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Management of this Handbook

Governance

In accordance with the Standards Division Governance Process, the following levels ofapproval are required for amendment to and/or review of this handbook:

Author is ing Manager

Manager,

Flight Crew Licensing,

Flight Standards Branch

Responsible for the Technical Content contained within

this manual as it relates to Standards.

Respons ible Manager

Manager

Flight Standards Branch

Responsible for ensuring this manual complies with the

Flight Standards Branch policy and objectives.

Asset Sponsor (Custodian)

Executive Manager Responsible for ensuring this manual complies with

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Amendment/Revision Table

Revision History

Note: The revision history shows the most recent amendment first. Scroll down the table toview details of previous amendment information.

Version Date Chapter/Section Descrip tion of Amendment

Table 1: Revision History

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Director of Aviation Safety Preface

Foreword

As a Commonwealth government authority, CASA must ensure that its decision-makingprocesses are effective, fair, timely, transparent, consistent, properly documented and

otherwise in accordance with the requirements of the law.

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.

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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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.

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 andactions 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.

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.

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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).

9. A decision-maker must decide the matter within a reasonable time.

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.

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 Ser ices Di ision

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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

• Specifying the approach the decision-maker believes is more likely to result in a“preferable” decision.

Supervisor ’s Responsibilities

In considering a consultative referral, the decision-maker’s supervisor should:

• Advise the decision-maker as to whether his or her assessment of the relevantconsiderations appears to be complete and correct

• If, in the opinion of the supervisor, the circumstances do not warrant a departure

f li id th d i i k ith itt d i d id t

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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

• Assume responsibility for the decision

• Ensure that the decision-maker and any person affected by the decision (forwhich the policy sponsor has assumed responsibility) is advised accordingly

• Make the decision in a manner consistent with the applicable policy.

The policy sponsor should ensure that a full written record of these actions is made and

maintained.

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.

R i i t P li i d M l

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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

A1.1 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

A2 Glossary ...................................................................................................... 18

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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

PART C – Technical Assessment Criteria ................................................................ 27

C1 EXPOSITION PART 1 ORGANISATION AND PERSONNEL ..................... 27

C1.1 Operator Details ................................................................................................ 27

C1.1.1 Name ........................................................................................................................... 27

C1.1.2 Contact Details ............................................................................................................ 27

C1.1.3 Operational Headquarters and Training Bases ........................................................... 28

C1 2 O i ti l St t 28

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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

C1.7.1 Role and Duties ........................................................................................................... 69

C1.7.2 Experience ................................................................................................................... 69

C1.7.3 Additional Qualifications and Experience .................................................................... 71


C1.7.5 Additional Responsibilities ........................................................................................... 73

C1.7.6 Direction under sub-regulation 142.215(3) of CASR ................................................... 74

C1.8 Quality Assurance Manager .............................................................................. 74

C1.8.1 Role and Duties ........................................................................................................... 75

C1.8.2 Experience ................................................................................................................... 75

C1.8.3 Additional Qualifications and Experience .................................................................... 77


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C2.5.3 Reference Library ........................................................................................................ 96

C3 EXPOSITION PART 3 SYSTEMS AND PROCESSES ............................... 97

C3.1 Part 142 Flight Training and Contracted Recurrent Training ............................. 97

C3.1.1 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

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C3.2.10 Training areas ............................................................................................................ 121

C3.3 Operations Manual ......................................................................................... 121

C3.3.1 Operations Manual .................................................................................................... 122

C3.4 Internal Training and Checking System........................................................... 122

C3.4.1 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

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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

C4.1.1 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 D t ti 174

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APPENDIX 1 – CASR Part 142 Technical Assessor Worksheet ............................ 196

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).

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.

Using this handbook ensures a standardised assessment outcome in a manner consistent

with CASA legislation and policy.

A1.1 Who is this Handbook for?

The primary audience for this handbook is suitably qualified, trained and experienced CASA

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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.

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 expositionand 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.

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

ti i th i t d k h t

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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.

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.

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.

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.

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CASR 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 M lti C ti C

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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 60 Manual of Standards (MOS)

•

P 61 M l f S d d (MOS)

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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 - (LeasingConsiderations)

• Approved Testing Officer Manual – version 1.3, 10 February 2011 /Flight Examiner Handbook

A3.2 Other Referenced Material

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

•

M i h Ri k f O i i l A id J T R 199 A h

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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

6. Training that is given as part of a flight review that is conducted as a multi-crew

operation

7. Differences training:

(i) 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.

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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.

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.

