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Civil Aviation Safety Authority—Report for 2019-20


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CIVIL AVIATION SAFETY AUTHORITY

2019 -20 ANNUAL REPORT

About this report This report provides a concise overview of the operations of the Civil Aviation Safety Authority (CASA) and reviews our performance against the corporate goals identified in the CASA Corporate Plan 2019-20.

This report aims to provide readers with a detailed account of CASA’s performance for the 2019-20 reporting period.

As well as providing a detailed description of what CASA has done during the year, the report contains financial statements for 2019-20 and identifies CASA’s plans to meet expected challenges in the year ahead.

CASA is accountable to the Minister for Infrastructure, Transport and Regional Development and to the Parliament of Australia. The publication of an annual report also fulfils an important element of CASA’s reporting responsibilities to the wider aviation community.

This report was prepared in accordance with the Civil Aviation Act 1988, the Public Governance, Performance and Accountability Act 2013, the Public Governance, Performance and Accountability Rule 2014 and other relevant legislation.

Publication details ISSN: 1327-5968 ISBN: 978-1-921475-82-5

© Commonwealth of Australia 2020

With the exception of the Coat of Arms and all photos and graphics, this publication is licensed under a Creative Commons Attribution 4.0 International Licence. The Creative Commons Attribution 4.0 International Licence is a standard form licence agreement that allows you to copy, distribute, transmit and adapt this publication provided that you attribute the work. The full licence terms are available from: creativecommons.org/licenses/by/4.0/.

The Civil Aviation Safety Authority asserts the right to be recognised as the author of the original material in the following manner:

The document must be attributed as the Civil Aviation Safety Authority Annual Report 2019-20.

Front cover montage:

© Lowell Sannes | iStockphoto.com

© spainter_vfx | AdobeStock

© everythingpossible | AdobeStock

Chapter page images:

Part 1, 2, 3 and 7: © Civil Aviation Safety Authority

Part 4: © Thinkstock / Digital Vision

Part 5: © Andrew Rich | iStockphoto.com

Part 6: © Shane McKenzie | iStockphoto

2007.4055

CHAIR - CASA BOARD Ref: MS20-001502 14 September 2020

The Hon Michael McCormack MP Deputy Prime Minister Minister for Infrastructure, Transport and Regional Development

Dear Minister

On behalf of the Civil Aviation Safety Authority (CASA), I present to you the annual report for the reporting year 1 July 2019 to 30 June 2020.

The report has been prepared in accordance with the Civil Aviation Act 1988; the Public Governance, Performance and Accountability Act 2013 (PGPA Act); the Public Governance, Performance and Accountability Rule 2014; and other relevant legislation.

The report is made in accordance with a resolution of the Board of CASA, which is responsible under section 46 of the PGPA Act for presenting an annual report to you, for presentation to the Parliament, on CASA’s activities during the period. The annual report was reviewed by the Board and approved on 11 September 2020.

Yours sincerely

Anthony Mathews Chair CASA Board

LETTER TO THE MINISTER

CONTENTS

Introduction 3

Part 1: Overview 13

Message from the Chair of the Board 14

Review by the Chief Executive Officer/Director of Aviation Safety 16 Financial summary 19

Part 2: Annual performance statement 25

Statement of preparation 26

Performance framework 26

Portfolio outcome 28

Corporate goals 34

Analysis 45

Part 3: Key performance areas 49 CASA’s key performance areas 50 Goal 1 outcomes 51

Goal 2 outcomes 59

Goal 3 outcomes 65

Part 4: Corporate governance and management 75

Corporate governance 76

People management 98

Work health and safety 105

External engagement 108

Part 5: Other accountability reporting 117

External scrutiny 118

Compliance with finance law 122

Significant activities and changes 122 Freedom of information 122

Enforcement actions 122

Environmental sustainability 123 Procurement 125

Advertising 125

Sponsorships and grants 126

Related entity transactions 126

Insurance and indemnities 126

Part 6: Financial statements 127

Independent auditor’s report 128 Statement by the Chair of the Board, Chief Executive Officer/Director of Aviation Safety and Chief Financial Officer 130

Statement of comprehensive income 131 Statement of financial position 132 Statement of changes in equity 133 Cash flow statement 134

Notes to and forming part of the financial statements 135

Part 7: Appendices and references 165

Appendix A: Operating statistics 166 Appendix B: Management and accountability statistics 175

Abbreviations list 193

Compliance index 194

Alphabetical index 197

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INTRODUCTION 3

SNAPSHOT OF RESULTS—PORTFOLIO OUTCOME Maximise aviation safety through a regulatory regime, detailed technical material on safety standards, comprehensive aviation industry oversight,

risk analysis, industry consultation, education and training.

Against the nine performance criteria in CASA’s Portfolio Budget Statements, seven of 11 targets were achieved, while four were partly achieved.

Data suggest a decreasing trend in the aviation industry accident rate over the past five years, with the incident rate remaining virtually stable since 2015.

See the annual performance statement (pages 28-33) for full results against CASA’s Portfolio Budget Statements performance criteria.

Note: The accident and incident rate information was calculated on a calendar year basis. This is due to flying hours being collected by the Bureau of Infrastructure, Transport and Regional Economics (BITRE) on a calendar year basis through an annual survey.

Both fatal and non-fatal accidents are included in the accident rate calculation, and similarly, both serious and non-serious incidents are included in the incident rate calculation.

A moving average rate has been plotted to help display any underlying trends.

Sources: Australian Transport Safety Bureau Air Safety Incident Reports and BITRE published flying hours.

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SNAPSHOT OF RESULTS —CORPORATE GOALS

Goal 1: Maintain and enhance a fair, effective and efficient aviation safety regulation system

• The first Part 149 certificate for an approved self-administering aviation organisation was issued, to the Australian Parachute Federation, on 25 April 2020.

• CASA introduced an acceptable means of compliance with the CASR Part 67 colour vision standard through the recognition of the New Zealand operational colour vision assessment (OCVA). Development of an Australian OCVA was delayed by COVID-19.

• Legislation was made in July 2019 to support remotely piloted aircraft registration and operator accreditation, to commence for commercial operators on 30 September 2020.

• A range of regulatory activities was completed to enable the commissioning of new runways at Sunshine Coast Airport and Brisbane Airport.

• Publication of the new Part 139 Manual of Standards for aerodromes was completed, with a commencement date of 13 August 2020.

• CASA provided support during bushfire events through airspace solutions and post-event forums to enhance the safety of airspace users in future bushfire events.

Progress against CASA’s strategies and plans: Of the 24 intended outcomes against Goal 1, 83 per cent were completed, 13 per cent were delayed and 4 per cent were not achieved.

See the annual performance statement (pages 35-38) for full results against CASA’s corporate plan key performance indicators for Goal 1.

Key performance indicators 89% of measures completed or on track 11% of measures delayed

Key achievements in 2019-20 included:

• The final tranche of the flight operations regulations was made in December 2019, comprising Civil Aviation Safety Regulations (CASR) Part 103 (sport and recreation aircraft), Part 105 (parachuting from aircraft) and Part 131 (balloons and hot air airships), and bringing the long-running regulatory reform program to a close.

• CASA continued to engage with the Department of Infrastructure, Transport, Regional Development and Communications and other agencies in the review of Australia’s State Safety Program and the development of the associated national aviation safety plan. The draft national aviation safety plan and revised State Safety Program are awaiting ministerial approval prior to proceeding to public consultation, which was placed on hold due to COVID-19.

• New flight crew fatigue rules were made in Civil Aviation Order 48.1 Instrument 2019 in September 2019. Critical guidance material and training was completed for the June 2020 transition date prior to CASA proactively deferring transition to accommodate COVID-19 disruption to industry.

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INTRODUCTION 5

Key achievements in 2019-20 included:

• CASA conducted 48 public consultations and feedback surveys via the web-based CASA Consultation Hub, on a range of policy proposals and initiatives.

• CASA relaunched a print edition of Flight Safety Australia, available via subscription.

• In March 2020, CASA relinquished its status as an Aviation Security Identification Card issuing body. This ended 15 years of responsibility for issuing the cards.

• During the reporting period, CASA reduced the backlog of open applications relating to flight crew licensing and aviation medicine by 66.7 per cent. The proportion of applications for flight crew licensing and aviation medicine processed outside service delivery targets decreased from 60.7 per cent to 29.5 per cent. At 30 June 2020, the proportion of flight crew licences processed within service standards was 92.1 per cent, compared to 33.3 per cent at 30 June 2019.

Goal 2: Collaborative engagement with the aviation industry and wider community to promote and support aviation safety

• The Flight Test Management system was reviewed and enhanced to enable the automation of proficiency checks and real-time updates to client licences through the CASA Self Service portal. We also introduced an enhanced CASA telephony system capability to enable client aviation reference number entry identification to better support external client systems contact.

Progress against CASA’s strategies and plans: Of the 13 intended outcomes against Goal 2, 92 per cent were completed or on track. Development of an engagement program with state and local government was delayed due to travel and social distancing restrictions associated with the COVID-19 pandemic.

See the annual performance statement (pages 39-41) for full results against CASA’s corporate plan key performance indicators for Goal 2.

Key performance indicators 100% of measures completed or on track

Aeroprakt A-22 Foxbat ultralight aircraft. Ramp check by CASA inspectors at Sydney Recreational Flying Club, The Oaks airfield, NSW. © Civil Aviation Safety Authority

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6 INTRODUCTION

Goal 3: Continuous improvement of organisational performance

Key performance indicators 89% of measures completed or on track 11% of measures delayed

Key achievements in 2019-20 included:

• Our online services platform continued to grow. Aviation reference numbers for individuals and organisations are online along with remote pilot licences and remotely piloted aircraft operator certificates.

• CASA’s inclusion strategy and action plans for 2019-20 to 2022-23 were released on 2 March 2020 with a four-year rolling plan.

• CASA implemented several initiatives to improve staff awareness of risk management. An e-learning risk module was developed and made available to all staff as part of the CASA learning portfolio. Risk is addressed as a key component of CASA’s orientation program and the manager orientation training program. Three successful program risk assessment workshops were conducted for key programs of work that CASA is undertaking.

• In late 2019, CASA reviewed its business continuity plans to consolidate them and ensure that they were fit for purpose and aligned with best practice and standards.

• Key achievements that shaped and supported CASA’s diverse and inclusive workplace included:

» implementing cultural appreciation training as an ongoing business-as-usual training program

» building workforce preparedness for people with disability by collaborating with the Australian Network on Disability to educate and support our workforce to understand and positively engage with people with disability

» fulfilling CASA’s ongoing commitment to affirmative recruitment measures through entry-level programs that work towards our diversity targets

» engaging and working with our Aboriginal and Torres Strait Islander employees to provide opportunities to influence and participate in CASA’s policies and programs, through the Reconciliation Action Plan Working Group and the CASA Aboriginal and Torres Strait Islander Employee Network.

Progress against CASA’s strategies and plans: Of the 12 intended outcomes against Goal 3, 83 per cent were assessed as completed or on track, while 17 per cent were not achieved.

See the annual performance statement (pages 42-45) for full results against CASA’s corporate plan key performance indicators for Goal 3.

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INTRODUCTION 7

CASA, Australia’s civil aviation safety regulator, was established on 6 July 1995 as an independent statutory authority under the Civil Aviation Act 1988.

People At 30 June 2020, CASA employed 857 ongoing and non-ongoing employees in offices around Australia.

Portfolio outcome CASA has a single portfolio outcome, which is set by the Australian Government and outlined in the Portfolio Budget Statements:

Maximise aviation safety through a regulatory regime, detailed technical material on safety standards, comprehensive aviation industry oversight, risk analysis, industry consultation, education and training.

Corporate objectives CASA’s objectives for 2019-20 were identified in the CASA Corporate Plan 2019-20.

Vision Safe skies for all

Mission To promote a positive and collaborative safety culture through a fair, effective and efficient aviation safety regulatory system, supporting our aviation community

THE CIVIL AVIATION SAFETY AUTHORITY

Key role CASA’s key role is to conduct the safety regulation of civil air operations in Australian territory and the operation of Australian aircraft outside Australian territory. CASA also has responsibility for classifying Australian-administered airspace and determining the services and facilities provided by approved air navigation service providers, having regard to the efficient use of, and equitable access to, Australian-administered airspace. In performing its functions and exercising its powers, CASA must take into account the economic and cost impact of the standards it sets, the differing risks associated with different industry sectors and, to the extent practicable, the environmental effects of the operation and use of aircraft on the environment. In all cases, the safety of air navigation must be CASA’s most important consideration.

CASA, the Australian Transport Safety Bureau, the Department of Infrastructure, Transport, Regional Development and Communications, Airservices Australia and the Department of Defence constitute Australia’s aviation safety framework, each with distinct functions, but working together as parts of an integrated system.

In keeping with CASA’s fundamental obligations, we strive at all times to ensure our decision-making and actions are lawful, fair, reasonable and consistent, and contribute to optimal safety outcomes, while not unnecessarily impeding the efficiency of the operations we regulate.

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Operating environment CASA has a direct regulatory relationship with approximately:

• 31,203 pilots

• 15,721 registered aircraft

• 791 air operator certificate holders

• 1,952 remotely piloted aircraft operator certificate holders

• 16,482 remote pilot licence holders

• 9,218 licensed aircraft maintenance engineers

• 1,012 air traffic controllers

• 320 operators of certified and registered aerodromes

• 665 maintenance organisations.

CASA is also indirectly connected with more than 100,000 people who are involved in the Australian aviation industry, and with the many millions of passengers whose safety is CASA’s primary concern.

Results Against the nine performance criteria in CASA’s Portfolio Budget Statements, seven of 11 targets were achieved, while four were partly achieved.

Against CASA’s three corporate goals:

• 24 of 26 measures of success against key performance indicators were completed or on track, while two were delayed

• 42 of 49 intended outcomes in key performance areas were completed or on track, while four were delayed and three were not achieved.

Values • Excellence - to strive to excel in all we do

• Courage - to act with strength of character and conviction while being accountable for our actions

• Integrity - our actions and behaviour are open, transparent and ethical

• Teamwork - to work together to promote a strong, cohesive and highly effective workforce

• Innovation - to challenge existing practices and look for opportunities to support effective continuous improvement

• Fairness - to ensure our actions and decisions are informed, consistent, risk-based, evidence-driven and without bias

• Respect - to engage with our peers, colleagues and the wider aviation community in a clear, concise and respectful manner at all times

Goals 1. Maintain and enhance a fair, effective and efficient aviation safety regulation system

2. Collaborative engagement with the aviation industry and wider community to promote and support aviation safety

3. Continuous improvement of organisational performance

Financial results CASA recorded an operating deficit of $12.4 million in 2019-20, compared to a $3.5 million operating deficit in 2018-19 (see page 19-23 for a full financial summary).

Key indicator 2018-19

($m)

2019-20 ($m)

Change (%)

Operating revenue 183.5 188.3 2.6 

Operating expenses 187.0 200.7 7.3 

Operating surplus (deficit) (3.5) (12.4) 254 

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INTRODUCTION 9

• Encouraging a greater acceptance by the aviation industry of its obligation to maintain high standards of aviation safety.

• Analysing data, providing advice and making the appropriate interventions to maintain and improve Australian aviation safety performance.

• Providing a rapid response service for authorities requiring protected airspace at short notice.

• Providing advice and support to delegates and authorised persons in the aviation industry and administering medical standards applicable to licence holders.

• Providing regulatory and other appropriate training for CASA staff and industry.

• Carrying out oversight of aircraft, maintenance and flying operations through surveillance of passenger-carrying, charter and freight operations and maintenance organisations.

• Conducting oversight of foreign aircraft operations within Australian territory.

• Developing, establishing, and monitoring the instructional standards for the flying training industry and the flying standards and competency of CASA flying operations inspectors.

CASA ENHANCES AVIATION SAFETY BY:

• Conducting entry control assessments and regulatory surveillance and oversight, providing regulatory services, and taking appropriate enforcement actions when necessary.

• Developing aviation safety standards and guidance material and implementing regulatory changes.

• Providing safety education seminars, programs and resources for industry and the public.

• Developing effective enforcement strategies to secure compliance with aviation safety standards.

• Regulating Australian-administered airspace, registered and certified aerodromes, aerodrome rescue and firefighting services and civilian air traffic control services, and overseeing designers of instrument approach procedures.

• Issuing licences, certificates, authorisations, approvals and other permissions required by persons undertaking aviation-related activities in Australia.

• Conducting regulatory oversight of operators’ drug and alcohol management plans, conducting drug and alcohol testing, and carrying out certain aviation security assessment functions.

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10 INTRODUCTION

336 additional aircraft were registered, bringing the total to 15,721

4,330 new flight crew licences were issued, bringing the total to 31,203

35,880 flight crew licensing applications and notifications were processed

1,651 Australian-registered aircraft were built before 1965, compared to 220 aircraft that were less than two years old

52 infringement notices and 67 counselling notices were issued for remotely piloted aircraft systems matters

1,200 development applications were assessed and approximately 90 airspace change requests were considered

833 obstacle assessments were completed on infrastructure such as mobile cranes, tower cranes, solar farms, wind farms and other property developments

28 Airservices Australia surveillance events and 81 aerodrome surveillance events were conducted

72 per cent of the scheduled surveillance audits were completed, against a target of 80 per cent, despite disruptions caused by the COVID-19 pandemic

5,403 people were issued one of three classes of medical certificate for the first time - of those, 2,427 received their first Class 1 medical certificate

3,368 orders came through CASA’s online store and 57,323 items were dispatched

INTERESTING FACTS IN 2019-20

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INTRODUCTION 11

163 aviation safety seminars and 546 on-site visits were conducted around Australia, reaching more than 5,134 industry members

16,482 remote pilot licence holders and 1,952 remotely piloted aircraft operator certificate holders were current

29 drone detection units were installed across civil-controlled aerodromes in partnership between CASA, Airservices Australia and the Department of Defence

448 new remotely piloted aircraft operator certificates were issued

Know Your Drone safety education campaign advertising reached more than 12.4 million people

The virtual assistant on the Know Your Drone website had 9,117 conversations with clients and resolved 82 per cent of questions on first contact

Over 8.1 million people visited CASA’s website, resulting in 10.3 million page views - five out of the top 10 pages related to drones, accounting for 1.3 million page views

2 CASA employees were honoured for 30 years of service, 6 employees were honoured for 25 years of service and 8 employees were honoured for 20 years of service

Our digital transformation project reduced standard processing times for:

• aviation reference number applications, from 3.5 days to less than 2 minutes

• remotely piloted aircraft operator certificates, from 60 days to 3 days

• remote pilot licences, from 8-10 days to 12 minutes

Aviation industry personnel completed 13,089 e-learning training sessions through the AviationWorx portal

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The new Aviation State Engagement Forum (AvSEF) was initiated to provide opportunities for direct communication with regional aviation communities.

CASA transitioned to a new learning management system - providing greater functionality, including capabilities for new delivery methods and improved reporting and an intuitive user interface - for delivering training to CASA staff and industry.

CASA engaged with the Digital Transformation Agency Digital Graduate Program, and CASA’s Information Technology Branch commenced working with the Australian National University to provide real-world experience for Master of Innovation and Professional Practice students.

The AvSafety seminar series introduced a new engineering seminar program, The human component. The program focuses on engineering errors and the lessons learnt, the human component of engineering, and proposed regulations for general aviation maintenance and continuing airworthiness regulations.

As a part of CASA’s COVID-19 response, 92 per cent of CASA staff commenced working remotely from home.

CASA’s Flight Safety Australia magazine returned to print, with more than 2,500 readers subscribing in the first year.

Measures that CASA introduced to support the industry during the COVID-19 pandemic included six-month extensions of 800 air operator certificates and more than 300 flight training certificates, 30,000 medical certificates for pilots and 14,000 aircraft maintenance engineer certificates.

A virtual assistant was deployed on a dedicated website, casa.gov.au/knowyourdrone, to manage enquiries related to remotely piloted aircraft systems. Some of the popular topics of enquiry were:

• What are the rules for flying drones?

• Drone registration

• Do I need a drone licence?

• How do I apply for a drone licence?

• Remote pilot licences, remotely piloted aircraft operator certificates and commercial use.

INTERESTING ACTIVITIES IN 2019-20

© Civil Aviation Safety Authority

This part of the report provides an overview of the people, projects and resources involved in regulating aviation safety in Australia and progressing CASA’s vision of Safe skies for all.

CASA’s key achievements in 2019-20 are identified, along with some of the initiatives and challenges that lie ahead.

In this part: • Message from the Chair of the Board 14

• Review by the Chief Executive Officer/ Director of Aviation Safety 16

• Financial summary 19

OVERVIEW

1 13

PART

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14 PART 1 OVERVIEW

MESSAGE FROM THE CHAIR OF THE BOARD

A number of alleviations and exemptions were introduced, and I was gratified by the strong support received from industry. Some of the measures included the automatic extension of air operator certificates, remotely piloted aircraft operator certificates and medicals; continuation of licence privileges after expiration for flight review proficiency checks; extension of the transition to the new fatigue rules; and extensions to statutory time periods for commercial pilot licence and air transport pilot licence students and aircraft maintenance engineer licence students.

Significant progress was being made on the implementation of promised regulatory reforms before other priorities took over. The flight operations suite of regulations, covering the general operating and flight rules, air transport certification and governance, air transport operations for aeroplanes and rotorcraft and aerial work, remains on track for commencement in late 2021. CASA has been cognisant of the changes made to section 9A of the Civil Aviation Act 1988 last year and has actively considered the economic and cost impact of each new measure. A range of matters remain to be resolved but I am grateful that progress continued during a very difficult period.

2019-20 was a year that most of us will want to forget in a hurry. Significant developments for the aviation industry in the last six months of 2019 were quickly overshadowed by Australia’s devastating bushfire crisis, closely followed by the catastrophic impact of the COVID-19 pandemic. Domestic and international travel as we knew it will never be the same. The consequences of coronavirus have crippled the regular public transport sector and a commitment to ensure the long-term recovery of this sector, and others, will require patience and resolve.

The regulation of so many industry participants across a multitude of sectors is a large and important task. We are facing considerable uncertainty for the future and have had to take difficult but necessary measures to respond to the situation and prepare the industry for an extended period of doing business differently. I am pleased that CASA implemented significant relief measures for industry during the pandemic.

The organisation was increasingly busy during this time, working on approvals for repatriation and cargo flights and remotely piloted aircraft systems approvals for enforcement agencies in the event of high-level state-imposed lockdowns.

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I am convinced there will still be a vibrant and dynamic aviation industry when these unprecedented circumstances have passed. By working together with industry, CASA will continue to strive for pragmatic and proportionate regulation to reflect the current operating environment. Our efforts, alongside industry, will be essential to drive the recovery of different sectors and sustain Australian aviation as a viable and profitable commodity.

On behalf of the Board, I would like to thank industry members for their ongoing support. I also extend my appreciation to CASA’s management and staff, and my fellow Board members, for their continued dedication to the organisation and its important mission.

Anthony Mathews Chair of the CASA Board

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Not only do the new rules consolidate the existing flight operations rules, they also deliver safety improvements and align with international best practice. These new rules will have an impact on the majority of pilots and operators in Australia. However, making the rules is only the first step. There is considerable remaining work to do between now and their commencement in December 2021 to support the implementation and development of detailed explanatory and guidance material to ensure a successful transition to the new rules.

Transforming our services digitally We continue to enhance our digital services platform for industry to provide simple and efficient processing of applications for basic services such as aviation reference numbers for individuals and organisations. The processing of applications for remote pilot licences is fully available online through the myCASA portal, as are renewals of remotely piloted aircraft operator certificates. We will be introducing an electronic pilot licensing system in the next six months and online aircraft registrations in the future.

Consulting on change In response to the independent review and extensive industry consultation, we finalised the fatigue rules under Civil Aviation Order 48.1 Instrument 2019. The instrument commenced and provided a staged commencement over 2019 and 2020. Alert to the effects of COVID-19 on the aviation industry, we have agreed to extend transition dates by a full 12 months.

CASA achieved significant results during the 2019-20 reporting period. Important amongst these was the conclusion of a key regulatory milestone through the completion of the regulatory development program. At the same time, we were able to provide regulatory support and safety oversight amid a devastating bushfire season as well as through the COVID-19 pandemic, whilst continuing programs to simplify and streamline many of our services.

Being a safety regulator is challenging, but I am confident that CASA and its people continue to achieve quality outcomes for the Australian aviation sector. Australia has a safe and highly respected aviation safety system which remains one of the best in the world.

The following is a summary of CASA’s noteworthy achievements for 2019-20.

Finalising the Civil Aviation Safety Regulations At the beginning of the 2019-20 reporting period we had three remaining flight operations regulations to complete. I am pleased that we were able have them signed by the Governor-General in late 2019, finalising the long-standing regulatory development program that I undertook to finish when I was appointed as Chief Executive Officer/Director of Aviation Safety. Over the past two years there has been an enormous amount of effort expended by CASA staff, the Aviation Safety Advisory Panel and the associated technical working groups, and the broader aviation industry to achieve this goal. I extend my sincere gratitude to you all. This is certainly a milestone in aviation safety.

REVIEW BY THE CHIEF EXECUTIVE OFFICER/DIRECTOR OF AVIATION SAFETY

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PART 1 OVERVIEW 17

Outcomes not achieved Although we achieved the majority of what we had set out to do this year, our progress in some areas was hindered by the pandemic.

COVID-19 has clearly had an impact on planned surveillance and has resulted in the number of planned surveillance events being under target. At the same time, the reduction in on-site surveillance has resulted in a significant increase in desktop surveillance.

Several high-profile engagement opportunities were cancelled or postponed. These included senior-level engagement with overseas authorities and engagement with the International Civil Aviation Organization and many other forums to which CASA regularly contributes. Many of the engagements have since been facilitated utilising online methods.

A number of airworthiness strategy recognition agreements did not progress as planned, due to requests for deferral from the respective national aviation authority or cancellation of international meetings due to COVID-19. CASA remains committed to finalising these agreements in the coming year.

CASA is continuing discussions with the Civil Aviation Authority of New Zealand on remote training mechanisms, in an effort to establish the Australian operational colour vision assessment (OCVA). The OCVA was expected to be in place in early 2020 but was delayed due to COVID-19 travel restrictions.

The year ahead The year ahead will see CASA support the aviation industry’s steady return to operations after the pandemic.

As we move into the recovery journey it is important to stop and think carefully about the safety implications of a return to our ‘new normal’ aviation operations.

We continued to consult on proposed changes via the CASA Consultation Hub, with 48 consultations conducted during the reporting period, and I thank those who contributed to the consultations. The feedback and advice received is critical to ensure that we draft regulations that are modern, relevant and simple to understand and consider the cost impact for operators.

The Aviation Safety Advisory Panel has been instrumental in our regulatory progress during the period, as well as the hub that is used to manage all our consultation material.

Regulatory relief CASA has provided significant relief to industry in relation to the COVID-19 pandemic. The pandemic continues to disrupt business and flying operations and significantly reduce the overall level of aviation activity. We are actively managing our response to the COVID-19 situation to ensure the ongoing safety of aviation, while taking a flexible regulatory approach to help alleviate the pressure on Australian operators.

We have also adjusted our approach to surveillance to account for reduced levels of activity and new and emerging sector risks.

Financial results CASA recorded an operating deficit of $12.4 million in 2019-20, compared to a $3.5 million deficit in 2018-19.

The difference of $8.9 million reflects the overall result of an increase in income of $4.8 million and an increase in expenses of $13.7 million.

Further information on CASA’s financial results is on pages 19-23.

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18 PART 1 OVERVIEW

• preparing for the flight operations regulations to commence in December 2021

• developing guidance materials to support industry to transition to new flight crew fatigue rules under Civil Aviation Order 48.1

• further amending the CASR Part 61 flight crew licensing scheme

• managing the return to service of the Boeing 737 MAX aircraft.

Appreciation This is my last annual report as Chief Executive Officer/Director of Aviation Safety. I owe a sincere debt of gratitude to all of my colleagues and the industry for their ongoing commitment to aviation safety. During the last four years we have faced many challenges in the regulation of aviation safety that we have worked through pragmatically. I am proud to have led an organisation committed to achieving broad safety outcomes for all Australians, be they participants in our fantastic aviation industry or beneficiaries of our aviation safety approach and culture, thereby achieving CASA’s vision of Safe skies for all. I wish you all the best for the future.

Shane Carmody Chief Executive Officer/ Director of Aviation Safety

We will continue to focus on cross-entity collaboration in some large whole-of-government initiatives, including the Australian Space Agency and Geoscience Australia.

We will aim to finalise the new continuing airworthiness regulations, known as Civil Aviation Safety Regulations (CASR) Part 43, for general aviation and aerial work (incorporating future CASR Parts 91, 137 and 138 operations). The aim is to develop a more efficient regulatory environment to provide for reduction of maintenance costs while maintaining appropriate level of safety.

Other key areas of focus for 2020-21, across all divisions of CASA, include:

• finalising the Regulatory Services and Surveillance Transformation Program

• introducing case management functionality within our European Aviation Processing (EAP) regulatory service management system

• implementing an enhanced regulatory oversight operating model

• driving an effective aviation safety regulatory framework that enables remotely piloted aircraft systems to operate safely within an integrated Australian aviation system

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line with the Australian Public Service in April 2020), and increased expenses in consultancies and service contracts, offset by decreases in training and travel expenses.

In 2019-20, CASA’s operating result was $9.0 million less favourable than the revised estimate published in the 2019-20 Portfolio Budget Statements. The actual result was a deficit of $12.4 million, compared to an estimated deficit of $3.4 million.

The variance from the estimate was primarily due to lower than expected aviation fuel excise income of $27.5 million and regulatory fees of $11.8 million, amplified by the impacts of COVID-19, offset by additional appropriations of $15.0 million received for drone registration and COVID-19 relief. Table 1 provides further details.

CASA recorded an operating deficit of $12.4 million in 2019-20, compared to a $3.5 million deficit in 2018-19.

The difference of $8.9 million reflects an increase of $13.7 million in expenses, offset by a $4.8 million increase in income.

The increase in income was due to additional funding from government appropriations for the registration of drones and a supplementation due to a fall in fuel excise collected as a result of the impacts of COVID-19.

The increase in expenses was the net result of increases related to employee expenses - an increase in average staffing level (to 825 in 2019-20 from 806 in 2018-19), an increase in salaries under the CASA Enterprise Agreement 2016-19 (CASA placed a six-month pause on the 2020 remuneration increase in

FINANCIAL SUMMARY

Table 1 Comparison of actual results for 2019-20 with 2018-19 actual results and 2019-20 budgeted results

Actual 2019-20 $m

Actual 2018-19 $m

Variance $m Actual 2019-20

$m

Estimated actual 2019-20a $m

Variance $m

Income 188.3 183.5 4.8  188.3 212.5 (24.2) 

Expenses 200.7 187.0 13.7  200.7 215.9 (15.2) 

Surplus/ (Deficit)

(12.4) (3.5) (8.9)  (12.4) (3.4) (9.0) 

a Budget figures are 2019-20 estimated actuals based on the figures published in the 2019-20 Portfolio Additional Estimates Statements.

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In 2019-20, approximately 54 per cent of CASA’s income was from aviation fuel excise (67 per cent in 2018-19) and 39 per cent was from government appropriations (24 per cent in 2018-19).

The remainder was derived from the revenue from contracts with customers, interest and minor sundry revenue (see Figure 2).

Net result

Income The increased income reflects additional funding from the Government for the management of drones and COVID-19 support, offset by the loss in own-source revenue due to the COVID-19 impact.

Figure 1 shows the change in income from 2018-19 to 2019-20 and compares actual results to budget estimates for 2019-20.

Figure 1 Actual revenue for 2018-19 and actual and budgeted results for 2019-20

Figure 2 Sources of revenue, 2019-20

54%

7%

39%

Aviation fuel excise

Revenue from government

Revenue from contracts with

customers, interest and other revenues

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Expenses Total expenses increased by $13.7 million in 2019-20 compared to 2018-19. This was primarily attributable to increased employee expenses and increased expenses in consultancies and service contracts, offset by decreases in training and travel expenses.

The leased buildings and equipment that were reported as supplier expenses in prior years must be recognised as right-of-use assets in 2019-20, following the adoption of a new accounting standard, AASB 16 Leases.

This resulted in a reduction in supplier expenses and an increase in depreciation and amortisation.

Figure 3 shows the change in expenses from 2018-19 to 2019-20 and compares actual results to budget estimates.

In 2019-20, CASA spent approximately 67 per cent of total expenditure on employee costs (67 per cent in 2018-19) and approximately 24 per cent on suppliers (28 per cent in 2018-19). The remainder comprised depreciation and amortisation expenses (see Figure 4).

Figure 3 Actual expenses for 2018-19 and actual and budgeted results for 2019-20

Figure 4 Expenditure, 2019-20

67%

9%

24%

Employee benefits Supplier and other expenses Depreciation and amortisation

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Capital Management Plan. The cash balance also provides for the estimated future payments to be made in respect of services provided by employees (that is, employee provisions for leave entitlements).

Financial position Key indicators of the health of CASA’s financial position are its ability to sustain its asset base, pay debts as they fall due in the short term, and maintain prudent levels of long-term liabilities.

The ability of CASA to sustain its asset base is indicated by changes in net assets. The net asset position decreased by $9.3 million in 2019-20.

Figure 5 shows that CASA maintains a sustainable net assets level in relation to 2019-20 and forward estimates.

Cash flow CASA’s cash balance (including short-term investments) at 30 June 2020 was $49.8 million ($64.2 million in 2018-19). The decrease in the cash balance was represented by net cash received from operating activities of $12.5 million ($12.3 million in 2018-19) offset by an increase of $1.3 million in net cash used by investing activities (property, plant and equipment and intangibles) to $18.6 million ($17.3 million in 2018-19), as well as $8.3 million cash used in financing activities (leased buildings and equipment). The change of cash flow presentation is required by the new accounting standard AASB 16 Leases in 2019-20. The leasing expenditure was reported in operating activities in 2018-19.

The cash balance provides funding for CASA’s capital replacement and investment program, in line with its

Figure 5 Financial position, 2018-19 to 2022-23

0 20 40 60 80 100 120 140 160 180 200

Total liabilities

Total assets

2018 –19 actual

2019 –20 actual

2020 –21

forward estimate

2021 –22

forward estimate

2022 –23

forward estimate

Net assets

$million

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Financial outlook The 2020-21 budget will be handed down on 6 October 2020. The details below are taken from the 2019-20 Infrastructure, Transport, Regional Development and Communications Portfolio Additional Estimates Statements and are subject to change pending government consideration.

CASA is budgeting for a small operating surplus for financial years 2020-21, 2021-22 and 2022-23.

CASA’s total forecast income for 2020-21 is $189.5 million, derived as follows:

• $40.5 million from government appropriations

• $129.8 million from the aviation industry through the collection of excise revenue on aviation fuel sold for domestic air travel

• $17.5 million from regulatory service fees plus other revenue from industry

• $1.7 million from interest from investments and cash deposits.

CASA’s balance sheet projection shows a modest increase in net assets in the forward years. The organisation’s financial position indicates its capacity to deal with financial pressures.

CASA’s cash and cash equivalents balance, including investments, is budgeted to remain above $52 million in the next three years. As published in the Portfolio Additional Estimates Statements, aviation fuel excise revenue is expected to increase by 6.2 per cent over the three forward years.

The retained surplus is budgeted to remain stable in the following years because of small operating surpluses.

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Shane Carmody, CASA Chief Executive Officer/Director of Aviation Safety, presented the approval to Rebecca Tomkinson, Chief Executive Officer of Royal Flying Doctor Service of Australia Western Operations (RFDS WO).

RFDS WO had been working through a trial fatigue risk management system for the previous two years. The organisation’s trial instrument was due to expire on 30 September 2019, so CASA conducted an audit to decide whether the trial period should be extended or a full approval could be issued.

A fatigue risk management system is designed to be scalable and flexible for individual operators. RFDS WO had expended significant effort and resources, working with external consultants, to shape and develop its system, monitor flight crews and their fatigue, and engage with pilot groups and CASA during the process.

The CASA team overseeing the trial was particularly impressed to see a pilot-initiated proposal considered, and subsequently implemented, with a positive benefit to flight crews and the company.

The work of managing, coordinating, peer reviewing and signing off on the exercise involved staff across the whole of CASA.

First full approval of a fatigue risk management system The first full fatigue risk management system approval under Civil Aviation Order 48.1 was issued by CASA in September 2019.

Rebecca Tomkinson receiving the approval from Shane Carmody | © Civil Aviation Safety Authority

This part of the report provides a detailed assessment of CASA’s performance during the year and how it contributed to achieving the authority’s portfolio outcome and corporate goals.

CASA’s assessment of its progress against other performance objectives is provided in Part 3: Key performance areas, and detailed information on aspects of CASA’s operations is provided in the appendices.

In this part: • Statement of preparation 26

• Performance framework 26

• Portfolio outcome 28

• Corporate goals 34

• Analysis 45

ANNUAL PERFORMANCE

STATEMENT

PART

2 25

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PERFORMANCE FRAMEWORK CASA measures its performance in achieving its purpose of ‘Maintaining, enhancing and promoting the safety of civil aviation, with particular emphasis on preventing aviation accidents and incidents’ through its portfolio outcome and the strategic direction and objectives articulated in its corporate plan.

In accordance with section 16F of the Public Governance, Performance and Accountability Rule 2014, this annual performance statement provides details of CASA’s results against the criteria set out for CASA on:

• page 127 of the 2019-20 Infrastructure, Regional Development and Cities Portfolio Budget Statements

• pages 24 to 29 of the CASA Corporate Plan 2019-20.

No additional performance measures were identified in Portfolio Additional Estimates Statements or other portfolio statements.

Figure 6 provides an overview of CASA’s outcome, goals and performance measures for 2019-20.

STATEMENT OF PREPARATION I, on behalf of the Board of the Civil Aviation Safety Authority, present the 2019-20 annual performance statement of the Civil Aviation Safety Authority, as required under paragraph 39(1)(a) of the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and the Civil Aviation Act 1988 and other applicable legislation.

In our opinion, at the date of this statement, based on the material provided to the Board, this annual performance statement accurately reflects the performance of the entity, and complies with subsection 39(2) of the PGPA Act.

Anthony Mathews Chair of the CASA Board

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Figure 6 Alignment of CASA’s portfolio and corporate objectives and performance measures in 2019-20

Outcome 1 Maximise aviation safety through a regulatory regime, detailed technical material on safety standards, comprehensive aviation industry oversight, risk analysis, industry consultation, education and training

Portfolio Budget Statements

Program 1.1: Civil Aviation Safety Authority performance criteria

• Number of accidents per hours flown by industry sector • Number of incidents per hours flown by industry sector • CASA maintains the Effective Implementation (El) Score determined by ICAO Universal Safety Oversight Audit Program (USOAP)

• Regulatory implementation delivered in accordance with planned and reviewed targets • Surveillance determined through a national surveillance selection process and conducted to plan • Deliver a program of aviation safety education seminars to industry participants • Clear, open and transparent engagement with the industry to support the continuous

improvement of an efficient and effective aviation safety regulatory framework • Regulatory service applications are decided within published service delivery timeframes • Regulatory service activities not currently subject to a published service delivery

timeframe

Portfolio objectives/corporate goals

Corporate plan

1 Maintain and enhance a fair, effective and efficient aviation safety regulation system

2 Collaborative engagement with the aviation industry and wider community to promote and support aviation safety

3 Continuous improvement of organisational performance

Key performance areas and indicators

Develop regulatory framework • CASA demonstrates excellence in

development of the aviation safety regulatory framework

Entry control • CASA processes applications for authorisations

in accordance with documented procedures and within nominated timeframes

Compliance assurance • CASA’s compliance monitoring approaches are standardised and

coordinated relative to the risk being managed

Address non-compliance • Actions undertaken are consistent with CASA’s regulatory philosophy

Effective engagement • CASA maintains productive working relationships with

key stakeholders

• CASA is transparent in its decision making

Promote safety and education • CASA supports industry compliance

(and/or understanding of the consequences of non-compliance)

• CASA’s education and promotion deliverables are relevant, timely, effective and appropriately targeted

Robust structures, systems and processes supporting good governance

• Governance structures are effective

• CASA has the information and communication technology platform and enabling support to achieve business improvement and transformation

CASA continually develops its capability and capacity • CASA maintains and grows capability

to effectively deliver aviation safety regulation

• CASA maintains staff engagement and builds a culture that enables the achievement of CASA’s mission

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PORTFOLIO OUTCOME In 2019-20, CASA was responsible for a single portfolio outcome:

Maximise aviation safety through a regulatory regime, detailed technical material on safety standards, comprehensive aviation industry oversight, risk analysis, industry consultation, education and training.

