ref
CASR
Reference
- Assessment Worksheets -
Present?
CASR Part 142
C4.5.1(e)
C4.5.1(e)
C4.5.1(e)
If the applicant conducts activities in flight simulation training devices, does the SMS, in relation to those
activities, include a means to ensure the correct operation and maintenance of the devices?
C4.5.2
447
EXPOSITION PART 5 - APPENDICES

C5
Insert Comments/Justification of Decisions against each question below
(as applicable)
448
OTHER DOCUMENTS

C5.1
Comments
449
142.340
(1)(s)
Last Printed: 1/08/20141:15 PM
Does the exposition include the prescribed manuals?
C5.1
Page: 15 of 15
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
Ref
Legislation
Reference
- Blank Worksheet -
Cross
Reference
BLANK ASSESSMENT WORKSHEET
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This “Blank” Worksheet has been developed and provided as a means to address new or amended legislation and/or to enter additional assessment criteria questions
and comments relating to the assessment.
This worksheet may also be used as a “note pad”.
Last Printed 1/08/2014 1:15 PM
Operator Name:
Assessment Date:
COMMENTS
C
AS
A
U
se
O
nl
y
1
Compliant?
CASR Part 142
1 Of 2
CASR Part 142 Technical Assessor Worksheet - Appendix 1
Ref
Legislation
Reference
- Blank Worksheet -
Cross
Reference
BLANK ASSESSMENT WORKSHEET
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This “Blank” Worksheet has been developed and provided as a means to address new or amended legislation and/or to enter additional assessment criteria questions
and comments relating to the assessment.
This worksheet may also be used as a “note pad”.
Last Printed 1/08/2014 1:15 PM
Operator Name:
Assessment Date:
COMMENTS
C
AS
A
U
se
O
nl
y
1
Compliant?
CASR Part 142
2 Of 2
CASR Part 142 Technical Assessor Worksheet - Appendix 1