The fundamental SMS components required by a Part 142 operator are:

• organisational structures, accountabilities, policies and procedures necessary tomanage safety in a systemic way

• a safety risk management system which includes hazard identification and riskassessment and mitigation processes

•

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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.

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 mustbe assessed and the technical assessor must include detailed comments/rationale of

their decisions made.

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

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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

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.

B2.1 Preliminary and Appl ication Requirements

A person must apply to CASA for authorisation to conduct any of the following Part 142

activities:

1. Part 142 Flight Training

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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 anexposition or manual. However, an assessor is obliged to go further and make a qualitativeassessment 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 beconducted safely. Unless suitability is assessed, inferior procedures detrimental to trainingmay pass into practice.

B2.3 Approvals

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.

Once determined, the technical assessor should ensure that all decisions, conditions and

limitations are recorded in the Part 142 Assessment Worksheet.

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

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PART C – Technical Assessment Criteria

C1 EXPOSITION PART 1ORGANISATION AND PERSONNEL

This part of the assessment evaluates the information the applicant must provide within itsexposition in relation to its organisation, including the organisational structure and personnel

details.

C1.1 Operator Details

References

CASR: 142.340(1)

Introduction

To enable CASA to maintain ongoing contact with the applicant in relation to the conduct of

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C1.2.1 Descript ion 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.

(a) Description

• The description of the applicant’s organisational structure should be sufficient indetail to provide a clear understanding of how the organisation is structured. Anexample 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 notto be subject to undue influence

- the safety manager or quality assurance manager position are notoccupied by the chief executive officer or the head of operations.

• Position titles for key personnel, managers, and instructors having responsibilityfor particular Part 142 flight training, may be described.

• If the applicant has chosen to use titles for key personnel positions that are

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• The diagram should clearly depict the management and reporting structure of theorganisation, including:

- all key personnel positions (providing evidence that all positions havebeen filled)

- the formal reporting lines for each of the key personnel

- a direct reporting line from the safety manager to the chief executiveofficer, or a direct reporting line from the safety manager to seniormanagement with a formal direct line of communication with the chiefexecutive officer

- evidence of the safety manager’s independence from operational areas

- position titles and reporting lines for positions having managementresponsibility for each functional element of the Part 142 operation

- reporting lines for personnel within each department, leading to therespective head of that department

- reporting lines for instructors appointed by the head of operations to haveresponsibility for particular Part 142 flight training.

• The diagram may also include communication lines, for example the line ofcommunication between the head of operations and the safety manager.

C1.2.2 Chain of Command

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• An organisational structure that incorporates departments and branches shouldshow that the reporting lines for each branch manager lead to the manager of theassociated department, and reporting lines for instructors and examiners lead tothe associated branch manager. An example of an organisational structure thatincorporates departments and branches is provided in the CASA Part 142 sampleexposition.

• To ensure that each managerial position has a suitable span of control, theapplicant’s organisational structure should demonstrate that the number ofmanagerial positions is appropriate to the size and scope of the proposedoperations. Whilst it is for the applicant to determine the level of responsibility foreach management position, an example of a suitable structure may be where amanagement position does not have more than 7-9 direct reports.

• For the chain of command to be effective, the delegation of responsibility andaccountability should rest with persons holding qualifications and experience that

are relevant to the position. Considerations relating to personnel qualificationsand experience are described in the individual key personnel sections of thishandbook (sections C1.5 to C1.8), and section C1.9 for other personnel.

C1.2.3 Organisational Design

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

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(c) Numbers and Locations of Training Bases Used

• If the applicant has followed the CASA Part 142 sample exposition, details of theapplicant’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 ateach location.

• For an organisation to demonstrate how it will safely manage activities at multipletraining bases, evidence of how the head of operations will maintain effectiveoperational control over personnel and course participants at each training baseshould be provided. Evidence may include the establishment of regularcommunication and reporting channels between each base. The head ofoperations may delegate some of the duties associated with their responsibilities

(but not the responsibilities themselves) to an appropriate person to act on theirbehalf. In this situation, and particularly where the additional training bases areremote, a senior base instructor/manager with a direct reporting line to the headof operations should be nominated at each base. Details of such appointmentsshould be provided in the description of the applicant’s organisational structure.

• Reporting lines between the head of operations and any management orsupervisory personnel at each base should be clearly defined in the applicant’sorganisational structure.