The outcome was set out in the 2019-20 Infrastructure, Regional Development and Cities Portfolio Budget Statements.

The nine performance criteria set out in the Portfolio Budget Statements comprise high-level measures across CASA performance - reduced accidents, reduced incidents and clear, open and transparent engagement with industry - as well as targets for performance against detailed operational objectives.

Reduced accidents and incidents Figures 7 and 8 illustrate trends in accidents and incidents per hours flown, by industry sector. Care should be taken in interpreting the sector trends, given the necessary assumptions made in calculating the results.

Over the timeframe analysed (2015 to 2019):

• The low number of accidents experienced in the air transport sector contributes to inherent volatility, as evident in Figure 7. Since 2015, accident rates for the aerial work and flying training sectors show a decreasing trend. The general aviation sector also displays a declining trend, with decreases in all years except 2019.

• The incident rate trends for aerial work and flying training have trended down since 2015. Air transport incident rates have remained virtually stable over the past five years, easing in 2019.

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Figure 7 Industry sector - accident rate trends

Note: The accident rate information was formulated on a calendar year basis. This is due to flying hours being collected by the Bureau of Infrastructure, Transport and Regional Economics (BITRE) on a calendar year basis through an annual survey.

The quality assured occurrence information used in the accident rate calculations was extracted on 14 July 2020, at which date all accidents had been processed up to the required 31 December 2019 timeframe.

Fatal and non-fatal accidents are included in the accident rate calculation.

A moving average rate has been plotted to help display any underlying trends.

Sources: Australian Transport Safety Bureau Air Safety Incident Reports and BITRE published flying hours.

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Figure 8 Industry sector - incident rate trends

Note: The incident rate information was formulated on a calendar year basis. This is due to flying hours being collected by the Bureau of Infrastructure, Transport and Regional Economics (BITRE) on a calendar year basis through an annual survey.

The quality assured occurrence information used in the incident rate calculations was extracted on 14 July 2020, at which date all incidents had been processed up to the required 31 December 2019 timeframe.

Serious and non-serious incidents are included in the incident rate calculation.

A moving average rate has been plotted to help display any underlying trends.

Sources: Australian Transport Safety Bureau Air Safety Incident Reports and BITRE published flying hours.

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CASA’s AvSafety program is aimed at pilots of smaller aircraft and is conducted by CASA’s Aviation Safety Advisors. During 2019-20, CASA’s seven Aviation Safety Advisors reached more than 5,134 industry members through activities including 163 seminars and 546 onsite visits. Around 70 per cent of those activities were in regional Australia. More than 95 per cent of pilots who took part in an AvSafety seminar said that it made them a safer pilot or changed their safety behaviour, and 98 per cent said that they would recommend a seminar to other pilots.

CASA consults on regulatory change proposals and seeks feedback on other initiatives via the CASA Consultation Hub (consultation.casa.gov.au). During 2019-20, 48 consultations and feedback surveys were conducted, with a total of 4,776 responses. In the interests of transparency, responses were published on the portal (where appropriate and with consent), as were results and information on next steps. Feedback was sought on a range of regulatory change proposals and airspace reviews, CASA’s bulk recruitment process, sector risks, the myCASA portal, and various safety promotion products, events and campaigns.

Portfolio performance targets CASA’s results against the targets set by the portfolio-level performance criteria are outlined in Table 2.

Effective engagement with industry The Aviation Safety Advisory Panel assists CASA to direct its engagement with the aviation community and seeks input on current and future regulatory and associated policy approaches.

The panel is chaired by Honorary Professor Patrick Murray of the University of Southern Queensland. The panel’s membership is routinely refreshed to align with current areas of focus and members’ engagement dates are staggered to ensure continuity of representation. In 2019-20, the members included representatives from a broad spectrum of the air transport and general aviation sectors, including the helicopter industry, recreational aviation, aerial work, regional operations, flight training and remotely piloted aircraft. The Aviation Safety Advisory Panel met four times during the year.

The Aviation Safety Advisory Panel is supported by discrete technical working groups, established as required so that industry members and relevant technical experts can provide input to the Aviation Safety Advisory Panel on specific technical issues and proposals. Almost 800 industry members have expressed interest in taking in part in technical working groups since the Aviation Safety Advisory Panel was established in 2017.

In total, 165 individual members of industry have participated in at least one of the 20 technical working groups established under the Aviation Safety Advisory Panel. Nineteen technical working group meetings of various kinds, including face-to-face gatherings, teleconferences and videoconferences, were conducted in 2019-20.

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Table 2 Results against Portfolio Budget Statements targets

Performance criterion Target Result

Number of accidents per hours flown by industry sector

Reducing trend Achieved

Number of incidents per hours flown by industry sector

Reducing trend Achieved

CASA maintains the Effective Implementation (El) Score determined by ICAO Universal Safety Oversight Audit Program (USOAP)

Maintain or improve EI score Achieved Following the 2017 ICAO Coordinated Validation

Mission, CASA contributed to increasing Australia’s compliance with ICAO’s USOAP to 95.02%.

CASA has implemented an online system, the Protocol Questions Management System, to facilitate the management of ICAO Protocol Questions and Corrective Action Plans, associated evidence and electronic approval and reporting processes.

Regulatory implementation delivered in accordance with planned and reviewed targets

Regulatory development 80% achieved against planned targets

Achieved

CASA’s work on its regulatory program continued during the COVID-19 disruption and remains focused on meeting requirements for the flight operations suite of regulations to commence on 2 December 2021.

CASA has improved the implementation of end-to-end project management of regulatory change projects to ensure that projects are properly planned, scheduled and resourced for all project stages before commencement.

Surveillance determined through a national surveillance selection process and conducted to plan

80% surveillance achieved against planned targets for the period

Partly achieved

72% of scheduled surveillance audits were conducted. Prior to the significant disruption to the aviation industry resulting from the COVID-19 pandemic, CASA was on track to exceed the 80% annual target for the completion of surveillance events.

Deliver a program of aviation safety education seminars to industry participants

95% of seminars delivered against annual plan with satisfaction rate for effectiveness of 80%

Partly achieved

76% of planned seminars were conducted with the remainder deferred or cancelled due to COVID-19.

CASA reached more than 5,134 industry members through activities including 163 seminars and 546 onsite visits; 98% of seminar participants said that they would recommend a seminar to other pilots.

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Performance criterion Target Result

Clear, open and transparent engagement with the industry to support the continuous improvement of an efficient and effective aviation safety regulation framework

100% of significant regulatory changes publicly consulted and outcomes informed by industry feedback

Achieved

CASA continued to consult on regulatory change proposals and seek feedback on other initiatives via the CASA Consultation Hub (consultation.casa.gov.au). A total of 48 consultations and feedback surveys were conducted, with a total of 4,776 responses.

Improved stakeholder satisfaction survey scores (6.2 in 2018)

Partly achieved

CASA approached the market to conduct the 2019-20 Stakeholder Engagement survey; however, the survey release was placed on hold due to COVID-19.

Improved engagement and participation in CASA’s online, social media and traditional media channels (increased reach, website page-views, follows and subscribers)

Achieved

Social media activities continued to show strong results, with significant interactions and engagement across channels. • Facebook maintained the largest following,

with the number of followers increasing by 3,385 to reach 48,767.

• LinkedIn experienced the highest growth, with the number of users increasing by 15,976 to reach 33,139.

• Twitter followers increased by 1,517 to reach 13,121.

• YouTube followers increased by 1,346 to reach 5,927.

Regulatory service applications are decided within published service delivery timeframes

80% processed within published timeframes

Achieved

81.29% of applications for authorisations were decided within the published service delivery timeframe.

Regulatory service activities not currently subject to a published service delivery timeframe

Catalogue of service delivery timeframes completed in 2019-20

Partly achieved

The Regulatory Services and Surveillance Transformation Program is reviewing all regulatory oversight activities, existing and transitioning, to establish a revised list of regulatory assessment and surveillance activities. This will involve reviewing underlying business processes and implementing new work management processes in CASA’s European Aviation Processing (EAP) regulatory service management system to enable the development of service delivery timeframes for all regulatory activities. This work will progress during 2020-21 with a planned completion date of 30 June 2021.

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CORPORATE GOALS The CASA Corporate Plan 2019-20 set out three goals through which CASA would achieve its purpose for the period 2019-20 to 2022-23:

• Goal 1 - Maintain and enhance a fair, effective and efficient aviation safety regulation system

• Goal 2 - Collaborative engagement with the aviation industry and wider community to promote and support aviation safety

• Goal 3 - Continuous improvement of organisational performance.

CASA’s results in achieving those goals are measured through 12 key performance indicators, across eight key areas of performance, as detailed in the corporate plan.

This section provides the results for the measures of success that CASA has defined for each indicator, including a snapshot assessment using the following colours.

Completed or on track/no further action required Possible delays/impact on deliverable Delayed/unable to achieve deliverable

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Goal 1 - Maintain and enhance a fair, effective and efficient aviation safety regulation system CASA measures its success in achieving Goal 1 in four key performance areas: ‘Develop regulatory framework’, ‘Entry control’, ‘Compliance assurance’ and ‘Address non-compliance’.

Key performance area - Develop regulatory framework

Key performance indicator

CASA demonstrates excellence in development of the aviation safety regulatory framework

Measure of success Regulatory development is achieved within agreed timeframes and in accordance with reasonable assumptions

On track CASA’s work on its regulatory program continued during the reporting period and remained focused on meeting requirements for the flight operations suite of regulations to commence on 2 December 2021.

CASA extended the transition date for the new fatigue rules in Civil Aviation Order 48.1 Instrument 2019 by 12 months. Most operators will now need to comply with the new rules from 1 July 2021.

The commencement date for remotely piloted aircraft and model aircraft registration and accreditation was deferred to 30 September 2020. Public consultation on the Civil Aviation Safety Regulations (CASR) Part 138 Manual of Standards closed during the final quarter of the year with 117 responses received. The Part 138 Manual of Standards technical working group is expected to meet during the first quarter of 2020-21.

Drafting instructions for the Part 103 (sport and recreation aircraft) and Part 139 (aerodromes) consequential, application, transitional and savings provisions regulations are progressing, with completion expected in the second half of 2020.

The first Part 149 (approved self-administering aviation organisations) certificate was issued to the Australian Parachute Federation. It is expected all applications will be assessed by the transition date of 13 July 2022.

An independent risk management organisation was engaged to undertake a risk analysis of whether the seat limit for air transport operations conducted under Part 135 should be increased from nine to 13 passengers - effectively, where the break point was between Part 135 aircraft and Part 121 aircraft. The final report was delivered to the Chief Executive Officer/Director of Aviation Safety for consideration in June 2020.

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Key performance indicator

CASA demonstrates excellence in development of the aviation safety regulatory framework

Measure of success Stakeholder engagement in the development of new regulations On track In 2019-20, CASA consulted on 17 regulatory, six advisory and seven

airspace change proposals and sought feedback on other initiatives via the CASA Consultation Hub (consultation.casa.gov.au).

Forty-eight public consultations and feedback surveys were conducted through the CASA Consultation Hub, with a total of 4,776 responses. The Aviation Safety Advisory Panel met four times and oversaw 19 technical working group meetings, with a focus on a broad spectrum of air transport, general aviation, including the helicopter industry, recreational aviation and aerial work, regional operations, flight training and remotely piloted aircraft. The minutes of the Aviation Safety Advisory Panel and technical working group meetings are published on CASA’s website.

Measure of success CASA has effective systems in place to respond to emerging trends in aviation safety risk

On track CASA’s Aviation Safety Committee (ASC) continually reviewed data from a variety of sources to inform its decision-making and approach to surveillance and proposed policy development. Aviation safety data and trends were presented and discussed at ASC and CASA Board meetings.

The ASC produced 11 sector safety risk profiles, which are in various stages of completion in accordance with the Sector Safety Risk Profile Program. The program further informs surveillance planning through the National Surveillance Selection Plan. The governance of aviation regulatory and safety risk is managed by the ASC. The ASC met 11 times during the reporting period. The ASC reviews civil aviation safety incidents and accidents and surveillance findings which can lead to the revision of the sector safety risk profiles and/or the launch of sector-specific education activities.

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Key performance area - Entry control

Key performance indicator

CASA processes applications for authorisations in accordance with documented procedures and within nominated timeframes Measure of success CASA has established a catalogue of service level timeframes On track CASA has an established catalogue of service level timeframes for our client services. CASA is developing a revised set of statistics to be used when a new mechanism for reporting is finalised. As new digital processes come online the corresponding service delivery timeframes will also be developed and published once system stability is established.

Measure of success Applications are decided within published service level timeframes On track CASA’s performance for processing applications within published

service level timeframes improved over the reporting period. Overall, the target of processing 80 per cent of applications within published timelines was achieved except for aircraft registration.

The continued deployment of the service delivery transformation program into business-as-usual activity is expected to continue to yield an improved client experience and enhanced service delivery performance. This will consist of enhancements to maintenance personnel licensing and aircraft registration in the third quarter of 2020-21.

The following table summarises the achieved service delivery standards for CASA in 2019-20.

Proportion of authorisations processed within service delivery standards, 2019-20 (%) July- September

2019

October- December 2019

January- March 2020

April-June 2020

Overall 70.19 82.60 88.55 87.43

Aviation medicine 78.52 86.28 89.19 86.95

Flight crew licensing 64.64 82.88 92.76 92.08

Permissions issue 82.73 85.31 87.58 90.66

Aircraft registration 45.65 50.29 47.20 73.82

Maintenance personnel licensing 73.11 85.50 87.23 73.82

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Key performance area - Compliance assurance

Key performance indicator

CASA’s compliance monitoring approaches are standardised and coordinated relative to the risk being managed

Measure of success Annual national oversight program is completed within planned timeframe

Impact on deliverable CASA took a flexible approach to alleviate the pressure of the impacts of the COVID-19 pandemic on the Australian aviation industry.

On 30 June 2020, 72 per cent of surveillance planned for 2019-20 under the National Surveillance Selection Process had been achieved. Prior to the significant disruption to the aviation industry resulting from the pandemic, CASA was on track to exceed the 80 per cent annual target for the completion of planned surveillance events.

CASA adjusted the approach to surveillance to account for changing patterns of activity and the changing nature of operational risks faced by regulated entities. Planned surveillance activities were deferred or completed via alternative processes such as desktop review. A total of 71 onsite audits were completed between March and June 2020, with CASA officers and personnel from regulated entities following COVID-19 safety protocols consistent with CASA workplace safety requirements.

A high level of regulatory service activity was driven by regulated entities looking to vary the scope of their authorisations to meet the increasing demand in some sectors caused by the significant reduction in airline activity.

Measure of success Compliance monitoring is determined through a national surveillance selection process and conducted to plan

On track CASA responded quickly to the COVID-19 crisis, introducing a safety risk mitigation plan process and related instrument of approval to enable regulated entities to continue operating in a safe, compliant and efficient manner while dealing with restrictions related to the pandemic. CASA has adapted a specific risk-based methodology for the post-acute phase of the pandemic to prioritise surveillance events that were planned for 2019-20 but were not completed due to COVID-19 restrictions. Those audits will be completed between August and October 2020.

Key performance area - Address non-compliance

Key performance indicator

Actions undertaken are consistent with CASA’s regulatory philosophy

Measure of success Proportionate enforcement action is taken On track In 2019-20, 97 counselling notices and 132 aviation infringement notices

were issued. One licence cancellation decision was issued. Four decisions of the Administrative Appeals Tribunal were handed down; three affirmed CASA’s decisions and one was set aside.

Measure of success Serious breaches of the legislation are referred to the Director of Public Prosecutions (DPP)

On track In accordance with CASA’s enforcement procedures and the applicable guidelines of the Commonwealth Director of Public Prosecutions, CASA consistently referred briefs of evidence to the Commonwealth Director of Public Prosecutions in relation to matters assessed as involving deliberate and serious contravention of the aviation legislation. During 2019-20, 12 briefs were referred and 13 prosecutions were concluded, 12 of which resulted in a conviction and one of which was withdrawn on public interest grounds.

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Goal 2 - Collaborative engagement with the aviation industry and wider community to promote and support aviation safety CASA measures its success in achieving Goal 2 in two key performance areas: ‘Effective engagement’ and ‘Promote safety and education’.

Key performance area - Effective engagement

Key performance indicator

CASA maintains productive working relationships with key stakeholders

Measure of success Stakeholder satisfaction with CASA’s performance in key areas On track CASA continued to consult on regulatory change proposals and

sought feedback on other initiatives through the CASA Consultation Hub (consultation.casa.gov.au).

Feedback was sought on a range of regulatory change proposals and airspace reviews, the bulk recruitment process, sector risks, the myCASA portal, and various safety promotion products, events and campaigns.

CASA approached the market for tenders to conduct the 2019-20 stakeholder engagement survey and received three responses. The procurement activity was finalised in April 2020, but due to COVID-19 restrictions the survey is yet to be distributed.

Key performance indicator

CASA is transparent in its decision making

Measure of success Processes, guidance and applicable policy manuals (standards, enforcement and surveillance) are available on the CASA website

On track Appropriate guidance information is available on CASA’s website. Web content is regularly reviewed to ensure that it is updated.

In 2019-20, CASA engaged an external company to conduct research on its corporate website. The user research involved several phases to help improve and enhance activities on the website and develop future website activities. A CASA website project will commence in 2020-21, to improve CASA’s information architecture, review content, archive old pages, and consolidate and rewrite information available. This approach will help improve the overall user experience and aligns with the Digital Transformation Agency’s ‘Content Strategy Guide’.

Measure of success Unfavourable decisions are accompanied by a statement of reasons where required under legislation or other authority and are

published on the CASA website

On track All regulatory decisions to refuse an authorisation were accompanied by a statement of reasons and followed the formal enforcement process administered by CASA’s Legal, International and Regulatory Affairs Division.

Measure of success Number of complaints about CASA not being open and transparent On track The Industry Complaints Commissioner received three complaints

in 2019-20 alleging CASA had not been open and transparent. None were upheld.

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Key performance area - Promote safety and education

Key performance indicator

CASA supports industry compliance (and/or understanding of the consequences of non-compliance)

Measure of success Effective communication to key audience using appropriate channels On track A range of internal and external communication activities were

implemented, and communication plans were developed for each activity. The communication plans identified affected stakeholders and the best channels and methods for reaching them. The activities included:

• publishing all proposed regulatory changes and related consultation documents from 2019-20 on CASA’s website at casa.gov.au/newrules

• conducting the Know Your Drone safety education campaign for people who fly drones for fun

• distributing CASA’s e-newsletter, The CASA Briefing , to more than 11,000 subscribers.

Internal initiatives included communication campaigns for the Regulatory Services and Surveillance Transformation Program, Canberra office location options, diversity events and staff awards. Staff received fortnightly talking points on hot topics designed to support staff in communicating with industry.

During 2019-20, 48 public consultations and feedback surveys were conducted via the CASA Consultation Hub, on a range of policy proposals and initiatives, with a total of 4,776 responses. The portal also functioned as a key communication channel, with 247,675 unique visitors during the year.

Subjects covered in CASA’s The CASA Briefing newsletter and feedback surveys included CASA support in the COVID-19 crisis, the completion of the operational regulations package, consultation on key initiatives such as the weight increase for recreational aviation, improvements in online services and finalisation of the new fatigue rules.

Measure of success Industry forums conducted openly and transparently On track All minutes and meeting notes of technical working groups, the

Aviation Safety Advisory Panel and regional airspace and procedures advisory committees were published on CASA’s website, enabling the groups’ activities to be transparent and open to the broader industry.

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Key performance indicator

CASA’s education and promotion deliverables are relevant, timely, effective and appropriately targeted

Measure of success Education and promotion activities meet the needs of the aviation community and CASA staff

On track The Know Your Drone safety education campaign was conducted for people who fly drones for fun. The campaign aimed to raise broad awareness, understanding and acceptance of the recreational drone safety rules, challenge overconfidence and perceived knowledge of the rules, and increase awareness that CASA regulates aviation safety in Australia. More than eight in 10 people who said that they intended to purchase a drone in the next 12 months reported that they felt they had learnt something new, thought the campaign was believable and knew where to look for further information.

The campaign achieved a cumulative reach of more than 12.4 million people. The interactive quiz for recreational drone operators on CASA’s website was taken more than 113,000 times.

A feedback survey on CASA’s flagship aviation safety magazine, Flight Safety Australia, opened on 24 June 2020 and had attracted 783 responses by 30 June 2020. The survey will close on 12 July 2020.

The myCASA portal feedback survey received the second highest number of responses, with 490 responses; followed by the survey on the maximum take-off weight increase for aeroplanes managed by an approved self-administering aviation organisation, with 408 responses. In total, 3,368 orders were received through CASA’s online store and 57,323 items were dispatched.

CASA launched a new version of the external online learning management system, AviationWorx, on 31 August 2019. The system is used by a wide range of external clients to undertake mandatory and voluntary training. This includes flight examiners, pilots, engineers, designated aviation medical examiners, ground handlers, refuellers and more.

CASA staff were provided with access to training modules for the release of new systems, initiatives and regulations. On 25 May 2020, CASA released a new version of CLASS, a learning management system, for internal use. Staff were equipped with the knowledge and understanding required to perform their roles satisfactorily.

Measure of success Increased and expanded digital interactions On track Social media activities continued to show strong results, with

significant interactions and engagement across channels. Between 1 July 2019 and 30 June 2020: • Facebook maintained the largest following, with the number of followers increasing by 3,385 to reach 48,767

• LinkedIn experienced the highest growth, with the number of users increasing by 15,976 to reach 33,139 • Twitter followers increased by 1,517 to reach 13,121 • YouTube followers increased by 1,346 to reach 5,927. The top post during 2019-20 related to the request that drone operators not fly their drones in or near bushfires. The post reached 642,895 people on Facebook, with 51,610 engagements and 9,617 reactions, comments and shares. It was also the top Twitter tweet, with 45,422 impressions and 1,187 total engagements.

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Goal 3 - Continuous improvement of organisational performance CASA measures its success in achieving Goal 3 in two key performance areas: ‘Robust structures, systems and processes supporting good governance’ and ‘CASA continually develops its capability and capacity’.

Key performance area - Robust structures, systems and processes supporting good governance

Key performance indicator

Governance structures are effective

Measure of success CASA’s governance structures align with better practice On track A review of CASA’s governance committees undertaken in

2018-19 resulted in 15 of the 16 agreed recommendations being implemented in 2019-20. The final recommendation will be finalised in the first quarter of 2020-21.

As a result of a review of CASA’s business planning and risk reporting process, the reporting process was elevated from branch level to divisional level, with a more strategic focus linking to organisational objectives and priorities.

Throughout the year, several initiatives were implemented to improve staff awareness of risk management. These include introducing an e-learning risk module, introducing risk as a key component of staff and manager orientation programs, and completing three risk assessment workshops for key CASA work programs.

In late 2019, ahead of the COVID-19 pandemic being declared, CASA initiated a review of its business continuity plans to ensure that they were fit for purpose and aligned with best practice and standards.

Measure of success Unqualified audit of financial statements On track The interim audit of CASA’s financial statements was conducted in

the fourth quarter of 2019-20. No issues of concern were identified in the interim audit, and there have been no issues raised that would cause anything other than unqualified financial statements.

Measure of success Continuous improvement towards better practice portfolio, program and project management

On track CASA introduced a new tool to support improved management and reporting for CASA’s enterprise portfolio of programs and projects. The new application streamlines the process for the collation of project- and program-related information, provides an enhanced reporting capability, and supports improved dependency management between initiatives.

A forms improvement project was launched in early 2019. More than 200 forms and supporting business processes were reviewed and redesigned to be clear, consistent, and easier for clients to use. Client feedback has been consistently positive and some of the forms now have online functionality with pre-populated information.

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Key performance indicator

CASA has the information and communication technology platform and enabling support to achieve business improvement and transformation Measure of success Delivery and management of an agreed, transparent ICT work program On track CASA delivered 16 development projects and four procurement projects included in the Capital Management Plan. The four projects covered:

• business intelligence and analytics - The initial phase of a new data platform that enables users to access datasets in a self-service approach to dashboarding and reporting was developed.

• end user computing - The rollout of the new desktop standard operating environment commenced, enabling faster deployment of applications and more efficient support and maintenance of the desktop fleet. All sites will be upgraded in 2020-21.

• a wireless access network upgrade - The upgrade provides greater utilisation of CASA’s telephone services. The upgrades for Darwin, Sydney and Melbourne offices were completed and the rollout to other offices remains on schedule, for completion by 31 July 2020.

• IT security - In addition to constant threat monitoring, staff education and alert updates, CASA remained focused on increasing CASA’s maturity level against the Australian Cyber Security Centre Essential Eight and reducing the severity of the high-risk items identified in the service delivery transformation program’s security risk management plan.

Measure of success The increase in the total number of interactions completed by clients through digital channels

On track The volume of applications passing through the myCASA portal continued to increase as new digitised processes came online. During 2019-20, CASA issued:

• 23,566 individual aviation reference numbers

• 674 organisation aviation reference numbers

• 3,494 remote pilot licences

• 244 remotely piloted aircraft operator certificates.

CASA also received 4,060 applications to link aviation reference numbers to myCASA accounts.

Measure of success Availability of ICT services (excluding scheduled maintenance) to support 24/7 anywhere, any device client access

On track CASA implemented significant changes to its ICT environment in response to the COVID-19 pandemic, enabling 92 per cent of staff to work from home within two weeks. The high demand to support staff through the transition was effectively managed throughout the April-June 2020 quarter. The increased workload for open service desk request tickets peaked at more than 600 at the end of March 2020 before returning to a low of less than 350 by mid-May 2020.

During March-May 2020, CASA completed the implementation of video and voice functionality for all CASA remote users and assisted in extending the use of a new communication and collaboration platform for planning, communications, document collaboration/ sharing and reporting.

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Key performance area - CASA continually develops its capability and capacity

Key performance indicator

CASA maintains and grows capability to effectively deliver aviation safety regulation

Measure of success Initiatives within the rolling four-year workforce plan are focused on deploying capability and capacity in line with current and future

business models

Impact on deliverable CASA reviewed how to deliver a diverse and inclusive workplace reflecting the outcomes in an employee value proposition, policy

directives and work-based tools that influence and shape culture, conduct and work-based interactions with each other and our stakeholders.

The CASA Inclusion Strategy 2019-2023 was released on 2 March 2020 with a rolling four-year plan. The strategy set employment targets to create a focus and commitment to achieve tangible outcomes, particularly for Aboriginal and Torres Strait Islander peoples, women and people with disability.

CASA staff were provided with cultural appreciation training to enable a greater appreciation of Aboriginal and Torres Strait Islander culture, customs and traditions. The training provides tools and techniques to help CASA staff to communicate and engage effectively with Aboriginal and Torres Strait Islander peoples and communities. The program was completed by 100 staff nationally.

CASA developed a work health and safety strategy that came into effect in 2020, focusing on enhancing staff wellbeing, advancing collaboration and consultation, and continuously improving the work health and safety management system.

The Early Intervention Assistance Program became an ongoing program, in recognition of the benefit of providing timely support to staff who suffer minor work-related injury or illness.

Initiatives such as the Psychosocial Safety Climate Program and diversity events were unable to be delivered, due to the impact of social distancing and business disruption resulting from the COVID-19 pandemic, and have been held over to the next financial year.

Measure of success Training opportunities are provided to all staff each year in accordance with their personal training plan

On track Staff completed 1,325 classroom training sessions and 9,337 e-learning sessions delivered by CASA. Additionally, staff completed 454 courses and accessed 17,509 training videos online through LinkedIn Learning.

CASA transitioned to a new learning management system, providing greater functionality and capabilities for delivering training for CASA staff and industry. The new system introduced capability for new delivery methods, improved reporting, and a more intuitive user interface.

CASA implemented virtual classroom training in response to COVID-19 restrictions. This enabled a mix of training solutions to be used, improved efficiency and increased flexibility in training delivery.

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Key performance indicator

CASA maintains staff engagement and builds a culture that enables the achievement of CASA’s mission

Measure of success Staff engagement On track CASA effectively managed the ongoing health and wellbeing of CASA

staff during the national bushfire crisis and the global COVID-19 pandemic, including through the release of three all-staff surveys.

CASA recognised the outstanding contributions of 46 staff members through the CASA Award Scheme and delivered targeted training, education and development opportunities for our senior and emerging leaders through the CASA Leadership Program.

In response to staff feedback, CASA committed to implement strategies and workplace practices to improve CASA’s approach to risk management, change management and senior leadership teamwork.

ANALYSIS In accordance with section 16F(2) of the Public Governance, Performance and Accountability Rule 2014, the annual performance statement must include an analysis of factors affecting an entity’s performance in achieving its purposes in the reporting period.

Several changes were made to CASA’s structures in 2019-20 to enable more effective and efficient operations.

In addition, a parliamentary inquiry into the current state of Australia’s general aviation industry, with particular reference to aviation in rural, regional and remote Australia, was announced on 6 December 2019.

Overall, CASA performed at a high level during the reporting period despite challenges associated with significant disruptions resulting from the COVID-19 pandemic.

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Urgent approvals for firefighting aircraft On 4 January 2020, as Australia grappled with a devastating bushfire season, the Prime Minister announced that the Government was preparing to lease additional waterbombing aircraft for the states and territories to deploy in firefighting efforts.

© Erickson Aero Tankers Australia LLC

The additional units would comprise two long-range fixed-wing aircraft (DC-10s) with 36,000 litres capacity, and two medium-range fixed-wing large air tankers with 11,000 litres capacity.

From 5 January, under the coordination of the Southern Region office, CASA teams across the country worked together to provide urgent approvals for the firefighting aircraft.

Once the operators of the aircraft had been confirmed, CASA commenced preparations for the entry control process. This involved providing an air operator certificate variation for AGAIR Pty Ltd, to add two DC-10s, and an air operator certificate renewal for Erickson

Aero Tankers Australia LLC, to include up to five DC-9-87 aircraft. CASA concurrently processed applications for the addition of a C525 Citation and a B200 King Air aircraft to be flown by specialist pilots from the United States.

Civil Aviation Act 1988 section 28A agreements with the United States Federal Aviation Administration (FAA) were completed within 48 hours. These agreements are formalised jurisdictional arrangements for maintenance and flying operations.

Other authorisations issued or continued included air operator certificates for two operators, Civil Aviation Safety Regulations (CASR) Part 137 exemptions

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© Symber | Dreamstime.com

for the use of transport category aircraft in aerial application operations, exemptions from licensing requirements of CASR Part 61 for FAA pilots, chief pilot approvals, and flight check system approvals for the DC-9 and DC-10 aircraft.

CASA also processed training and checking approvals, for three type specialists for the DC-10 to support the AGAIR chief pilot responsibilities, and certificates of validation for FAA-licensed pilots to operate the Australian (lead plane) aircraft.

The last permissions were issued as the aircraft began their transit from the United States on 16 January.

CASA had handled a similar high-priority task in November 2019, when the first DC-10 air tanker was requested by the New South Wales Rural Fire Service. The aircraft authorisations, including the FAA agreement, were in place within five working days.

CASA actively supported aerial firefighting efforts across the country in the summer of 2019-20. It assessed and approved 19 operators to use 58 foreign aircraft in Australia including two DC-9s and two DC-10s, two B737 air tankers, a Black Hawk and a Russian Kazan MIL-8 helicopter.

The ability to work directly across the various divisions within CASA resulted in huge efficiencies in communication and workflow, despite the active workload demands each day.

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Milestone in aviation safety reform A significant milestone in Australia’s aviation safety regulation development program was reached on 12 December 2019, with the Governor-General’s signing of the final three flight operations Parts of the Civil Aviation Safety Regulations 1998 (CASR).

Mr Carmody extended his gratitude to everyone who had contributed to the regulation development program, particularly the industry-chaired Aviation Safety Advisory Panel and associated technical working groups that contributed in the last couple of years. He described their role as a testament to the willingness of the aviation industry to get behind CASA’s commitment to streamline the aviation safety regulations.

CASA is continuing to consult on the detail of some of the supporting standards and transition arrangements and preparing guidance material to ensure that the aviation community has the support it needs.

The regulations are part of a suite of nine flight operations regulations that will commence on 25 March 2021, affecting every pilot and air operator in Australia.

The new CASR Parts streamline and modernise the rules for sport and recreational aviation, ballooning and parachuting activities in Australia.

This substantially completes a program that began 25 years ago, migrating the aviation safety rules to the CASR from the Civil Aviation Regulations 1988 and numerous other instruments. Australia has one of the safest aviation industries in the world and reaching this milestone was no small feat.

Two years earlier, when CASA had 10 regulations to finalise to complete the CASR suite, Chief Executive Officer/ Director of Aviation Safety Shane Carmody made a commitment to industry that we would ‘get them done’. In December 2019, he was pleased to mark our success.

© Devy Masselink | iStockphoto.com

This part of the report provides a detailed assessment of CASA’s progress in the key performance areas outlined in the CASA Corporate Plan 2019-20.

CASA’s report against the performance measures defined in the 2019-20 Portfolio Budget Statements and the corporate plan is in Part 2: Annual performance statement, and detailed information on aspects of CASA’s operations is provided in Appendix A in Part 7: Appendices and references.

In this part: • CASA’s key performance areas 50

• Goal 1 outcomes 51

• Goal 2 outcomes 59

• Goal 3 outcomes 65

3PART

49

KEY PERFORMANCE AREAS

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CASA’S KEY PERFORMANCE AREAS As set out in the CASA Corporate Plan 2019-20, CASA tracks its performance in achieving its three goals across eight key areas of performance.

The key performance indicators for each key area of performance capture CASA’s long-term objectives in key operating areas. The key performance indicators for 2019-20 are shown in Figure 6 in Part 2, and addressed in CASA’s annual performance statement.

In addition to the indicators, the corporate plan identifies strategies and

plans for each performance area, as set out in Figure 9. The intended outcomes of the strategies and plans cover CASA’s short-term and medium-term priorities for the period of the corporate plan.

This section sets out a detailed report on performance for each intended outcome, including a snapshot assessment using the following colours.

Figure 9 CASA’s goals, key performance areas and key focus areas in 2019-20

Goal Key performance

area

Strategies and plans

1 Maintain and enhance a fair, effective and efficient aviation safety regulation system

Develop regulatory framework 1.1 Promote and improve CASA’s regulatory philosophy

1.2 Ensure the Australian civil aviation safety regulatory regime is complete and optimised for aviation safety performance 1.3 Improve risk based regulatory management Entry control 1.4 Improve the client experience through the

provision of regulatory and licensing services 1.7 Provide airworthiness assurance for all Australian aircraft and Australian designed and/or built aircraft operating internationally Compliance assurance

1.5 Conduct regulatory services and compliance monitoring of the aviation industry to assure aviation safety performance Address non-compliance 1.6 Develop modern enforcement strategies, policies and practices 2 Collaborative engagement with the aviation industry and wider community to promote and support aviation safety

Effective engagement 2.1 Develop stakeholder relationships 2.2 Contribute to government confidence in CASA as a fair and effective aviation safety regulator 2.3 Work with other overseas regulators and relevant international bodies 2.4 Contribute to the strengthening of aviation safety in the Asia Pacific Promote safety and education

2.5 Provide comprehensive safety promotion programs to the aviation industry and stakeholders

3 Continuous improvement of organisational performance

Robust structures, systems and processes supporting good governance

3.1 Continue to improve CASA’s governance arrangements and quality of our activities 3.2 Continue to maintain sound financial management 3.3 Adopt, develop and drive a digital service delivery environment incorporating contemporary technology environments CASA continually develops its capability and capacity

3.4 Develop CASA’s capability and capacity

Completed or on track

Possible delays/impact on deliverable

Delayed/unable to achieve deliverable

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GOAL 1 OUTCOMES To achieve Goal 1, CASA focuses its efforts on maintaining, enhancing and promoting aviation safety, as set out in the Civil Aviation Act 1988 and in accordance with all government directions. CASA’s work centres on enhancing oversight and

surveillance, continuing the regulatory implementation program, continuing to reform Australian-administered airspace and continuing effective enforcement to secure compliance with safety standards.

Progress in key performance areas CASA tracks its progress in the four key performance areas of Goal 1 against seven strategies and plans.

Key performance area - Develop regulatory framework

Strategy/plan

1.1

Promote and enhance the application of CASA’s regulatory philosophy

Intended outcome

Review the extent to which the principles of the regulatory philosophy are reflected in CASA practices On track Actual or apparent departures from the principles of the regulatory philosophy are assessed and addressed appropriately through

the surveillance and enforcement activities we conduct, the regulatory services we deliver, consultation we have with the aviation community, and the way we make and implement regulations, develop safety education and communicate.

Intended outcome

Review and refine elements of CASA’s regulatory philosophy to ensure its continuing relevance Impact on deliverable The refinement and extension of the regulatory philosophy implementation workshops was affected by a decision to give priority to the final series of Regulatory Reset training sessions. Some minor adjustments were made to the presentation material, with a view to resuming the workshop program with full industry and community involvement. Further sessions were presented in 2019-20, with the last of these conducted in February 2020. Planning for additional sessions has been suspended on account of the COVID-19 pandemic.

Intended outcome

Implement a plan to rationalise legislative action and regulatory processes to enable effective and timely responses to an anticipated increase in requests for advice and guidance On track CASA provides dedicated policy advice and coordination to ensure that drafting instructions reflect intended outcomes. Corresponding approaches are reflected in the approach that CASA’s drafters take in preparing instruments. CASA continues to provide clear, correct and concise responses in line with the Minister’s expectations.

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Strategy/plan

1.2

Ensure the Australian civil aviation safety regulatory regime is complete and optimised for aviation safety performance

Intended outcome

Embed the regulatory project management approach and integrate change management On track CASA implemented project management across all key regulatory change projects. This has seen an improvement in the

implementation of end-to-end project management of regulatory change projects to ensure that projects are properly planned, scheduled and resourced for all project stages before substantive project commencement.

CASA promulgated a project management service offering to CASA business areas to improve governance, project efficiency and organisational readiness for regulatory change.

These changes enable CASA to run regulatory change projects to completion more efficiently.

Intended outcome

Finalise and implement the last tranche of the regulatory program

On track The final tranche of the flight operations regulations was made in December 2019, comprising CASR Parts 103 (sport and recreation aircraft), 105 (parachuting from aircraft) and 131 (balloons and hot air airships), and bringing the long-running regulatory reform program to a close.

Intended outcome

Finalise the standards for upset prevention and recovery training (UPRT) On track An amendment was made to the Manual of Standards for CASR Part 60 (synthetic training devices), which harmonised and

modernised the qualification standards for flight simulators and other devices. The amendment enabled the introduction of upset prevention and recovery training, which is a global safety initiative especially targeted at the operation of larger aeroplanes.

Intended outcome

Implement the self-administration funding model

On track A revised self-administration funding contribution model was implemented after consultation with self-administering organisations.

The 2019-20 self-administering organisations deeds of agreement aligned with the revised funding contribution model and were distributed to the organisations.

Intended outcome

Establish a RPAS registration and operator accreditation system

On track Legislation enabling remotely piloted aircraft registration and operator accreditation was made as planned in July 2019 to come into effect in November 2019.

The commencement date for remotely piloted aircraft and model aircraft registration and accreditation has been deferred to 30 September 2020.

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Intended outcome

Make regulations in alignment with international and foreign standards as far as reasonably practicable considering the needs of individual sectors On track CASA progressed CASR Part 43 (maintenance of aircraft in private and aerial work sectors) through industry consultation, with the technical working group report completed. The report to the Aviation Safety Advisory Panel provided general agreement with the final Part 43 policy position. A strategic communications plan from policy finalisation to legislation consultation is under development.