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• The applicant should demonstrate that adequate provision has been made for thetraining and checking of its personnel. Dependent upon the number of personnelfor whom internal training and checking is required, an applicant may establish aseparate department to fulfil the training and checking requirements. Theapplicant may also appoint a manager for internal training and checking, tooversight the conduct and management of the internal training and checkingsystem. An example of such an appointment has been demonstrated in theCASA Part 142 sample exposition.

(e) Number of Course Participants, Contracting Operators and Personnel for

whom Training is Conducted

• The applicant should demonstrate that they have engaged, or have plans toengage, a suitable number of instructors and/or examiners necessary for the safeconduct of the proposed activities - taking into account the expected number of

course participants. Considerations relevant to the number of qualified andexperienced personnel are discussed in section C1.9 of this handbook.

• An applicant with a large clientele base, and a commensurately large number ofinstructors and examiners, should demonstrate that they have established anappropriate number of management or supervisory positions to provide adequatesupervision of instructors, examiners and course participants. As an example, theorganisation may be structured to include the appointment of individual managersor supervisors responsible for activities on a particular aircraft fleet, or to manage

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Things for ConsiderationThe 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, isprovided 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 - onlya description; however a diagram may be a useful means for providing anunderstanding of the corporate structure.

• The degree of detail provided by the applicant when describing their corporatestructure need not be exhaustive, however should be sufficient to provide anunderstanding of the basic corporation layout. The description should include therelationship between the various departments, divisions and job descriptions thatinteract 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 shoulddescribe whether the corporation is privately owned, or whether it is a publiclylisted 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 anotherauthorisation.

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IntroductionRegulation 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)

4. Quality Assurance Manager (for operators conducting activities only in flight

simulation training devices).

This section of the handbook provides considerations that are common to each of the keypersonnel 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

The following information may be of value in assessing those regulatory requirements which

are common to each of the applicant’s key personnel positions.

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(a) Honesty, Integri ty and Reputation

• An evaluation of the person’s history, within the last ten years, should beconducted to assess any criminal, regulatory, corporation or bankruptcy actions.

• Subregulation 142.085(3) of CASR describes the matters CASA may consider indeciding 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

- the person’s bankruptcy (if any), whether in Australia or a foreign country

- the person’s history (if any) of serious behavioural problems

- any evidence held by CASA that the person has contravened:

o

civil aviation legislationo another law relating to transport (including aviation) safety,

whether in Australia or a foreign country.

- the person’s demonstrated attitude towards compliance with regulatoryrequirements, in Australia or a foreign country - relating to transport(including aviation) safety

- the record of compliance with regulatory requirements, relating to

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(b) Competence and Capabili ty

• In the case of an applicant who is an individual, and in accordance withsubregulation 11.055(2) of CASR, a person who has applied for an authorisationmay be granted the authorisation only if the person meets the criteria specifiedfor the grant. A reference to meeting the criteria for the grant of an authorisationincludes:

- having any qualifications required for the grant of the authorisation

- having any experience required for that grant

- having successfully completed any training required for that grant

- if there is a requirement as to the recency or currency of the applicant'straining or experience - meeting that requirement

- if particular attributes of character are required for that grant - having

those attributes

- if a standard of proficiency in an activity is required for that grant - meetingthat standard of proficiency.

• To determine a person’s competence and capability to hold a position, CASA willalso have regard to:

- whether the person satisfies the relevant aviation training andcompetency requirements for the position

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- within 3 days of the time that the applicant becomes aware of theabsence, if there is another person authorised to carry out theresponsibilities for all or part of the period of absence (ie thetemporary/acting key person nominated with the applicant’s exposition).

• The applicant’s procedure should also specify that the applicant will maintain anauditable register providing a chronological record of each occasion that the

temporary/deputy key person holds responsibility and accountability for theposition.

• The applicant’s procedure may also:

- detail who is responsible for notifying CASA

- 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 similarqualifications and experience as the primary position holder.

• Each temporary/deputy key person must have received familiarisation training inrelation to the key person’s responsibilities and accountabilities, prior to carryingout the responsibilities of the position. The applicant must provide a means todemonstrate that familiarisation training is provided to temporary position holders.Considerations in relation to familiarisation training are described insection C1.4.4 of this handbook.

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- the applicant’s processes and procedures to support the conduct of theduties associated with the responsibilities

- the reporting requirements for key personnel and other management, andthe duties and responsibilities of all personnel

- the legislative framework governing civil aviation

- the applicant’s policies- the applicant’s systems

- the SMS, safety policy and safety culture

- key risks and risk management strategies

- the quality assurance management system

- familiarisation with the exposition, supporting manuals and documents,

and the processes and procedures described therein- any other relevant internal procedures and approval processes.

• The applicant’s process for conducting familiarisation training should includedetails of who will deliver the training for each key person. For example, the chiefexecutive officer may provide the training for the head of operations and safetymanager.

• The applicant should demonstrate that a documented record of the satisfactory

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Things for ConsiderationThe 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 Appl icant who is an Individual

• An applicant who is an individual must be assessed as a fit and proper person inorder to be issued an AOC or certificate that authorises the conduct of theproposed activities. Considerations relevant to assessing the fitness andpropriety 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 thatthey 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.

C1.5.2 Experience

• Under regulation 142.175 of CASR, a chief executive officer must have sufficientrelevant experience in organisational, operational, financial and peoplemanagement of air operations, to enable the applicant to conduct safe operationsin accordance with its exposition and civil aviation legislation.

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- the leadership, management and standard-setting skills required by thenominee for the proposed activities, and whether the nominee’s previousexperience would have enabled them to acquire these skills and carry outthe responsibilities of the position (discussed in section C1.5.4 of thishandbook)

- 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 areasonable degree of care and diligence

- how recently the nominee has used their aviation skills.

• Organisational management of air operations involves the coordination of anorganisation’s resources by means of leading, planning, organising andcontrolling the resources at a managerial level, with the overall aim of achieving

the objectives of the organisation. Organisational management of air operationsmay include, but would not be limited to:

- setting the strategic direction via business planning

- determining and implementing a marketing strategy

- resource planning

- developing and implementing a personnel recruitment and training

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• The applicant must provide documentary evidence to verify that the chiefexecutive officer holds the additional qualifications and experience that arerequired 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 mattersspecified in regulation 142.180 of CASR, and any additional responsibilitiesrequired by the applicant.

• The applicant must provide a means for the chief executive officer to carry outeach of the responsibilities of the position. This may be done by way of writtenprocesses and procedures, supporting documentation, making available financeand resources, or via support to the chief executive officer in carrying out thefunctions required to fulfil each responsibility.

• The applicant’s processes and procedures should be documented to ensureclarity, repeatability and traceability, and enable the person appointed as thechief executive officer (either permanently or temporarily) to effectively managethe responsibilities for which the position is accountable.

• Each of the applicant’s processes, relevant to the chief executive officer’sresponsibilities, should be comprised of a series of procedures or actions thatcontribute to the desired outcome. Each documented procedure, which may be

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- undertaking recruitment action as necessary to maintain the appropriateratio of instructors and examiners to course participants

- recruiting personnel in a planned manner, including assessment ofcompetence and a requirement to retain recruitment records andevidence of qualifications and experience

- modifying recruitment related processes and procedures where necessary

- ensuring all personnel, whatever their roles, are suitably trained andauthorised for the tasks they perform

- supporting the conduct of checks in accordance with the applicant’straining and checking system, with continuation training being madeavailable when necessary to maintain competency levels.

• Whilst the chief executive officer holds the overall responsibility for ensuring theapplicant has sufficient suitable personnel, it is likely that the head of operationswould be involved in the recruitment selection process for instructors andexaminers.

(b) Suitable Management Struc ture

• To ensure the applicant has a suitable management structure, a means must beprovided for the chief executive officer to carry out the functions required to fulfilthis responsibility. These may include, but are not limited to:

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- ensuring FSTDs are maintained in accordance with the operator’smaintenance schedule

- ensuring the facilities are appropriate to the proposed activities and thenumber of course participants.

(d) Set and Maintain Standards for the Activit ies

• The chief executive officer holds responsibility and accountability for the overallstandard of the activities.

• To ensure the applicant sets and maintains standards for the activities inaccordance with the exposition, a means must be provided for the chief executiveofficer to carry out the functions required to fulfil this responsibility. These mayinclude, but are not limited to:

- establishing and maintaining a schedule for regular monitoring of the

conduct of the activities against the exposition - such a schedule wouldensure the activities are carried out in accordance with written proceduresand practices

- ensuring a regular and documented system of reporting andcommunication is established and maintained between the chief executiveofficer, the head of operations, instructors and examiners – such a systemwould enable the chief executive officer to receive feedback on courseparticipant progress and standards of instruction

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• The applicant’s SMS manual must include a statement of the applicant’s safetypolicy, established by the chief executive officer, which describes the safetyculture of the organisation and demonstrates organisational commitment tosafety. This statement may also be included within the applicant’s exposition.