CASA amended the Manual of Standards for Part 60 (synthetic training devices), which harmonised and modernised the qualification standards for flight simulators and other devices. The amendment enabled the introduction of upset prevention and recovery training, which is a global safety initiative especially targeted at the operation of larger aeroplanes.

The development of a new continuing airworthiness regulation for current charter operators progressed during the year. A technical working group meeting was held to discuss the regulation, with agreement reached on factors for aircraft maintenance policies covering maintenance organisations, independent licensed aircraft maintenance engineer maintenance, pilot maintenance, defect reporting, certification of maintenance and release to service. A third technical working group meeting was held on 24 October 2019 and covered continuing airworthiness management and maintenance programs.

Amendments to Part 66 (maintenance personnel licensing) also progressed, aiming to align more closely with the European Aviation Safety Agency (EASA) Part 66. The self-study option closed for public consultation on 13 May 2020, with feedback yet to be analysed.

Strategy/plan

1.3

Improve risk based regulatory management

Intended outcome

Ongoing improvement and implementation of a regulatory management system On track The Regulatory Management System (RMS) progressed in line with the project management plan. The development of key areas scoping

policy/accountability risk management, change management, and manual development was completed. The Aviation Safety Committee ratified rebranding from RMS to Civil Aviation Safety System (CASS). The IT tool within CASS, the Safety Data Collection and Processing System, was delivered at the end of 2019-20. Plans for 2020-21 will work through the CASS implementation phase. Intended outcome

Continue to enhance data quality to better inform safety decision makers Impact on deliverable The Safety Sector Risk Profile Program has progressed 11 safety sector risk profiles, which are in various stages of completion, including documentation, consultation, content drafting and the printing phase. The program allows for shifts in timelines as the safety sector risk profiles progress to final publication. Regulatory implementation and COVID-19 priorities have impacted the program. A review of the program’s effectiveness is expected to be completed early in 2020-21.

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Key performance area - Entry control

Strategy/plan

1.4

Improve the client experience through the provision of regulatory and licensing services

Intended outcome

Enhance the delivery and management of client services through the service delivery transformation program On track CASA’s Client Services Centre contribution to the service delivery transformation (SDT) program deliverables is on track, including in

the aircraft registration and flight crew licensing service categories.

The program is on track for an aircraft registration renewal service to be delivered into the myCASA portal for release in 2020-21. The solution incorporates the proposed maximum take-off weight definitions and pricing models based on current registration requirements.

SDT focused on the flight crew licensing area of CASA’s business and developed a range of digital application solutions for high-volume services. The digital solutions involve a range of validation checks that were not available previously. While providing a faster service, they also provide a higher level of integrity and, ultimately, safety.

SDT delivered a myCASA industry exemptions lodgement capability in late May 2020, following executive endorsement to move quickly to provide this capability in response to industry impacts of COVID-19. CASA remains on track to deliver the flight crew licensing elements of the program, including a beta digital remote pilot licence.

Intended outcome

Continue to modernise and refine CASA’s approach to medical certification On track The review of aviation medicine, including CASR Part 67, client communications and designated aviation medical examiner

assessing guidelines (clinical practice guidelines) is on track. The terms of reference, comparison between New Zealand and Australian regulation, and initial plain English version for Part 67 have been completed.

An acceptable means of compliance with the Part 67 colour vision standard has been introduced through the recognition of the New Zealand operational colour vision assessment (OCVA). Development of an Australian OCVA has been delayed by the impacts of COVID-19.

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Strategy/plan

1.7

Provide airworthiness assurance for all Australian aircraft and Australian designed and/or built aircraft operating internationally Intended outcome Implement the international airworthiness strategy recognition agreements with other NAAs, maximising benefit for Australian aviation Delayed A certification arrangement with EASA has been deferred by EASA. A completion date has not been agreed.

There has been no progress made on a proposed maintenance agreement with the Civil Aviation Authority of New Zealand due to a request from the New Zealand authority to defer required activities until a later date.

Preliminary discussions with the Japan Civil Aviation Bureau to establish a mutual recognition arrangement for the acceptance of maintenance of parts and components were scheduled to take place at the 2020 Asia-Pacific Bilateral Partners Dialogue Meeting in Singapore. This meeting was deferred by the organisers due to COVID-19 and no further progress has been made to date.

Key performance area - Compliance assurance

Strategy/plan

1.5

Conduct regulatory services and compliance monitoring of the aviation industry to assure aviation safety performance

Intended outcome

Further refine the National Surveillance Selection Process

On track CASA developed a proposed new model for the way we deliver our regulatory services and surveillance functions and laid the groundwork for implementation in 2020-21. These changes are part of a multi-year transformation that CASA is undertaking to provide more effective, efficient and consistent services to the aviation community.

Intended outcome

Continued improvement of compliance with prescribed audit methodology On track The CASA Surveillance Manual continued to be reviewed, updated, maintained and distributed to staff to support continued compliance

with CASA’s prescribed audit methodology. The recurrent program of surveillance training was completed in February 2020 and all staff conducting surveillance activities have completed this course.

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Strategy/plan

1.5

Conduct regulatory services and compliance monitoring of the aviation industry to assure aviation safety performance

Intended outcome

Finalise and implement National Oversight model which sets out CASA’s annual risk-based activities across regulated industry sectors.

On track CASA’s national oversight model continued to progress during 2019-20 and key focus areas were developed for specific sectors. Scoping of surveillance events using those key focus areas was to commence in April 2020; however, this did not occur, due to the disruption caused by COVID-19.

As a result of COVID-19, CASA adjusted its approach to surveillance to account for changing patterns of activity and the changing nature of operational risks faced by regulated entities. Planned surveillance activities were deferred or completed via alternative processes such as desktop review.

Several onsite response audits were completed during the period, with CASA officers and personnel from regulated entities following COVID-safe protocols consistent with CASA workplace safety requirements. Key focus areas will be used throughout 2020-21 as a key element of the annual program of risk-based activities across aviation sectors.

Intended outcome

Drive greater consistency in decision-making and regulatory interpretation across CASA offices On track Enforcement matters continue to be reviewed nationally to ensure consistency and appropriateness of referrals. This has continued to

improve the quality and consistency of referrals.

The Regulatory Services and Surveillance Transformation Program commenced first-principle reviews of operational procedures to ensure that they align with CASA’s regulatory requirements and that there is no risk of regulatory overreach. Regulatory services and surveillance staff have completed outcomes-based legislation training to enable them to interpret the regulations and make better regulatory decisions. The program will continue into 2020-21 and is aligned to the deliverables of the European Aviation Processing (EAP) project which will replace existing work management systems, thus driving consistency of process and outcomes.

CASA published 50 per cent of a new set of airworthiness protocols - the decision-making framework for airworthiness decisions made by CASA airworthiness engineers and inspectors. Benefits include improved consistency in decision-making.

Intended outcome

Continue to leverage the use of voluntary third-party information to enhance risk-based decision making On track CASA continued to invite operators to share any third-party audit reports at the audit notification stage of an upcoming surveillance,

or at any other time, to better inform decisions about the scope or priority of future surveillance.

This step has been included in the CASA Surveillance Manual.

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Strategy/plan

1.5

Conduct regulatory services and compliance monitoring of the aviation industry to assure aviation safety performance

Intended outcome

Baseline industry compliance with their regulatory obligations

On track CASA continued to assess the audit scope coverage to ensure that all audit elements were assessed during the lifecycle of an authorisation.

Intended outcome

Provide regulatory services to support major developments such as new runways and other major air navigation initiatives On track Airspace reviews and development applications continued to be reviewed in line with planned activity, including the commissioning

of new runways at Sunshine Coast Airport and Brisbane Airport. Regulatory services also provided support during bushfire events, through airspace solutions and post-event forums to enhance safety of airspace users in a bushfire event, and provided support and relief to aerodromes and service providers impacted by a significant downturn in aviation activity related to COVID-19.

Intended outcome

Alignment with the international and foreign risk assessment methodology to the greatest degree for Manned and Unmanned Systems for the Australian context Impact on deliverable CASA’s Future Aviation Research and Development Program focuses on collision risk modelling, future technology, and delivering safe outcomes for all future airspace users. CASA contracted Royal Melbourne Institute of Technology (RMIT) University to progress the development of an airspace risk model to inform the development of a draft future airspace concept for Australia. The draft report by RMIT University was submitted to CASA for review on 30 June 2020 and completes stage one of the university’s commitment to CASA.

The Future Aviation Research and Development Program includes collaboration with other Australian agencies such as the Department of Defence and Airservices Australia. CASA is also collaborating and benchmarking with international counterparts to deliver the most current and appropriate airspace assessment methodology for manned and unmanned aviation activity.

CASA continues to support the Joint Authorities for Rulemaking on Unmanned Systems (JARUS) working groups on risk and certification and has taken an active lead in deploying JARUS risk assessment methodologies to support the introduction of drone delivery services in Australia.

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Key performance area - Address non-compliance

Strategy/plan

1.6

Develop modern enforcement strategies, policies and practices

Intended outcome

Consistent with the objectives of the State Safety Program for Australia, continued to refine CASA’s regulatory policies and practices with a view to the promotion of an open and effective safety reporting culture On track CASA developed proposed amendments to Civil Aviation Orders

82.3 and 82.5 to ensure Australia’s compliance with Amendment 1 to Annex 19 of the Convention on International Civil Aviation, focusing on the protection of safety information. These changes will be incorporated into CASR Part 119 before it comes into force in 2021, and ultimately into CASR Part 5.

Intended outcome

Amend CASR Part 13 to implement a revised enforcement framework On track Revised drafting instructions for proposed Part 13 of the CASR are being finalised for referral to the Office of Parliamentary Counsel

subject to the current drafting priorities of CASA and the Office of Parliamentary Counsel.

Looking ahead • In 2020-21, CASA will develop and begin implementation of a future air navigation and airspace strategy,

including the development of a national air navigation plan.

• CASA will finalise:

» CASR Part 43, the new continuing airworthiness regulations for general aviation and aerial work (incorporating operations under revised Part 91, Part 137 and Part 138), to develop a more efficient regulatory environment and reduce maintenance costs while maintaining an appropriate level of safety

» new continuing airworthiness regulations for charter operations (incorporating operations under revised Part 135 and certain operations under Part 121 and Part 133), to develop appropriate and proportionate airworthiness regulations for air transport operations.

• CASA will realign Part 21 (certification and airworthiness for aircraft and parts) with the United States’ equivalent, Federal Aviation Regulations Part 21. This will produce more internationally

compatible regulation, update the design and manufacturing approvals, and incorporate improvements to more adequately cover the areas of commercial parts and medical and rescue equipment.

• The development and implementation of the Regulatory Services and Surveillance Transformation Program will be completed.

• CASA will continue to deploy components of its service delivery transformation to business-as-usual activity to yield an improved client experience and enhanced service delivery performance. This will consist of enhancements to maintenance personnel licensing as well as aircraft registration. The latter will also benefit from a planned review of Part 47 aimed at modernising Australia’s regulation of aircraft registration.

• The review of aviation medicine will continue, including a review of medical certification standards and the administration of aviation medical certificate applications. A key component of this work is a review of Part 67 and designated aviation medical examiner assessment guidelines.

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GOAL 2 OUTCOMES To achieve Goal 2, CASA maintains a constructive working relationship with other Australian Government agencies and promotes effective collaboration through consultation and communication with the wider aviation community. Through its consultative forums, feedback

channels, educational efforts and promotional campaigns, CASA engages in a clear, open and transparent manner with the aviation industry to continuously improve the regulatory framework and be a partner in supporting and promoting a positive aviation safety culture.

Progress in key performance areas CASA tracks its progress in the five key performance areas of Goal 2 against five strategies and plans.

Key performance area - Effective engagement

Strategy/plan

2.1

Develop stakeholder relationships

Intended outcome

Further develop the Aviation Safety Advisory Panel and associated technical working groups On track The Aviation Safety Advisory Panel considered a number of significant matters, including regulations for flight operations, aerial

work, balloons and continuing airworthiness. The Aviation Safety Advisory Panel is supported by technical working groups through which industry members and relevant technical experts can provide their input to the Aviation Safety Advisory Panel on specific technical issues and proposals. The technical working groups met 19 times in 2019-20 to review draft regulations and provide feedback so that industry’s position could be provided by the Aviation Safety Advisory Panel to the Chief Executive Officer/Director of Aviation Safety. These meetings were conducted via various methods, such as face-to-face gatherings, teleconferences and videoconferences.

The Aviation Safety Advisory Panel secretariat met key timeframes for the dissemination of information to technical working groups and Aviation Safety Advisory Panel members.

In total, 165 individual members of industry have participated in at least one of the 20 discrete technical working groups established under the Aviation Safety Advisory Panel.

Intended outcome

Encourage greater industry engagement and participation in consultative activities On track There has been greater promotion of the CASA Consultation Hub as a central place for people to find and participate in consultations,

including through the Flight Safety Australia magazine, CASA’s website and AvSafety seminars.

During 2019-20, there were 48 consultations and feedback surveys conducted with a total of 4,776 responses. In the interest of transparency, responses were published on the web portal (where appropriate and with consent), along with results and information on next steps.

Feedback was sought on a range of regulatory change proposals and airspace reviews, the bulk recruitment process, sector risks, the myCASA portal, and various safety promotion products, events and campaigns.

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Intended outcome

Implement an effective Customer Relationship Management system to better capture, record and track all client and stakeholder interactions On track CASA’s Customer Relationship Management platform has been implemented and is being used to manage: • aviation reference number issue to individuals and organisations

(since October 2019) • remote pilot licence issue to drone pilots • remotely piloted aircraft operator certificate renewal for

certificate holders. The platform is also being used to manage aviation complaints and remotely piloted aircraft enquiries.

Strategy/plan

2.2

Contribute to government confidence in CASA as a fair and effective aviation safety regulator

Intended outcome

Establish effective working relationships with relevant Members of Parliament and Senators that have an interest in CASA and aviation safety On track CASA continued to facilitate timely and accurate responses to correspondence from all levels of government to support requests for advice. The most common topics of correspondence were remotely piloted aircraft systems, airports, infrastructure matters relating to planning approvals, licensing, and aviation medicine. During 2019-20, CASA provided 295 responses to correspondence from federal, state or local government bodies, 144 ministerial responses and 13 ministerial submissions. Active monitoring of correspondence timelines continues.

Intended outcome

Develop an engagement program with State and Local government and continue liaison with other Federal government agencies Impact on deliverable Efforts to develop an engagement program with state and local governments were delayed due to COVID-19. CASA continued to liaise with portfolio agencies to extend the implementation of drone registration and maintenance exams to 2020-21 and provide industry stakeholders impacted by COVID-19 with regulatory relief.

Strategy/plan

2.3

Work with overseas regulators and relevant international bodies

Intended outcome

Enhance focus on bilateral and multilateral arrangements to ensure reduced costs and duplication of processes for industry and CASA, a harmonised approach with other ICAO States and a consistent, CASA-wide approach On track CASA has shifted its international focus to operational issues

concerning regulators and service providers during and after the COVID-19 pandemic. CASA continues to advocate for enhanced coordination in contingency planning among International Civil Aviation Organization (ICAO) States and endeavours to support the harmonisation of approaches where appropriate. Given the focus on COVID-19 response and recovery, work on bilateral and multilateral arrangements has been limited in scope. CASA’s domestic exemptions ensured reduced costs for industry while CASA’s international efforts focused on ensuring that those exemptions were acknowledged and accepted by other States, to maintain critical infrastructure and support the viability and integrity of supply chains globally.

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CASA continues its desktop assessments for mutual recognition and other international cooperation. This included liaising with the Pacific Aviation Safety Office regarding potential future support for a peer review of aircraft in Vanuatu; and ongoing liaison with the Japan Aerospace Exploration Agency and the United States National Aeronautics and Space Administration regarding the Hayabusa2 spacecraft project.

Intended outcome

Ensure effective and targeted participation in ICAO fora to assist in positioning Australia as a Category 1 State of Chief Importance (noting ICAO Assemblies in 2019 and 2022) On track CASA continued to participate in ICAO panels and working groups in a meaningful and practical manner and engaged with Airservices Australia and the Department of Infrastructure, Transport, Regional Development and Communications to ensure a holistic approach to the portfolio’s contribution to international aviation. CASA contributed to Australian positions at the 40th ICAO Assembly, held from 24 September to 4 October 2019 in Montreal, Canada. The Chief Executive Officer/Director of Aviation Safety attended as head of the CASA delegation, supported by CASA representatives, along with other officials from the Department of Infrastructure, Transport, Regional Development and Communications, the Department of Home Affairs and Airservices Australia.

CASA contributed to election campaign material and promoted consistent messages in relation to Australian international aviation activities in the lead-up to ICAO Council elections that took place in September 2019, during the ICAO Assembly, at which Australia was successfully selected as a Category 1 State. CASA’s relationship with like-minded States was crucial during this reporting period, to allow for negotiation of co-sponsorship of ICAO Assembly papers, and coordination of regional positions.

CASA continues to assist in the Transport portfolio’s work to develop the next edition of Australia’s State Safety Program, to be implemented in late 2020. CASA has also undertaken significant work on developing a national aviation safety plan. This assisted CASA’s preparation for the Regional Aviation Safety Group - Asia and Pacific Regions (RASG-APAC) meeting held in November 2019 in Bangkok, Thailand, chaired by the Chief Executive Officer/Director of Aviation Safety.

Following the outbreak of COVID-19, significant attention shifted to contingency measures to ensure business continuity, especially among safety regulators, airports, airlines and air traffic control units globally. This included CASA engagement in special ICAO taskforces for COVID-19 response and recovery.

All global and regional panels, working groups and study groups were progressively postponed by the ICAO Secretariat and host States and moved to online engagement in late 2019-20. This successful pivot enabled CASA to continue to engage in consultations in priority areas, including regional safety oversight and COVID-19 response and recovery discussions.

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Strategy/plan

2.4

Contribute to the strengthening of aviation safety in the Asia Pacific

Intended outcome

Enhance Pacific Aviation Safety Office engagement

On track During the 40th ICAO Assembly, Australia called for further support for States to implement Standards and Recommended Practices in the areas of safety, air navigation capacity and efficiency, especially given the challenging demographic and operational conditions of small island States in the Asia-Pacific region. Australia’s position, endorsed by New Zealand, the Pacific Aviation Safety Office, Samoa, Singapore and Tonga, focused on progressing the Pacific Small Island Developing States - Aviation Needs Analysis (PSIDS Study), in line with commitments made by transport ministers at ICAO’s Asia and Pacific Ministerial Conference in Beijing, China, in February 2018 (the Beijing Declaration).

The PSIDS Study was delivered by ICAO in late 2019. CASA participated in consultation meetings held in Nadi, Fiji, in September 2019. The study resulted in recommendations for the Pacific Islands Forum, Pacific Islands States and ICAO. Among the accepted recommendations were that ICAO will establish a liaison officer position to be based in the Pacific and an assistance coordination platform will be established for Pacific Islands States.

Intended outcome

Manage existing programs of assistance to other ICAO States in the Asia Pacific and contribute to portfolio-wide approaches to consider establishing other programs On track CASA chaired and moderated discussions during the RASG-APAC meeting in November 2019. Key discussions focused on ICAO’s Global Aviation Safety Oversight System, innovation, the identification and reporting of common challenges, and the Safety Information Monitoring System Ramp Inspections Data Sharing Project. National aviation safety plans are the next step linked to State, regional and global aviation safety plans. RASG-APAC adopted the Asia-Pacific Regional Aviation Safety Plan, which will assist States in the region with alignment to common goals and strategies.

Key performance area - Promote safety and education

Strategy/plan

2.5

Provide comprehensive safety promotion programs to the aviation industry and stakeholders

Intended outcome

Continue to develop and implement safety communication strategies in response to identified priority areas On track CASA continued to look for different ways to communicate and engage with the aviation community. CASA’s seven Aviation Safety

Advisors reached more than 5,134 industry members through 163 seminars and 546 onsite visits. Around 70 per cent of those activities took place in regional Australia. More than 95 per cent of pilots who took part in an AvSafety seminar said that it made them a safer pilot or changed their safety behaviour, and 98 per cent of participants said that they would recommend a seminar to other pilots. CASA hosted two national roadshows as a key communication tactic to support the proposed policy for continuing airworthiness management and maintenance for future air transport operations, and the transition to the new fatigue rules. CASA has supported industry stakeholders impacted by COVID-19 through regulatory relief and maintained a flexible regulatory approach during the pandemic.

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Intended outcome

Assess the impact of safety promotion programs and strategies and adapt to changes in communications channels and technologies On track The Know Your Drone safety education campaign was conducted for people who fly drones for fun. It was launched in a summer

promotion on television and in the print media in December 2019 and a second launch across digital platforms in March 2020, and ran until 14 June 2020.

The campaign was based on comprehensive market research which identified low awareness of drone rules among users in the growing recreational drone sector. The campaign aimed to raise broad awareness, understanding and acceptance of the recreational drone safety rules, challenge users’ overconfidence and perceived knowledge of the rules, and increase awareness that CASA regulates aviation safety in Australia.

Advertising reached more than 4.9 million people and the campaign achieved a total cumulative reach of 12.4 million.

The Know Your Drone educational video was viewed more than 11,300 times, with an average watch-time of 2 minutes 10 seconds (video length 2 minutes 42 seconds).

As part of an ongoing communication and education campaign to assist industry transition to the new fatigue rules, information sessions were held at key locations across Australia in March 2020. CASA hosted events in Brisbane, Cairns, Sydney, Adelaide, Perth and Darwin.

Feedback from roadshow participants was analysed and found that almost all respondents (96 per cent) indicated that if CASA planned additional information sessions with industry, their organisation would attend.

A majority (73 per cent) found out about the information sessions via email invitation, with the CASA website (11 per cent) and word of mouth (6 per cent) being the other most popular channels.

A feedback survey on CASA’s flagship aviation safety magazine, Flight Safety Australia, opened on 24 June 2020 and had attracted 783 responses by 30 June 2020. The survey, which closes on 12 July 2020, invited feedback on the online and print editions. It asked whether readers found the information useful, engaging and relevant, and whether the information helped them to become safer in their aviation role. It also asked about what they liked most, and sought feedback on areas for improvement, writing, editorial approach, design and layout.

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Intended outcome

Develop comprehensive plain English guidance material for key new regulations that come into effect On track In September 2019, an advanced concept draft of the CASR Part 91 Plain English Guide was developed to combine the

foundational aviation regulations and standards in one publication. This followed the earlier release of an extract for industry consideration and feedback. The guide provides complex regulatory information in simple, easy-to-read and understandable language using a logical document structure, and is increasingly embracing digital interactive elements to enhance the user experience.

Based on the success of the Part 91 Plain English Guide, CASA is developing similar guides to explain the regulations and standards that require widespread understanding by large audiences and have an impact on multiple sectors of the aviation industry.

The development of the guides is largely dependent on the completion of regulations (including miscellaneous amendments) and Manuals of Standards.

Intended outcome

Relaunch the Flight Safety Australia publication to extend reach of safety messages Completed CASA’s Flight Safety Australia magazine returned to print, with more than 2,500 readers subscribing in the first year. The magazine is

packed with features, news, in-depth analysis and photography, on a wide range of topics, by expert contributors from the aviation community.

CASA’s Facebook and LinkedIn pages continued to be highly effective in promoting the magazine’s comprehensive aviation safety coverage.

Looking ahead • In the context of the increased automation of client applications, increased effort will be directed toward

enhancing CASA’s audit and oversight capability and capacity, a part of a longer-term strategy to introduce risk-informed oversight of individual authorisations and medical certificates.

• CASA will continue to provide critical advice, assistance and support to CASA’s efforts to respond to a range of aviation-related challenges arising from the COVID-19 pandemic.

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GOAL 3 OUTCOMES To achieve Goal 3, CASA closely monitors its organisational performance and seeks to continually improve its operational activities, regulatory services and other support functions.

CASA is adopting a comprehensive systems approach to quality management to drive continuous improvement across all facets of the organisation.

Progress in key performance areas CASA tracks its progress in the two key performance areas of Goal 3 against four strategies and plans.

Key performance area - Robust structures, systems and processes supporting good governance

Strategy/plan

3.1

Continue to improve CASA’s governance arrangements and quality of our activities

Intended outcome

Refine and develop our approach to continuous improvement, quality assurance and management Completed CASA has continued to evolve and improve its approach to continuous improvement. The continuous improvement program

was incorporated into CASA’s Business Transformation Branch to provide improved management of interdependencies with continuous activities and assist with CASA’s projects and programs.

Activities which provided significant value to business included the following:

• A new process for improving capture and management of myCASA client issues was implemented, rationalising multiple channels for incident management and providing a single-entry point and method for managing and monitoring client issues.

• Business process reengineering activities in the flight crew licensing area identified opportunities to significantly reduce processing times for licence conversion for Australian Defence Force and New Zealand pilots by removing unnecessary and time-consuming validation steps.

• A new digital process was introduced for onboarding staff. The process captures all new starter information in a single place, and automatically enacts the required onboarding steps, such as travel, property, security and IT. This has delivered significant internal value in terms of manager and staff time, as well as ensuring that new starters have everything they need from day one.

Intended outcome

Implement identified improvements to governance arrangements

On track A review of the effectiveness of CASA’s governance committees was completed in 2019, and 15 out of 16 agreed recommendations were implemented. The final recommendation will be implemented in early 2020-21.

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Intended outcome

Refine CASA’s business and risk management planning processes

On track CASA lifted its business and risk management planning function from branch level to divisional level, with a more strategic focus linking it to organisational objectives and priorities. CASA introduced an e-learning risk module to raise staff awareness of risk management.

Intended outcome

Implement improved information management governance arrangements including whole-of-government reforms On track CASA reviewed its information management governance arrangements and implemented a new information management

strategy, information management directive and information security directive to improve the governance arrangements.

CASA has strengthened the document control process by implementing a new document management and control directive, updating the information management manual and deploying a new document catalogue system. CASA introduced new compulsory training modules to staff on information management, records management, and the records management system.

CASA continues to support the whole-of-government Digital Continuity 2020 Policy. CASA has commenced all activities under the policy; however, there have been some delays with completion. CASA intends to complete the remaining items in 2020-21 in consultation with other portfolio government agencies that are in a similar position.

Strategy/plan

3.2

Continue to maintain sound financial management

Intended outcome

Implement the simplified cost recovery arrangements

Delayed CASA completed a detailed activity review during 2019-20 as directed by the Australian Government. The outcome of that review was used as a base for a proposed new sustainable funding strategy for CASA, which included a recommendation for simplified cost recovery arrangements.

The Government was expected to consider the proposal as part of the 2019-20 Mid-Year Economic and Fiscal Outlook update. The Government did not consider it at that milestone and CASA has been asked to come back to the Government as part of the 2021-22 budget process.

Intended outcome

Maintain a sustainable funding profile to fulfil our obligations and meet stakeholder expectations Delayed CASA completed a detailed activity review during 2019-20 as directed by the Australian Government. The outcome of that review

was used as a base for a proposed new sustainable funding strategy for CASA.

The Government was expected to consider the proposal as part of the 2019-20 Mid-Year Economic and Fiscal Outlook update. The Government did not consider it at that milestone and CASA has been asked to come back to the Government as part of the 2021-22 budget process.

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Strategy/plan

3.3

Adopt, develop and drive a digital service delivery environment incorporating contemporary technology environments Intended outcome Transform our digital services client offering to align clients’ needs, services, and priorities across contemporary client service channels On track The uptake of online services continues to grow, with the average number of customers using CASA’s new digital services increasing each month. For 2019-20, online services processed:

• 23,566 aviation reference number applications

• 674 organisational aviation reference number applications

• 3,494 remote pilot licence applications

• 244 remotely piloted aircraft operator certificate applications.

Intended outcome

Continue to rationalise and harmonise CASA’s ICT operating environment On track The high demand to support all staff through the transition to working from home during the COVID-19 pandemic was effectively

managed throughout April-June 2020, with a return to normal demand being evident in the uptake of online meetings and open service desk calls, which reduced from a peak of more than 600 at the end of March 2020 to a low of less than 350 by mid-May 2020.

In response to COVID-19 restrictions, CASA completed the implementation of video and voice functionality for all CASA remote users and assisted in extending the use of a new communication and collaboration platform for planning, communications, document collaboration/sharing and reporting.

Delivery of the Capital Management Plan remained on course. At 30 June 2020, 16 development and four procurement projects had been completed, including the following:

• The business intelligence and analytics project built the initial phase of a new data platform, enabling users to access datasets from a range of CASA’s IT systems through a self-service approach to dashboarding and reporting.

• Rollout of the new desktop standard operating environment commenced, enabling faster deployment of applications and more efficient support and maintenance of the desktop fleet. All sites will be upgraded in 2020-21.

• The wireless access network upgrade for the Darwin, Sydney and Melbourne offices was completed, finalising the transition of these large regional offices to CASA’s new aggregated telephony services. All lines are now routed through Canberra, allowing the capacity of dedicated lines for regional offices to be used during peak demand. Rollout to other offices remains on schedule for completion by 31 July 2020.

• IT security projects achieved ongoing improvement in CASA’s maturity level against the Australian Cyber Security Centre Essential Eight and reduced the severity of the high-risk items identified in the service delivery transformation program’s security risk management plan.

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Key performance area - CASA continually develops its capability and capacity

Strategy/plan 3.4 Develop CASA’s capability and capacity Intended outcome

Implement initiatives to support the CASA Workforce Strategy 2019-23 On track All initiatives identified through the CASA Workforce Plan 2019-20 to support the workforce strategy were progressed throughout the

year were completed or on track at 30 June 2020. Key achievements in 2019-20 included:

• development and implementation of the CASA Work Health and Safety Strategy 2019-2022

• development and implementation of the CASA Inclusion Strategy 2019-2023

• refreshment of the CASA Award Scheme to recognise and celebrate achievements and continue to promote a high performance culture

• development and integration of an employee value proposition

• delivery of a new workforce establishment model to support resource allocation in line with organisational priorities

• implementation of job design across CASA to ensure that position classifications and roles align with our work level standards.

Intended outcome

Develop and implement the CASA Inclusion Strategy 2019-23 and diversity action plans to enable more deliberate planning, decisions and actions towards a diverse and inclusive workplace On track The CASA inclusion strategy and action plans for 2019-20 to 2022-23 were released on 2 March 2020 with a rolling four-year plan. The strategy sets employment targets to create a focus and commitment to achieve tangible outcomes, particularly for Aboriginal and Torres Strait Islander peoples, women and people with disability. Highlights for the first year were:

• CASA senior leaders’ personal pledges to foster and support an inclusive work environment, and their contribution to a Diversity Think Tank

• the strengthening of the CASA Aboriginal and Torres Strait Islander Engagement Network as the leading consultation forum for workplace policies and practices that impact Aboriginal and Torres Strait Islander employees and interaction with communities and Elders

• the formation of the Reconciliation Action Plan Working Group to design and draft CASA’s third plan and frame our areas of focus • the release of CASA’s foundation diversity and inclusion training program, including online training for all staff to highlight the

importance of creating an inclusive workplace and environment to attract and retain a diverse workforce • delivery of training, educational and development programs to foster understanding, commitment and meaningful engagement

with CASA’s diverse workforce and CASA communities • changes in award title and criteria to convert the CASA Diversity Champion’s Award to the CASA Inclusion Award, to promote, more

broadly recognise and celebrate inclusive workplace behaviours.

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Strategy/plan 3.4 Develop CASA’s capability and capacity Intended outcome

Develop and embed management tools and resources to support recruitment, employee development, workforce management and career progression On track CASA delivered the recruitment redesign project, reviewing and streamlining our policy and approach to recruitment to increase flexibility, improve efficiency and reduce time to fill vacancies. The CASA bulk recruitment campaign resulted in over 100 positions being filled across six employment categories.

CASA also revised the capability framework articulating CASA’s capability needs, priorities and support for the organisation.

Intended outcome

Implement CASA’s employee value proposition to attract and retain people with the right attributes, knowledge, skills and experience On track CASA delivered targeted training, education and development opportunities for senior and emerging leaders through the CASA

Leadership Program. CASA recognised outstanding contributions of 47 staff through the CASA Award Scheme, which recognises outstanding staff contribution and achievement. The number of award categories was expanded to six, with the addition of an annual Leadership Award.

Looking ahead • In 2020-21, CASA will implement the information management strategy and associated work plan, focusing on:

» completing the sentencing program to capture all of CASA’s physical holdings

» completing the centralisation of controlled documents from across all areas of CASA into the document catalogue

» implementing reporting to provide visibility of use and compliance with CASA’s information management requirements

» implementing the outstanding recommendations from an internal audit of records management.

• The service delivery transformation program is entering its third and final year. Digital licences for remote pilot licences will be made available as part of a major digital release in August 2020 and digital flight crew licences will become available in December 2020. Additionally, aviation organisations will be able to manage critical roles and functions within myCASA, reducing significant time and paper burdens on industry.

• Migrating CASA systems to secure cloud environments will remain a high priority as the requirement for staff to work at home during the COVID-19 response period has highlighted the value of having a mobile desktop fleet that can access core applications through the public internet network.

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Validation of enhanced approach procedures In January 2020, CASA finalised a significant three-year program to implement instrument approach procedures throughout Australia, to enhance aviation safety.

On-site validation at Yulara, Nothern Territory | © Civil Aviation Safety Authority

The International Civil Aviation Organization (ICAO) has identified the introduction of approach to landing procedures with vertical guidance as an internationally significant measure to reduce accidents involving controlled flight into terrain.

Baro-VNAV

Barometric Vertical Navigation (Baro-VNAV) is one means of achieving approach procedures with vertical guidance. A Baro-VNAV approach provides lateral and vertical guidance to assist pilots during the final approach to an airport or aerodrome.

Australia’s Baro-VNAV implementation program commenced in 2016 as a result of ICAO Resolution A37-11, which called for implementation of approach procedures with vertical guidance for

all instrument runway ends, either as the primary approach or as a back-up for precision approach procedures.

Flight validation of procedures by CASA is required by Civil Aviation Safety Regulations (CASR) Part 173 and ICAO Doc 9906; it is one of the final quality assurance steps in the instrument approach design process prior to the approach’s publication and use.

From the commencement of the Baro-VNAV validation program through to June 2020, CASA validated approximately 270 procedures at around 150 aerodromes. CASA will continue to validate new Baro-VNAV procedures as part of normal business, recovering the costs from the procedure design organisation.

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© Civil Aviation Safety Authority

Other procedures

In addition to Baro-VNAV, CASA validated an additional 50 procedures, including the required navigation performance-authorisation approaches and the new approach and departure procedures for new runways at Brisbane Airport and Sunshine Coast Airport. The next flight validation program will involve validation of new procedures making use of Australia’s satellite-based augmentation system, which is planned to be commissioned in 2024.

Validation method

Although ICAO published guidelines for validation of approach procedures with vertical guidance, there was very little practical guidance on how to manage the validation efficiently, safely and cost-effectively.

In 2016, CASA developed a paper, CASA’s Methodology for Validation of Baro-VNAV Instrument Approaches, which was endorsed by ICAO’s Asia and Pacific Regions Flight Procedures Programme Steering Committee.

Procedures were validated in an aircraft simulator, using a B737 simulator and a custom-coded navigation database. The simulator validation component focuses on the navigation data and flyability of the procedures.

Different procedure coding methods were trialled to test different aircraft and flight management systems.

To implement the initial high-priority procedures in major regional areas, onsite validations were completed during standalone trips. The other onsite validations were included in CASA’s revalidation schedule. The onsite validation component focuses on ensuring a safe physical environment.

Added value

The simulator validation exercises add value for industry by providing excellent learning opportunities for CASA’s flight validation team, flying operations inspectors and procedure designers.

The flying operations inspectors were able to gain valuable experience flying new procedure types and to pass their experiences on to colleagues and industry. Procedure designers were able to increase their practical understanding by experiencing the procedures being flown in realistic simulations.

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CASA’s approach to the COVID-19 pandemic Recognising that the aviation sector would be greatly impacted by the COVID-19 pandemic, CASA adopted a flexible approach to assist participants to maintain their businesses and credentials through these unprecedented times.

Business continuity

To maintain business continuity during physical distancing, CASA implemented its Pandemic Action Plan and equipped staff to conduct their roles remotely.

CASA’s Information Technology Branch was responsible for helping people set up their laptops, logins, multi-factor authentication, mobile devices and accessories, and ensuring that there was enough bandwidth to allow people to communicate and work effectively across the CASA network.

The branch promptly updated more than 300 laptops/tablets, upgraded CASA’s remote server, improved remote videoconference capabilities and increased CASA’s network capacity from 100 connections to more than 1,000 connections.

At the height of the pandemic, CASA had 92 per cent of staff working remotely. CASA staff continued to be available to provide regulatory support to industry and service was not compromised. Our organisation’s preparedness to respond to change of such magnitude demonstrates the strength of our systems and our teams.

© Brisbane Airport Corporation

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Regulatory relief

In the early stages of the pandemic, with an upswing in demand for regulatory services from operators adapting and availing themselves of exemptions to keep their businesses going, CASA put in place various general exemptions for authorisations or permissions. They were designed to proportionally manage safety risks while providing regulatory relief.

For example:

• air operator certificates or Civil Aviation Safety Regulations Part 141/Part142 certificates were automatically extended for six months through an administrative process

• pilots and air traffic controllers were enabled to exercise the privileges of their licences for six months after the expiration of their medical certificates

• flight review or proficiency checks remained current for three months following 1 March 2020

• general exemptions were applied to dangerous goods, drug and alcohol management procedures and emergency procedures

• the statutory time period was extended by six months for commercial pilot and air transport pilot licence exams and by 12 months for aircraft maintenance engineer exams.

CASA also facilitated a flexible regulatory approach to aerodrome management, in cooperation with the major airports, to help address the problem of finding parking space for thousands of aircraft that were grounded due to travel restrictions.

Operational readiness

As COVID-19 restrictions began to wind down, CASA’s presence at the coalface ramped up.

Activity on the tarmac increased with aircraft coming out of storage and flights resuming. The presence of CASA inspectors, liaising with industry and conducting ramp visits, was well received by industry as we worked together to establish ‘the new normal’.

Aviation safety advisors slowly resumed their industry visits as flying activity began to recover, consistently reminding pilots to take their time and be more deliberate and careful with their pre-flight planning. CASA’s aviation safety seminars also resumed, taking a conservative approach to venues and numbers to comply with government restrictions.

Engine cover at Avalon Airport

© Civil Aviation Safety Authority

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First certificate issued under Part 149 A milestone in Australian aviation was achieved on 25 April 2020, when the first regulatory certificate was issued to a self-administering sport and recreational aviation organisation under Part 149 of the Civil Aviation Safety Regulations.

Parachuting at the Avalon Airshow | © Civil Aviation Safety Authority

Part 149 (approved self-administering aviation organisations) specifies the requirements for aviation administration organisations involved in sport and recreational aircraft activities.

The regulation commenced in July 2019, bringing a new approach to the safety regulation of sport and recreational aviation, with benefits for approved self-administering organisations and their members.

The first certificate was issued to the Australian Parachute Federation, a not-for-profit organisation that administers civilian parachuting and has responsibility for nearly 400,000 parachute descents a year.

The implementation of the regulation was made possible by the hard work of members of CASA’s General, Recreational and Sport Aviation section, who worked collaboratively with members of the self-administering sport and recreational aviation organisation sector.

This was a significant achievement for CASA and industry members of the sector. It is an example of the strong consultative process we have in place when developing and implementing regulations.

CASA has a range of measures in place to ensure that it meets its commitment to be publicly accountable for its actions and provides a safe and rewarding work environment for its staff.

This part of the report details CASA’s corporate governance, organisational structure and people, and describes how CASA engages effectively with the wider aviation community.

In this part: • Corporate governance 76

• People management 98

• Work health and safety 105

• External engagement 108

CORPORATE GOVERNANCE

AND MANAGEMENT

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safety, by providing comprehensive safety education and training and accurate and timely advice, and by fostering awareness of the importance of aviation safety and compliance with relevant legislation.