• To ensure the applicant implements and manages the SMS, has proceduresensuring personnel understand the safety policy, and ensures the independence

of the safety manager, a means must be provided for the chief executive officerto carry out the functions required to fulfil these responsibilities. These mayinclude, but are not limited to:

- communicating the applicant’s safety policy to all personnel, andmaintaining a program of ongoing safety promotion and communication

- clearly defining, for all personnel, their accountabilities and responsibilitiesfor the development and delivery of the applicant’s safety strategy andperformance

- establishing a system of formal, documented and regular communicationsbetween the chief executive officer and the safety manager (e.g. havingprocedures that require the safety manager to provide a monthly writtenreport to the chief executive officer)

- supporting safety investigations by making available the necessaryfunding and resources

-

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- notifying CASA in writing as soon as becoming aware of any known orpotential threat to safety resulting from the arrangement for the supply ofthe aircraft

- notifying CASA in writing as soon as becoming aware that a provision ofcivil aviation legislation, or the law of the country in which the aircraft isregistered, will be contravened.

(h) Compliance with Laws of each Foreign Country where Activi ties Conducted

• To ensure the applicant complies with any foreign aviation safety laws, a meansmust be provided for the chief executive officer to carry out the functions requiredto fulfil this responsibility. These may include, but are not limited to:

- appointing a project officer or responsible person to manage theinternational 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 legislationis made available to them prior to commencement of operations within thecountry

- developing documented standard operating procedures to ensurecompliance with the host country’s civil aviation requirements, and anyconditions detailed on the international AOC (if any). Requirements of a

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(j) Implement and Manage the Quality Assurance Management System

• The chief executive officer holds full accountability for the quality assurancemanagement 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 beaddressed within the applicant’s quality assurance management system manual.

Considerations relevant to quality assurance management systems are describedin section C3.6 of this handbook.

• To ensure the applicant implements and manages the quality assurancemanagement system, a means must be provided for the chief executive officer tocarry out the functions required to fulfil this responsibility. These may include, butare 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 toprovide a monthly written report to the chief executive officer)

- ensuring findings and recommendations made during internal qualityassurance reviews, audits or inspection of the applicant’s facilities areactioned in accordance with the processes and procedures described inthe quality assurance management system manual, including making thenecessary funding and resources for such actions available

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(l) 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 functionsrequired to fulfil this responsibility. These may include, but are not limited to:

- establishing and maintaining a schedule for review of the exposition (toensure it remains compliant with Part 142 requirements)

- ensuring personnel can make suggestions for amendments to theexposition

- ensuring the processes and procedures described within the expositionmeet the requirements of Part 142 and adequately address the authorisedactivities

- implementing actions required to correct any deficiencies within theexposition and supporting documents (in accordance with the applicant’schange management procedures)

- ensuring that any amendments made to the exposition do not contradictother sections or procedures within the exposition, or legislativerequirements.

(m) Ensure Key Personnel Satisfactorily Carry out their Responsibilit ies

• To ensure that key personnel carry out their responsibilities to a satisfactory

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- is able to describe the corporate policy relating to internal and externalcommunication and consultation

- demonstrates an understanding of the requirement to communicateoperational and safety related matters to CASA

- demonstrates an ability to effectively explain the use of the SMS or qualityassurance management system (as applicable), as a safety/quality

assurance tool

- demonstrates an understanding of how standards are to be monitoredand maintained

- demonstrates that they hold an ability to exercise due care and diligence,which takes into account:

o how the chief executive officer intends to implement the SMS orquality assurance management system (as applicable) across the

organisation

o how the chief executive officer intends to apply corporate riskmanagement policies to mitigate operational and compliance risks

o how the chief executive officer intends to ensure the applicant’songoing operational compliance

o how the chief executive officer intends to ensure communicationsystems adequately provide information to and from relevant

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C1.6.1 Qualifications and Experience

• The head of operations nominee must provide CASA with documented evidenceof their qualifications and experience.

• Documentation and information which may be considered when determining thesuitability of the nominee’s qualifications and experience for the position include:

- the nominee’s pilot log book

- the nominee’s flight crew licence and medical certificate

- the nominee’s employment history

- any CASA records relating to the nominee, such as:

o a CASA qualifications report

o compliance history

o enforcement history (obtained through the Investigations Branch ofthe Legal Services Division)

o records relating to nominee’s previous areas of operations (heldon CASA’s internal files or in CASA databases).

• The applicant must have sufficient standards and processes in place for theassessment and selection of individuals considered for the position.

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• The head of operations must have sufficient safety and regulatory knowledge toenable the activities to be conducted safely and in accordance with theapplicant’s exposition and civil aviation legislation. Considerations relevant to theassessment of the nominee’s safety and regulatory knowledge are discussed insection 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 aremet), if the head of operations nominee does not hold both:

- at least 500 hours flight time on a kind of aircraft used to conduct asignificant proportion of the activities, and

- at least 6 months experience in the conduct or management of airoperations conducted under an AOC or equivalent foreign authorisation

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 experiencerequirements.

• In any other situation, for a head of operations nominee who does not meet therequirements of subregulation 142.185(2) of CASR, the applicant may makeapplication to CASA for the nominee to hold an approval under regulation142.040 of CASR to be head of operations. Considerations relevant to such anapproval are discussed in section C1.6.2 of this handbook.

•

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• In determining if additional qualifications and experience are required, CASAmust consider, but is not limited in considering, the matters mentioned insubregulation 142.215(4) of CASR - which include the nature and complexity ofthe activities and the leadership, management and standards-setting skillsrequired 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 positiondoes not hold the aeronautical experience and qualifications required bysubregulation 142.185(2) of CASR, the applicant may request an approval underregulation 142.040 of CASR for the nominee to be the head of operations.

•

The applicant should provide CASA with an alternative means of compliance tothe requirements of subregulation 142.185(2) of CASR. The applicant’salternative means of compliance should include a detailed safety case describingrisk mitigation strategies for the management of the nominee’s shortfall inqualifications and/or experience.

• When assessing an application for an approval under regulation 142.040 ofCASR and the applicant’s alternative means of compliance, consideration shouldbe given, however may not be limited, to matters such as:

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• The following scenarios are provided as examples:

- an applicant requesting approval to conduct multi-crew cooperationcourses (MCC) only, may have nominated a head of operations who doesnot hold an examiner rating. As the MCC course does not require courseparticipants to undertake a flight test, and taking into account theconsiderations above, this may be determined to be satisfactory. The

nominated head of operations may be required to demonstrate that theyhold or have held an ATPL, and hold sufficient prior experience gained inan air transport multi-crew operation. A further requirement, todemonstrate experience relevant to the proposed activity, may be that thenominee should hold experience in training Crew Resource Management(CRM) or Threat and Error Management (TEM) in a multi-crewenvironment.

- an applicant for a Part 142 Certificate only (i.e. conducting activities in

FSTDs only) may nominate a head of operations who has previously heldan ATPL and has prior experience in multi-crew operations, however nolonger holds a valid flight crew qualification. When determining thesuitability of the nominee for an approval under regulation 142.040 ofCASR to be head of operations, the nominee’s prior operationalexperience, particularly whether they hold instructional or training andchecking experience, and experience in the relevant aircraft type/s, wouldbe relevant considerations.

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• The head of operations is responsible for all operations conducted at the variousbases, which may require the delegation of some of their duties to an appropriateperson to act on their behalf. This is normally achieved by appointing a seniorbase pilot at each additional base, with a program for regular scheduled and non-scheduled visits by the head of operations or a delegate, to provide supervisionand conduct internal audits.

•

The applicant must provide a means for the head of operations to carry out eachof the responsibilities of the position. This may be done by way of writtenprocesses and procedures, supporting documentation, making available financeand resources, or via support to the head of operations in carrying out eachresponsibility.

• The applicant’s processes and procedures must be documented to ensure clarity,repeatability and traceability, and enable the person appointed as the head ofoperations (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’sresponsibilities, should be comprised of a series of procedures or actions thatcontribute to the desired outcome. Each documented procedure, which may beincluded in the applicant’s exposition or supporting manuals/documents, shouldaddress:

- what must be done

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(b) Monitor, Maintain and Report on Compliance

• To ensure the head of operations monitors, maintains and reports to the chiefexecutive 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 functionsrequired 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 ofdocumentation such as training records

- ensuring the continual supervision of instructors, examiners and theoryinstructors is maintained to monitor the standard of instruction provided

- receiving regular feedback and reports in relation to compliance mattersfrom managers, supervisors or instructors assigned responsibility forparticular flight training

- maintaining communications with personnel at remote bases, andcarrying out remote base inspections to ensure standardisation ofinstruction

- receiving and reviewing feedback from examiners and CASA regardingflight test outcomes

-

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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 managementsystem, a means must be provided for the head of operations to carry out thefunctions required to fulfil this responsibility. These may include, but are notlimited to:

- ensuring instructors receive, or have access to, the training managementsystem manual, and are familiar with its contents prior to conductingactivities

- ensuring personnel are competent in the use of any software programwhich may be utilised as a tool for the training management system

- providing training and guidance to instructors and examiners in the use ofcompetency based syllabuses, and providing supervision to confirm

training is conducted in accordance with the syllabuses and standardisedprocedures of the training management system

- analysing data relating to matters such as repeated lessons, time taken toachieve first solo flights and actual student progress against the courseschedule - this may be achieved via the training management systemsoftware tool, if used.