CASA also has the functions of cooperating with the Australian Transport Safety Bureau (ATSB), implementing aspects of the Australia-New Zealand mutual recognition agreements, administering elements of the Civil Aviation (Carriers’ Liability) Act 1959 and the International Interests in Mobile Equipment (Cape Town Convention) Act 2013, and performing functions conferred on CASA under the Transport Safety Investigation Act 2003 and the Aviation Transport Security Act 2004.

CASA exercises its powers under the Civil Aviation Act 1988 through the Civil Aviation Regulations 1988, Civil Aviation Safety Regulations 1998, Civil Aviation Orders, Manuals of Standards and other legislative instruments. CASA also publishes advisory and guidance materials related to air safety.

CASA is a corporate Commonwealth entity under the Public Governance, Performance and Accountability Act 2013 (PGPA Act).

CASA has annual reporting responsibilities under section 46 of the PGPA Act and sections 44 and 49 of the Civil Aviation Act 1988. CASA also has a range of reporting and other responsibilities under legislation generally applicable to Commonwealth entities.

Portfolio structure and responsible minister CASA is a statutory authority within the Infrastructure, Transport, Regional Development and Communications portfolio.

The Hon Michael McCormack MP was the Minister responsible for CASA throughout 2019-20, in his capacity as Minister for Infrastructure, Transport and Regional Development.

CORPORATE GOVERNANCE CASA’s corporate governance provides the framework within which the organisation operates to achieve its objectives, ensuring transparent, ethical and accountable evidence-based decision-making, and effectively managing risk and key stakeholder relationships.

CASA’s governance system is firmly aligned with the Civil Aviation Act 1988 and consistent with other Commonwealth legislation and policies directly affecting CASA. The system incorporates governance and management arrangements; policy settings; internal and external communication; risk management and auditing arrangements; quality assurance; and the managed appointment and oversight of industry delegates and authorised persons.

Enabling legislation CASA was established on 6 July 1995 as an independent statutory authority by the Civil Aviation Legislation Amendment Act 1995 amending the Civil Aviation Act 1988 accordingly.

Under section 9 of the Civil Aviation Act 1988, CASA’s primary function is to regulate the safety of civil air operations in Australia and the operation of Australian aircraft overseas. Under section 11 of the Airspace Act 2007, CASA is responsible for the administration of Australian-administered airspace under regulations providing for the classification of volumes of airspace, determining the services and facilities provided by approved air navigation service providers, and designating equitable access to, and giving directions in relation to the efficient use of, Australian-administered airspace.

CASA’s other safety-related functions include encouraging a greater acceptance by the aviation industry of its obligation to maintain high standards of aviation

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Board members The Board comprises a Chair; a Deputy Chair; the Chief Executive Officer/Director of Aviation Safety, as an executive member; and up to four other members. The Deputy Chair position was not occupied in 2019-20.

The Director of Aviation Safety is appointed under Part VIIA of the Civil Aviation Act 1988, to manage CASA subject to the directions of, and in accordance with policies determined by, the Board. After consulting the Minister, the Board appoints the Director on a full-time basis for a term of up to five years, subject to possible reappointment. Mr Shane Carmody occupied the role of Director of Aviation Safety throughout 2019-20.

All other Board members are appointed on a part-time basis by the Minister for terms of up to three years, subject to possible reappointment. In appointing Board members, the Minister must ensure that there is an appropriate balance of professional expertise and experience but need not ensure that particular sectors of the aviation industry are represented.

At 30 June 2020, the Board comprised Mr Anthony Mathews as Chair of the Board; Mr Shane Carmody, in his role as the Chief Executive Officer/Director of Aviation Safety; and Ms Donna Hardman, Mr Michael Bridge and Mr Mark Rindfleish as members, as shown in Table 3.

During the year:

• Ms Jane McAloon resigned her appointment on 31 December 2019

• Ms Donna Hardman was appointed for three-year term effective from 1 January 2020

• Ms Anita Taylor completed her extended term on 2 March 2020

• Ms Cheryl Cartwright completed her three-year term on 16 April 2020.

Two Board positions were vacant at 30 June 2020.

Ministerial direction On 4 July 2019, the Minister for Infrastructure, Transport and Regional Development issued a notice of strategic direction under section 12A of the Civil Aviation Act 1988, in the form of a Statement of Expectations for the Board of CASA.

The Statement of Expectations is the formal and public written expression of the Minister’s expectations concerning the operations and performance of CASA for the period from 15 July 2019 to 30 June 2021.

The Minister’s expectations are reflected in the CASA Corporate Plan 2019-20, which was approved by the Board in line with its functions under section 53 of the Civil Aviation Act 1988.

Under section 19 of the PGPA Act, CASA is required to give reports, documents and information on its activities to the Minister responsible for CASA or the Finance Minister.

In 2019-20, this included a report on CASA’s compliance with the requirements of the public governance, performance and accountability framework and regular reports on CASA’s performance.

CASA Board The CASA Board was established under Part VII of the Civil Aviation Act 1988. The functions of the Board are to:

• decide CASA’s objectives, strategies and policies

• ensure that CASA performs its functions in a proper, efficient and effective manner

• ensure that CASA complies with specified ministerial directions.

The Board is the accountable authority of CASA under section 12 of the PGPA Act, with duties as described in Part 2-2 of that Act. The Board puts in place broad strategies, policies and appropriate directions to guide CASA in the conduct of its day-to-day business.

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Table 3 CASA Board members

Members at 30 June 2020 Mr Anthony Mathews Chair

First appointed: 20 August 2018 Non-executive member

Mr Anthony Mathews has more than 45 years’ experience in the aviation industry.

Mr Mathews holds an air transport pilot licence. He worked as General Manager Aviation for the Royal Flying Doctor Service of Australia and as General Manager and Chief Pilot for Qantas regional subsidiary Southern Australia Airlines. His extensive work in regional aviation also included chairing the board of the Regional Aviation Association of Australia.

Beyond aviation, Mr Mathews has worked with a number of companies and community organisations in the Mildura region of Victoria, including as a board member of the Mildura Co-operative Fruit Company and Lower Murray Water. He is a director and Deputy Chair of Mildura Health Fund, a Paul Harris Fellow of the Rotary Foundation and a Fellow of the Australian Institute of Company Directors.

Mr Mathews also served on the board of Airservices Australia, the national civil provider of air traffic control and aviation rescue firefighting services at Australia’s major airports. He was a member of the board between June 2012 and September 2017, served as deputy chairman from July 2014, and chaired the board’s safety committee.

Mr Mark Rindfleish

First appointed: 16 April 2018 Non-executive member

Mr Mark Rindfleish has more than 45 years’ experience as an airline pilot and senior operations manager with airlines in Australia and overseas.

Mr Rindfleish has been Director Flight Operations Ansett Australia, Vice President Flight Operations Air New Zealand, Executive General Manager Operations Ansett, General Manager Safety Jetstar Airways and Head of Flying Operations and Chief Pilot Jetstar Australia and New Zealand.

In addition, Mr Rindfleish has served in a number of advisory roles, including as safety advisor to Jetstar Airways boards, Chairman of the Flight Operations and Safety Working Group of Asia Pacific Airlines, and Chairman of the Flight Operations Committee of Star Alliance.

Mr Rindfleish has maintained a keen interest in sport and general aviation throughout his career, and regularly flies light aircraft. He is a Fellow of the Royal Aeronautical Society, a Master Air Pilot and a Member of the Australian Institute of Company Directors.

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Members at 30 June 2020 Mr Michael Bridge

First appointed: 1 October 2018 Non-executive member

Mr Michael Bridge holds an air transport pilot licence. He was Regular Public Transport (Airline) Manager and later Group Operations Manager for Skyport Group. Mr Bridge became a member of the Board of Airnorth when Skyport Group and Airnorth merged operations, forming Capiteq Limited, and was CEO of Capiteq Limited for 17 years.

Mr Bridge joined the Board of the Regional Aviation Association of Australia in 1998 and chaired that board for seven years. He has held numerous board positions, including on the Board of Trustees of The Aviation Industry Superannuation Trust and the AustralianSuper - Aviation Division Advisory Board, and has been Chair of the Board of Commissioners of Tourism NT since 2012.

Mr Bridge is a director and former chair of the Northern Territory Major Events Company and is currently Chairman of CGH Group, an international specialist labour hire and recruitment company. He has sat on Embraer advisory boards and is an ambassador for the Australian Aviation Hall of Fame, Business Events Northern Territory and the Museum and Art Gallery of the Northern Territory.

Mr Bridge was awarded the National Australia Bank’s Medal for Management Innovation in 2004, and named the Australian Aviation Personality of the Year in 2008 for his work on creating The Australian Aviation Associations Forum, Australian aviation’s premier consulting body.

Ms Donna Hardman

First appointed: 1 January 2020 Non-executive member

Ms Donna Hardman has been a member of the CASA Board since 1 January 2020, a member of the Board Audit and Risk Committee since April 2019 and Chair of the Board Audit and Risk Committee since 1 January 2020.

Ms Hardman has more than 30 years’ experience in the financial services industry, including over 20 years’ executive experience in senior strategy, general management and transformational change leadership roles in global financial services organisations. She is a professional company director with experience in business and IT transformation, change leadership and governance.

Ms Hardman is currently an independent director on one public sector board and one audit and risk committee, in addition to her CASA appointments. She is also a consultant to several private sector clients, providing advice about improving board performance and future-readiness.

Ms Hardman holds a Bachelor of Commerce from the University of New South Wales and a Master of Business Administration from Macquarie Graduate School of Management. She is a Graduate Member of the Australian Institute of Company Directors and a Fellow of the Governance Institute of Australia.

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Members at 30 June 2020 Mr Shane Carmody Chief Executive Officer/ Director of Aviation Safety

First appointed: 10 October 2016 Executive member

Mr Shane Carmody commenced as Chief Executive Officer/Director of Aviation Safety on 7 June 2017, having acted in the position since 10 October 2016.

Mr Carmody has a Bachelor of Arts and a Master of Business Administration, is a Graduate Member of the Australian Institute of Company Directors and is a Fellow of the Royal Aeronautical Society.

Mr Carmody’s previous appointment was as Deputy Secretary, Department of Infrastructure and Regional Development, where his areas of responsibility included local government and territories, the Office of Transport Security and aviation and airports.

A former Deputy Chief Executive of CASA, Mr Carmody has extensive experience at senior levels in the Australian Public Service. His roles have included Deputy Secretary/ Chief Operating Officer at the Department of Veterans’ Affairs, Deputy President of the Repatriation Commission, and Deputy Secretary Intelligence and Security and Deputy Secretary Strategy in the Department of Defence. He has significant policy, regulatory and business management experience.

Mr Carmody joined the Australian Public Service in 1989, after a 15-year career as an Army officer serving in Australia and overseas.

Members departed before 30 June 2020

Ms Anita Taylor

First appointed: 3 December 2014 Reappointed: 18 December 2017 Non-executive member

Ms Anita Taylor is a chartered accountant with mediation, psychology and governance qualifications. She has a Bachelor of Science (Psychology) and a Bachelor of Commerce (Accounting). Ms Taylor is also a glider pilot.

Ms Taylor is an experienced company director and chairperson, having previously served on financial, education, sports administration, agricultural and development boards. She has also served on committees of community and not-for-profit organisations, and public and listed companies.

Ms Taylor and her husband run a superfine merino and Angus cattle property in regional New South Wales.

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Board meetings Six scheduled Board meetings were held during 2019-20, on 16 August, 15 October and 10 December 2019 and 13 February, 21 April and 18 June 2020.

Members departed before 30 June 2020

Ms Cheryl Cartwright

First appointed: 17 April 2017 Non-executive member

Ms Cheryl Cartwright has more than three decades’ experience in media, politics and industry associations, including senior management roles. She has a Bachelor of Arts and is a Graduate Member of the Australian Institute of Company Directors. She has a strong focus on strategy and governance, including not-for-profit boards, and has held multiple non-executive director roles.

Ms Cartwright’s media experience covers print, radio and television. She has been a political and media advisor and was chief of staff to a senior cabinet minister. From 2005 to 2017, Ms Cartwright was Chief Executive of the Australian Pipelines and Gas Association. She worked closely with the board to redefine and energise the association, dramatically increasing its size and influence and raising its profile.

Ms Cartwright brings comprehensive experience in communications, messaging, strategic planning and corporate governance to the CASA Board.

Ms Jane McAloon

First appointed: 16 April 2018 Non-executive member

Ms Jane McAloon has a Bachelor of Laws and a Bachelor of Economics (Hons) from Monash University, and a Graduate Diploma in Corporate Governance. She is a Fellow of the Australian Institute of Company Directors and of the Governance Institute of Australia.

Ms McAloon is a non-executive director of EnergyAustralia, Viva Energy and Port of Melbourne.

Ms McAloon has been in the natural resources, energy, infrastructure and utility industries for over 25 years. She was an executive at BHP Billiton for nine years, working on key strategic issues, corporate transactions, and market, regulatory and reputational matters. Before joining BHP Billiton, she was an executive at AGL, held leadership roles in the New South Wales Government Cabinet Office and various departments, was in private legal practice and worked in the Economics Department at Monash University.

Ms McAloon has been a safety regulator in the energy sector and worked with safety management systems as a fundamental principle in successful business.

All Board members attended the meetings that they were eligible to attend, with two exceptions: Mr Bridge was unable to attend on 16 August 2019 and Ms Cartwright was unable to attend on 13 February 2020.

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Table 4 Board Audit and Risk Committee members in 2019-20

Name Qualifications, knowledge, skills or experience Total annual remuneration

Members at 30 June 2020 Ms Donna Hardman Chair

First appointed: 1 April 2019

No. of meetings attended: 5

Ms Hardman holds a Bachelor of Commerce from the University of New South Wales and a Master of Business Administration from Macquarie Graduate School of Management. She is a Graduate Member of the Australian Institute of Company Directors and a Fellow of the Governance Institute of Australia.

Ms Hardman has more than 30 years’ experience in the financial services industry, including over 20 years’ executive experience in senior strategy, general management and transformational change leadership roles in global financial services organisations. She is a professional company director with experience in business and IT transformation, change leadership and governance. Ms Hardman has been a member of the CASA Board since 1 January 2020.

$42,645

Board Audit and Risk Committee The Board appoints an audit committee, known as the Board Audit and Risk Committee, in accordance with section 45 of the PGPA Act.

The committee’s role is to provide independent assurance and assist the Board to discharge its responsibilities under the Civil Aviation Act 1988 and the PGPA Act in respect of financial reporting, performance reporting, the system of risk oversight and management, the system of internal controls, and compliance with relevant laws and policies. The committee’s charter is available at casa.gov.au/about-us/ who-we-are/casa-board

CASA’s Board Audit and Risk Committee consists of four members: a Board member in the role of Chair; a second Board member; and two members who are independent and external to CASA.

Following the departure of the former Board Audit and Risk Committee Chair, Ms Jane McAloon, on 31 December 2019, the Board appointed Ms Donna Hardman as Chair on 1 January 2020.

Ms Anita Taylor departed on 2 March 2020, vacating a Board member position. The position remained vacant to 30 June 2020.

Ms Amanda Phillips was appointed to the Board Audit and Risk Committee on 25 March 2020, filling a long-term vacancy in an independent member position. Mr Michael Roche continued to occupy an independent member position throughout the year.

The Board Audit and Risk Committee held five meetings during 2019-20, on 14 August and 7 November 2019 and 11 March, 5 May and 23 June 2020.

Table 4 summarises the relevant experience of the Board Audit and Risk Committee members at 30 June 2020.

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Name Qualifications, knowledge, skills or experience Total annual remuneration

Members at 30 June 2020 Mr Michael Roche AM Independent member

First appointed: 20 February 2010

No. of meetings attended: 5

Mr Roche has a Bachelor of Accounting and Information Technology systems. He is a Fellow of the Australian Society of Certified Practising Accountants and a member of the Australian Computer Society. Mr Roche has extensive experience at senior levels in the Australian Government in corporate and financial management and policy development. He is the director of two not-for-profit companies as well as a member of a number of audit committees and governance boards.

$12,925

Ms Amanda Phillips Independent member

First appointed: 25 March 2020

No. of meetings attended: 3

Ms Phillips is a Member of the Institute of Chartered Accountants of Australia and New Zealand, Bachelor of Business, Postgraduate in Applied Finance and Investments and Graduate Member of the Australian Institute of Company Directors.

Ms Phillips has over 25 years’ of business, finance, audit and management experience. She is the Principal Consultant for her business specialising in process improvement, corporate governance, transformational change and innovative business practices.

Ms Phillips is currently a non-executive director at Mildura Health, Mildura Private Hospital, Sunraysia Institute of TAFE and Riverbend Sanctuary Limited. She is also the Chair of the Audit Committee at Mildura Health and Sunraysia Institute of TAFE.

$8,910

Members departed before 30 June 2020 Ms Anita Taylor

First appointed: 12 December 2014

No. of meetings attended: 2

Ms Taylor is a chartered accountant with mediation, psychology and governance qualifications. She has a Bachelor of Science (Psychology) and a Bachelor of Commerce (Accounting). Ms Taylor is also a glider pilot.

Ms Taylor is an experienced company director and chairperson, having previously served on financial, education, sports administration, agricultural and development boards. She has also served on committees of community and not-for-profit organisations, and public and listed companies.

$54,826

Ms Jane McAloon

First appointed: 18 March 2019

No. of meetings attended: 2

Ms McAloon has a Bachelor of Laws and a Bachelor of Economics (Hons) from Monash University, and a Graduate Diploma in Corporate Governance. She is a Fellow of the Australian Institute of Company Directors and of the Governance Institute of Australia.

Ms McAloon is a non-executive director of EnergyAustralia, Viva Energy and Port of Melbourne.

$45,463

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Regulatory Services & Surveillance Executive Manager

Craig Martin

Sydney Region Murray Collings

Eastern Region Ron Salter (a)

Northern Region Marshall Ross (a)

Southern Region Jason McHeyzer

Western Region Anthony Green

Coordination & Safety Systems John Grima

Regulation Implementation Paul Hibberd

National Operations & Standards Executive Manager

Chris Monahan

Airworthiness & Engineering Chris De Luis

Remotely Piloted Aircraft Systems Luke Gumley

Air Navigation, Airspace & Aerodromes Andrew Sparrow

Flight Standards Roger Crosthwaite

(a) acting

Regulatory Services & Surveillance Transformation

Program Leanne Yannopoulous

Group Executive Manager Graeme Crawford

Aviation Group

Organisational structure CASA’s structure is designed to ensure that resources are aligned to core functions, providing for clear lines of reporting.

Figure 10 shows the elements and relationships of CASA’s organisational structure at 30 June 2020. CASA has no subsidiaries.

Figure 10 Organisational structure at 30 June 2020

Donna Hardman (Chair) Michael Roche AM Amanda Phillips

Board Audit and Risk Committee

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Shane Carmody

Finance Chief Financial Officer Simon Frawley

Industry Complaints Commissioner Jonathan Hanton

Legal,

International & Regulatory Affairs Executive Manager Jonathan Aleck

Litigation, Investigations & Enforcement Joe Rule

Advisory & Drafting Adam Anastasi

Corporate Services Executive Manager Philippa Crome

Governance & Government Relations Carolyn Hutton

Training Branch Earl Brown

Information Technology John Forrest

People & Culture Robyn Black

Business Transformation Michelle Massey

Stakeholder  Engagement Executive Manager Rob Walker

General, Recreational & Sport Aviation Anthony Stanton

Engagement, Communication & Safety Education Andreas Marcelja

Client Services Centre Mark Sullivan

Anthony Mathews (Chair) Shane Carmody (Executive member) Mark Rindfleish Michael Bridge

Donna Hardman

Colin McLachlan (Board Secretariat)

Board of CASA

Chief Executive Officer/ Director of Aviation Safety

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Organisational changes Several changes were made to CASA’s structures in 2019-20, to enable more effective and efficient operations.

In December 2019, the General, Recreational and Sport Aviation Branch was transferred from the National Operations and Standards Division to the Stakeholder Engagement Division, and the Permissions Issues team and the Maintenance Personnel Licensing team were transferred from the Stakeholder Engagement Division to the Regulatory Services and Surveillance Division.

In July 2019, the Government and International Relations Branch in the Stakeholder Engagement Division was abolished. The information management and government relations areas were merged into the Governance Branch in the Corporate Services Division, which was renamed the Governance and Government Relations Branch. The international relations function was transferred to the Legal, International and Regulatory Affairs Division.

In January 2020, CASA created the Human Performance team in the Regulation Implementation Branch in the Aviation Group.

Senior management There were 10 changes in senior management during 2019-20:

• Mr Peter White departed as Executive Manager, Regulatory Services and Surveillance.

• Ms Ruth Mackay departed as Branch Manager, Governance.

• Mr Gerard Nolan departed as Regional Manager, Northern.

• Mr Craig Martin was promoted to Executive Manager, Regulatory Services and Surveillance.

• Mr Paul Hibberd was promoted to Branch Manager, Regulation Implementation.

• Ms Michelle Massey was transferred from Senior Manager, Regulatory Services and Surveillance Transformation Program, to Branch Manager, Business Transformation.

• Ms Leanne Yannopoulos was transferred from Branch Manager, Business Transformation, to Senior Manager, Regulatory Services and Surveillance Transformation Program.

• Ms Carolyn Hutton was transferred from Branch Manager, Government and International Relations, to the new role of Branch Manager, Governance and Government Relations.

• Mr Ron Salter was appointed to act as Regional Manager, Eastern.

• Mr Marshall Ross was appointed to act as Regional Manager, Northern.

The following sections summarise the qualifications, experience and responsibilities of CASA’s senior executives. Information on executive remuneration is provided in tables B.7 to B.9 in Appendix B.

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PROFILE

Mr Graeme Crawford obtained his production and mechanical engineering and industrial management qualifications from Glasgow Caledonian University and is a former member of the Institution of Industrial Managers.

Mr Crawford began his aviation career in 1979 as a technical apprentice at Rolls-Royce in Scotland. He held a variety of engineering roles at Rolls-Royce and GE Caledonian, conducting defect investigations and test cell reject investigations and providing technical support to engine maintenance operations, as well as designing engine maintenance programs and providing technical advice and on-wing support to customer airlines and engine-leasing companies.

Mr Crawford joined CASA in May 2016. Prior to this appointment, he had over 20 years’ experience in senior executive roles at organisations such as Qantas, Pratt & Whitney, Goodrich Aerospace, Air Canada and General Electric. In those roles, he was responsible for maintenance businesses and led major business transformation programs delivering increased efficiencies and improved customer service.

Mr Crawford has demonstrated the ability to motivate and mobilise people from different cultures while running aviation engineering and maintenance operations in Australia, Canada, Norway, Scotland and the United States. He is Chair of CASA’s Aviation Safety Committee.

ROLE

The Aviation Group is CASA’s front line in maintaining aviation safety. The group uses aircraft incident and accident data to identify and proactively mitigate emerging safety issues, sets aviation standards through the development and implementation of regulations and supporting material, and performs entry control and surveillance of aviation organisations. Collaboration between branches in the Aviation Group, across CASA and with industry is essential to maintaining and improving Australia’s aviation safety record.

Aviation Group

Graeme Crawford Group Executive Manager Disability Champion

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PROFILE

Mr Chris Monahan obtained his technical education with undergraduate qualifications from the University of California, Davis, and his Master of Aviation Science and Master of Business Administration from Embry-Riddle Aeronautical University.

Mr Monahan began his aviation career in 1986 as student pilot in the United States Air Force. His flight experience includes over 40 domestic and international aircraft and multiple deployments to North Atlantic Treaty Organization locations, Iraq and Afghanistan. His flying roles included forward air controller, fighter pilot, operational test and evaluation pilot, and chief pilot for remote operations. Other aviation roles Mr Monahan has held include instructor pilot, flight examiner, functional check flight pilot, and maintenance quality assurance officer for multiple small and wide body aircraft. During his career he was also a trained safety officer and accident investigator at multiple organisational and national levels.

Mr Monahan has led a variety of organisations focused on the delivery of new aircraft, the upgrading of legacy aircraft, unmanned aircraft design and operations, airworthiness, flight testing, simulator design, inspections and surveillance. Prior to arriving at CASA in 2016, he served as a senior diplomatic representative to Kenya, Ethiopia, Uganda and Azerbaijan and provided support to host and allied nations on aviation issues.

ROLE

The National Operations and Standards Division is responsible for policy and legislation for all aviation safety standards, including standards for licensing, flight operations, airworthiness, air navigation, airspace, aerodromes and remotely piloted aircraft systems. The division is also responsible for nationally administered regulatory services and surveillance, including aircraft certification and production, air navigation services, airspace, aerodromes and remotely piloted aircraft systems.

Aviation Group - National Operations and Standards Division

Chris Monahan Executive Manager Gender Champion

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PROFILE

Mr Craig Martin has over 30 years’ experience in commercial aviation. During this time, he has held several operational and management roles at Australian and overseas airlines.

Craig has formal qualifications in airline training and checking, accident investigation, risk management and safety management.

ROLE

The Regulatory Services and Surveillance Division is responsible for meeting CASA’s functional obligations in relation to entry control and ongoing compliance monitoring of regulated aviation industry participants. This accountability exists across all sectors of the aviation industry, from single-aircraft mustering operations through to large maintenance organisations and major group airlines. The Regulatory Services and Surveillance Division provides access to approvals to conduct aviation activities for industry participants, and monitors industry compliance to ensure the safety of the travelling public.

Aviation Group - Regulatory Services and Surveillance Division

Craig Martin Executive Manager

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PROFILE

Mr Rob Walker has over 30 years’ experience in stakeholder engagement and public affairs.

Mr Walker has led stakeholder engagement at CASA since April 2016. Prior to joining CASA, he worked at Airservices Australia in a similar senior management role.

Mr Walker is passionate about the aviation industry, is well known to many in the industry, and has significant experience in strategic stakeholder engagement, issues management and corporate communications.

Mr Walker is a management representative for the CASA Board Audit and Risk Committee, Chair of the Executive Sub-committee for Investment and a member of the Executive Sub-committee for Aviation Safety. He is a Fellow of the Royal Aeronautical Society and a private pilot.

ROLE

The Stakeholder Engagement Division develops and delivers CASA’s safety promotion and education campaigns for the Australian aviation industry and is responsible for all corporate communication. The division manages CASA’s relationships with industry and other stakeholders, including by coordinating the Aviation Safety Advisory Panel and technical working groups; CASA’s relationships with government agencies, including the Minister’s Office; and CASA’s strategic international engagement in policy, programs and International Civil Aviation Organization matters. The division also provides a range of regulatory service approvals and permissions to the aviation community, in close partnership with other parts of CASA.

Stakeholder Engagement Division

Rob Walker Executive Manager

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PROFILE

Dr Jonathan Aleck holds a Juris Doctor, a Bachelor of Arts in psychology, a Master of Arts in political science and a Doctor of Philosophy in law. He is a Fellow of the Royal Aeronautical Society and the Australian Institute of Management. He is a member of the National Executive of the Australian Institute of Administrative Law, having served as President for two terms.

Dr Aleck joined the then Civil Aviation Authority as a legal officer in 1993, and subsequently served as CASA’s Chief Legal Officer. Dr Aleck has taught in the faculties of law, politics and public policy at universities in Australia, Canada, the United States and Papua New Guinea. He also worked as an independent legal consultant and specialist advisor in the United States. He continues to lecture on contemporary aviation issues at the Australian National University, the University of New South Wales and the Australian Defence Force Academy.

Between 1998 and 2003, Dr Aleck served as Australia’s representative on the Council of the International Civil Aviation Organization (ICAO). He currently chairs ICAO’s Safety Information Protection Implementation Group and is vice-chair of the Flight Safety Foundation’s Legal Advisory Committee. He has represented Australia at many international aviation meetings and conferences.

ROLE

The Legal, International and Regulatory Affairs Division performs CASA’s legal services functions, including providing advice on regulatory and corporate matters; representing CASA in courts, tribunals and coronial proceedings; drafting legislative and legal instruments; administering aspects of CASA’s enforcement processes; conducting investigations of potential offences under the civil aviation legislation; and managing CASA’s alcohol and other drugs testing program and conflict of interest scheme.

The division is responsible for managing CASA’s strategic international engagement on matters related to Australia’s involvement with ICAO; assistance to regulators in the Asia-Pacific region, and Australian Aid programs with Indonesia and Papua New Guinea; and relationships with counterpart regulators around the world.

The regulatory affairs function includes developing and applying innovative regulatory policy and practice initiatives, implementing CASA’s regulatory philosophy, managing the policy of industry self-administration and advising on the development and implementation of other high-level strategic and policy-orientated programs.

Legal, International and Regulatory Affairs Division

Jonathan Aleck Executive Manager Indigenous Champion

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PROFILE

Ms Philippa Crome has a Master of Strategic Human Resource Management, a Master of International Relations and a Bachelor of Arts (Hons). She joined CASA in January 2019.

Prior to joining CASA, Ms Crome acquired over 20 years’ experience working in roles in human resources, communications and governance in the public and private sectors. Ms Crome has also worked as a parliamentary advisor, at state and Commonwealth levels, and has been responsible for developing and implementing whole-of-government policy and managing government service delivery panels.

Ms Crome has previously worked for the Australian Federal Police, the Department of Defence, the Department of the Prime Minister and Cabinet, the Department of Infrastructure, Transport, Regional Development and Local Government, and the Department of Finance. Ms Crome is Chair of CASA’s People Committee and Deputy Chair of the Major Programs Board.

ROLE

The Corporate Services Division contributes to aviation safety by enhancing capability, capacity and service delivery across the organisation, through the development and continuous improvement of people, processes, technology and service offerings. The division’s responsibilities include people and culture, training, governance and government relations, business transformation and IT.

Corporate Services Division

Philippa Crome Executive Manager

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PROFILE

Mr Simon Frawley has a Bachelor of Arts in accounting and is a Member of Chartered Accountants Australia and New Zealand. Mr Frawley joined CASA in October 2010, as Manager Financial Services and Reporting, and was Acting Chief Financial Officer from April 2015 until his permanent appointment to the position on 1 July 2016.

Mr Frawley started his career as a graduate with the Australian National Audit Office. After almost 10 years there, he moved to the United States, where he worked for a general insurance company as an internal auditor.

On returning to Australia, Mr Frawley worked as Business Analysis Manager for Health Services Australia Group (HSA), a government business enterprise. When HSA was acquired by Medibank Private and became Medibank Health Solutions, Mr Frawley was appointed Finance Manager. In this executive role he had overall management responsibility for corporate finance functions.

ROLE

The Finance Branch is responsible for financial accounting and financial transactional services, including accounts payable, accounts receivable and travel; management accounting; internal and external budgets; cost recovery; and financial performance reporting within CASA. It is also responsible for managing CASA’s office accommodation portfolio and physical security as well as maintaining CASA’s contracts and procurement policies and compliance.

Finance Branch

Simon Frawley Chief Financial Officer

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Risk management CASA applies an enterprise-wide approach to risk management that provides the framework for CASA to achieve its vision of Safe skies for all and is consistent with the Commonwealth Risk Management Policy 2014 and the requirements outlined in the PGPA Act.

As part of the approach, CASA gathers enterprise risk intelligence, conducts periodic reviews in relation to emergent and future risks and regularly reviews the business continuity plan.

Strategic risks

In fulfilling its regulatory obligations, CASA faces a variety of potential risks, such as failure to detect breaches of aircraft safety and maintenance standards; incorrect or inconsistent application of regulatory standards; ineffective stakeholder engagement; and failure to properly carry out statutory responsibilities. The identification, analysis, treatment, monitoring and review of risk are embedded into CASA’s functions and contribute directly to the achievement of CASA’s corporate goals.

The CASA Board undertook its annual risk workshop in December 2019 to determine CASA’s strategic risk profile and risk appetite. In March 2020, the CASA Board agreed to the following four strategic risks for 2020-21: regulatory failure, operating environment, cyber security and industry capture. In April 2020, the Board agreed to the addition of a COVID-19 related risk, taking the total strategic risks to five. The Board reaffirmed its acceptable tolerance of key organisational risk areas as a guide for all CASA staff.

Key achievements

In 2019-20, CASA implemented several initiatives to improve staff awareness of risk management. An e-learning risk module was developed and made available to all staff as part of the CASA learning portfolio. Risk is addressed as a key component of CASA’s orientation program and as

part of the manager orientation training program. Three successful program risk assessment workshops were conducted for key programs of work that CASA is undertaking.

In late 2019, CASA reviewed its business continuity plans to consolidate them and ensure that they were fit for purpose and aligned with best practice and standards. The review was timely, given the 2019-20 bushfires and the COVID-19 pandemic that followed in March 2020.

Internal audit arrangements CASA uses the services of external audit providers to complement CASA’s internal audit section.

CASA’s risk-based strategic annual audit plan and three-year internal audit strategic plan provide a mix of performance, financial, IT and compliance audits across the organisation. The internal audit program is designed to align with CASA’s corporate plan, operating model, strategic goals and risks.

Audit activities are conducted in accordance with relevant professional standards including but not limited to:

• the International Standards for the Professional Practice of Internal Auditing issued by the Institute of Internal Auditors

• the Information Systems Audit and Assurance Standards issued by ISACA

• standards issued by Standards Australia and the International Organization for Standardization.

CASA continually seeks to improve and streamline audit processes, improve the quality of audit reports and engage with managers to improve the timing and scope of audits.

As part of the 2019-20 internal audit program, seven audits were completed, comprising a mixture of compliance and performance audits in areas including access control, stakeholder engagement

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and surveillance. The audits provided an evidence-based perspective on the effectiveness of internal controls, the efficiency of CASA’s resource use and whether CASA is achieving objectives.

Recognition of CASA reporting CASA’s Annual Report 2018-19 was recognised with a prestigious Gold award in the 2020 Australasian Reporting Awards, making 2020 the eighth consecutive year in which CASA has received gold in recognition of the quality of its reporting.

Governance committees In 2019, CASA undertook an effectiveness review of its existing governance committees. The review made 18 recommendations, of which 16 were accepted by the Chief Executive Officer/Director of Aviation Safety.

The review led to an adjustment of the committee structure, including eliminating one committee. The revised committee structure provides assurance and transparency for critical decision-making.

The first tier of the committee structure comprises the Board, Board Audit and Risk Committee and Executive Committee. The second tier consists of the Aviation Safety Committee, Investment Committee, People Committee and Major Programs Board. Several sub-committees and working groups have been established to oversee critical decision-making and project management and manage key strategic risks.

Executive Committee The Executive Committee assists the Chief Executive Officer/Director of Aviation Safety and the executive leadership team to drive the implementation of strategies as decided by the Board and the Chief Executive Officer/Director of Aviation Safety, and to manage the operations of CASA.

The Executive Committee usually meets every eight weeks to discuss strategic issues and weekly to discuss operational matters. Between March and June 2020, the Executive Committee met daily to oversight and guide CASA’s response to the COVID-19 pandemic.

Aviation Safety Committee The Aviation Safety Committee is an advisory and monitoring committee which supports the Chief Executive Officer/Director of Aviation Safety on matters related to regulatory and safety compliance, safety strategies, safety performance, international safety developments and emerging aviation safety risks.

The Aviation Safety Committee meets monthly.

Investment Committee The Investment Committee (formerly the Risk and Investment Committee) reports to the Executive Committee and provides impartial advice and assurance on investment risk, financial matters (including budget), investment management and implementation of investments. This committee’s business is closely integrated with the enterprise priorities of CASA.

The Investment Committee meets up to eight times per year.

People Committee The People Committee oversees all strategic workforce-related matters that require collaboration across CASA functions. Key responsibilities include providing oversight of leadership, performance, recruitment, retention and staff training, and work health and safety; and monitoring organisational health levels through unscheduled absence and staff turnover metrics.

The People Committee meets up to eight times per year.

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Major Programs Board The Major Programs Board (formerly the Business Improvement Oversight Program Board) reports to the Executive Committee to provide whole-of-portfolio oversight of programs and projects, and strategic advice and direction within organisational priorities for business improvement projects and enabling activities.

The Major Programs Board provides strategic oversight of all projects and programs of work, as well as interdependent and enabling activities.

The Major Programs Board meets up to eight times per year.

Public interest disclosure policy CASA’s policy and procedures on public interest disclosure are consistent with the requirements of the Public Interest Disclosure Act 2013. They enable confidential disclosure of matters and protect disclosers from fear or threats of reprisal for making a disclosure. CASA reports the number and types of disclosures to the Commonwealth Ombudsman annually.

Code of Conduct During 2019-20, CASA revised its Values and Code of Conduct and associated procedures, in consultation with staff.

The Code of Conduct outlines the standard of behaviour expected of CASA employees. It is promoted to new employees during their orientation and is covered in online training for all staff.

During 2019-20, two Code of Conduct allegations were referred for further investigation. Both matters were finalised, resulting in five employees being found in breach of the Code of Conduct and three employees receiving formal reprimands.

Managers continue to resolve lower level workplace issues through the Performance and Communication Scheme, alternative dispute resolution methods or communication to raise awareness of appropriate behaviour in the workplace.

Table 5 provides details of investigations in the past three financial years.

Table 5 Code of Conduct investigations, 2017-18 to 2019-20

Detail 2017-18 2018-19 2019-20

Investigations commenced 6 7 2

Investigations finalised 7 6 2

Investigations ongoing at 30 June 0 1 0

Employees who breached the Code of Conduct 6 5 5

Non-financial sanctions 1 2 3

Terminations 4 1 0

Financial sanctions 1 2 0

Note: One investigation was carried over from the 2016-17 reporting period into 2017-18, and one from the 2017-18 reporting period into 2018-19.

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Conflict of interest

Board members Section 58 of the Civil Aviation Act 1988 provides that a Board member must not engage in any paid employment that, in the opinion of the Minister, conflicts with the proper performance of their duties as a member of CASA’s Board. Similarly, section 78 provides that the Director of Aviation Safety must not engage in any paid employment outside the duties of their office except with the Board’s approval.

The PGPA Act and the Public Governance, Performance and Accountability Rule 2014 provide that a Board member who has a material personal interest in a matter that relates to the affairs of CASA must disclose details of the interest to each of the other Board members. The notice must include details of the nature and extent of the Board member’s interest and how the interest relates to CASA’s affairs.

Disclosures must be made at a Board meeting, as soon as practicable after the Board member becomes aware of the interest or, if there is a change in the nature or extent of the interest, as soon as practicable after the Board member becomes aware of that change. The details of the notice given are recorded in the minutes of the next Board meeting.

Disclosures of airline lounge memberships are included in a Board member’s Standing Notice of Material Personal Interest, and the Board Secretary maintains a register of all information (records) concerning conflict of interest, hospitality and gifts.

Employees CASA’s conflict of interest policy and procedures, along with its fraud control and integrity plan, ensure that the knowledge and experience of the aviation industry brought to CASA by an employee do not improperly influence the employee’s performance of their duties and responsibilities.

All employees complete a brief online training package which reminds them of key elements of CASA’s conflict of interest policy.

Every employee must complete conflict of interest declaration forms at various times during their employment, including on commencement, following a change of circumstance (such as a change of position) and during CASA’s annual conflict of interest survey.

These declarations require disclosure of a range of matters that could potentially give rise to a conflict of interest. Disclosures are assessed in terms of actual, potential and perceived risk of conflict. A mitigation strategy is established for any identified conflicts and reviewed and endorsed by the employee’s manager.

All conflict of interest management plans and associated declarations are reviewed by the Litigation, Investigations and Enforcement Branch to ensure that the proposed strategies adequately address the risks and CASA maintains a consistent approach to the management of conflicts of interest.

Fraud control All CASA employees must complete online fraud awareness training within three months of commencing their employment and at regular intervals thereafter.

CASA’s Fraud Control and Integrity Plan 2019-2021 has been endorsed by the Board Audit and Risk Committee. The plan is aligned with the Commonwealth Fraud Control Framework.

CASA did not investigate any matters of alleged internal fraud in 2019-20. A number of minor irregularities, primarily involving the inadvertent misuse of CASA corporate credit cards, were identified and reviewed, and staff members were reminded of their obligations in relation to the use of the cards they hold. No fraud-related matters were referred to the Australian Federal Police or the Commonwealth Director of Public Prosecutions.