• The head of operations must have the ability to make changes to the training

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(f) Managing the Maintenance and Continuous Improvement of the Fatigue Risk

Management System

• To ensure the management and continuous improvement of the Fatigue RiskManagement System (FRMS), a means must be provided for the head ofoperations to carry out the functions required to fulfil this responsibility. Thesemay include, but are not limited to:

- regularly consulting with the safety manager in relation to the FRMS

- ensuring instructors and examiners receive education and training inrelation to the FRMS

- receiving feedback from instructors and examiners in relation to theirfatigue levels and the effectiveness of the FRMS

- evaluating incident and accident reporting data and making necessary

changes to the FRMS to ensure continuous improvement.

(g) Proper Allocation and Deployment of Aircraft, FSTDs and Personnel

• To ensure the proper allocation and deployment of resources, a means must beprovided for the head of operations to carry out the functions required to fulfil thisresponsibility. These may include, but are not limited to:

- ensuring the suitability of aircraft and/or FSTDs for each of the activities

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(i) Using Flight Simulation Training Devices in accordance with the Exposition

• To ensure FSTDs are used only in accordance with the exposition, a means mustbe provided for the head of operations to carry out the functions required to fulfilthis responsibility. These may include, but are not limited to:

- ensuring instructors and examiners have access to those parts of theexposition that relate to their duties

- delivering training on the use of each device, prior to an instructor orexaminer using the device

- supervising, monitoring and providing feedback relating to the ongoinguse of the devices by personnel and course participants (to confirm thedevices are operated according to written procedures and utilised only forthose sequences specified within the syllabus).

(j) Flight Simulation Training Devices Qualifi ed in accordance with Legislation

• To ensure FSTDs are qualified in accordance with relevant legislation, a meansmust be provided for the head of operations to carry out the functions required tofulfil this responsibility. These may include, but are not limited to:

- assuring the initial evaluation and qualification of each device by CASA,and providing sufficient notice to CASA to ensure that, prior to the expiryof the device’s approval, a fidelity check is conducted and a new

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(l) Instructor Standardisation and Proficiency Checks

• To ensure that each instructor holds a valid standardisation and proficiencycheck, a means must be provided for the head of operations to carry out thefunctions required to fulfil this responsibility. These may include, but are notlimited 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 arereadily available (the head of operations may nominate a suitableinstructor or examiner to carry out the check)

- maintaining a recording system which includes the content and outcomeof the checks.

(m) Instructors and Examiners Authorised under CASR Part 61

• To ensure that each instructor and examiner is authorised under CASR Part 61, ameans must be provided for the head of operations to carry out the functionsrequired to fulfil this responsibility. These may include, but are not limited to:

- maintaining up to date records of the currency of each instructor andexaminer’s qualifications and medical certificate

- rostering instructors and examiners to ensure they are only allocated to

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(o) Training in Human Factors Principle and Non-technical Skills

• To ensure exposition requirements relating to Human Factors Principles andNon-Technical Skills (HF&NTS) are met, a means must be provided for the headof operations to carry out the functions required to fulfil this responsibility. Thesemay 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 eachinstructor and examiner.

(p) Report ing on Personnel Qualifications, Currency and Training Requirements

• To ensure the chief executive officer receives reports on compliancerequirements for personnel qualifications, currency and training, a means must

be provided for the head of operations to carry out the functions required to fulfilthis 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 conductof a particular activity

- providing evidence of the content, completion and results of the trainingand checks required by the internal training and checking system and

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- providing a standardised form for notifying CASA of a missed orunsatisfactory check (e.g. a form template) – such a form must containthe person’s name, position and ARN.

(s) Communications with CASA and each Contracting Operator, and Written

Reports to Contracting Operators

• To ensure effective communication is maintained with CASA and eachcontracting operator, a means must be provided for the head of operations tocarry 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 eachcontracting operator, for communications with the head of training andchecking of each contracting operator (including the provision of writtenreports)

- ensuring records of the content and results of contracted recurrenttraining and contracted checking are made and retained

- establishing guidelines regarding particular events that would necessitatea report outside of the standard reporting cycle - such as a failedproficiency check or a missed standardisation and proficiency check asdescribed in section C1.6.3(r) of this handbook.