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PEOPLE MANAGEMENT CASA undertakes a wide range of activities to support and develop its workforce and workplace culture to assist the organisation to achieve its corporate goals.

Staffing At 30 June 2020, CASA had 857 employees, including 59 non-ongoing employees (including casuals) and 14 inoperative staff - that is, staff on long-term leave for maternity or paternity reasons or staff on unpaid leave.

Tables B.1 to B.6 in Appendix B show details of employee numbers by classification and location, gender, and full-time/part-time.

Figure 11 shows the breakdown of employees into CASA’s main work areas.

Figure 11 Proportion of employees across CASA’s organisational structure at 30 June 2020

54% Aviation Group

1% Chief Executive O fficer/Director of Aviation Safety

Corporate Services Division 19%

16% Stakeholder Engagement Division

Finance Branch 5%

5% Legal, International and Regulatory Affairs Division

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Unplanned absences CASA uses the Australian Public Service Commission definition to calculate the rate of unscheduled absences. This rate includes sick leave, carers leave, compassionate leave and unscheduled emergency leave. This method allows us to benchmark our performance against the wider Australian Public Service (APS).

In 2019-20, CASA employees used an average of 10.9 days of unscheduled leave per full-time employee. This is slightly below the APS average, as shown in Table 6. Most absences were taken as sick leave (76 per cent) or carers leave (21 per cent).

Table 6 Unplanned absence rates, 2017-18 to 2019-20 (days per FTE)

Financial year CASA Australian Public Service

2017-18 11.3 11.4

2018-19 10.8 11.4

2019-20 10.9 Not availablea

FTE = full-time equivalent staff member

a The Australian Public Service average for 2019-20 will be published in late 2020.

Staff turnover In 2019-20, 73 ongoing employees separated from CASA. The ongoing employee separation rate was 7.2 per cent. As shown in Table 7, this is slightly higher than the 2018-19 rate of 6.9 per cent.

The primary reasons for separation in 2019-20 were resignation (34 per cent), resignation and transfer to an APS agency (27 per cent) and termination of excess employees (21 per cent).

Table 7 Staff turnover, 2017-18 to 2019-20 (%)

Financial year CASA Australian Public Service

2017-18 10.5 7.3

2018-19 6.9 9.0

2019-20 7.2 Not availablea

a The Australian Public Service average for 2019-20 will be published in late 2020.

Workplace diversity and inclusion CASA is proud of the progress it has made in laying the foundations for a diverse and inclusive workplace. CASA encourages and celebrates diversity in the workplace and promotes a safe, supportive and inclusive working environment.

Achievements Key achievements that shaped and supported our diverse and inclusive workplace in 2019-20 included:

• reviewing our statements of commitment to a diverse and inclusive workplace through our employee value proposition, policy directives and work-based tools that influence and shape our culture, conduct and work-based interactions with each other and our stakeholders

• providing cultural appreciation training, to enable a greater appreciation of Aboriginal and Torres Strait Islander culture, customs and traditions as well as tools and techniques to help CASA staff to communicate and engage effectively with Aboriginal and Torres Strait Islander peoples and communities. The program was completed by 100 staff nationally

• implementing cultural appreciation training as an ongoing, business-as-usual training program

• building workforce preparedness for people with disability by collaborating with the Australian Network on Disability to educate and support our workforce to understand and positively engage with people with disability

• building diversity and inclusion principles into our development programs for CASA’s leaders and emerging leaders

• fulfilling CASA’s ongoing commitment to affirmative recruitment measures through entry-level programs that work towards our diversity targets

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• continuing to develop our employees’ awareness and understanding of the benefits of a diverse workforce and inclusion, through renewed training programs and a calendar of events designed to highlight topical issues from a personal perspective to meaningfully engage and inform our staff

• engaging and working with our Aboriginal and Torres Strait Islander employees to provide opportunities to influence and participate in CASA’s policies and programs, through the Reconciliation Action Plan Working Group and the CASA Aboriginal and Torres Strait Islander Employee Network.

Through their support of the inclusion strategy and contribution to events held during the year, CASA’s Executive Diversity Champions - Indigenous Champion Jonathan Aleck, Disability Champion Graeme Crawford and Gender Champion Chris Monahan - continued to further CASA’s efforts across all areas of diversity and increase the involvement of members of the executive leadership team in initiatives to support diversity and inclusion.

While the COVID-19 pandemic impacted CASA’s ability to deliver the flagship diversity and inclusion awareness campaigns scheduled for early 2020 through face-to-face delivery methods, it did not prevent the campaigns from going ahead and engaging staff in creative ways.

Key activities On 11 July 2019, the CASA Aboriginal and Torres Strait Islander Employee Network hosted NAIDOC celebrations in Brisbane. The event acknowledged the 2019 theme, ‘Voice. Treaty. Truth. Let’s work together for a shared future.’ The celebrations included dance performances from the Tribal Aboriginal Experiences dance troupe and Torres Strait Islander dance

group Malu Kiai Mura Baui, along with a keynote speech from Shannon Ruska, a descendant of the well-known figure King Sandy of Brisbane. All staff were invited to participate via videoconference.

On 16 October 2019, CASA staff from across Australia attended the 15th Annual Women in Aviation/Aerospace Australia Melbourne Summit. The summit focused on how both men and women can encourage more women to study and consider careers in science, technology, engineering and mathematics.

On 19 November 2019, CASA celebrated International Men’s Day for the first time, with a special event featuring Lieutenant General (Retired) David Morrison AO, Chair of Diversity Council Australia, who spoke on the theme of ‘Men leading by example’.

On 3 December 2019, CASA celebrated International Day of People with Disability, with a panel discussion and question and answer session featuring three disability advocates: Major Glenn Todhunter, Scott Grimley and Julie Robertson. The panel members shared their views on creating inclusive workplaces for people of all abilities and the role that CASA can play in promoting an inclusive environment.

On 5 March 2020, CASA held its International Women’s Day event with Trish Bergin, Co-Director of the 50/50 by 2030 Foundation, speaking to staff about flexible working practices for both men and women, why workplace diversity targets are important, and the need for gender equality in leadership. CASA staff from across the regions also attended the annual International Women’s Day Leadership Panel.

On 20 March 2020, CASA celebrated Australia’s multiculturalism and reflected on our nation’s various cultures and backgrounds, on Harmony Day. Instead of gathering and sharing food as in previous years, staff were encouraged to take a picture while wearing something orange

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and holding a Harmony Day poster with their own completed version of the sentence ‘Our Diversity makes this a great place to work, because …’.

On 6 May 2020, the Australian Network on Disability delivered a lunch-and-learn webinar to provide practical advice and guidance to enable managers and staff to feel prepared to attract, select and retain employees with disability, through mutual respect, understanding and commitment to reasonable adjustment. The webinar was recorded and made available on the intranet to enable staff to access it as an ongoing resource.

On 18 May 2020, to reflect the diversity of sexuality and gender among our workforce, CASA celebrated IDAHOBIT, the International Day Against Homophobia, Biphobia, Intersexism and Transphobia. CASA employees were invited to access a range of short video clips to build a greater understanding of what it means to be transgender and ways to support trans people. Staff also showed their support by displaying rainbow-themed decorations at home or in the office. National Reconciliation Week

is celebrated nationally each year from 27 May to 3 June. The theme for National Reconciliation Week 2020 was ‘In this together’. To mark the occasion, CASA encouraged staff to take the opportunity to experience or revisit inspiring and influential stories through Aboriginal and Torres Strait Islander films and literature, and to share their personal stories of engaging with Aboriginal and Torres Strait Islander stories and culture with their colleagues.

Diversity profile Figure 12 provides an overview of diversity in CASA’s workforce.

36.4 per cent are female 31.0 per cent are aged 55

years or over

2.0 per cent identify as being Indigenous Australians

3.5 per cent identify as having disability

13.3 per cent identify as being from a non-English speaking background

Note: Percentages are proportions of CASA’s ongoing workforce, except for females, who are reported as a proportion of all employees (ongoing and non-ongoing).

L to R: Major Glenn Todhunter, Shane Carmody, Julie Robertson, Graeme Crawford and Scott Grimley at the International Day of People with Disability celebration. © Civil Aviation Safety Authority

Table 8 shows that the diversity of CASA’s workforce improved in 2019-20.

Figure 12 Diversity groups in CASA’s workforce at 30 June 2020

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Table 8 Diversity groups in CASA’s workforce at 30 June, 2018-19 and 2019-20 (%)

Diversity groups 2018-19 2019-20

Female 36.1 36.4

Aged 55 years or over 30.1 31.0

Indigenous Australian 1.4 2.0

Identify as having disability 2.7 3.5

Non-English speaking background 12.0 13.3

New content Using an agile development process, CASA developed 11 face-to-face, 28 e-learning and six blended courses in response to organisational training requests.

CASA commenced a redevelopment of the Foundation Training Program to increase the focus on regulatory skillsets for inspectorate staff. CASA is also working with other government agencies to initiate the development of a new national regulatory qualification, which could be awarded to staff who complete CASA internal training.

CASA developed training on assessing outcome-based legislation and began to deliver it to all regulatory staff within CASA, in preparation for the implementation of the new flight operations regulations which commence during 2021-22.

CASA also developed remotely piloted aircraft systems accreditation training, in preparation for accreditation to commence in September 2020.

The Flight Examiner Rating Course for industry personnel was redeveloped to update content and enable a better learning experience for participants.

Delivery During 2019-20, CASA staff:

• completed 1,325 classroom training sessions and 9,337 e-learning sessions delivered by CASA

• completed 454 courses and accessed 17,509 training videos online through LinkedIn Learning.

Staff training and development The highlights of CASA staff training and development activities in 2019-20 included:

• transitioning to a new learning management system

• implementing virtual classroom training

• commencing the redevelopment of foundation training for new regulatory staff

• developing training to support remotely piloted aircraft systems accreditation.

Management During 2019-20, CASA transitioned to a new learning management system, providing greater functionality and capabilities for delivering training to CASA staff and industry. The new system introduces capability for new delivery methods, improved reporting and a more intuitive user interface.

CASA also implemented virtual classroom training in response to COVID-19 physical distancing requirements. This has enabled a mix of training solutions to be used, improved efficiency and increased flexibility in the delivery of training.

CASA also changed its online learning contract from Lynda.com to LinkedIn Learning, as part of an upgrade of the existing online courses available to assist CASA staff to improve their business, creative and technology skills.

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Aviation industry personnel completed 13,089 e-learning training sessions delivered through CASA’s AviationWorx portal.

Workplace agreements CASA employees are employed under the powers vested in the Director of Aviation Safety by the Civil Aviation Act 1988.

The terms and conditions of most CASA employees continue to be provided under the CASA Enterprise Agreement 2016-19, which nominally expired on 16 November 2019. As an alternative to bargaining a new enterprise agreement, with support from staff, the Chief Executive Officer/Director of Aviation Safety issued a Determination to provide for remuneration increases over three years, effective from 17 November 2019.

The Australian Government decided that APS departments and agencies would place a six-month pause on remuneration increases. On 15 April 2020, the Chief Executive Officer/Director of Aviation Safety issued a replacement Determination deferring remuneration increases due on 17 November 2020 until 17 May 2021, recognising the impact of COVID-19 on Australians.

There were no remuneration increases in 2019-20 for CASA employees employed under individual contracts.

At 30 June 2020, 96 per cent of CASA employees were employed under the enterprise agreement and four per cent were employed under individual contracts.

Table 9 Staff training and professional development per employee, 2017-18 to 2019-20

Financial year

Classroom-based courses E-learninga

Regulatory and technical training Professional development Courses Participants Courses Participants Courses Participants 2017-18 37 760 32 1,068 26 3,312

2018-19 31 1,062 14 822 47 4,975

2019-20 20 835 10 490 62 9,337

a E-learning data do not include Lynda.com or LinkedIn Learning.

CASA also had several service contractors and individuals temporarily engaged through contracted employment agencies. This included some short-term project employees.

Recognition of high performance and commitment to service CASA’s recognition and reward framework supports managers and staff to provide authentic and timely recognition, at the local level, for valued contributions and staff achievement.

The CASA Award Scheme was expanded in 2019-20 to include an annual Leadership Award. In November 2019, CASA changed the title and criteria for the Diversity Champion’s Award to create the Inclusion Award, to promote, more broadly recognise and celebrate inclusive workplace behaviours.

The scheme now recognises outstanding staff contribution and achievement in six categories:

• annual awards - Australia Day Achievement Award, Director of Aviation Safety Achievement Award, Inclusion Award, and Leadership Award

• biannual awards - Above and Beyond Award and Innovation and Continuous Improvement Award.

Table 9 shows staff training and professional development activities for CASA employees from 2017-18 to 2019-20 and highlights the shift away from the classroom-centric approach to training.

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Table 10 lists the 2019-20 award recipients as determined by the Executive Committee.

Table 10 Employees recognised under the CASA Award Scheme, 2019-20

Award Recipient(s) Group/Division/Branch

Director of Aviation Safety Achievement Christopher De Luis Peter Marsh

Richard Stocker

Aviation Group

Above and Beyond Libby Corby Quyen Vo

Corporate Services Division

Kylie Ceely Finance Branch

Michelle Harris Skye Harris Andrew Scargill

Stakeholder Engagement Division

Peter O’Keeffe Legal, International and

Regulatory Affairs Division

Mike Juelg David Punshon Rob Wight Ludo Dierickx Jaclyn Smith Andrew Ward Craig Brown David Cussons Ashley McAlpine Des McCarthy

Aviation Group

Innovation and Continuous Improvement

Sharon Marshall-Keefe Jaclyn Smith Aviation Group Isobel Kimball Finance Branch

Thilini Hewawasam Gemma Cajina James Offer James Taylor Emma Annan Simon Gojkovic Carly Monahan Noni Murphy Joshua Ryan

Corporate Services Division

Bella Jackson Simon Rutledge Andrew Sillis

Stakeholder Engagement Division

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Award Recipient(s) Group/Division/Branch

Australia Day Achievement

Mike Cristiano Lauren Grant Owen Lange

Corporate Services Division

Stephen Fickling Melissa Hamilton

Stakeholder Engagement Division

Ming Li Legal, International and

Regulatory Affairs Division

Simon Adamson Graham Levitt Lynda O’Reilly Alan Shore Scott Watson

Aviation Group

Table 11 Recipients of CASA milestone awards for service of 20 years or more, 2019-20

Length of service Employees 20 years Ekrem Aceruzumoglu, Adam Anastasi, John Flannery, Natalie Johnson, Kelvin Morton, Julie Parkinson, Andrew Ward, Benjamin Wilson

25 years Carolyn Dempster, Peter Goodwin, Trudy Holmes, Noel Saffery, Lance Thorogood, Michael Vytilingham 30 years Toni Guenther, Giuseppe Silvestro

Key areas of focus The CASA implementation plan for the CASA Work Health and Safety Strategy 2019-2022 underpins the ongoing development, review and implementation of key activities to safeguard the health, safety and welfare of CASA’s workers.

During 2019-20, CASA’s strategic priorities focused on enhanced staff wellbeing; collaboration and consultation; and continuous improvement of the WHS management system.

Consultation CASA continues to use a work group structure to facilitate effective communication and consultation across regions. CASA achieved its goal to run quarterly consultative forums in all work groups, as well as quarterly National Health and Safety Committee meetings,

CASA also recognises the achievements and commitment of employees when they reach five-yearly milestones of service

with CASA. In 2019-20, 16 employees achieved 20 years’ service or longer, as shown in Table 11.

WORK HEALTH AND SAFETY The CASA Work Health and Safety Strategy 2019-2022 sets out the strategic direction to achieve our commitment to work health and safety (WHS) as outlined in CASA’s WHS policy and as required under the Work Health and Safety Act 2011.

The strategy sets out the following vision and mission, developed in consultation with CASA’s WHS representatives:

• Vision: a safe workplace for all.

• Mission: together, we provide a workplace for all workers that ensures their physical and emotional wellbeing.

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ensuring a robust feedback mechanism for workers at the local and national levels.

WHS representatives’ forums were also held to ensure that worker representatives had additional opportunities to discuss the concerns of their work group members in relation to bushfire smoke in late 2019 - early 2020 and the COVID-19 pandemic in mid-2020.

Extensive resources, information, communications and physical control measures were implemented to support and protect CASA staff during the bushfires and the onset of the COVID-19 pandemic. Dedicated planning and implementation teams were assigned to manage the work required to provide this support to all CASA staff.

Alcohol and Other Drugs Program CASA’s Alcohol and Other Drugs program provides and maintains a safe and healthy workplace for all workers, free from the effects of alcohol and drug misuse.

During 2019-20, random testing was conducted across CASA’s safety sensitive positions, including staff performing aviation activities such as flight training or flight examinations. Tests were conducted at sites in Adelaide, Brisbane and Perth (one testing session each) and Canberra (two testing sessions). Testing was suspended on 20 March 2020 due to risks associated with COVID-19 and will recommence in 2020-21.

Psychosocial Safety Climate Program To support psychosocial wellbeing, CASA has partnered with the University of South Australia to implement the Psychosocial Safety Climate Program in CASA.

Psychosocial safety climate is a concept developed by the university’s Centre for Workplace Excellence. It refers to an organisation’s climate for psychological health, and concerns the priorities,

policies, practices and procedures an organisation has to prevent stress and psychological harm.

The program consists of a survey to evaluate factors such as job demands, job resources and support and health outcomes, followed by workshops to understand the survey findings and develop initiatives to address relevant issues. The intention was to provide the survey to staff in 2019-20, but the timeline was adjusted due to the impact of COVID-19. CASA expects that the survey will be undertaken in August 2020.

Review of the work health and safety risk register A review of the CASA WHS risk register was undertaken in 2019-20 to improve alignment of the register to the CASA risk management framework and revised CASA risk matrix. The direct translation of risk ratings from the previous to the current risk matrix reduced the risk ratings for four of the flying operations risks. The four ratings changed from high to low. All other risk ratings within the register remained the same. Consultation will confirm risk ratings.

All risk statements contained in the register were reviewed, to:

• identify the hazards and clearly differentiate them from the risk statements

• consider changes to business operations to eliminate identified risks or introduce new hazards

• identify the risk mitigation strategies that have been implemented and whether they have been effective in controlling the hazards, then change them to current controls

• review each risk rating, considering the changes to the CASA risk management framework.

Consultation on the updated register will be finalised in 2020.

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Training and activities CASA’s strong commitment to WHS training continued in 2019-20. Mandatory training modules were promoted and monitored to ensure that they were completed by the target staff, in the following areas:

• an introduction to WHS in CASA

• WHS duties of officers and workers

• Beyond Blue mental health training for supervisors and managers

• first aid training for staff working in remote locations

• airside safety awareness for staff working airside.

During 2019-20, the following WHS topics were actively promoted and included in news articles, posters and screen savers:

• respiratory health in response to the national bushfire crisis

• hygiene, health and safety in response to COVID-19

• men’s health matters aligned with Men’s Health Week.

Table 12 summarises the results of other key activities that contributed to WHS in CASA.

Table 12 Results of work health and safety activities, 2019-20

Activity 2019-20

Employees who participated in the seasonal influenza vaccination program 471 Employees who had an individual workstation assessment 96a

Employees who were provided with case management support to stay at work or return to work safely while addressing significant personal or health issues 16

Employees who accessed early intervention assistance for work-related illness or injury 10 Incidents notified by employees 38

Hazards notified by employees 31

Employees and family members who accessed the employee assistance program 49 Operational employees who attended a hearing assessment 232

Operational employees working in remote areas who completed first aid training 177

a Thirty-four workstation assessments were home-based assessments.

Actions and investigations In 2019-20, CASA had one notifiable incident, related to a fall and hospitalisation which occurred as part of a work-from-home arrangement during the COVID-19 pandemic. It was reported to Comcare as a notifiable incident. The incident was finalised by Comcare and no further action was recommended.

Workers’ compensation CASA’s 2019-20 workers’ compensation premium rate was 0.40 per cent of the 2019-20 payroll. This is a decrease from 0.52 per cent in 2018-19 and lower than the average premium rate of 0.85 per cent for all APS agencies.

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Early intervention The trial of an early intervention assistance program that CASA implemented in January 2019 was extended to March 2020. Between July 2019 and March 2020, 10 applications were received and approved. In May 2020, the Early Intervention Assistance Program became an ongoing program under CASA’s Rehabilitation Management Procedures and Rehabilitation Directive.

Claims Two claims for workers’ compensation were lodged in 2019-20, one for a psychological injury and one for a physical injury. Both claims were accepted by Comcare prior to 30 June 2020. This was less than the eight claims lodged in 2018-19.

EXTERNAL ENGAGEMENT Effectively consulting and communicating with the aviation industry and the wider aviation community, in Australia and overseas, are key elements of CASA’s corporate goals and responsibilities under the Civil Aviation Act 1988.

Community engagement Under section 9(2)(b) of the Civil Aviation Act 1988, CASA is required to promote ‘full and effective consultation and communication with all interested parties on aviation safety issues’. CASA achieves this through information provision and a range of forums and day-to-day dealings with people and organisations in the wider aviation community, including formal meetings, working groups and consultation committees.

Online feedback and consultation CASA engages with the aviation community online through Facebook, LinkedIn, YouTube and Twitter. Facebook continues to be the dominant social media channel in terms of audience size and engagement.

During 2019-20, CASA’s Facebook following increased by 3,385 followers to reach 48,767 followers on 30 June 2020. However, LinkedIn experienced the highest growth, with the number of followers increasing by 15,976 to 33,139. Twitter followers increased to 13,121. CASA’s YouTube channel experienced 29 per cent growth, with an increase of 1,346 subscribers to 5,927 subscribers. In total, the CASA social media channels experienced a combined audience growth of 31 per cent.

The top post during 2019-20 related to asking drone operators not to fly their drones in or near bushfires. The post reached 642,895 people on Facebook with 51,610 engagements and 9,617 reactions, comment and shares. It was also the top Twitter tweet, with 45,422 impressions and 1,187 total engagements.

In December 2019, CASA launched a new Facebook page: a dedicated source of information for people who fly drones for fun. It was part of the broader Know Your Drone campaign which was developed for new and emerging recreational drone flyers. The content focused on safety, with an emphasis on education and improving operators’ capabilities, rather than enforcement and penalties. Since it launched, the page has garnered more than 5,160 followers and 4,765 likes. Paid and organic content achieved more than 694,362 engagements, 33.5 million impressions (33.0 million paid and 468,932 organic) and 4.6 million video views (4.5 million paid and 53,051 organic).

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Drone-related content across the CASA website allows users to rate the helpfulness of the information provided, using a ‘yes’ or ‘no’ rating. Throughout 2019-20, 796 ratings were received and 79 per cent of respondents said the information was helpful.

The CASA Consultation Hub, established in 2017, supported 48 consultations and feedback surveys during 2019-20, with a total of 4,776 responses. The hub also functioned as a key communication channel, attracting 247,675 unique visitors during the year.

A feedback survey on CASA’s flagship aviation safety magazine, Flight Safety Australia, opened on 24 June 2020 and attracted 783 responses by 30 June 2020. The survey invited feedback on the online and print editions of the magazine. Results will be analysed after the survey closes on 12 July 2020.

A feedback survey on the myCASA portal received 490 responses, the second-highest number of responses of all surveys conducted through the hub in 2019-20, followed by consultation on the maximum take-off weight increase for aeroplanes managed by an approved self-administering aviation organisation, which received 408 responses.

Magazine Flight Safety Australia, CASA’s flagship publication, is a highly regarded source of credible and informative coverage of aviation safety.

The print edition of Flight Safety Australia was discontinued in 2013-14 when the magazine was relaunched online. In 2019-20, Flight Safety Australia returned to print, with more than 2,500 readers subscribing in the first year. The move came after respondents to a 2018 feedback survey said they really wanted the print edition to return and were prepared to pay a subscription fee to have it delivered.

The print magazine has 64 pages inclusive of features, news, in-depth analysis and photography, on a wide range of topics by expert contributors from the aviation community.

Feature stories in 2019-20 were a mix of wide-ranging ‘big picture’ safety topics, practical guidance for general aviation and recreational pilots, reviews of technological developments, and re-examinations of historic accidents through the lens of modern safety thinking.

A new ‘crash comic’ segment told the popular close call stories submitted by readers in a new way - as a comic book style picture narrative.

Other articles covered issues such as drone safety, cabin safety, ground handling, maintenance, runway incursions, animal strike management, use of virtual reality in training, and helicopter flight dynamics.

The online edition also includes topical news and unique digital-only content, including safety videos and audio recordings of ‘close calls’. Readers can engage with peers from the aviation community by liking, sharing or commenting on the articles at flightsafetyaustralia.com . During 2019-20, the online edition experienced 247,675 unique visitors and 439,546 unique page views, with 3,143 readers subscribing to receive alerts each time new content is published.

CASA’s Facebook and LinkedIn pages continued to be highly effective in promoting the magazine’s comprehensive aviation safety coverage.

E-newsletter Each month, CASA produces an e-newsletter, The CASA Briefing , which is distributed to more than 11,000 subscribers. Most subscribers are people working in the aviation industry, while others have a general interest in aviation.

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Subjects covered in 2019-20 included CASA’s response to the COVID-19 pandemic, the completion of the flight operations regulations, consultation on key initiatives such as the weight increase for recreational aviation, improvements in online services, and finalisation of the new fatigue rules.

In addition, a monthly Know Your Drone e-newsletter was distributed to more than 25,000 recipients, including more than 15,000 drone operators. It is estimated that the e-newsletter has generated more than 50,000 visits to drone-related content on the CASA website since it commenced in December 2019.

CASA also communicated widely with the aviation community and general public through 351 targeted bulk emails during the year.

Webinars and seminars Our team of Aviation Safety Advisors delivered 163 face-to-face aviation safety seminars and 546 on-site visits around Australia, reaching more than 5,134 industry members. Unfortunately, a further 49 seminars were deferred or cancelled due to the COVID-19 pandemic.

The 2019-20 seminars explored the theme of Enhancing pilot skills - Expect the unexpected, covering three key safety topics: pre-flight planning; aeronautical decision-making; and use of checklists. Its content tied in with an ATSB campaign to promote the use of checklists.

Following the release of an ATSB investigation report into the in-flight breakup of a Cessna 210 in Darwin in 2017, CASA held two Flying in the wet season aviation safety seminars in Darwin and Cairns.

The seminars were delivered jointly by CASA presenters and the ATSB investigator in charge of the investigation. They covered many of the unique hazards and risks that need to be managed by pilots flying in northern Australia during

the wet season. The seminars attracted significant interest, with 135 pilots and operators attending in Darwin and 35 in Cairns.

A condensed version of the Enhancing pilot skills in a dynamic environment seminar was broadcast on YouTube and uploaded to LinkedIn to extend its audience reach. The recording of the broadcast has been watched more than 1,053 times on YouTube and achieved 2,456 impressions on LinkedIn.

In December 2019, CASA hosted a live, interactive webinar for industry and software developers interested in applying to connect to the remotely piloted aircraft systems digital platform, which was developed and introduced by CASA. Software developers can use data provided by the digital platform to create third-party mobile and web-based apps, to help show drone operators where it is safe and legal to fly a drone in Australia. The webinar had 89 registered participants from Australia and overseas, with 40 attending the live 60-minute broadcast and question and answer session, where 39 questions were answered by the host. A further 30 participants viewed the recorded session on demand following the live broadcast. As a result, three new drone safety apps were released in March 2020.

Roadshows During 2019-20, CASA hosted two national roadshows as a key communication tactic, to support:

• the proposed policy for continuing airworthiness management and maintenance for future air transport operations

• the aviation community’s transition to the new fatigue rules.

On 2-17 December 2019, seven two-hour information sessions were delivered to 240 individuals representing Civil Aviation Regulations Regulation 30 organisations, Civil Aviation Safety Regulations (CASR) Part 145 approved maintenance

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organisations, and charter operators. It was an opportunity for air operators and maintenance organisations to hear firsthand the details of the proposed policy changes prior to the opening of the public consultation.

The information sessions were held in Darwin, Brisbane, Cairns, Melbourne, Adelaide, Perth and Sydney.

On 10-19 March 2020, six two-hour information sessions were delivered to support the aviation community’s transition to the new fatigue rules.

Approximately 220 industry members registered for the six information sessions, with 168 individuals attending, representing a mix of sectors including regular public transport, charter, flight training, aerial work, mustering, medical air transport, hot air balloons, defence support, parks and wildlife services, scenic tours and freight operations.

The information sessions were held in Brisbane, Cairns, Sydney, Adelaide, Perth and Darwin. Travel restrictions related to COVID-19 prevented the final two information sessions, planned for Melbourne and Hobart, from taking place. To ensure that registered participants from the cancelled sessions were not disadvantaged, a summary of the information session was developed and made available on the CASA website.

Industry engagement CASA’s ability to develop and enforce appropriate safety standards relies on effective engagement with the aviation industry. CASA participates in consultative forums and supports specialist expert panels to facilitate industry engagement.

All proposed regulatory changes and related consultation documents for 2019-20 were published on CASA’s website and can be accessed at casa.gov.au/newrules.

Aviation Safety Advisory Panel The Aviation Safety Advisory Panel is the primary advisory body through which CASA directs its engagement with industry and seeks input on current and future regulatory and associated policy approaches. Its work is supported by technical working groups.

In February 2020, two new members, Mr Mark Thompson, Technical Training Manager at Aviation Australia, and Mr Stuart Aggs, Chief Operations Officer at Virgin Australia, joined the panel, bringing a wealth of experience in high-capacity air transport operations, and maintenance and engineering.

Two people attended their final meeting on 11 June 2020: Mr Jim Davis, Chair of the Regional Aviation Association of Australia, and Mr Michael Monck, Chair of Recreational Aviation Australia. As inaugural members of the Aviation Safety Advisory Panel, they were integral to the success of the panel by providing high-level and objective advice drawing on their many years of valuable experience in the aviation industry.

The independent Chair, Honorary Professor Patrick Murray, industry members Mr John Gissing, Dr Reece Clothier, Ms Adrianne Fleming OAM and Captain Ray Cronin, and CASA representatives Mr Graeme Crawford and Mr Rob Walker continue to serve on the panel.

Regional airspace and procedures advisory committees Regional airspace and procedures advisory committees are primarily state-based forums for the discussion of matters relating to airspace and related procedures in Australia. They are coordinated and facilitated by CASA.

In February 2020, these state-based forums transitioned to an online platform via new consultative website, avsef.gov.au.

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The website meets the previous objectives of these meetings, supporting the communication and publication of information and proposals relating to airspace, procedures and other regional and national matters, while creating an automated, cost-effective repository for papers and consultations.

The website was initially intended to be trialled as part of an evolution of the forums. As a result of restrictions arising from the COVID-19 pandemic, the website is now being used to support all regional consultation matters.

Australian Strategic Air Traffic Management Group The Australian Strategic Air Traffic Management Group (ASTRA) is a key industry advisory body on strategic airspace and air traffic management issues for Australia. As such, it is an important source of industry advice to government on air traffic management issues.

ASTRA brings together industry stakeholders, including aircraft operators, airports and service providers, to provide an industry-wide representative forum that:

• develops the industry position on air traffic management matters, including communications, navigation and surveillance, as the basis for strategic advice to government

• coordinates agreed integrated air traffic management planning, development and implementation efforts by all relevant stakeholders.

CASA has a standing invitation to attend meetings of the ASTRA Council, as a permanent observer, and attended two meetings in 2019-20 (some scheduled meetings were cancelled due to the COVID-19 pandemic).

Intragovernmental engagement Cooperation between Australian Government agencies that have an interest in the aviation sector helps to reduce the duplication and fragmentation of government policies, regulations and services. CASA works with other government agencies to facilitate cooperation.

Aviation Policy Group The Aviation Policy Group is a high-level interagency group that consists of the Secretary of the Department of Infrastructure, Transport, Regional Development and Communications, CASA’s Chief Executive Officer/Director of Aviation Safety, the Chief Executive Officer of Airservices Australia, and the Chief of Air Force.

Although the group is not a decision-making body, it provides a forum for effective interagency policy coordination and for working through air traffic management and other aviation issues at a strategic level.

The Aviation Policy Group met three times during 2019-20, including one meeting held via teleconference as a result of COVID-19 restrictions. A fourth meeting was cancelled.

Aviation Implementation Group The Aviation Implementation Group is an interagency forum chaired by the Department of Infrastructure, Transport, Regional Development and Communications that involves representation from CASA, Airservices Australia and the Royal Australian Air Force.

The Aviation Implementation Group is an important forum for identifying cross-agency aviation issues and maintaining regular communication between the four agencies. It supports the Aviation Policy Group in implementing cross-agency strategies.

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The group met four times during 2019-20, including one meeting held via teleconference as a result of COVID-19 restrictions.

Australian Transport Safety Bureau The relationship between CASA and the ATSB is governed, in part, by a memorandum of understanding (MOU) that was first signed in February 2010 and updated and re-signed on 30 March 2015.

The agreement focuses on making the most effective and appropriate use of the findings of accident investigations and clarifying the different but complementary roles of CASA and the ATSB in maintaining and improving air safety. It also provides a framework for cooperation between CASA and the ATSB on aviation safety education, research, and data analysis.

The agreement covers issues such as the roles of CASA and the ATSB in accident investigations, assistance during investigations, Australia’s State Safety Program and the exchange of safety information and safety education.

CASA’s ATSB Liaison Office acts as a conduit between CASA and the ATSB to ensure that accident and incident report findings, safety issues and recommendations are appropriately considered and responded to by CASA in accordance with agreed working arrangements, the ATSB-CASA MOU and the Transport Safety Investigation Act 2003.

CASA and the ATSB formally meet twice each calendar year to exchange views and liaise about safety issues of mutual interest at the operational level. The agencies also cooperate on important research projects that improve the understanding of, and response to, issues that affect flight safety in Australia.

International engagement CASA is a well-respected civil aviation safety regulator, regionally and globally. Engagement with the global aviation community, including with foreign regulatory counterparts, is an important part of CASA’s role and responsibilities under the Civil Aviation Act 1988 to influence aviation safety standards, advocate for rules that benefit Australian travellers and Australian industry, and respond in a timely manner to emerging opportunities and trends.

CASA’s international commitments are threefold:

• engaging with ICAO, primarily through a tripartite policy approach in partnership with Airservices Australia and the Department of Infrastructure, Transport, Regional Development and Communications

• establishing, reviewing and improving on bilateral and multilateral arrangements with counterpart regulatory agencies and countries to streamline industry standards and requirements

• strengthening aviation safety in the Asia-Pacific region.

International Civil Aviation Organization Australia is one of 193 signatory States to the Convention on International Civil Aviation (the Chicago Convention), which provides for the safe and orderly development of international civil aviation. The Chicago Convention established ICAO, which is a specialised agency of the United Nations with responsibility for creating Standards and Recommended Practices for civil aviation.

ICAO operates through the ICAO Council, the Air Navigation Commission and various technical working groups and panels established in accordance with arrangements endorsed by all ICAO Member States.

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Australia sits on the governing ICAO Council and is one of 11 elected States of chief importance in air transport.

Australian participation

Responsibility for Australia’s participation in ICAO is shared under a tripartite arrangement with Airservices Australia and the Department of Infrastructure, Transport, Regional Development and Communications, to ensure an informed, coordinated and consistent policy approach. The three parties sponsor the Australian Permanent Mission to the ICAO office in Montreal, Canada, through which Australia’s liaison with ICAO and the coordination of our contribution to ICAO’s activities are directed.

40th ICAO Assembly

The 40th ICAO Assembly was held in Montreal, Canada, from 24 September to 4 October 2019.

Attended by 184 ICAO Member States and 56 international organisations involved in civil aviation, the assembly considered 640 working papers across 52 agenda items. Australia was re-elected to the ICAO Council as a State of chief importance in air transport.

Australia’s key objectives at the ICAO Assembly were achieved. For CASA in particular, this included:

• considering new competencies for safety inspectors

• encouraging compliance with ICAO Annex 19: Safety Management, including through regional cooperation and targeted guidance for the development of relevant and effective State safety programs, especially for States with small aviation systems

• strengthening the focus on the Pacific, consistent with the Beijing Declaration, and taking forward ICAO’s Pacific Small Island Developing States - Aviation Needs Analysis (PSIDS Study)

• recognising the outcomes of the inaugural Civil Aviation Legal Advisers Forum

• continuing the work of the Group of Experts for a Universal Safety Oversight Audit Programme Structured Review

• improving key policies identified in an executive summary of the Global Air Navigation Plan, with the most recent version being adopted by the assembly

• improving implementation of the Global Aeronautical Distress and Safety System

• encouraging new technology and innovation

• advancing initiatives that support women’s participation in aviation.

CASA’s Chief Executive Officer/Director of Aviation Safety hosted a number of meetings with counterparts, including leaders from Canada, Indonesia, New Zealand, the Pacific Islands, Singapore, Sweden and the United Kingdom. Along with CASA’s Executive Manager Legal, International and Regulatory Affairs, the Chief Executive Officer/Director of Aviation Safety also participated in discussions hosted by the International Air Transport Association on the return to service and certification of the Boeing 737 MAX aircraft.

Pacific Small Island Developing States - Aviation Needs Analysis

During the 40th ICAO Assembly, Australia called for further support for States to implement Standards and Recommended Practices in the areas of safety, air navigation capacity and efficiency, especially given the challenging demographic and operational conditions of small island States in the Asia-Pacific region.

The PSIDS Study was delivered by ICAO in late 2019. CASA participated in consultation meetings in Nadi, Fiji, in September 2019.

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The study resulted in recommendations for the Pacific Islands Forum, Pacific Islands States and ICAO. Among the key recommendations accepted by the ICAO Council, ICAO will establish a liaison officer position to be based in the Pacific and an assistance coordination platform will be established for Pacific Islands States.

ICAO global response to COVID-19

The ICAO Council adopted a declaration in March 2020 relating to the outbreak of COVID-19. The declaration affirmed the urgent need to reduce the public health risk of the spread of COVID-19 by air transport and protect the health of air travellers and aviation personnel.

The Council Aviation Recovery Taskforce (CART) - a high-level group involving a mix of industry leaders and State representatives aimed at restarting the international air transport system and aligning its global recovery - delivered recommendations and ‘Take-Off’ guidance. Australia’s representative on the ICAO Council was a member of the CART.

CASA is also represented on the ICAO APAC COVID-19 Contingency and Recovery Planning Group. This group focuses on the recovery of the Asia-Pacific aviation sector in terms of financial, facilitation and health-strengthening mechanisms.

Directors General of Civil Aviation Conference The Directors General of Civil Aviation (DGCA) Conference is an annual multilateral meeting that allows the heads of civil aviation regulatory agencies in the Asia-Pacific region to collaborate on improving aviation safety in a coordinated manner.

The 56th DGCA Conference was held in Kathmandu, Nepal, on 19-23 August 2019, with the theme of ‘Harmonising efforts to meet capacity constraints’. CASA’s Chief Executive Officer/Director of Aviation Safety led the Australian delegation to the conference.

Delegates discussed the regional commitment to the Beijing Declaration, which sets aviation safety targets for the region, and considered the next steps for transport ministers to discuss at a meeting in New Delhi, India, planned for late 2020.

CASA’s Chief Executive Officer/Director of Aviation Safety moderated discussions on the aviation safety agenda item. Australia presented a discussion paper outlining the concept for regulatory approval of a commercial drone delivery service and co-authored a paper with New Zealand on a proportionate and risk-based universal safety oversight audit program continuous monitoring approach.

Regional Aviation Safety Group - Asia and Pacific Regions The Regional Aviation Safety Group - Asia and Pacific Regions (RASG-APAC) is tasked with developing and implementing a work program that supports a regional performance framework for the management of safety on the basis of ICAO’s Global Aviation Safety Plan and Global Aviation Safety Roadmap.

As Chair of the RASG-APAC, CASA’s Chief Executive Officer/Director of Aviation Safety moderated discussions during the group’s ninth meeting, held in Bangkok, Thailand, in November 2019. Key discussions focused on ICAO’s Global Aviation Safety Oversight System, innovation, the identification and reporting of common challenges, and the Safety Information Monitoring System Ramp Inspections Data Sharing Project.

A workshop on developing national aviation safety plans was held at the same time and reported to the RASG-APAC. The RASG-APAC has adopted the Asia-Pacific Regional Aviation Safety Plan, which will assist States in the region with alignment to common goals and strategies.

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Cooperative arrangements and agreements Bilateral arrangements and agreements enable CASA and other Australian Government agencies to formalise regulatory relationships with foreign counterparts and streamline regulatory processes, which benefits the aviation industry by improving the consistency of safety considerations, supports a coordinated approach to regulation and reduces regulatory costs.

CASA participates in arrangements or agreements on matters ranging from airworthiness and aeronautical product certification to information sharing and mutual recognition of operators. These arrangements underpin and institutionalise working relationships between civil aviation safety agencies and enable better regulatory oversight of operators and companies that conduct business in Australia and overseas.

COVID-19 exemptions

CASA’s existing relationships with counterparts continued to provide benefits during the significant challenges arising from the COVID-19 pandemic and supported open dialogue on regulatory exemptions and alleviations for industry.

At the core of CASA’s domestic exemptions was the motivation to ensure reduced costs for industry during this time. CASA’s international efforts focused on ensuring that the exemptions were acknowledged and accepted by other States, to maintain critical infrastructure and support the viability and integrity of supply chains globally.

Australia’s stance on trade can be supported by CASA proportionally managing safety risks and encouraging aviation activity in the region. This may alleviate broader concerns within the United Nations system that border closures are shutting down the global air cargo supply chain, which could potentially hamper the distribution of emergency equipment globally.

Engagement with aviation authorities

CASA participated in airworthiness and engineering training delivered by the United States Federal Aviation Administration (FAA). This opportunity built on the significant engagement with the FAA and others to consider the return to service of the Boeing 737 MAX.

CASA also continued to proactively engage and maintain positive working relationships with other key aviation authorities, including the European Union Aviation Safety Agency, Transport Canada, the Civil Aviation Authority of New Zealand, the Civil Aviation Authority of Singapore and others.

Regional cooperation

The Australian Government’s bilateral arrangements with Indonesia and Papua New Guinea on aviation matters form part of a whole-of-portfolio approach to capacity building which includes the Department of Infrastructure, Transport, Regional Development and Communications, Airservices Australia, the ATSB, the Australian Maritime Safety Authority and the Bureau of Meteorology.

In 2019-20, regional cooperation included activities focused on women in aviation and leadership skills, aviation medicine, and engagement at international forums such as the 56th DGCA Conference, the 40th ICAO Assembly and Safeskies.

Other capacity-building activities due to be delivered by CASA in Indonesia and Papua New Guinea under Australian Aid programs in 2019-20 ceased when COVID-19 impacted in-person delivery.

As a corporate Commonwealth entity, CASA is accountable to the Minister, the Parliament of Australia and the Australian people.

This part of the report describes the outcomes of external scrutiny of CASA’s activities and provides information to satisfy the reporting requirements of Commonwealth legislation and Australian Government policies that relate to CASA’s performance.

In this part: • External scrutiny 118

• Compliance with finance law 122

• Significant activities and changes 122

• Freedom of information 122

• Enforcement actions 122

• Environmental sustainability 123

• Procurement 125

• Advertising 125

• Sponsorships and grants 126

• Related entity transactions 126

• Insurance and indemnities 126

OTHER ACCOUNTABILITY

REPORTING

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EXTERNAL SCRUTINY As a Commonwealth statutory authority, CASA is subject to scrutiny by the Australian Parliament. CASA’s activities may be subject to investigation or consideration by administrative agencies or the courts. In addition, CASA receives informal feedback on its performance through media coverage and complaints from industry or members of the public.

CASA welcomes external scrutiny as a means to confirm what it is doing well, and to identify ways to better meet its obligations and achieve its vision of Safe skies for all.

Parliamentary accountability CASA prepared to appear at the Senate Rural and Regional Affairs and Transport Legislation Committee supplementary Budget estimates hearing on 21 October 2019 but was not required to appear.

CASA also prepared to appear before the Senate Rural and Regional Affairs and Transport Legislation Committee additional estimates hearing on 2 March 2020. CASA was not listed to appear when the final program was released.

Due to the impact of COVID-19, the planned Budget estimates call-back day in April 2020 did not occur.

CASA contributed briefing material for the Department of Infrastructure, Transport, Regional Development and Communications attendance at a Budget estimates spillover hearing on 9 June 2020.

During the reporting period, CASA responded to more than 50 parliamentary questions on notice.

Regulator Performance Framework The Regulator Performance Framework is an initiative of the Australian Government, setting a common set of performance measures for all Commonwealth regulators to allow for a high-level assessment of performance as a regulator and engagement with stakeholders.

The framework asks regulators to self-assess against six key performance indicators, and to seek external validation of the self-assessment as an avenue for stakeholders to provide feedback on whether the self-assessment results accord with their views of the regulator’s performance. In 2020, CASA agreed to use the Aviation Safety Advisory Panel to provide the external validation, given the breadth of industry representation on the panel.

Due to the impact of COVID-19, CASA’s Regulator Performance Framework report for 2018-19 was completed without external validation and published on the external website on 8 April 2020, within the deadline set by the Department of the Prime Minister and Cabinet. The Department of the Prime Minister and Cabinet was notified that CASA’s report had not been externally validated.

Judicial and administrative decisions No judicial decisions or decisions of administrative tribunals in 2019-20 affected or may have a significant effect on CASA’s future operations.

Merits reviews and judicial reviews Certain types of regulatory decisions made by CASA are subject to merits review by the Administrative Appeals Tribunal (AAT). Merits review involves

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the reconsideration of an administrative decision. On the facts before it, the tribunal decides whether the correct decision (or, where an exercise of discretion was involved, the preferable decision) has been made in accordance with the applicable law.

A person who is the subject of a CASA decision may apply directly to the Federal Court for a review of the decision under the Administrative Decisions (Judicial Review) Act 1977. In some cases, a decision of the AAT may be reviewed in the Federal Court.

Tables B.10 to B.12 in Appendix B provide details of AAT merits reviews of CASA regulatory decisions, the categories of CASA decisions appealed in the AAT, and applications to the Federal Court for judicial review of regulatory decisions.

CASA’s legal costs for 2019-20 are outlined in Table B.21 in Appendix B.

Investigations During 2019-20, the Office of the Australian Information Commissioner conducted an investigation relating to a complaint that CASA had breached the Privacy Act 1988 in disclosing information to the complainant’s prospective employer. The matter was settled between CASA and the complainant on 2 April 2020, without the Office having to conclude its investigation.

In relation to a different person and matter, an investigation was initiated by the Commonwealth Ombudsman in relation to the role that the complainant in that matter alleged CASA had played in the termination of their employment. The investigation remained ongoing at 30 June 2020.

Coronial inquiries Coroners investigate deaths, identify other injuries and make recommendations that may prevent deaths and non-fatal injuries.

Coroners’ findings vary from brief descriptions about the place of death, the identity of the deceased and the cause of death through to detailed descriptions of the circumstances leading to the death and detailed recommendations about what might be done to prevent similar deaths and injuries in the future. Recommendations of this kind may deal with CASA’s regulatory administration of aviation safety.

CASA participated in two coronial inquests in 2019-20. Coronial findings have been handed down in those matters and, in each case, the coroner made a number of recommendations to CASA concerning the conduct and regulation of skydiving activities.

Table B.13 in Appendix B provides details of coronial inquiries that involved CASA in each year from 2017-18 to 2019-20. Table B.14 refers to CASA’s disposition of coronial findings related to CASA in 2019-20.

Industry Complaints Commissioner The Industry Complaints Commissioner (ICC) provides an accessible and transparent mechanism for reviewing complaints about the actions, decisions and services provided by CASA staff, delegates and authorised persons. Reporting to CASA’s Board, the ICC considers complaints to establish whether CASA’s administrative actions were wrong, unjust, unlawful, discriminatory or unfair.

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Governance arrangements support the ICC complaints-handling process and set out how identified deficiencies in CASA’s processes and procedures are identified and resolved. The governance arrangements are periodically reviewed and were last updated in April 2019.

Complaints received The ICC received a total of 86 complaints in 2019-20, including:

• 27 simple complaints, which were clearly outside the ICC’s jurisdiction or not related to CASA

Note: Figures do not include simple complaints that are outside the ICC’s jurisdiction or not related to CASA.

Figure 13 Complaints by subject matter, 2017-18 to 2019-20

Resolved complaints

In 2019-20, the ICC resolved 90 complaints (including cases on hand at 1 July 2019), 62 of which were classified as either standard or complex.

• 42 standard complaints, which represented the majority of cases received

• 17 complex complaints, which required expert advice, related to novel issues or presented a wide range of questions.

The volume of complaints was lower than the 2018-19 total of 148; however, the 2018-19 statistics were inflated by multiple complaints made by two individuals.

Figure 13 shows complaints received each year from 2017-18 to 2019-20 by the subject matter of the complaint.

Figure 14 shows the breakdown of complaints resolved in 2019-20 by the business group about which the complaint was made.

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Timeliness of processing

Of the 86 complaints received in 2019-20, the ICC processed:

• 100 per cent of the simple cases within the target of five days (average 1.1 days)

• 90 per cent of the standard cases within the target of 30 days (average 11.4 days)

Figure 14 Complex and standard complaints resolved, by division, 2019-20

Table 13 Complaints processed within timeliness targets, 2017-18 to 2019-20

Type of complaint 2017-18

%

2018-19 % 2019-20 %

Simple cases within 5 days 100 100 100

Standard cases within 30 days 74 93 90

Complex cases within 90 days 74 65 100

Complaint prevention strategies The ICC has the power to make recommendations to CASA about individual cases and systemic issues. Recommendations are made with the aim of reducing future complaints and ensuring best practice.

In 2019-20, the ICC made nine recommendations of which eight were accepted by CASA with one still under consideration. The recommendations included partial refunds for regulatory service tasks; changes to aviation exam conditions; the amendment of policy manuals to reflect CASA practice; and the withdrawal of conditions imposed on medical certificates.

• 100 per cent of the complex cases within the target of 90 days (average 44.7 days).

Table 13 shows a comparison of timeliness in each year from 2017-18 to 2019-20.

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COMPLIANCE WITH FINANCE LAW Section 17BE(h) of the Public Governance, Performance and Accountability Rule 2014 requires corporate Commonwealth entities to report on any instances of significant non-compliance with finance law during the financial year.

CASA had no significant issues to report to the Minister in relation to non-compliance with finance law in 2019-20.

SIGNIFICANT ACTIVITIES AND CHANGES Section 17BE(p) of the Public Governance, Performance and Accountability Rule 2014 requires corporate Commonwealth entities to report on significant activities and changes that affected their operations or structure during the financial year.

Reportable events include significant changes to the operational and financial results of the authority; the authority’s state of affairs or principal activities; or the authority’s enabling legislation or any other directly relevant legislation.

CASA had no significant activities or changes to report for 2019-20.

FREEDOM OF INFORMATION The Freedom of Information Act 1982 requires CASA to publish information as part of the Information Publication Scheme.

An agency plan showing what information is published in accordance with the Information Publication Scheme requirements is accessible from CASA’s website at casa.gov.au/standard-page/ agency-plan.

ENFORCEMENT ACTIONS CASA’s coordinated enforcement process provides CASA’s decision-makers with the benefit of legal, regulatory and technical and/or operational input when considering the most appropriate action that might be taken as a result of a breach of the civil aviation legislation.

Results of this process may include compliance-related action, enforcement action, or both. This may involve administrative action, which could result in a suspension, variation or cancellation of a civil aviation authorisation. It may also include a suspension under section 30DC of the Civil Aviation Act 1988, where there is a serious and imminent risk to safety.

Alternatively, or in combination with such action, CASA may issue aviation infringement notices attracting a small pecuniary fine or refer matters to the Commonwealth Director of Public Prosecutions.

CASA may also accept enforceable voluntary undertakings from individuals and companies, or may counsel them, depending on the circumstances of the breach and the appropriateness of doing so. In many cases, however, the

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coordinated enforcement process may result in a recommendation that no enforcement action be taken.

Tables B.15 to B.19 in Appendix B show details of medical certificate actions; licence and certificate actions; serious and imminent risk suspensions; infringement notices and matters referred for prosecution; and other compliance-related actions.

ENVIRONMENTAL SUSTAINABILITY The Environment Protection and Biodiversity Conservation Act 1999 requires CASA to report on how its outcome and activities accord with the principles of ecologically sustainable development.

Environmental management system CASA’s environmental management system is designed to improve our environmental performance and reduce the environmental impact of our operations.

Our environmental sustainability policy is a key element of the environmental management system. The policy formalises CASA’s commitment to environmental protection and provides a framework for achieving continuous improvement in environmental performance.

Measures taken to minimise the impact of activities on the environment Strategies are in place to reduce the environmental impact of our operations. Objectives, targets and action plans are set out clearly, and responsibilities and timeframes have been established.

Environmental initiatives undertaken during the year included:

• conducting waste audits at CASA’s Brisbane and Canberra offices, where there have been noticeable improvements in diversion of waste from landfill

• maintaining accreditation in the Australian Capital Territory Government’s business waste recycling program

• increasing the number of vehicles under 1,800cc and/or hybrid from 10 to 16 vehicles

• promoting the use of video conferencing as an alternative to air travel, and increasing video conferencing facilities

• achieving 4.5 star or better base building National Australian Built Environment Rating System (NABERS) ratings for the leased office accommodation that we occupy in Brisbane, Canberra, Melbourne and Sydney

• continuing to collect soft plastics for recycling in the Canberra office.

CASA achieved a number of improvements in relation to environmental performance indicators during 2019-20, as shown in Table 14.

CASA was not involved in any actions likely to have a significant impact on matters of national environmental significance on Commonwealth land.

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Table 14 Environmental performance summary, 2018-19 to 2019-20

Indicator 2018-19 2019-20

Office energy usage Total tenant light and power energy consumption, including Aviation House server room (kWh) 1,845,397 1,559,894

Total tenant light and power energy consumption, excluding Aviation House server room (MJ) 4,705,971 3,910,232 Aviation House server room, Canberra (MJ) 1,937,457 1,705,387

Total tenant energy consumption per person, excluding Aviation House server room (MJ/head) 5,252 4,384a

Total tenant energy consumption per square metre, excluding Aviation House server room (MJ/m2) 253 231b

Total greenhouse gas emissions attributed to tenant energy consumption, including Aviation House server room (tonnes CO2-e) 1,447 1,189

Green power purchased (kWh) 43,886 46,738

Vehicle fleet Number of vehicles 34 34

Number of vehicles under 1,800 cc or hybrid 10 16

Total fuel used (litres) 27,472 16,953

Total distance travelled (km) 358,266 231,298

Average fuel consumption of fleet vehicles per 100 kilometres (litres) 7.7 7.3

Total greenhouse gas emissions attributed to motor vehicle fleet usage (tonnes CO 2-e) 66.4 41.1

Air travel Number of flights 11,160 8,880

Number of kilometres flown 14,705,924 10,368,029

Number of kilometres flown per head 16,125 11,623

Total greenhouse gas emissions attributed to air travel (kilograms CO2-e) 1,377,910 966,375 Resource efficiency and waste Total office paper purchased (reams A4 per head) 6.1 4.3

Proportion of total office paper using more than 50% recycled content and/or certified carbon neutral 98% 100%

Office paper recycled (tonnes) 28.2 24.2

Total waste produced (tonnes) 50.9 14.9

Total waste produced (kilograms per head) 55.8 46.98

Waste diverted from landfill

86%

(44 tonnes)

85%

(35 tonnes)

cc = cubic centimetres, CO2-e = carbon dioxide equivalent, km = kilometres, kWh = kilowatt hour, MJ = megajoule, m2 = square metre

a Head count is 892, including staff (857) and contractors (35).

b Total office space was 16,937 m 2.

Office energy use CASA has in place an energy management plan aimed at minimising its use of energy in office buildings. When choosing and fitting out new office accommodation, we

attempt to minimise our environmental footprint by including energy-efficient features and specifying energy-efficient lighting systems and fittings.

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Motor vehicle fleet CASA has a policy of selecting motor vehicles that are fit for purpose and provide the best value for money. Where operationally practical, CASA leases small, fuel-efficient vehicles.

During 2019-20, we operated a vehicle fleet consisting of 34 vehicles, of which 47 per cent had engine capacities under 1,800 cubic centimetres or were hybrid vehicles. Since 2010, the CASA fleet has reduced in size by 16 vehicles.

During 2020-21, CASA will continue to consider hybrid vehicles that meet its operational requirements.

Waste management and resource efficiency All of CASA’s offices provide a range of recycling opportunities. Through improved recycling signage and awareness campaigns, CASA is increasing the amount of waste diverted from landfill to recycling.

Specific stationery recycling stores operate in Brisbane and Canberra, allowing staff to place surplus stationery in a central location for use by others. The re-use of stationery is encouraged at all CASA sites.

In Canberra, CASA has remained accredited under the Australian Capital Territory Government’s recycling program (Actsmart) since the program’s inception 11 years ago.

All of CASA’s office paper contains more than 50 per cent recycled content or is certified as carbon neutral.

PROCUREMENT CASA’s procurement framework is consistent with the Commonwealth Procurement Rules and reflects value for money - the core principle governing Australian Government procurement.

CASA applies the rules to its activities through a Chief Executive Officer Instruction and supporting operational procedures.

CASA’s procurement framework helps to ensure that it undertakes competitive and non-discriminatory procurement processes; uses its resources efficiently, effectively and ethically; and makes decisions in an accountable and transparent manner.

CASA has standard tendering and contracting documentation to ensure that consistent procurement practices are employed across the organisation.

Information on the value of contracts and consultancies is available on CASA’s website.

The total cost of consultancies in 2019-20 was $4,657,898.

ADVERTISING Section 311A of the Commonwealth Electoral Act 1918 requires Australian Government departments and agencies to set out in their annual reports details of amounts greater than $14,000 (inclusive of GST) paid by or on behalf of them during the year to advertising agencies, market research organisations, polling organisations, direct mail organisations and media advertising organisations.

During 2019-20, CASA contracted market research and advertising agency services for a proposed drone registration and accreditation scheme and placed outdoor and cinema advertising to promote drone safety. Some of these activities were delivered using appropriated funds from a New Policy Proposal in relation to management of drones.

The amounts that CASA paid to media, advertising and direct mail organisations in 2019-20 are detailed in Table B.20 in Appendix B.

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SPONSORSHIPS AND GRANTS CASA provides sponsorship support to aviation-related organisations and events to help improve and promote aviation safety.

CASA initiated two additional sponsorship programs during 2019-20: the Drone Sponsorship Program, to support the drone safety campaign, and the Community Sponsorship Program, to support aero clubs and flying schools during the COVID-19 pandemic. The General Safety Promotion Sponsorship Program and the Stephen Guerin Scholarship were also open for submissions during the year.

The Drone Sponsorship Program, launched in January 2020 as part of the Know Your Drone safety promotion campaign, received 49 submissions with a total value of $875,472. Submissions were assessed against the guidelines and $50,000 was committed to successful applicants active in promoting drone safety in their communities. In addition to sponsorship funds, drone safety information and promotional products were provided to applicants in support of drone events, outreach, training and education.

Table 15 shows the value of CASA’s sponsorships and grants and the numbers of organisations or events assisted in recent years.

RELATED ENTITY TRANSACTIONS In 2019-20, there were no transactions for goods and services or provisions of grants to any entity in which a director of CASA was also a director.

INSURANCE AND INDEMNITIES In 2019-20, CASA did not provide an indemnity to the CASA Board or a CASA Board member or CASA officer.

Aviation and general liability Aviation and general liability insurance provides coverage for injuries caused to third parties or to the property of third parties as a result of negligence arising out of the performance of CASA’s functions under the Civil Aviation Act 1988, the Civil Aviation (Carriers’ Liability) Act 1959 and other applicable legislation.

Professional indemnity CASA’s Comcover policy covers liability arising from breaches of duty or negligence by a CASA officer. Further, the aviation liability component of the policy covers liability in respect of the indemnity given to industry delegates and authorised persons. The policy is subject to exclusions.

Directors’ and officers’ liability CASA’s Comcover policy also indemnifies directors and officers from liability for the consequences of wrongful acts, as defined in the policy.

Table 15 Sponsorships and grants, 2017-18 to 2019-20

Result 2017-18 2018-19 2019-20

Total funds $117,652 $204,112 $178,882

No. of organisations/events 21 24 21

This part of the report provides the entirety of CASA’s financial statements, audit opinion and explanatory notes for 2019-20. The Australian National Audit Office has performed an independent audit of, and expressed an unqualified opinion on, the financial statements.

In this part: • Independent auditor’s report 128

• Statement by the Chair of the Board, Chief Executive Officer/Director of Aviation Safety and Chief Financial Officer 130

• Statement of comprehensive income 131 • Statement of financial position 132

• Statement of changes in equity 133

• Cash flow statement 134

• Notes to and forming part of the financial statements 135

FINANCIAL STATEMENTS

6PART

127

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GPO Box 707 CANBERRA ACT 2601 38 Sydney Avenue FORREST ACT 2603 Phone (02) 6203 7300 Fax (02) 6203 7777

INDEPENDENT AUDITOR’S REPORT

To the Minister for Infrastructure and Transport and Regional Development

Opinion

In my opinion, the financial statements of the Civil Aviation Safety Authority (the Entity) for the year ended 30 June 2020:

(a) comply with Australian Accounting Standards - Reduced Disclosure Requirements and the Public Governance, Performance and Accountability (Financial Reporting) Rule 2015; and

(b) present fairly the financial position of the Entity as at 30 June 2020 and its financial performance and cash flows for the year then ended.

The financial statements of the Entity, which I have audited, comprise the following as at 30 June 2020 and for the year then ended:

• Statement by the Chair of the Board, Chief Executive Officer and Director of Aviation Safety and Chief Financial Officer; • Statement of Comprehensive Income; • Statement of Financial Position; • Statement of Changes in Equity; • Cash Flow Statement; and • Notes to the financial statements, comprising a summary of significant accounting policies and other

explanatory information.

Basis for opinion

I conducted my audit in accordance with the Australian National Audit Office Auditing Standards, which incorporate the Australian Auditing Standards. My responsibilities under those standards are further described in the Auditor’s Responsibilities for the Audit of the Financial Statements section of my report. I am independent of the Entity in accordance with the relevant ethical requirements for financial statement audits conducted by the Auditor-General and his delegates. These include the relevant independence requirements of the Accounting Professional and Ethical Standards Board’s APES 110 Code of Ethics for Professional Accountants (including Independence Standards) (the Code) to the extent that they are not in conflict with the Auditor-General Act 1997. I have also fulfilled my other responsibilities in accordance with the Code. I believe that the audit evidence I have obtained is sufficient and appropriate to provide a basis for my opinion.

Accountable Authority’s responsibility for the financial statements

As the Accountable Authority of the Entity, the Board is responsible under the Public Governance, Performance and Accountability Act 2013 (the Act) for the preparation and fair presentation of annual financial statements that comply with Australian Accounting Standards - Reduced Disclosure Requirements and the rules made under the Act. The Board is also responsible for such internal control as the Board determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.

In preparing the financial statements, the Board is responsible for assessing the ability of the Entity to continue as a going concern, taking into account whether the Entity’s operations will cease as a result of an administrative restructure or for any other reason. The Board is also responsible for disclosing, as applicable, matters related to going concern and using the going concern basis of accounting unless the assessment indicates that it is not appropriate.

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Auditor’s responsibilities for the audit of the financial statements

My objective is to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor’s report that includes my opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with the Australian National Audit Office Auditing Standards will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of the financial statements.

As part of an audit in accordance with the Australian National Audit Office Auditing Standards, I exercise professional judgement and maintain professional scepticism throughout the audit. I also:

• identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for my opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control; • obtain an understanding of internal control relevant to the audit in order to design audit procedures that are

appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Entity’s internal control; • evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made by the Accountable Authority; • conclude on the appropriateness of the Accountable Authority’s use of the going concern basis of accounting

and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the Entity’s ability to continue as a going concern. If I conclude that a material uncertainty exists, I am required to draw attention in my auditor’s report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify my opinion. My conclusions are based on the audit evidence obtained up to the date of my auditor’s report. However, future events or conditions may cause the Entity to cease to continue as a going concern; and • evaluate the overall presentation, structure and content of the financial statements, including the

disclosures, and whether the financial statements represent the underlying transactions and events in a manner that achieves fair presentation.

I communicate with the Accountable Authority regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that I identify during my audit.

Australian National Audit Office

Mark Vial Senior Director

Delegate of the Auditor-General

Canberra

21 August 2020

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Notes

2020 $’000

2019 $’000

2020

Original Budget $’000

NET COST OF SERVICES EXPENSES Employee benefits 1.1A 134,533 125,655 133,496

Suppliers 1.1B 46,730 51,440 58,825

Depreciation and amortisation 2.2A 18,929 9,731 13,549

Finance costs 1.1C 275 14 -

Write-down and impairment of assets 2.2A 103 180 -

Losses from asset sales 135 - -

TOTAL EXPENSES 200,705 187,020 205,870

LESS: OWN-SOURCE INCOME Own-source revenue Revenue from contracts with customers 1.2A 12,847 14,052 23,166

Interest 1.2B 994 1,834 1,600

Other income 1.2C 172 938 1,000

Total own-source revenue 14,013 16,824 25,766

Gains Other gains 39 377 -

Total gains 39 377 -

TOTAL OWN-SOURCE INCOME 14,052 17,201 25,766

NET COST OF SERVICES (186,653) (169,819) (180,104)

Revenue from government 1.3A 72,974 44,136 46,172

Aviation fuel excise 1.3A 101,280 122,209 130,500

SURPLUS/(DEFICIT) ON CONTINUING OPERATIONS

(12.399) (3.474) (3.432)

OTHER COMPREHENSIVE INCOME Items not subject to subsequent reclassification to net cost of services

Asset revaluation decrement

2.2A& 2.5B

(104) (538) -

TOTAL OTHER COMPREHENSIVE INCOME (104) (538) -

TOTAL COMPREHENSIVE INCOME/ (LOSS) (12,503) (4,012) (3,432)

The above statement should be read in conjunction with the accompanying notes, including explanation of major variances from budget at note 7.

Original budget figures are those published in CASA’s 2019-20 Portfolio Budget Statements.

CIVIL AVIATION SAFETY AUTHORITY STATEMENT OF COMPREHENSIVE INCOME

For the period ended 30 June 2020

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Notes

2020 $’000

2019 $’000

2020

Original Budget $’000

ASSETS Financial Assets Cash, cash equivalents and investments 2.1A,B 49,785 64,235 56,182

Trade and other receivables 2.1C 2,978 1,307 4,419

Accrued revenue 2.1D 506 2,706 -

Total financial assets 53,269 68,248 60,601

Non-Financial Assets¹ Buildings 2.2A 33,339 - -

Property, plant and equipment 2.2A 9,930 11,461 14,160

Intangibles 2.2A 36,876 27,324 26,904

Prepayments 2.3A 2,511 3,437 3,471

Total non-financial assets 82,656 42,222 44,535

TOTAL ASSETS 135,925 110,470 105,136

LIABILITIES Payables Suppliers 2.3A 5,089 7,730 3,824

Other payables 2.3B 2,831 4,950 6,137

Total payables 7,920 12,680 9,961

Interest bearing liabilities Lease Liabilities 2.4A 33,669 - -

Total leases 33,669 - -

Provisions Employee provisions 2.5A 40,875 34,511 31,130

Other provisions 2.5B 290 828 1,000

Total provisions 41,165 35,339 32,130

TOTAL LIABILITIES 82,754 48,019 42,091

NET ASSETS 53,171 62,451 63,045

EQUITY Contributed equity 3,295 3,295 3,295

Asset revaluation reserve 7,890 7,994 8,532

Retained surplus 41,986 51,162 51,218

TOTAL EQUITY 53,171 62,451 63,045

The above statement should be read in conjunction with the accompanying notes, including explanation of major variances from budget at note 7.

Original budget figures are those published in CASA’s 2019-20 Portfolio Budget Statements. 1 Right-of-use assets are included in the following line items: Buildings and Property, Plant and Equipment.

CIVIL AVIATION SAFETY AUTHORITY STATEMENT OF FINANCIAL POSITION

as at 30 June 2020

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CIVIL AVIATION SAFETY AUTHORITY STATEMENT OF CHANGES IN EQUITY

For the period ended 30 June 2020

Retained earnings

Asset

revaluation reserve

Contributed equity / capital Total equity

2020 $’000

2019 $’000

2020 $’000

2019 $’000 2020 $’000

2019 $’000

2020 $’000

2019 $’000

Balance carried forward from previous period 51,162 54,636 7,994 8,532 3,295 3,295 62,451 66,463

Adjustment on initial application of AASB 15/AASB 1058 (87) - - - - - (87) -

Adjustment on initial application of AASB 16 3,310 - - - - - 3,310 -

Adjusted opening balance 54,385 54,636 7,994 8,532 3,295 3,295 65,674 66,463

Comprehensive income Other comprehensive income

- - (104) (538) - - (104) (538)

Surplus /(Deficit) for the period (12,399) (3,474) - - - - (12,399) (3,474)

Total comprehensive income (12,399) (3,474) (104) (538) - - (12,503) (4,012)

Closing balance as at 30 June 2020 41,986 51,162 7,890 7,994 3,295 3,295 53,171 62,451

Original budget 51,218 8,532 3,295 63,045

The above statement should be read in conjunction with the accompanying notes, including explanation of major variances from budget at note 7.

Original budget figures are those published in CASA’s 2019-20 Portfolio Budget Statements.

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Notes

2020 $’000

2019 $’000

2020

Original Budget $’000

OPERATING ACTIVITIES Cash received Receipts from government 72,974 44,136 46,172

Aviation fuel excise 103,131 122,149 130,500

Sale of goods and rendering of services 11,276 14,677 23,534

Interest 1,327 1,875 1,595

Net GST received 6,989 5,686 6,218

Total cash received 195,697 188,523 208,019

Cash used Employees (127,235) (121,444) (132,134)

Suppliers (55,692) (54,813) (66,281)

Interest payments on lease liabilities (275) - -

Total cash used (183,202) (176,257) (198,415)

Net cash from operating activities 6 12,495 12,266 9,604

INVESTING ACTIVITIES Cash received Proceeds from sale of property, plant and equipment

- 41 -

Total cash received - 41 -

Cash used Purchase of property, plant and equipment and intangibles (18,609) (17,257) (16,799)

Total cash used (18,609) (17,257) (16,799)

Net cash used by investing activities (18,609) (17,216) (16,799)

FINANCING ACTIVITIES Cash used Principal payments of lease liabilities (8,336) - -

Total cash used (8,336) - -

Net cash from /(used by) financing activities

(8,336) - -

Net increase / (decrease) in cash held (14,450) (4,950) (7,195)

Cash and cash equivalents at the beginning of the reporting period 64,235 69,185 63,377

Cash and cash equivalents at the end of the reporting period 49,785 64,235 56,182

The above statement should be read in conjunction with the accompanying notes, including explanation of major variances from budget at note 7.

Original budget figures are those published in CASA’s 2019-20 Portfolio Budget Statements.

CIVIL AVIATION SAFETY AUTHORITY CASH FLOW STATEMENT

For the period ended 30 June 2020

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CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Overview Note 1: Financial performance Note 2: Financial position Note 3: People and relationships Note 4: Managing uncertainties Note 5: Regulatory charging summary Note 6: Cash flow reconciliation Note 7: Explanation of major budgetary variances

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The financial statements have been prepared in accordance with:

• Public Governance, Performance and Accountability Act 2013 (Financial Reporting Rule) 2015 (FRR); and

• Australian Accounting Standards and Interpretations - Reduced Disclosure Requirements issued by the Australian Accounting Standards Board (AASB) that apply for the reporting period.

The financial statements have been prepared on an accrual basis and in accordance with historical cost convention, except for certain assets and liabilities at fair value. Except where stated, no allowance is made for the effect of changing prices on the results or the financial position.

The financial statements have been presented in Australian dollars and values are rounded to the nearest thousand dollars unless otherwise specified.

New Accounting Standards

Except for AASB 16, all new/revised/amended standards and/or interpretations that were issued prior to the sign-off date and are applicable to the current reporting period did not have a material effect on CASA’s financial statements. The impact of AASB 16 has been separately described opposite.

AASB 15, AASB 2016-8 and AASB 1058 became effective 1 July 2019.

Overview

Objective of the Civil Aviation Safety Authority (CASA)

The Civil Aviation Safety Authority (CASA) is an Australian Government controlled, not-for-profit entity. The objective of CASA is to establish a regulatory framework for maintaining, enhancing and promoting the safety of civil aviation, with particular emphasis on preventing aviation accidents and incidents.

CASA is structured to meet a sole outcome, ‘Maximise aviation safety through a regulatory regime, detailed technical material on safety standards, comprehensive aviation industry oversight, risk analysis, industry consultation, education and training’.

The continued existence of CASA, in its present form and with its present programs, is dependent on government policy and on continuing appropriations by Parliament for CASA’s administration and programs.

Basis of Preparation of the Financial Statements

The financial statements are required by section 42 of the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and are general purpose financial statements.

CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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AASB 15 Revenue from Contracts with Customers / AASB 2016-8 Amendments to Australian Accounting Standards - Australian Implementation Guidance for Not-for-Profit Entities and AASB 1058 Income of Not-For-Profit Entities

AASB 15 establishes a comprehensive framework for determining whether, how much and when revenue is recognised. It replaces existing revenue recognition guidance, including AASB 118 Revenue, AASB 111 Construction Contracts and Interpretation 13 Customer Loyalty Programmes. The core principle of AASB 15 is that an entity recognises revenue to depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the entity expects to be entitled in exchange for those goods or services.

AASB 1058 is relevant in circumstances where AASB 15 does not apply.

AASB 1058 replaces most of the not-for-profit (NFP) provisions of AASB 1004 Contributions and applies to transactions where the consideration to acquire an asset is significantly less than fair value principally to enable the entity to further its objectives, and where volunteer services are received.

The details of the changes in accounting policies, transitional provisions and adjustments are disclosed below and in the relevant notes to the financial statements.

AASB 16 Leases

AASB 16 became effective on 1 July 2019. This new standard has replaced AASB 117 Leases, Interpretation 4 Determining whether an Arrangement contains a Lease, Interpretation 115 Operating Leases—Incentives and Interpretation 127 Evaluating the Substance of Transactions Involving the Legal Form of a Lease.

AASB 16 provides a single lessee accounting model, requiring the recognition of assets and liabilities for all leases, together with options to exclude leases where the lease term is 12 months or less, or where the underlying asset is of low value.

AASB 16 substantially carries forward the lessor accounting in AASB 117, with the distinction between operating leases and finance leases being retained. The details of the changes in accounting policies, transitional provisions and adjustments are disclosed below and in the relevant notes to the financial statements.

estimate for applications charged at hourly rates and send an estimate letter to the customer. The customer accepts the estimate and makes an up-front payment to CASA prior to the commencement of work. An enforceable contract is now in place between CASA and the customer. Although there may be no formal written agreement, the rights and obligations for both CASA and the customers are stipulated by legislation. CASA’s revenue from regulatory services fall within the scope of AASB 15 Revenue from Contracts with Customers. CASA applied AASB 15 from 1 July 2019.

Application of AASB 15 Revenue from Contracts with Customers / AASB 1058 Income of Not-For-Profit Entities

CASA provides regulatory services to the aviation industry. Aviation operators apply to CASA for licenses and permissions, CASA then assesses the applications and either approves or rejects them. Civil Aviation (Fees) Regulations 1995 enables fees to be prescribed in regulation. CASA charges customers at either a fixed fee or an hourly rate, that is the actual time spent by a proficient officer to complete the job. CASA must create an

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For the year ended 30 June 2020, CASA’s revenue from regulatory fees was $12,847,206 with the adoption of AASB 15 and AASB 1058. This figure would have been $12,916,473 under the previous accounting standard. The impact on CASA’s revenue was a decrease of $69,266.

Application of AASB 16 Leases

CASA adopted AASB 16 using the modified retrospective approach, under which the cumulative effect of initial application is recognised in retained earnings at 1 July 2019. Accordingly, the comparative information presented for 2019 is not restated, that is, it is presented as previously reported under AASB 117 and related interpretations.

CASA elected to apply the practical expedient to not reassess whether a contract is or contains a lease at the date of initial application. Contracts entered into before the transition date that were not identified as leases under AASB 117 were not reassessed. The definition of a lease under AASB 16 was applied only to contracts entered into or changed on or after 1 July 2019.

AASB 16 provides for certain optional practical expedients, including those related to the initial adoption of the standard. CASA applied the following practical expedients when applying AASB 16 to leases previously classified as operating leases under AASB 117:

• exclude initial direct costs from the measurement of right-of-use assets at the date of initial application for leases where the right-of-use asset was determined as if AASB 16 had been applied since the commencement date; and

• applied the exemption not to recognise right-of-use assets and liabilities for leases with less than 12 months of lease term remaining as of the date of initial application.

As a lessee, CASA previously classified leases as operating or finance leases based on its assessment of whether the lease transferred substantially all of the risks and rewards of ownership. Under AASB 16, CASA recognises right-of-use assets and lease liabilities for most leases. However, CASA has elected not to recognise right-of-use assets and lease liabilities for some leases of low value assets

Although CASA charges an upfront fee there is no transfer of a promised good or service to the customer at that time.

The upfront fee is considered an advance payment for future goods or services and revenue should only be recognised when future goods or services are provided. The customer would only gain control of the asset once CASA has completed its assessment of the application and informed the customer of the outcome. CASA’s performance obligation is satisfied when the asset is transferred to the customer. CASA has identified that the performance obligations for the majority of regulatory fees are satisfied when the assessment is completed, and the customer is informed of the outcome.

CASA has in place systems and processes to track the progress of customer assessments, from initial application to finalisation. These systems and processes will be used to confirm the finalisation of an assessment or application thus passing of control to the customer. This allows CASA the right to recognise the revenue for that job. Further detail of revenue recognition policy and disaggregation of revenue from contracts with customers are disclosed in Note 1.2.

CASA adopted AASB 15 and AASB 1058 using the modified retrospective approach, under which the cumulative effect of initial application is recognised in retained earnings at 1 July 2019. Accordingly, the comparative information presented for 2019 is not restated, that is, it is presented as previously reported under the various applicable AASBs and related interpretations.

Impact on transition

In relation to AASB 15, CASA elected to apply the new standard to all new and uncompleted contracts from the date of initial application. The impact on 1 July 2019 is summarised below.

Departmental

1 July 2019 $’000

Liabilities Unearned revenue 87

Total liabilities 87

Total adjustment recognised in retained earnings (87)

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PART 6 FINANCIAL STATEMENTS 139

optional periods. The lease liability calculation will be modified once the proposed extension or variation has been approved by CASA executives.

The right-of-use assets were measured as follows:

a. office space: measured at an amount equal to the lease liability, adjusted by the amount of any prepaid or accrued lease payments; and

b. all other leases: the carrying value that would have resulted from AASB 16 being applied from the commencement date of the leases, subject to the practical expedients noted above.

Impact on transition

On transition to AASB 16, CASA recognised additional right-of-use assets and $21,134,719 additional lease liabilities. The balance of lease incentives and straight-lining provisions totalling $3,310,197 has been written off against retained earnings.

based on the value of the underlying asset when new short-term leases with a lease term of 12 months or less or when the remaining lease term was less than 12 months upon application.

On adoption of AASB 16, CASA recognised right-of-use assets and lease liabilities in relation to leases of office space and motor vehicles, which had previously been classified as operating leases.

The lease liabilities were measured at the present value of the remaining lease payments, discounted using CASA’s incremental borrowing rate as at 1 July 2019. As a government agency, CASA has adopted the zero-coupon yields for Australian Government bonds as its incremental borrowing rate. The average rate applied was 1%.