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• Any additional responsibilities of the head of operations, which are required bythe applicant, should not conflict with or distract from the responsibilities underregulation 142.190 of CASR.

• The potential impact on a head of operations who may be involved with any otherlegal entity should be considered, to determine whether this may affect theirability to manage the responsibilities under CASR Part 142.

C1.6.5 Direct ions under subregulations 142.215(3) and 142.185(6) of

CASR

• In the interests of safety, CASA may direct the proposed head of operationsundertake an examination, be interviewed by CASA or complete a trainingcourse. When determining whether to issue such a direction, CASA mustconsider the matters set out in subregulation 142.215(4) of CASR. Such adirection must be issued in writing.

• In accordance with subregulation 142.185(6) of CASR, CASA may also issue adirection for the head of operations nominee to undertake an assessment (whichmay include a flight assessment) to demonstrate their suitability to hold theposition. Such a direction must be issued in writing.

• An assessment to determine the suitability of the person would be expected fornominees who have not previously held the role of head of operations, or wherethe operation is significantly different to an operation for which the nominee has

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• CASA may also discuss, at a post-assessment briefing with the nominee, anymatters requiring particular emphasis - such as:

- 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.

(a) Interview and Oral Examination

• Where an interview is deemed necessary, the location and composition of theinterview should be tailored to the nature of the proposed Part 142 activities. Thenominee may provide documentation and reference material, as relevant to theproposed activities, such as:

- the current publication of the:

o Civil Aviation Act 1988

o Civil Aviation Regulations 1988

o Civil Aviation Safety Regulations 1998

o Civil Aviation Advisory Publications (if referenced in the Expositionor Operations Manual)

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- how the responsibilities of the position would be managed in a situationwhere associated duties are delegated to other personnel

- the head of operations’ working knowledge of the exposition, supportingmanuals and documents, including the following manuals:

o 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 solotraining 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 variationsfor student pilot operations

- oversight of the training and checking system, including training andchecking legislation, documentation/records and ensuring that instructors

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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.

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 safetymanager 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

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• The nominee’s qualifications and experience may be verified through thesubmission of a curriculum vitae setting out the nominee’s employment history.This should detail how the nominee meets the experience requirements ofregulation 142.195 of CASR.

• The level of experience required for the safety manager nominee within each ofthe 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 proposedactivities.

(a) Safety Management Experience

• Depending on the size and complexity of the organisation, the safety managershould 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 theability to:

o lead, manage and set standards with regard to the SMS

o implement the SMS in accordance with the organisation’s

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(b) Conduct and Management of Air Operations

• The safety manager must demonstrate a satisfactory record in the conduct ormanagement of air operations. This may be demonstrated by:

- experience with ensuring compliance with legislative requirements

- prior SMS operational experience

- safety risk management experience

- aviation operations experience

- prior aviation management experience.

(c) 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 accordancewith its exposition and civil aviation legislation.

• Safety and Regulatory knowledge may include, but would not be limited to:

- knowledge of current SMS legislative requirements

- ICAO SMS recommendations

- knowledge of the ICAO Safety Management Manual (SMM) – Doc 9859and ICAO Annex 19, Safety Management

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• The applicant must provide documentary evidence to verify that the safetymanager holds the additional qualifications and experience that are required byCASA.

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 andaccountability for the matters specified in regulation 142.200 of CASR, and anyadditional responsibilities required by the applicant.

• The applicant must provide a means for the safety manager to carry out each ofthe responsibilities of the position. This may be done by way of written processesand procedures, supporting documentation, making available finance andresources, or via support to the safety manager in carrying out eachresponsibility.

• The applicant’s processes and procedures should be documented to ensureclarity, repeatability and traceability, and enable the person appointed as thesafety manager (either permanently or temporarily) to effectively manage theresponsibilities for which the position is accountable.

• Each of the applicant’s processes, relevant to the safety manager’sresponsibilities, should be comprised of a series of procedures or actions thatcontribute to the desired outcome. Each documented procedure, which may be

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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 managehazards

- identifying on-going safety training requirements to support the SMSsafety objectives

- providing HF&NTS training or arranging a third party to provide thetraining for the operator’s personnel

- overseeing internal and external SMS audit programs

- maintaining the emergency response plan.

(b) Report ing on effectiveness of the SMS

• To ensure the

Documents

CASR Part 142