CASA generally would not include optional periods in the lease liability calculation model at initial measurement. A process must be undertaken prior to the lease expiry to assess the costs and benefits of exercising the

The following table reconciles the Departmental minimum lease commitments disclosed in the entity’s 30 June 2019 annual financial statements to the amount of lease liabilities recognised on 1 July 2019:

$’000

Minimum operating lease commitment at 30 June 2019 44,661

Less: GST (4,060)

Less: lease contract committed but not commenced (18,631)

21,970

Less: short-term leases not recognised under AASB 16 (986)

Less adjustments for monthly rent amounts (17)

Plus: prepayments 30 June 2019 540

Less: effect of extension options reasonably certain to be exercised (8)

Undiscounted lease payments 21,499

Less: effect of discounting using the incremental borrowing rate as at the date of initial application (364)

Lease liabilities recognised at 1 July 2019 21,135

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Significant Accounting Judgements and Estimates

In the process of applying the accounting policies listed in this note, CASA has made the following judgements that have the most significant impact on the amounts recorded in the financial statements:

• the value of the long service leave component of the leave provision is an estimate based on expert actuarial assumptions on the likely tenure of existing staff, patterns of leave claims and payouts, future salary movements and discount rates (ten year government bond rate).

No other accounting assumptions or estimates have been identified that have a significant risk of causing a material adjustment to carrying amounts of assets and liabilities within the next accounting period.

Taxation

CASA is exempt from all forms of taxation except Fringe Benefits Tax (FBT) and the Goods and Services Tax (GST).

Revenues, expenses and assets are recognised net of GST, except:

• where the amount of GST incurred is not recoverable from the Australian Taxation Office; and

• for receivables and payables.

Events After the Reporting Period

There was no subsequent event that had the potential to significantly affect the ongoing structure and financial activities of CASA.

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Note 1: Financial Performance 2020 $’000 2019

$’000

Note 1.1: Expenses Note 1.1A: Employee benefits Wages and salaries 100,050 94,050

Superannuation:

Defined contribution plans 12,466 10,572

Defined benefit plans 6,593 6,745

Leave and other entitlements 13,323 12,480

Separation and redundancies 1,283 609

Other employee benefits 818 1,199

Total employee benefits 134,533 125,655

Accounting Policy

Superannuation

The Public Sector Superannuation Accumulation Plan (PSSap) is the CASA nominated employee default fund for persons employed under the Civil Aviation Act 1988. Some CASA staff remain eligible to be members of closed Commonwealth defined benefits schemes. The schemes are the Commonwealth Superannuation Scheme (CSS), the Public Sector Superannuation Scheme (PSS) and the AvSuper defined benefits scheme.

The CSS and PSS are defined benefit schemes for the Australian Government. The PSSap is a defined contribution scheme. AvSuper provides for both defined benefits and defined contributions.

The liability for the CSS, PSS and AvSuper defined benefits portion is recognised in the financial statements of the Australian Government and are settled by the Australian Government in due course. This liability is reported in the Department of Finance’s administered schedules and notes.

CASA makes employer contributions to the employees’ superannuation scheme at rates determined by an actuary to be sufficient to meet the current cost to the government. CASA accounts for the contributions as if they were contributions to defined contribution plans.

Leave and other entitlements

Accounting policies for leave and other entitlements are contained at Note 2.5 - Provisions.

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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142 PART 6 FINANCIAL STATEMENTS

2020 $’000

2019 $’000

Note 1.1B: Suppliers Goods and services Consultancies and service contracts 18,315 15,315

Information technology and telephone charges 9,936 8,194

Insurance 816 827

Media, publications and subscriptions 2,039 939

Office supplies, photocopying and printing 480 757

Postage, freight and storage 516 456

Property operating costs 1,740 1,628

Recruitment 38 140

Travel and transport 6,479 8,138

Training costs 1,851 2,675

Other goods and services 1,706 2,288

Total goods and services 43,916 41,357

Other suppliers Operating lease rentals¹ - 9,379

Short-term leases 1,033 -

Lease outgoings 1,186 -

Workers compensation expenses 595 704

Total other suppliers 2,814 10,083

Total Suppliers 46,730 51,440

Note 1.1C: Finance Costs Interest on lease liabilities 274 -

Unwinding of discount 1 14

275 14

1 CASA has applied AASB 16 using the modified retrospective approach and therefore the comparative information has not been restated and continues to be reported under AASB 117.

Accounting Policy Short-term leases and leases of low-value assets

CASA has elected not to recognise right-of-use assets and lease liabilities for short-term leases of assets that have a lease term of 12 months or less or leases of low-value assets (less than $10,000). The entity recognises the lease payments associated with these leases as an expense on a straight-line basis over the lease term.

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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PART 6 FINANCIAL STATEMENTS 143

2020 $’000

2019 $’000

Note 1.2: Own-Source Income Own-source revenue Note 1.2A: Revenue from contracts with customers Civil Aviation (Fees) Regulations Act 1995 12,270 14,052

Sales of forms and documents 347 -

Other revenue with customers 230 -

Total revenue from contracts with customers 12,847 14,052

Disaggregation of revenue from contracts with customers

Revenue by timing of revenue recognition Revenue recognised immediately 10,790

Revenue recognised at time of completion 2,057

Revenue recognised over time -

12,847

Accounting Policy Revenue from contracts with customers

CASA’s revenue from contracts with customers is recognised when CASA’s identified performance obligation is fulfilled. CASA has identified that the single performance obligation for the majority of regulatory services is to process an application and provide outcome or feedback. Revenue will be recognised when the assessment is completed, and the outcome informed to the customer. CASA’s regulatory fees are being paid upfront and chargeable regardless of the application outcome. Fees are still payable even if an applicant withdraws their application after work has commenced and not completed. CASA staff effort until the withdrawal is still charged.

CASA charges customers at either a fixed fee or an hourly rate, that is the actual time spent by a proficient officer to complete the job. CASA applies the input method to recognise revenue on the basis of efforts or inputs to the satisfaction of a performance obligation. This would almost always be labour hours expended.

Following a detailed analysis of the nature, performance obligations, timing of completion and job tracking systems of CASA’s regulatory fees, CASA adopted a threshold-based approach to recognising revenue from regulatory service fees which balances cost, accuracy and materiality. The new revenue recognition policy can be summarised as follows:

• apply low-value exemption for licensing and aircraft registration and recognise revenue upfront for items with a value below $8,000

• recognise revenue at time of completion for more complex jobs that require assessment over an extended period of time which have a single performance obligation satisfied at completion

• recognise revenue over time for significant jobs that are major regulatory services as defined by CASA’s Cost Recovery Instructions, which may have single or multiple performance obligations completed over time. Multiple performance obligations will be identified and assessed for revenue recognition on a case by case basis.

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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144 PART 6 FINANCIAL STATEMENTS

2020 $’000

2019 $’000

Note 1.2B: Interest

Cash at bank and deposits at call 109 125

Investments - term deposits 885 1.709

Total interest 994 1,834

Note 1.2C: Other income Sales of forms and documents - 277

Administrative fines 86 94

Proceeds from sales of assets - 35

Other sundry revenue 86 532

Total other income 172 938

Sales of forms and documents have been categorised as revenue from contracts with customers under AASB 15 and included in 1.2A. Flight validations previously included in other sundry revenue have also been categorised as other revenue from customers and reported in 1.2A.

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NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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2020 $’000

2019 $’000

Note 1.3: Revenue from Government Note 1.3A: Revenue from Government Department of Infrastructure, Transport, Regional Development and Communications:

Administered payment to CASA as a PGPA Act corporate Commonwealth entity 72,938 43,936

Indonesia Transport Safety Assistance Package 36 200

72,974 44,136

Aviation Fuel Revenues (Special Appropriation) Act 1988 101,280 122,209

Total revenue from Government 174,254 166,345

Accounting Policy

Revenue from Government

Funding received or receivable from the Department of Infrastructure, Transport, Regional Development and Communications, including aviation fuel excise, (appropriated to the Department of Infrastructure, Transport, Regional Development and Communications for payment to CASA as a corporate Commonwealth entity under the PGPA Act 2013) is recognised as Revenue from Government unless the funding is in the nature of an equity injection or a loan.

Indonesia Transport Safety Assistance Package is funded by the Australian Government to assist Indonesia to regulate and promote transport safety in accordance with applicable international standards and contemporary safety management practices.

There is no change of accounting policy for revenue from Government.

COVID-19 impact on CASA’s revenue

CASA suffered loss of revenue from aviation fuel excise following the COVID-19 shut down, however the Government has granted CASA additional appropriation to compensate part of the loss.

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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146 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 2: Financial Position

2020 $’000

2019 $’000

Note 2.1: Financial Assets Note 2.1A: Cash and cash equivalents Cash at bank and deposits at call 4,785 4,235

Total cash and cash equivalents 4,785 4,235

Note 2.1B: Investments Investments 45,000 60,000

Total investments 45,000 60,000

Total cash and investments 49,785 64,235

Accounting Policy

Cash Cash is recognised at nominal amounts. Cash and cash equivalents includes cash at bank and at-demand bank deposits. Temporary surplus funds, mainly from drawdowns of appropriation, weekly aviation fuel excise claims and any recouped maturities to aid cash flow, are placed on deposit at call with CASA’s banker. Interest is earned on the daily balance at the prevailing rate for money on call and is paid at the beginning of the following month.

Investments Investments are recognised at fair value. Investments include deposits with original maturity up to six months or over. Interest is earned on the daily balance at the prevailing rate for investments and is paid at maturity.

Note 2.1C: Trade and other receivables Goods and services receivables:

Goods and services receivables 2,354 403

Total goods and services receivables 2,354 403

Other receivables:

Net GST receivable 624 904

Total other receivables 624 904

Total trade and other receivables 2,978 1,307

All receivables are expected to be recovered in no more than 12 months

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Accounting Policy

Trade receivables and other receivables are recorded at face value less any impairment. Receivables for goods and services, which have 30-day terms, are recognised at the nominal amounts due less any impairment allowance account. Collectability of debts is continually reviewed. Allowances are made on a lifetime expected loss basis.

Trade receivables are recognised where CASA becomes party to a contract and has a legal right to receive cash. Loans and receivables are assessed for impairment on initial recognition. Impairment allowances are made on a lifetime expected loss basis. Trade receivables are derecognised on payment.

The fair values of CASA’s financial assets and liabilities approximate their carrying amounts.

CASA has policies and procedures that guide employees’ debt recovery. CASA does not require collateral in respect of trade and other receivables.

COVID-19 temporary revision to the Cost Recovery Policies

The COVID-19 shut down impacted on the aviation industry. As the regulator, CASA issued a temporary revision to the cost recovery policies to support the aviation operators. Australian operators undertaking activities in support of efforts to address the impact of the COVID-19 pandemic are being offered with payment deferral for six months post the date of application. Repayment plans may be established to receive payment in instalments over a negotiated period. These policies are temporary and subject to ongoing monitoring and review. These policies will be in place until 30 September 2020 as a minimum. No operator has applied for this payment deferral as at 30 June 2020.

2020 $’000

2019 $’000

Note 2.1D: Accrued revenue Accrued aviation fuel excise revenue 200 2,052

Accrued interest 113 446

Other income 193 208

Total accrued revenue 506 2,706

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

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148 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 2.2: Non-financial assets

Note 2.2A: Reconciliation of the opening and closing balances of property, plant and equipment and intangibles

Buildings Property, Plant and Equipment Computer Software

In Use In Use

Work In Progress

Internally Developed In Use Purchased

In Use

Internally Developed

Work In progress

Purchased Work In Progress Total

$’000 $’000 $’000 $’000 $’000 $’000 $’000 $’000

As at 1 July 2019 Gross book value - 11,657 983 35,928 17,764 3,327 4,669 74,328

Accumulated depreciation/amortisation - (1,179) - (22,293) (12,051) - - (35,523)

Accumulated impairment - - - - (20) - - (20)

Total as at 1 July 2019 - 10,478 983 13,635 5,693 3,327 4,669 38,785

Recognition of right of use asset on initial application of AASB 16 20,953 181 21,134

Adjusted Total of class including work in progress as at 1 July 2019 20,953 11,642 27,324 59,919

Additions:

By purchase - 6 2,121 - - - 3,885 6,012

Internally developed - - - - - 12,597 - 12,597

Reclassification - - 301 - - (70) (231) -

Transfers - 2,321 (2,321) 3,044 6,323 (3,044) (6,323) -

Right-of-use assets 20,312 559 - - - - - 20,871

Revaluations and impairments recognised in other comprehensive income:

Gross Value - revaluation - (3,921) - - - - - (3,921)

Accumulated depreciation - 3,850 - - - - - 3,850

Disposals:

Gross value of disposals - (1,032) - (2,015) (2,100) - - (5,147)

Accumulated depreciation on disposals - 1,003 - 2,015 1,994 - - 5,012

Write-down of assets: Gross Value - - (35) - - (68) - (103)

Other movements:

Gross Value - - - - - - (16) (16)

Depreciation expense - (4,374) - (3,580) (2,859) - (10,813)

Depreciation on right-of-use assets (7,926) (190) (8,116)

Total as at 30 June 2020 33,339 8,881 1,049 13,099 9,051 12,742 1,984 80,145

Total as at 30 June 2020 represented by:

Gross book value 41,265 9,771 1,049 36,957 21,987 12,742 1,984 125,755

Accumulated impairment - - - - (20) - - (20)

Accumulated depreciation/amortisation (7,926) (890) - (23,858) (12,916) - - (45,590)

Total as at 30 June 2020 33,339 8,881 1,049 13,099 9,051 12,742 1,984 80,145

Total of class including work in progress as at 30 June 2020 33,339 9,930 36,876 80,145

Carrying amount of right-of-use assets 33,339 550 - - - - - 33,889

Revaluations of non-financial assets

All revaluations are conducted in accordance with the revaluation policy stated later in this note and were conducted by independent valuers as at 30 June 2020.

Revaluation decrement of $294,308 for leasehold improvements (2019: decrement of $521,532),

a revaluation increment of $222,741 for plant and equipment (2019: increment of $57,870 for office furniture and equipment, decrement of $67,988 for technical equipment) were credited to the asset revaluation reserve by asset class. These movements in reserves were also included in the equity section of the statement of financial position.

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PART 6 FINANCIAL STATEMENTS 149

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 2.2: Non-financial assets

Note 2.2A: Reconciliation of the opening and closing balances of property, plant and equipment and intangibles

Buildings Property, Plant and Equipment Computer Software

In Use In Use

Work In Progress

Internally Developed In Use Purchased

In Use

Internally Developed

Work In progress

Purchased Work In Progress Total

$’000 $’000 $’000 $’000 $’000 $’000 $’000 $’000

As at 1 July 2019 Gross book value - 11,657 983 35,928 17,764 3,327 4,669 74,328

Accumulated depreciation/amortisation - (1,179) - (22,293) (12,051) - - (35,523)

Accumulated impairment - - - - (20) - - (20)

Total as at 1 July 2019 - 10,478 983 13,635 5,693 3,327 4,669 38,785

Recognition of right of use asset on initial application of AASB 16 20,953 181 21,134

Adjusted Total of class including work in progress as at 1 July 2019 20,953 11,642 27,324 59,919

Additions:

By purchase - 6 2,121 - - - 3,885 6,012

Internally developed - - - - - 12,597 - 12,597

Reclassification - - 301 - - (70) (231) -

Transfers - 2,321 (2,321) 3,044 6,323 (3,044) (6,323) -

Right-of-use assets 20,312 559 - - - - - 20,871

Revaluations and impairments recognised in other comprehensive income:

Gross Value - revaluation - (3,921) - - - - - (3,921)

Accumulated depreciation - 3,850 - - - - - 3,850

Disposals:

Gross value of disposals - (1,032) - (2,015) (2,100) - - (5,147)

Accumulated depreciation on disposals - 1,003 - 2,015 1,994 - - 5,012

Write-down of assets: Gross Value - - (35) - - (68) - (103)

Other movements:

Gross Value - - - - - - (16) (16)

Depreciation expense - (4,374) - (3,580) (2,859) - (10,813)

Depreciation on right-of-use assets (7,926) (190) (8,116)

Total as at 30 June 2020 33,339 8,881 1,049 13,099 9,051 12,742 1,984 80,145

Total as at 30 June 2020 represented by:

Gross book value 41,265 9,771 1,049 36,957 21,987 12,742 1,984 125,755

Accumulated impairment - - - - (20) - - (20)

Accumulated depreciation/amortisation (7,926) (890) - (23,858) (12,916) - - (45,590)

Total as at 30 June 2020 33,339 8,881 1,049 13,099 9,051 12,742 1,984 80,145

Total of class including work in progress as at 30 June 2020 33,339 9,930 36,876 80,145

Carrying amount of right-of-use assets 33,339 550 - - - - - 33,889

No indicators of impairment were found for property, plant and equipment, or for intangibles.

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CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Accounting Policy

Acquisition of Assets

Assets are recorded at cost on acquisition except as stated below. The cost of acquisition includes the fair value of assets transferred in exchange and liabilities undertaken. Financial assets are initially measured at their fair value plus transaction costs where appropriate.

Assets acquired at no cost, or for nominal consideration, are initially recognised as assets and income at their fair value at the date of acquisition, unless acquired as a consequence of restructuring of administrative arrangements. In the latter case, assets are initially recognised as contributions by owners at the amounts at which they were recognised in the transferor’s accounts immediately prior to the restructuring.

Property, Plant and Equipment

Asset Recognition Threshold

Purchases of property, plant and equipment are recognised initially at cost in the statement of financial position, except for purchases costing less than $5,000, which are expensed in the year of acquisition (other than where they form part of a group of similar items which are significant in total).

The initial cost of an asset includes an estimate of the cost of dismantling and removing the item and restoring the site on which it is located. This is particularly relevant to makegood provisions in property leases taken up by CASA where there exists an obligation to restore the property to its original condition. These costs are included in the value of CASA’s leasehold improvements with a corresponding provision for the makegood recognised.

Leased Right of Use (ROU) Assets

Leased ROU assets are capitalised at the commencement date of the lease and comprise of the initial lease liability amount, initial direct costs incurred when entering into the lease less any lease incentives received. These assets are accounted for by CASA as separate asset classes to corresponding assets owned outright, but included in the same column as where the corresponding underlying assets would be presented if they were owned.

Following initial application, an impairment review is undertaken for any right of use leased asset that shows indicators of impairment and an impairment loss is recognised against any right of use leased asset that is impaired. Leased ROU assets continue to be measured at cost after initial recognition.

Revaluations

Fair values (excluding ROU assets) for each class of asset of the property, plant and equipment category are determined as shown below:

Asset Class Fair value measured at:

Office fitout

Depreciated replacement cost

Plant and equipment

Market selling price or depreciated replacement cost

Following initial recognition at cost, property, plant and equipment are carried at fair value less subsequent accumulated depreciation and accumulated impairment loss. The fair value of property, plant and equipment is reviewed annually and external valuations performed with sufficient frequency to ensure that the carrying amounts of assets do not differ materially from the assets’ fair values as at the reporting date. The regularity of independent valuations depends upon the volatility of movements in market values for the relevant assets.

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ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 151

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Revaluation adjustments are made on a class basis. Any revaluation increment is credited to equity under the heading of asset revaluation reserve except to the extent that it reverses a previous revaluation decrement of the same asset class that was previously recognised in the surplus/deficit. Revaluation decrements for a class of assets are recognised directly in the surplus/deficit except to the extent that they reverse a previous revaluation increment for that class. Any accumulated depreciation as at the revaluation date is eliminated against the gross carrying amount of the asset and the asset restated to the revalued amount.

Depreciation

Depreciable property, plant and equipment assets are written-off to their estimated residual values over their estimated useful lives to CASA, using, in all cases, the straight-line method of depreciation.

Depreciation rates (useful lives), residual values and methods are reviewed at each reporting date and necessary adjustments are recognised in the current, or current and future reporting periods, as appropriate.

Depreciation rates applying to each class of depreciable asset of the property, plant and equipment category are based on the following useful lives:

Asset Class 2020 2019

Buildings Lease term Lease term

Office fitout

Lower of lease term or useful life up to 16 years

Lower of lease term or useful life up to 16 years

Plant and equipment 1 to 16 years 1 to 16 years

The depreciation rates for ROU assets are based on the commencement date to the earlier of the end of the useful life of the ROU asset or the end of the lease term.

Impairment

All assets were assessed for impairment as at 30 June 2020. Where indications of impairment exist, the asset’s recoverable amount is estimated and an impairment adjustment is made if the asset’s recoverable amount is less than the carrying amount.

The recoverable amount of an asset is the higher of its fair value less costs to sell and its value in use. Value in use is the present value of the future cash flows expected to be derived from the asset. Where the future economic benefit of an asset is not primarily dependent on the asset’s ability to generate future cash flows, and the asset would be replaced if CASA were deprived of the asset, its value in use is taken to be its depreciated replacement cost.

Derecognition

An item of property, plant and equipment is derecognised upon disposal or when no further future economic benefits are expected from its use or disposal.

Intangibles

CASA’s intangibles comprise internally developed software and externally acquired software for internal use. These assets are carried at cost less accumulated amortisation and accumulated impairment losses.

Software is amortised on a straight-line basis over its anticipated useful life. The useful lives of CASA’s software are 3 to 10 years (2018 -19: 3 to 10 years).

All software assets were assessed for indications of impairment as at 30 June 2020.

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2019 -20 ANNUAL REPORT

152 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

2020 $’000

2019 $’000

Contractual commitments for the acquisition of plant, equipment and intangible assets Commitments are payable as follows:

Within 1 year 904 3,168

Total contractual commitments for the acquisition of plant, equipment and intangible assets 904 3,168

The nature of capital commitments is primarily for the acquisition of intangible assets.

Amounts for capital commitments are GST inclusive.

Note 2.2B: Prepayments Prepayments 2,511 3,437

Total other non-financial assets 2,511 3,437

Note 2.3: Liabilities Note 2.3A: Suppliers Trade creditors and accruals 5,089 7,730

Total suppliers 5,089 7,730

Accounting Policy Supplier and other payables are recognised at amortised cost. Liabilities are recognised to the extent that the goods or services have been received (and irrespective of having been invoiced). Supplier and other payables are derecognised on payment. Supplier payables are settled within 20 days.

Note 2.3B: Other payables Wages and salaries 1,531 739

Superannuation 272 133

Unearned income 1,023 744

Lease incentives 1 - 3,262

Other payables 5 72

Total other payables 2,831 4,950

Accounting Policy

Lease Incentives 1

CASA has applied AASB 16 using the modified retrospective approach and therefore the comparative information has not been restated and continues to be reported under AASB 117.

Superannuation The liability for superannuation recognised as at 30 June 2020 represents outstanding contributions for the final pay days remaining in 2019 -20.

Unearned Income CASA’s regulatory fees are payable before the commencement of work. Based on the revenue recognition policy disclosed in Note 1.2, prepayment of fees for regulatory jobs over $8,000 are recognised as unearned revenue if the performance obligations are not fulfilled as at 30 June 2020.

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 153

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

2020 $’000

2019 $’000

Note 2.4: Interest Bearing Liabilities Note 2.4A: Lease Liabilities Lease Liabilities - Building leases 33,117 -

Lease Liabilities - Motor Vehicles 552 -

Total leases 33,669 -

CASA has applied AASB 16 using the modified retrospective approach and therefore the comparative information has not been restated and continues to be reported under AASB 117. Total cash outflow for leases for the year ended 30 June 2020 was $8,611,140.

Accounting Policy Refer Overview section for accounting policy on leases.

Note 2.5: Provisions Note 2.5A: Employee provisions Separations and redundancies 1,042 483

Leave 34,201 30,066

Ancillary costs on leave provisions 5,632 3,962

Total employee provisions 40,875 34,511

Note 2.5B: Other provisions Provision for makegood 290 828

Total other provisions 290 828

Provision for

makegood $’000

As at 1 July 2019 828

Additional provisions made -

Amounts used (572)

Revaluations 33

Unwinding of discounted amount 1

Total as at 30 June 2020 290

CASA currently has two (2019: five) agreements for the leasing of premises which have provisions requiring CASA to restore the premises to their original condition at the conclusion of the lease. CASA has made a provision to reflect the present value of these obligations.

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154 PART 6 FINANCIAL STATEMENTS

Accounting Policy

Other Provisions CASA recognises a provision where there is a present obligation as a result of a past event, it is probable that an outflow of resources embodying economic benefits will be required to settle the obligation and a reliable estimate can be made of the amount of the obligation.

Employee Benefits Liabilities for ‘short-term employee benefits’ (as defined in AASB 119 Employee Benefits) and termination benefits expected within twelve months of the end of the reporting period are measured at their nominal amounts. The nominal amount is calculated with regard to the rates expected to be paid on settlement of the liability.

Leave The liability for employee benefits includes provision for annual leave and long service leave. No provision has been made for sick leave as all sick leave is non-vesting and the average sick leave taken in future years by employees of CASA is estimated to be less than the annual entitlement for sick leave.

The leave liabilities are calculated on the basis of employees’ remuneration at the estimated salary rates that will be applied at the time the leave is taken, including CASA’s employer superannuation contribution rates to the extent that the leave is likely to be taken during service rather than paid out on termination. An ancillary on-cost liability, based on actuarial assessment, has been recognised in the statement of financial position for employer superannuation contributions payable on accrued annual leave and long service leave as at the end of the financial year.

The liability for long service leave as at 30 June 2020 has been determined by reference to the work of an actuary. The estimate of the present value of the liability considers attrition rates and pay increases through promotion and inflation.

Separation and Redundancy Provision is made for separation and redundancy benefit payments. CASA recognises a provision when a detailed formal plan has been offered and accepted by employees affected.

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 155

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 3: People and Relationships Note 3.1: Key Management Personnel Remuneration Key management personnel are those persons having authority and responsibility for planning, directing and controlling the activities of CASA, directly or indirectly, including Board Directors. CASA has determined the key management personnel to be the Portfolio Minister, the Board Directors, the Director of Aviation Safety and his/her direct reports. Key management personnel remuneration is reported in the table below:

2020 $’000

2019 $’000

Short-term employee benefits:

Salary 2,643 2,384

Annual leave accrued 165 152

Allowances 29 110

Total short-term employee benefits 2,837 2,646

Post-employment benefits:

Superannuation 364 340

Total post-employment benefits 364 340

Other long-term employee benefits:

Long-service leave accrued 53 49

Total other long-term employee benefits 53 49

Total key management personnel remuneration 3,254 3,035

The total number of key management personnel that are included in the above table are 13 (2019: 14) individuals.

The above key management personnel remuneration excludes the remuneration and other benefits of the Portfolio Minister. The Portfolio Minister’s remuneration and other benefits are set by the Remuneration Tribunal and are not paid by CASA.

Note 3.2: Related Party Disclosures Related party relationships

CASA is an Australian Government controlled entity. Related parties to CASA are Key Management Personnel including the Portfolio Minister, the CASA Board of Directors, the Director of Aviation Safety and his/her direct reports, as well as other Australian government entities.

Transactions with related parties

Given the breadth of Government activities, related parties may transact with the government sector in the same capacity as ordinary citizens. Such transactions include the payment or refund of taxes, receipt of a Medicare rebate or higher education loans. These transactions have not been separately disclosed in this note.

Significant transactions with related parties can include:

• CASA transacts with other Australian Government controlled entities consistent with normal day-to-day business operations provided under normal terms and conditions, including the payment of workers compensation, insurance premiums, and some services charges. There are no other significant transactions with related parties that require disclosure.

• CASA makes employer contributions to Australian government superannuation plans and schemes as disclosed in note 1.1A Employee Benefits.

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2019 -20 ANNUAL REPORT

156 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 4: Managing Uncertainties Note 4.1: Contingent Assets and Liabilities

Claims for damages or costs 2020 $’000

2019 $’000

Contingent assets

Balance from previous period 4,094 3,344

New contingent assets recognised 6 750

Obligations expired (1,500) -

Total contingent assets 2,600 4,094

Contingent liabilities Balance from previous period 4,149 3,384

New contingent liabilities recognised 245 889

Liabilities realised (1,586) (66)

Obligations expired (57) (58)

Total contingent liabilities 2,751 4,149

Net contingent liabilities (151) (55)

Quantifiable contingencies CASA is a defendant in five actions for damages relating to personal injury and destruction of property resulting from accidents involving a helicopter, other aircraft and pilot training costs of $2,599,747 (2019: $4,093,953). CASA is defending all five claims, however, if unsuccessful, CASA reasonably expects the full amount would be covered by CASA’s insurance provider.

The schedule of contingencies also contains ‘other’ liabilities of $150,858 (2019: $54,570). This amount represents an estimate of CASA’s liability in respect of studies assistance.

Unquantifiable and remote contingencies As at 30 June 2020, CASA is named as defendant in four actions (2019: 2) for damages relating to personal injury resulting from loss of life. It is deemed not possible to estimate the amount of any eventual payment that may be required in relation to these claims. CASA has denied liability and is defending the claims, however, if unsuccessful, CASA reasonably expects the full amount would be covered by CASA’s insurance provider.

Accounting Policy Contingent Liabilities and Contingent Assets Contingent liabilities and contingent assets are not recognised in the statement of financial position but are reported in the notes. They may arise from uncertainty as to the existence of a liability or asset or represent an asset or liability in respect of which the amount cannot be reliably measured. Contingent assets are disclosed when settlement is probable but not virtually certain and contingent liabilities are disclosed when settlement is greater than remote.

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 157

CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 4.2: Fair Value Measurements

2020 $’000

2019 $’000

ASSETS Assets at fair value Non-Financial Assets Property, plant and equipment 9,380 11,461

Total non-financial assets at fair value 9,380 11,461

Total assets at fair value 9,380 11,461

Assets where carrying amount approximates fair value Financial assets Cash, cash equivalents and investments 49,785 64,235

Trade and other receivables 2,978 1,307

Accrued revenue 506 2,706

Total financial assets where carrying value approximates fair value 53,269 68,248 Assets carried at cost Non-Financial Assets Buildings - right-of-use assets 33,339 -

Property, plant and equipment - right-of-use assets 550 -

Intangibles 36,876 27,324

Prepayments 2,511 3,437

Total non-financial assets carried at cost 73,276 30,761

Total assets in the statement of financial position 135,925 110,470

Assets expected to be recovered in:

No more than 12 months 55,191 71,107

More than 12 months 80,734 39,363

Total assets 135,925 110,470

LIABILITIES Liabilities where carrying value approximates fair value Payables Suppliers 5,089 7,730

Lease Liabilities 33,669 -

Other payables 2,831 4,950

Total payables 41,589 12,680

Provisions Employee provisions 40,875 34,511

Other provisions 290 828

Total provisions 41,165 35,339

Total liabilities where carrying value approximates fair value 82,754 48,019

Total liabilities in the statement of financial position 82,754 48,019

Liabilities expected to be settled in:

No more than 12 months 28,851 21,607

More than 12 months 53,903 26,412

Total liabilities 82,754 48,019

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2019 -20 ANNUAL REPORT

158 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

The highest and best use of all non-financial assets are the same as their current use.

• No change in valuation technique occurred during the period.

• Significant observable inputs only. Not applicable for assets in the Level 2 category.

Recurring and non-recurring Level 3 fair value measurements - valuation processes

CASA procured valuation services from Pickles Valuation Services (PVS) and relied on valuation models provided by PVS. CASA tests the procedures of the valuation model at least once every 12 months. PVS provided written assurance to CASA that the model developed is in compliance with AASB 13.

Recurring Level 3 fair value measurements - sensitivity of inputs

The significant unobservable inputs used in the fair value measurement of CASA’s property, plant and equipment assets are the expected useful lives and any adjustment for obsolescence. Significant increases (decreases) in expected useful lives would result in significant higher (lower) fair value measurement and significant increases (decreases) in adjustments for obsolescence would result in significant higher (lower) fair value measurement.

Accounting Policy Fair Value measurement CASA deems transfers between levels of the fair value hierarchy to have occurred at balance date.

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 159

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 4.3: Financial Instruments

2020 $’000

2019 $’000

Note 4.3A: Categories of financial instruments Financial assets under AASB 9 Financial assets at amortised cost Cash at bank and deposits at call 4,785 4,235

Trade and other receivables 2,354 403

Accrued interest 113 446

Investments 45,000 60,000

Total financial assets at amortised cost 52,252 65,084

Total financial instruments classified as financial assets 52,252 65,084

CASA’s only financial liabilities are supplier payables. These are measured at amortised cost.

Note 4.3B: Net gains or losses on financial assets Financial assets at amortised cost Interest revenue 109 125

Investments 885 1.709

Net gains on financial assets at amortised cost 994 1,834

Net gains on financial assets 994 1,834

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2019 -20 ANNUAL REPORT

160 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Accounting Policy

Financial Assets Under AASB 9 Financial Instruments, CASA classifies its financial assets into the following categories:

• financial assets at fair value through profit or loss;

• financial assets at fair value through other comprehensive income; and

• financial assets measured at amortised cost.

The classification depends on both the business model for managing the financial assets and contractual cash flow characteristics at the time of initial recognition. Financial assets are recognised when CASA becomes a party to the contract and, as a consequence, has a legal right to receive or a legal obligation to pay cash and derecognised when the contractual rights to the cash flows from the financial asset expire or are transferred upon trade date.

Financial Assets at Amortised Cost Financial assets included in this category need to meet two criteria:

• the financial asset is held in order to collect the contractual cash flows; and

• the cash flows are solely payments of principal and interest (SPPI) on the principal outstanding amount.

Amortised cost is determined using the effective interest method.

Effective Interest Method Income is recognised on an effective interest rate basis for financial assets that are recognised at amortised cost.

Impairment of Financial Assets Financial assets are assessed for impairment at the end of each reporting period based on Expected Credit Losses, using the general approach which measures the loss allowance based on an amount equal to lifetime expected credit losses where risk has significantly increased, or an amount equal to 12-month expected credit losses if risk has not increased.

The simplified approach for trade, contract and lease receivables is used. This approach always measures the loss allowance as the amount equal to the lifetime expected credit losses.

A write-off constitutes a derecognition event where the write-off directly reduces the gross carrying amount of the financial asset.

Financial Liabilities Financial liabilities are classified as either financial liabilities ‘at fair value through profit or loss’ or other financial liabilities. Financial liabilities are recognised and derecognised upon ‘trade date’.

Financial Liabilities at Amortised Cost Financial liabilities, including borrowings, are initially measured at fair value, net of transaction costs. These liabilities are subsequently measured at amortised cost using the effective interest method, with interest expense recognised on an effective interest basis.

Supplier and other payables are recognised at amortised cost. Liabilities are recognised to the extent that the goods or services have been received (and irrespective of having been invoiced).

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 161

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

2020 $’000

2019 $’000

Note 5: Regulatory Charging Summary Expenses Departmental 200,705 187,020

Total expenses 200,705 187,020

Revenue Departmental 14,052 17.201

Total revenue 14,052 17,201

Cost recovered activities:

Charging for regulatory services as per the Civil Aviation (Fees) Regulations Act 1995.

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2019 -20 ANNUAL REPORT

162 PART 6 FINANCIAL STATEMENTS

CIVIL AVIATION SAFETY AUTHORITY

NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

2020 $’000

2019 $’000

Note 6: Cash Flow Reconciliation Reconciliation of cash and cash equivalents as per the statement of financial position to the cash flow statement

Reconciliation of net cost of services to net cash from operating activities:

Net cost of services (186,653) (169,819)

Add: Revenue from government 72,974 44,136

Add: Aviation fuel excise 101,280 122,209

Adjustments for non-cash items:

Depreciation and amortisation 18,929 9,731

Non-cash supplier and other expenses (17) (21)

Finance costs - 14

Net write down of non-financial assets 103 180

(Gains) / losses on disposal of assets 135 (35)

Changes in assets / liabilities (Increase) / Decrease in net receivables (1,671) (262)

(Increase) / Decrease in accrued revenue 2,200 (77)

(Increase) / Decrease in prepayments 926 (470)

Increase / (Decrease) in employee provisions 6,364 4,173

Increase / (Decrease) in supplier payables (2,641) 4,473

Increase / (Decrease) in other provisions (538) (248)

Increase / (Decrease) in other payables 1,104 (1,718)

Net cash from operating activities 12,495 12,266

CIVIL AVIATION SAFETY AUTHORITY

2019 -20

ANNUAL REPORT

PART 6 FINANCIAL STATEMENTS 163

CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

Note 7: Explanation of Major Budgetary Variances

Explanations of major variances Variance

to budget ($’000)

Affected statements and line items

The original budget for aviation fuel excise is generated by forecasts from the Department of Treasury. Actual sales of aviation fuel during the year led to a lower figure than budgeted mainly due to COVID-19 restrictions.

(29,220) Statement of Comprehensive Income: • Aviation fuel excise

(27,369)

Statement of Cash Flow - Operating activities: • Cash received - Aviation fuel excise

Revenue generated from fees was lower than anticipated due to low demand for regulatory services, as a result of the COVID-19 restrictions and anticipated drone registration fees not implemented.

(10,319)

Statement of Comprehensive Income: • Own-source income - Revenue from contracts with customers

(12,258)

Statement of Cash Flow - Operating activities: • Cash received - Sale of goods and services

Revenue received from government appropriation was higher than budgeted due to emergency appropriation for COVID-19 and additional appropriation for management of drones.

26,802

Statement of Comprehensive Income: • Revenue from government Statement of Cash Flow - Operating activities: • Cash received - Receipts from government

The treatment of leases under AASB16 was not included in the original budget. The right of use assets for buildings and motor vehicles have been included on the Statement of Financial Position as non-financial assets. The corresponding lease liabilities are included on the Statement of Financial Position as interest bearing liabilities. As a result of the adoption of AASB16, both the supplier expenses and supplier payments in the cash flow are less than budgeted due to rent payments allocated against Financing activities - Principal payment of lease liabilities.

33,339

Statement of Financial Position: • Non-Financial Assets - Buildings

33,669

Statement of Financial Position: • Interest bearing liabilities - Lease liabilities

(10,589)

Statement of Cash Flow - Operating Activities: • Cash used - Suppliers

(12,095)

Statement of Comprehensive Income: • Expenses - Suppliers

8,336

Statement of Cash Flow - Financing Activities: • Cash used - Principal payments of lease liabilities

The inclusion of right of use assets due to the adoption of AASB16 has increased depreciation expense that was not included in the original budget.

5,380

Statement of Comprehensive Income: • Expenses - Depreciation and amortisation

164 PART 6 FINANCIAL STATEMENTS

Explanations of major variances Variance

to budget ($’000)

Affected statements and line items

A change in the parameters used to calculate employee leave provisions and super on-costs following a recent actuarial review resulted in higher than budgeted employee provisions, combined with less leave being taken as an indirect result of the COVID-19 pandemic. In addition CASA provided $1m for employee redundancies which had not been budgeted for.

9,745

Statement of Financial Position: • Provisions - Employee provisions

Timing differences at year end resulted in variances against receivable and payable balances compared to original budget.

1,265

Statement of Financial Position: • Payables - Suppliers

(1,441)

Statement of Financial Position: • Financial assets - Trade and other receivables

The adoption of AASB16 required the balance for lease incentives be transferred to CASA’s equity balances. This adjustment was not budgeted.

(3,306)

Statement of Financial Position: • Payables - Other payables

New fitouts for two offices were included in the original budget but did not eventuate in 2019 -20 due to the lessor owning the fitout as a lease incentive.

(4,230)

Statement of Financial Position: • Non-financial assets - Property, plant and equipment

Intangible assets are higher than budget due to additional spending on a major digital platform. 3,618

Statement of Financial Position: • Non-financial assets - Intangibles

Variance explanations are included for significant variances over one million dollars and also exceeding 10% of the original budget.

CIVIL AVIATION SAFETY AUTHORITY NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS

For the period ended 30 June 2020

CIVIL AVIATION SAFETY AUTHORITY

2019 -20 ANNUAL REPORT

This section contains appendices that provide details of CASA’s operations and address particular reporting requirements under the Public Governance, Performance and Accountability Act 2013 and other legislation.

The appendices are followed by reference tools to help the reader to find and use information in the annual report.

In this part: • Appendix A: Operating statistics 166

• Appendix B: Management and accountability statistics 175

• Abbreviations list 193

• Compliance index 194

• Alphabetical index 197

APPENDICES AND

REFERENCES

7PART

165

CIVIL AVIATION SAFETY AUTHORITY

2019 -20 ANNUAL REPORT

166 PART 7 APPENDICES AND REFERENCES

APPENDIX A: OPERATING STATISTICS

Flight operations Table A.1 Air operator certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issue 55 44 40

Subsequent issue 276 225 184

Variation 214 258 180

Total 545 527 404

Current certificates at 30 June 794a 793a 791

Note: Includes operators involved in one or more of aerial work, charter, charter (cargo), flying training, foreign aircraft (passengers and cargo), foreign aircraft (cargo), scheduled cargo services, and scheduled passenger services.

Figures only include Australian and discrete certificates issued and current during the period.

a Figure updated to reflect the number of current certificates as opposed to the number of certificate holders as shown in the 2018-19 annual report.

Table A.2 Remotely piloted aircraft operator certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issue 332 380 448

Subsequent issue 444 381 400

Variation 62 66 69

Total 838 827 917

Current certificates at 30 June 1,357 1,628 1,952

Table A.3 Remote pilot licences, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issue 3,034 4,149 3,369

Current licences at 30 June 8,698 12,845 16,482

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ANNUAL REPORT

PART 7 APPENDICES AND REFERENCES 167

Flight personnel Table A.4 Flight crew licences, 2017-18 to 2019-20

Aircraft type

Licence type

2017-18 2018-19 2019-20

Issued Current Issued Current Issued Current

Pilotsa

Aeroplane

Air transport 240 7,304 188 7,280 166 6,519

Commercial 883 5,091 1,142 5,312 1,343 4,990

Commercial (CASA EX25/18)b n/a 4,303 0 4,415 0 5,506

Private 1,057 9,004 1,035 9,019 1,184 8,406

Recreational 1,190 3,000 1,265 3,206 1,228 3,185

Total aeroplane pilots 3,370 28,702 3,630 29,232 3,921 28,606

Helicopter

Air transport 20 782 16 763 14 654

Commercial 202 2,030 173 1,977 271 1,801

Commercial (CASA EX25/18)b n/a 741 0 807 0 1,133

Private 103 806 120 877 95 846

Recreational 10 28 5 27 8 30

Total helicopter pilots 335 4,387 314 4,451 388 4,464

Other

Commercial - Otherc 7 105 8 114 4 110

Commercial (CASA EX25/18)b n/a 3 0 3 0 1

Private - gyroplane 0 1 0 2 1 3

Recreational 1 2 0 1 3 2

Total other pilots 8 111 8 120 8 116

Glider Total glider pilots 7 48 5 49 13 50

Total initial issues and current pilotsd 3,720 31,145 3,957 31,750 4,330 31,203

Flight engineers

All

Flight engineer 0 70 0 68 0 62

Restricted flight engineer 0 0 0 0 0 0

Student flight engineer 0 0 0 0 0 0

Total initial issues and current flight engineers 0 70 0 68 0 62

a For current pilots, pilots are counted only once in each licence category (aeroplane, helicopter and other), against the highest licence level of privileges their medical certificate permits them to use.

b CASA EX25/18 is effective 1 March 2018 to 29 February 2020. It enables a pilot holding a licence at the commercial pilot licence (CPL) level or air transport pilots licence level and a current class 2 medical to exercise reduced CPL privileges.

c Includes balloons and airships.

d Includes all pilots who held a minimum of a Class 2 medical each financial year. This reflects the number of pilots who were active, but not necessarily exercising the full privileges of their licence. In this row a pilot is counted only once regardless of the number of categories of licences held; therefore, the total does not equal the sum of the licence categories above it.

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Table A.5 Flight crew licensing examinations, 2017-18 to 2019-20

Type of licence

2017-18 2018-19 2019-20

Exams sat

%

passed

Exams sat

%

passed

Exams sat

%

passed

Air transport pilot

5,016 73.1 5,889 73.1 5,604 75.1

Commercial pilot

13,113 70.5 15,629 72.8 17,077 73.5

Private pilot 1,793 65.0 1,862 67.3 1,813 71.4

Recreational pilot

376 58.5 1,143 57.8 1,966 58.0

Total 20,298 70.4 24,523 70.7 26,460 72.6

Table A.6 Medical certificates, 2017-18 to 2019-20

Type of certificate

2017-18 2018-19 2019-20

Initial Renewal Refusal Initial Renewal Refusal Initial Renewal Refusal Class 1 2,137 15,992 26 2,624 16,847 51 2,427 15,272 47

Class 2 3,727 21,253 24 4,483 21,967 49 4,066 19,871 36

Basic Class 2a n/a n/a n/a 978 4 0 810 92 0

Class 3 70 684 2 126 670 5 117 552 2

Total 4,146 21,835 52 6,002 22,549 105 5,403 20,438 85

n/a = not applicable

Note: The certificate classes are 1 Professional pilots and flight engineers, 2 Student and private pilots (Basic Class 2 is an alternative to a full Class 2 certificate for private operations), and 3 Air traffic control and flight service providers. A certificate issued may have more than one class of medical: for example, all Class 1 medicals are automatically issued a Class 2 medical. The total shown is the total number of certificates issued, not the sum of the three licence classes for initial issues or renewals.

a The Basic Class 2 medical certificate was introduced as part of changes made to the aviation medical certification system on 2 July 2018. The Basic Class 2 certificate allows designated aviation medical examiners and general practitioners to assess applicants against the Austroads commercial driving standards for some simple types of private flying.

Maintenance organisations Table A.7 Certificates of approval, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issue 12 14 12

Subsequent issue 13 14 10

Variation 63 66 55

Total 88 94 77

Current certificates at 30 June 629 608 577

Note: Includes operators involved in one or more of aircraft and component maintenance, design (aircraft, components and materials), distribution (components and materials), aircraft maintenance engineer training and examinations.

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Table A.8 Civil Aviation Safety Regulations Part 145 approval certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issue 3 9 3

Subsequent issue 49 67 30

Variation 30 37 31

Total 82 113 64

Current certificates at 30 June 154 156 161

Maintenance personnel Table A.9 Aircraft maintenance engineer examinations, 2017-18 to 2019-20

Type of examination 2017-18 2018-19 2019-20

Schedule of Experience examinations 905 840 929

Weight control authority examinations 30 31 13

Total 935 871 942

Table A.10 Aircraft maintenance engineer licences, 2017-18 to 2019-20

Detail 2017-18 2018-19 2019-20

Licence assessments Australian military 1 2 2

Foreign civil 23 22 30

Total 24 24 32

Trans-Tasman Mutual Recognition Act 1997 assessments conducted 8 9 32

Licences issued 135 116 192

Current licences at 30 June 8,913 9,028 9,218

Average age of licence holder 51.2 52.0 52.6

Table A.11 Airworthiness authorities, 2017-18 to 2019-20

Type of authority 2017-18 2018-19 2019-20

Maintenance 10 19 4

Non-destructive testing 8 11 2

Weight control 4 20 4

Welding 6 8 4

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Airworthiness Table A.12 Airworthiness certificates, authorisations and approvals issued, 2017-18 to 2019-20

Type of permission 2017-18 2018-19 2019-20

Type certificate a Aeroplanes 5 5 4

Lighter than air 2 1 1

Rotorcraft 0 0 1

Engine 0 0 0

Propeller 0 0 0

Total 7 6 6

Type acceptance certificate a Aeroplanes 13 15 18

Lighter than air 2 2 1

Rotorcraft 3 2 3

Total 18 19 22

Other authorisations, certificates and approvals Supplemental type certificate a 15 28 18

Certificate of airworthiness 491 488 412

Special flight authorisation 16 16 20

Special flight permit b 443 296 296

Experimental certificate c 159 157 160

Simulator certification (flight simulator training devices) 54 55 63

Design advice 74 75 77

Flight manual supplement 3 0 6

a Includes amendments to supplemental data, including type certificate data sheets and type certificate holder details.

b Includes all permits issued by CASA and industry delegates.

c Includes certificates issued for devices located overseas.

Table A.13 Aircraft registrations, 2017-18 to 2019-20

Type of registration 2017-18 2018-19 2019-20

Initial registration 422 402 336

Change of registration holder 1,313 1,263 1,428

Cancellation of registration 306 311 235

Change of registration mark 51 52 47

Reservation of registration mark 913 870 808

Reissue of certificate of registration a 64 54 79

Aircraft registered at 30 June 15,529 15,620 b 15,721

Marks reserved at 30 June 577 546b 556

a Due to changes of address or loss, for example.

b The 2018-19 annual report showed the total number of registered aircraft as 15,617 and cancellations as 311. Those figures have been corrected this year.

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Table A.14 Average age of the Australian fleet of civil aircraft at 30 June 2020

Aircraft group by airframe and propulsion characteristics > 56 yrs

56-47 yrs 46-37 yrs

36-27 yrs 26-17 yrs

16-7 yrs 6-2 yrs

< 2

yrs

Total by

group

% of total fleet

Gliders 80 223 400 127 91 54 23 1 999 6.35

Powered gliders 0 25 43 49 60 71 36 5 289 1.84

Balloons 0 0 19 55 106 131 109 20 440 2.79

Airships 0 0 0 0 1 0 0 0 1 0.01

Remotely piloted aircraft systems 0 0 0 0 0 0 1 0 1 0.01

Amateur-built aircraft

Aeroplane

Single-engine

Diesel 0 0 0 0 1 0 0 0 1 0.01

Piston 1 18 84 158 407 532 181 49 1,430 9.10

Turboprop 0 0 0 0 4 0 1 0 5 0.03

Jet 0 0 1 0 0 1 1 1 4 0.02

Rotary 0 0 0 0 0 1 0 0 1 0.01

Multi-engine Piston 0 0 0 2 4 2 3 1 12 0.08

Jet 0 0 0 0 0 1 0 0 1 0.01

Helicopter

Diesel 0 0 0 0 0 1 0 0 1 0.01

Piston 2 0 0 6 33 39 6 0 86 0.55

Turboshaft 0 0 0 0 0 6 8 1 15 0.10

Electric engine

0 0 0 0 0 0 0 1 1 0.01

Production aircraft

Helicopter

Single-engine Piston 13 64 29 154 222 671 156 29 1,338 8.51

Turboshaft 6 77 196 119 73 121 28 8 628 3.99

Multi-engine

Up to 5,700 kg MTOW Turboshaft 0 0 40 49 40 44 11 1 185 1.17

Over 5,700 kg MTOW Turboshaft 0 0 2 3 0 29 42 5 81 0.52

Aeroplane

Single-engine

Up to 5,700 kg MTOW

Diesel 0 0 0 0 1 5 0 0 6 0.04

Piston 1,436 1,484 2,708 302 501 642 176 75 7,324 46.58

Turboprop 1 3 26 66 122 124 36 7 385 2.45

Jet 9 9 19 10 0 0 0 0 47 0.30

Over 5,700 kg MTOW

Piston 3 0 0 0 0 0 0 0 3 0.02

Turboprop 0 0 0 2 24 45 16 1 88 0.56

Jet 5 0 0 0 0 0 0 0 5 0.03

Multi-engine

Up to 5,700 kg MTOW

Diesel 0 0 0 0 0 7 1 0 8 0.05

Piston 59 288 680 37 26 54 27 5 1,176 7.48

Turboprop 0 7 107 24 18 38 6 0 200 1.27

Jet 1 5 5 1 11 11 3 0 37 0.23

5,701 to 20,000 kg MTOW

Piston 22 3 0 0 0 0 0 0 25 0.16

Turboprop 3 0 8 83 90 26 9 2 221 1.41

Jet 1 0 33 17 34 21 4 3 113 0.72

20,001 to 50,000 kg MTOW

Piston 5 0 0 0 0 0 0 0 5 0.03

Turboprop 2 0 1 3 3 44 5 0 58 0.37

Jet 1 1 0 65 48 20 6 0 141 0.89

50,001 to 100,000 kg MTOW

Piston 1 0 0 0 0 0 0 0 1 0.01

Turboprop 0 0 1 0 0 0 0 0 1 0.01

Jet 0 1 0 7 52 192 24 2 278 1.77

Over 100,000 kg MTOW Jet 0 0 0 1 11 48 17 3 80 0.51

Total by age bracket 1,651 2,208 4,402 1,340 1,983 2,981 936 220 15,721 100.00

% of total fleet 10.50 14.05 28.00 8.52 12.61 18.96 5.95 1.41 100.00

MTOW = maximum take-off weight

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Table A.15 Appointments of airworthiness delegates and authorised persons, 2017-18 to 2019-20

Type of appointment 2017-18 2018-19 2019-20

Appointments excluding Civil Aviation Safety Regulations subpart 21M Initial issue 21 8 6

Subsequent issue 52 44 5

Variation 9 4 61

Active at 30 June 133 173 132

Appointments under Civil Aviation Safety Regulations subpart 21M Initial issue and variation 18 26 23

Active at 30 June 35 37 33

Total appointments active at 30 June 168 210 165

Table A.16 Production authorisations, 2017-18 to 2019-20

Type of authorisation 2017-18 2018-19 2019-20

Production certificate Initial issue 0 0 0

Variation 3 1 5

Under voluntary suspension at 30 June 4 4 4

Active as 30 June 7 8 8

One-off production certificate Initial issue 2 1 1

Variation 0 10 3

Under voluntary suspension at 30 June 3 2 2

Active at 30 June 35 36 36

Australian parts manufacturing approval Initial issue 1 0 1

Variation 9 5 7

Under voluntary suspension at 30 June 12 2 5

Active at 30 June 35 36 34

Australian Technical Standard Order authorisation Initial issue or variation 0 4 4

Under voluntary suspension at 30 June 3 3 4

Active at 30 June 9 8 7

Parts approval under CASR 21.305A Initial issue or variation 1 2 3

Under voluntary suspension at 30 June 3 3 3

Active at 30 June 9 9 9

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Table A.17 Airworthiness directives and bulletins, 2017-18 to 2019-20

Type of directive/bulletin 2017-18 2018-19 2019-20

Australian Airworthiness Directive Issued 30 40 1

Cancelled 41 33 9

Amended 33 29 14

Current 7,962 7,886 7,834

State of design airworthiness directive 635 642 478

Exclusion from airworthiness directive 72 72 99

Review of airworthiness directive 8 12 7

Airworthiness Bulletin Issued or amended 22 22 6

Current 376 384 384

Table A.18 Aircraft defect reports, 2017-18 to 2019-20

Report status 2017-18 2018-19 2019-20

Received during the year 1,734 1,814 1,157

Closed during the year 875 1,201 n/aa

Open as at 30 June 1,495 2,108 n/aa

n/a = not applicable

a As a result of new defect reporting procedures implemented in 2019-20, defect reports no longer have a status of open or closed.

Aerodromes Table A.19 Aerodromes at 30 June, 2017-18 to 2019-20

Aerodrome status 2017-18 2018-19 2019-20

Certified 194 197 199

Registered 130 126 129

Total 324 323 328

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Training Table A.20 Civil Aviation Safety Regulations Part 141 flight training certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issuea 17 17 16

Subsequent issue 16 31 55

Variation 53 47 43

Total 86 95 114

Current certificates at 30 June b n/a 237 250

n/a = not applicable

a The figures for initial issue do not include interim certificates and transitions.

b A four-year transition period to the new licensing and training regulations was completed on 31 August 2018, making the previously unreportable figure for ‘current certificates’ available from 2018-19.

Table A.21 Civil Aviation Safety Regulations Part 142 flight training certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issuea 0 1 3

Subsequent issue 3 5 12

Variation 5 4 10

Total 8 10 25

Current certificates at 30 June b n/a 62 65

n/a = not applicable

a The figures for initial issue do not include interim certificates and transitions.

b A four-year transition period to the new licensing and training regulations was completed on 31 August 2018, making the previously unreportable figure for ‘current certificates’ available from 2018-19.

Table A.22 Civil Aviation Safety Regulations Part 147 maintenance training organisation certificates, 2017-18 to 2019-20

Type of application 2017-18 2018-19 2019-20

Initial issuea 1 2 4

Variation 40 56 57

Total 41 58 61

Suspended certificates 0 0 1

Surrendered certificates 1 2 1

a The figures for initial issue do not include interim certificates and transitions.

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APPENDIX B: MANAGEMENT AND ACCOUNTABILITY STATISTICS

Staffing Table B.1 Employees by classification and location at 30 June 2020

Classification Adelaide Brisbane Cairns Canberra Darwin Melbourne Perth Sydney Tamworth Total Aviation Safety Regulator - Aerodrome Inspector 0 3 1 0 0 2 2 2 0 10

Aviation Safety Regulator - Airworthiness Inspector 4 10 4 0 1 13 7 9 3 51

Aviation Safety Regulator - Aviation Safety Advisor 1 1 0 1 1 2 1 0 0 7

Aviation Safety Regulator - Other 2 39 1 56 1 15 7 9 0 130

Aviation Safety Regulator - Safety Systems Inspector 1 2 0 0 0 4 2 3 0 12

Certificate Team Manager a 2 9 2 13 2 8 4 6 0 46

Flight Training Examiner 1 3 0 0 0 2 4 1 11

Flying Operations Inspector 4 20 8 4 2 9 7 12 2 68

National Office Manager 0 3 0 17 0 2 0 0 0 22

Other classifications 3 81 7 325 1 13 6 12 1 449

Professional Services 1 1 0 12 0 0 1 1 0 16

Senior Management 0 3 1 27 0 2 1 1 0 35

Total 19 175 24 455 8 72 38 59 7 857

a This classification replaced the Certificate Management Team Leader classification reported in 2018-19.

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Table B.2 Employees by classification and location at 30 June 2019

Classification Adelaide Brisbane Cairns Canberra Darwin Melbourne Perth Sydney Tamworth Total Aviation Safety Regulator - Aerodrome Inspector 1 3 0 0 0 2 1 2 0 9

Aviation Safety Regulator - Airworthiness Inspector 2 11 6 0 4 13 7 14 2 59

Aviation Safety Regulator - Aviation Safety Advisor 1 2 0 1 1 2 1 0 0 8

Aviation Safety Regulator - Other 3 40 1 52 1 12 5 10 0 124

Aviation Safety Regulator - Safety Systems Inspector 1 2 1 0 0 4 3 4 0 15

Certificate Management Team Leader 3 10 2 11 1 6 4 5 0 42

Flight Training Examiner 0 4 0 0 0 2 0 3 1 10

Flying Operations Inspector 5 20 7 5 1 12 6 13 2 71

National Office Manager 0 1 0 16 0 2 0 0 0 19

Other classifications 3 80 6 329 2 14 5 14 2 455

Professional Services 1 1 0 10 0 0 1 0 0 13

Senior Management 0 3 2 25 0 2 1 1 0 34

Total 20 177 25 449 10 71 34 66 7 859

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Table B.3 Ongoing and non-ongoing employees by classification and gender at 30 June 2020

Classification

Female Male

Total Casual Ongoing Non-ongoing Casual Ongoing Non-ongoing

Aviation Safety Regulator - Aerodrome Inspector 2 0 0 6 2 0 10

Aviation Safety Regulator - Airworthiness Inspector 0 0 0 51 0 0 51

Aviation Safety Regulator - Aviation Safety Advisor 1 0 0 6 0 0 7

Aviation Safety Regulator - Other 17 1 0 105 5 2 130

Aviation Safety Regulator - Safety Systems Inspector 3 0 0 9 0 0 12

Certificate Team Manager a 6 0 0 40 0 0 46

Flight Training Examiner 1 0 0 10 0 0 11

Flying Operations Inspector 4 0 0 62 2 0 68

National Office Manager 3 0 0 19 0 0 22

Other classifications 240 18 4 172 15 0 449

Professional Services 1 2 2 9 2 0 16

Senior Management 6 1 0 25 3 0 35

Total 284 22 6 514 29 2 857

a This classification replaced the Certificate Management Team Leader classification reported in 2018-19.

Table B.4 Ongoing and non-ongoing employees by classification and gender at 30 June 2019

Classification

Female Male

Total Casual Ongoing Non-ongoing Casual Ongoing Non-ongoing

Aviation Safety Regulator - Aerodrome Inspector 0 2 0 0 7 0 9

Aviation Safety Regulator - Airworthiness Inspector 0 0 0 0 59 0 59

Aviation Safety Regulator - Aviation Safety Advisor 0 2 0 0 6 0 8

Aviation Safety Regulator - Other 0 11 1 1 104 7 124

Aviation Safety Regulator - Safety Systems Inspector 0 5 0 0 10 0 15

Certificate Management Team Leader 0 4 0 0 38 0 42

Flight Training Examiner 0 1 0 0 9 0 10

Flying Operations Inspector 0 4 0 0 66 1 71

National Office Manager 0 2 0 0 17 0 19

Other classifications 7 237 25 1 166 19 455

Professional Services 2 0 0 0 10 1 13

Senior Management 0 5 2 0 25 2 34

Total 9 273 28 2 517 30 859

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Table B.5 Employees by classification and full-time/part-time at 30 June 2020

Classification

Full-time Part-time

Total Ongoing Non-ongoing Ongoing Non-ongoing Casual

Aviation Safety Regulator - Aerodrome Inspector

8 2 0 0 0 10

Aviation Safety Regulator - Airworthiness Inspector

51 0 0 0 0 51

Aviation Safety Regulator - Aviation Safety Advisor

5 0 2 0 0 7

Aviation Safety Regulator - Other

118 6 4 0 2 130

Aviation Safety Regulator - Safety Systems Inspector

12 0 0 0 0 12

Certificate Team Manager a 46 0 0 0 0 46

Flight Training Examiner 11 0 0 0 0 11

Flying Operations Inspector 61 0 5 2 0 68

National Office Manager 22 0 0 0 0 22

Other classifications 373 29 39 4 4 449

Professional Services 10 4 0 0 2 16

Senior Management 31 4 0 0 0 35

Total 748 45 50 6 8 857

a This classification replaced the Certificate Management Team Leader classification reported in 2018-19.

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Table B.6 Employees by classification and full-time/part-time at 30 June 2019

Classification

Full-time Part-time

Total Ongoing Non-ongoing Ongoing Non-ongoing Casual

Aviation Safety Regulator - Aerodrome Inspector

9 0 0 0 0 9

Aviation Safety Regulator - Airworthiness Inspector

59 0 0 0 0 59

Aviation Safety Regulator - Aviation Safety Advisor

6 0 2 0 0 8

Aviation Safety Regulator - Other

111 6 4 2 1 124

Aviation Safety Regulator - Safety Systems Inspector

14 0 1 0 0 15

Certificate Management Team Leader 42 0 0 0 0 42

Flight Training Examiner 10 0 0 0 0 10

Flying Operations Inspector 66 0 4 1 0 71

National Office Manager 18 0 1 0 0 19

Other classifications 359 41 44 3 8 455

Professional Services 9 1 1 0 2 13

Senior Management 30 4 0 0 0 34

Total 733 52 57 6 11 859

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Note: CASA’s key management personnel are those persons having authority and responsibility for planning, directing and controlling the activities of CASA, directly or indirectly. Each dollar amount is based on an individual’s remuneration rounded to the nearest dollar. The remuneration of this cohort is determined under CASA Directive - Senior Managers and Medical Officers Remuneration 2019 and approved by the Director of Aviation Safety. This is reviewed annually against the Australian Public Service (APS) remuneration to ensure appropriate parity against the APS is maintained. Currently, all salary points are below the median rates identified in the 2018 survey. Individual remuneration for key management personnel is determined within the salary scales dependent on their experience and may progress through the identified increment point based on their performance during the previous year. The Director of Aviation Safety and Board members remuneration are determined by the Remuneration Tribunal.

Executive remuneration Table B.7 Remuneration paid to key management personnel, 2019-20

Short-term benefits

Post-employment benefits

Other

long-term benefits

Termination benefits ($) b

Total

remuneration ($) Name Position title

Base salary ($)a Bonuses ($)b

Other

benefits and allowances ($)c

Superannuation contributions ($)d Long service leave accrued ($)e

Other long-term benefits ($)b

Carmody, Shane Chief Executive Officer & Director of Aviation Safety 546,391 0 42,361 82,033 13,706 0 0 684,491

Crawford, Graeme Group Executive Manager Aviation Group 408,415 0 31,258 61,830 10,114 0 0 511,617

Walker, Robert Executive Manager Stakeholder Engagement 307,240 0 24,009 44,124 7,768 0 0 383,140

Aleck, Jonathan Executive Manager Legal, International & Regulatory Affairs

439,310f 0 25,802 12,256 8,232 0 0 485,600

Crome, Philippa Executive Manager Corporate Services

323,398 0 24,009 57,107 7,768 0 0 412,282

Frawley, Simon Chief Financial Officer 232,642 0 18,173 43,650 5,880 0 0 300,345

Mathews, Anthony CASA Board member (Chair)

118,781 0 2,176 18,292 0 0 0 139,250

Bridge, Michael CASA Board member 59,391 0 670 9,146 0 0 0 69,207

Cartwright, Cheryl CASA Board member 48,196 0 138 7,422 0 0 0 55,756

McAloon, Jane CASA Board member 30,605 0 8,586 6,273 0 0 0 45,463

Rindfleish, Mark CASA Board member 59,391 0 1,470 9,146 0 0 0 70,007

Taylor, Anita CASA Board member 40,657 0 7,050 7,119 0 0 0 54,826

Hardman, Donna CASA Board member 28,786 0 8,212 5,647 0 0 0 42,645

Total 2,643,202 0 193,913 364,046 53,467 0 0 3,254,629

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Executive remuneration Table B.7 Remuneration paid to key management personnel, 2019-20

Short-term benefits

Post-employment benefits

Other

long-term benefits

Termination benefits ($) b

Total

remuneration ($) Name Position title

Base salary ($)a Bonuses ($)b

Other

benefits and allowances ($)c

Superannuation contributions ($)d Long service leave accrued ($)e

Other long-term benefits ($)b

Carmody, Shane Chief Executive Officer & Director of Aviation Safety 546,391 0 42,361 82,033 13,706 0 0 684,491

Crawford, Graeme Group Executive Manager Aviation Group 408,415 0 31,258 61,830 10,114 0 0 511,617

Walker, Robert Executive Manager Stakeholder Engagement 307,240 0 24,009 44,124 7,768 0 0 383,140

Aleck, Jonathan Executive Manager Legal, International & Regulatory Affairs

439,310f 0 25,802 12,256 8,232 0 0 485,600

Crome, Philippa Executive Manager Corporate Services

323,398 0 24,009 57,107 7,768 0 0 412,282

Frawley, Simon Chief Financial Officer 232,642 0 18,173 43,650 5,880 0 0 300,345

Mathews, Anthony CASA Board member (Chair)

118,781 0 2,176 18,292 0 0 0 139,250

Bridge, Michael CASA Board member 59,391 0 670 9,146 0 0 0 69,207

Cartwright, Cheryl CASA Board member 48,196 0 138 7,422 0 0 0 55,756

McAloon, Jane CASA Board member 30,605 0 8,586 6,273 0 0 0 45,463

Rindfleish, Mark CASA Board member 59,391 0 1,470 9,146 0 0 0 70,007

Taylor, Anita CASA Board member 40,657 0 7,050 7,119 0 0 0 54,826

Hardman, Donna CASA Board member 28,786 0 8,212 5,647 0 0 0 42,645

Total 2,643,202 0 193,913 364,046 53,467 0 0 3,254,629

a Includes gross payments (less any bonuses paid).

b No payments were made in this category in 2019-20.

c Includes annual leave accrued during the reporting period and any allowances that are reportable on individual payment summaries.

d Employer superannuation contributions.

e Long service leave accrued during the reporting period.

f Base salary figure includes a lump sum payment for the cash out of 90 days of accrued excess annual leave.

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Table B.8 Remuneration paid to senior managers, 2019-20

Short-term benefits Post- employment benefits Other long-term benefits Termination benefits Total remuneration

Total remuneration band ($) No. of staff Average base salary ($) a

Average bonuses ($)

b

Average other benefits and allowances ($)

c

Average superannuation contributions ($)

d

Average long service leave accrued ($)

e

Average other long- term benefits ($)

b

Average termination benefits ($)

b

Average total remuneration ($)

0-220,000 4 125,898 0 7,463 9,904 2,358 0 0 182,832

220,001-245,000 0 0 0 0 0 0 0 0 0

245,001-270,000 2 202,910 0 15,727 33,526 5,088 0 0 257,251

270,001-295,000 12 222,234 0 20,388 35,300 5,510 0 0 283,433

295,001-320,000 8 232,991 0 19,616 43,360 5,880 0 0 301,846

320,001-345,000 2 262,859 0 20,442 40,480 6,614 0 0 330,396

Average based on no. of staff 28 213,067 0 17,992 34,218 5,214 0 0 270,491

Note: CASA’s senior managers are those employees who are substantively appointed to a senior management position or those employees who have acted as a senior manager for a minimum of three months during the reporting period. Managers who are also key management personnel are excluded. Figures have been rounded to the nearest dollar.

Each row is an averaged figure based on headcount for individuals within the remuneration range.

a Includes gross payments (less any bonuses paid).

b No payments were made in this category in 2019-20.

c Includes annual leave accrued during the reporting period and any allowances that are reportable on individual payment summaries.

d Employer superannuation contributions.

e Long service leave accrued during the reporting period.

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Table B.9 Remuneration paid to other highly paid employees, 2019-20

Short-term benefits Post- employment benefits Other long-term benefits Termination benefits Total remuneration

Total remuneration bands ($) No. of staff Average base salary ($) a

Average Bonuses ($)

b

Average other benefits and allowances ($)

c

Average superannuation contributions ($)

d

Average long service leave accrued ($)

e

Average other long- term benefits ($)

b

Average termination benefits ($)

f

Average total remuneration ($)

220,001-245,000 18 171,719 0 23,888 31,242 4,341 0 0 231,191

245,001-270,000 27 166,735 0 48,749 37,358 4,239 0 0 270,797

270,001-295,000 12 173,405 0 65,236 35,585 4,375 0 0 527,672

295,001-320,000 2 207,811 0 52,559 37,145 5,199 0 0 302,714

320,001-345,000 1 147,354 0 9,562 22,363 2,921 0 145,021 327,221

520,001-545,000 1 418,352 0 33,919 64,426 10,975 0 0 527,672

Average based on no. of staff 61 174,672 0 43,896 35,396 4,416 0 145,021 260,757

Note: CASA’s highly paid employees are employees whose reportable remuneration was $225,000 or more for the reporting period, who are not appointed as a senior manager. Remuneration for highly paid employees may include remuneration for periods of acting as a senior manager that total less than three months during the reporting period.

Each row is an averaged figure based on headcount for individuals within the remuneration range.

a Includes gross payments (less any bonuses paid).

b No payments were made in this category in 2019-20.

c Includes annual leave accrued during the reporting period and any allowances that are reportable on individual payment summaries.

d Employer superannuation contributions.

e Long service leave accrued during the reporting period.

f Includes voluntary redundancy payments and payments in lieu of notice.

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184 PART 7 APPENDICES AND REFERENCES

External scrutiny Table B.10 Administrative Appeals Tribunal merits reviews of CASA regulatory decisions, 2017-18 to 2019-20

Matters 2017-18 2018-19 2019-20

With the tribunal Applications on hand from the previous year 14 15 12

Applications lodged during the year 20 16 8

Total 34 31 20

Dealt with Decisions affirmed 3 2 3

Decisions varied 2 7 0

Decisions set aside 0 2 1

Matters dismissed 3 2 2

Total 8 13 6

Other Applications withdrawn by the applicant 11 8 5

Applications remaining on hand at 30 June 15 12 a 10

Total 26 20a 15

Note: A single application to the Administrative Appeals Tribunal often involves more than one reviewable decision. In such cases, a decision by the tribunal on a particular application may be composed of multiple decisions to affirm, set aside or vary decisions made by CASA. For that reason, some of the figures shown for matters dealt with reflect multiple outcomes arising out of a single application, and the figures shown for total applications dealt with do not reflect the total numbers of decisions affirmed, varied or set aside or matters dismissed.

a Correction of error in the 2018-19 annual report.

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Table B.11 Categories of CASA decisions appealed to the Administrative Appeals Tribunal, 2019-20

Subject of decision

Refusal to issue

Issue subject to conditions not sought by applicant

for the

authorisation Cancellation/ suspension

Variation/ imposition of conditions not sought

by holder Total

Flight crew licence (including ratings and endorsements) 0 0 1 0 1

Aviation maintenance licence or authority (including ratings)

0 0 0 0 0

Medical certificate 2 2 2 0 6

Air operator certificate

0 0 0 0 0

Certificate of approval

0 0 0 0 0

Certificate of registration or airworthiness

0 0 0 0 0

Chief pilot approval 0 0 0 0 0

Maintenance controller approval 0 0 0 0 0

Exemption 0 0 0 0 0

Freedom of information

0 0 0 0 0

Remote pilot licence

0 0 0 0 0

Other matters 1 0 0 0 1

Total 3 2 3 0 8

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Table B.12 Applications to the Federal Court for judicial review of CASA regulatory decisions, 2017-18 to 2019-20

Matters

2017-18 2018-19 2019-20

Filed by subject person Filed by

CASA

Filed by subject person Filed by

CASA

Filed by subject person Filed by

CASA

With the court Applications on hand from the previous year 0 1 0 0 1 0

Applications filed during the year

0 0 1 1 0 0

Total 0 1 1 1 1 0

Dealt with Applications granted 0 1 0 1 0 0

Matters dismissed 0 0 0 0 0 0

Total 0 1 0 1 0 0

Other Proceedings discontinued

0 0 0 0 0 0

Applications on hand at 30 June 0 0 1 0 1 1

Total 0 0 1 0 1 1

Decisions arising from Administrative Appeals Tribunal decisions

0 1 0 0 0 0

Table B.13 Coronial inquiries, 2017-18 to 2019-20

2017-18 2018-19 2019-20

Inquiries on hand from previous year 1 1 2

New inquiries 1 2 0

Total 2 3 2

Conclusions handed down 1 1 2

Inquiries remaining in progress at 30 June 1 2 0

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Recommendations for CASA

(1) CASA to consider including a regulation concerning equipment compatibility, in particular main parachute and container compatibility.

(2) CASA to consider recommending to the Australian Skydiving Association the implementation of six monthly equipment check and a day to day buddy checking system, as proposed to the APF above.

Response from CASA

Recommendation (1)

On 16 December 2019, the Civil Aviation Legislation Amendment (Parts 103, 105 and 131) Regulations 2019 were registered on the Federal Register of Legislation and included the provisions of Part 105 of the Civil Aviation Safety Regulations 1998 (Cth) (CASR). CASA considers that Part 105 of the CASR contains the required head of power to address recommendation a). Part 105 of CASR is due to commence in December 2021.

Regulation 105.010 of the CASR defines a major defect in a reserve parachute as something that may affect the safe operation of the parachute assembly or cause the parachute assembly to become a danger to persons or property. Regulation 105.055 of the CASR provides requirements (including offence provisions) if a person undertakes a parachute descent without a reserve parachute assembly that meets the equipment requirements specified in the Part 105 Manual of Standards, or is provided with a reserve parachute that does not meet those requirements. The Part 105 Manual of Standards is a legislative instrument that prescribes additional matters for the purposes stated in Part 105 of the CASR.

Regulation 105.060 provides that a reserve parachute is also deemed to be a defective parachute if it is subject to a report under regulations 105.045 or 105.050; it is subject to an airworthiness directive; the parachute assembly does not meet the equipment requirements of regulation 103.055 as specified in the Manual of Standards; or, the manufacturer has issued a notice stating safety action must be taken in relation to the parachute.

The definitions of reserve parachute and reserve parachute assembly will be prescribed in the Part 105 Manual of Standards.

As noted previously, regulation 105.055 requires that the reserve parachute assembly must meet and be maintained in accordance to the requirements as prescribed in the Part 105 Manual of Standards. The relevant text of the provision is as follows:

(3) The requirements are as follows:

(a) the reserve parachute assembly must meet the requirements prescribed by the Part 105 Manual of Standards;

(b) the reserve parachute assembly must have been maintained in accordance with the requirements prescribed by the Part 105 Manual of Standards.

The term reserve parachute assembly will also be defined in the Part 105 Manual of Standards and will prescribe all the components that make up the assembly, and likely include the container itself.

Table B.14 CASA’s response to coronial recommendations, 2019-20

Inquest Inquest into the Deaths of Kerri Pike, Peter Dawson and Tobias Turner - mid-air collision between single and tandem skydivers.

State QLD

Date of findings 30 August 2019

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The Part 105 Manual of Standards is currently undergoing development by CASA and is expected to be completed by the end of 2020. The commencement of Part 105 (Regulation and Manual of Standards) is set for December 2021. It is CASA’s intention to ensure that the Manual of Standards prescribes requirements for ensuring that the ‘airworthiness’ of parachute equipment is comprehensively established and maintained.

CASA considers that the equipment standard in use by the peak Australian Parachuting body, the Australian Parachuting Federation (APF) should form the basis for the parachuting standard utilised within the Part 105 Manual of Standards, although CASA will also take into account the standards prescribed by other international aviation safety regulators.

The APF reissued its equipment standard in June 2019 (copy attached) in relation to component compatibility. It is anticipated that this will be updated again following acceptance of the latest proposed update of the APF Operational Regulations received by CASA in February 2020 to take into account the changes to the compatibility check requirements.

As part of the proposed update to the APF’s Operational Regulations currently under consideration, the following amended provisions (emphasis added) have been advised by the APF to CASA. It is expected that similar provisions will be adopted under the Part 105 Manual of Standards in due course:

6.1.11 Individual Responsibilities

A parachutist must:

(a) not contravene any provision of these regulations;

(b) not refuse or neglect to comply or be reckless as to whether or not they comply with these regulations or the Constitution or any other regulations;

(c) not act in a manner dangerous to themselves or others during the course of parachuting activities;

(d) ensure their equipment complies with Part Seven of these regulations;

(e) ensure their equipment is checked by another APF member (“buddy check”) before emplaning;

(f) comply with all pre-jump briefings;

(g) be assured of their position in relation to the target prior to exit; and

(h) report all incidents to the DZSO.

7.1.1 Harness and Parachutes (2020 Proposed Change to Op Reg)

(i) A parachutist must wear a harness and container system that complies with APF Equipment Standards and the TOM and which has at least two ram-air parachutes, one of which must be a reserve parachute.

(j) The main parachute must be verified as compatible with the rest of the parachute system by a Packer A or Rigger.

(k) The DZSO is responsible to ensure that:

(i) verification of compatibility is confirmed,

(ii) sport jumper equipment is inspected by an Instructor or Packer A for serviceability and compatibility every 12 months; and

(iii) records of inspections kept.

(l) An STO may approve equipment with a round parachute(s) for use, excluding displays, by the holder of a Certificate Class D or above, subject to conditions.

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It is also noted that Part 105 of the CASR contains criminal offence provisions for the unauthorised conduct of parachuting activities and imposes additional obligations upon parachuting operators to ensure compliance with the obligations (including in relation to equipment) which are proscribed under that Part. For example, regulation 105.070 of the CASR provides as follows:

105.070 Additional obligations applying to parachute operators

(1) A parachute operator must take reasonable steps to ensure that each person employed or otherwise engaged by the operator to provide services or equipment for undertaking parachute descents:

(a) is aware of the obligations imposed on persons under this Part; and

(b) complies with any written procedures of the operator relating to the safe provision of those services or that equipment.

(2) A parachute operator must take reasonable steps to ensure that a person to whom the operator provides services or equipment for undertaking parachute descents:

(a) is aware of the obligations imposed on the person under this Part; and

(b) complies with any written procedures of the operator relating to the safe conduct of parachute descents.

(3) A person commits an offence if the person contravenes subregulation (1) or (2)

Penalty: 50 penalty units.

Recommendation (2)

As noted above, CASA has recently (February 2020) received for consideration and approval a proposed update to the APF Operational Regulations and this is presently under review.

The APF has presented CASA with the required updates, consistent with the Coroner’s recommendations, to require mandatory six-monthly (Novice) and 12-monthly (B certificate and above) equipment checks to be undertaken by a Packer A. Also contained within the proposed update to the Operational Regulations is the requirement for mandatory ‘buddy checks’ of equipment prior to emplaning (as extracted above).

Noting the proposed updated Operational Regulations also contain additional proposed changes not associated with the Coroner’s recommendations, it may be the case that the proposed Operational Regulations may not be approved in their totality, however, it is anticipated that the provisions extracted above will be accepted.

In relation to the obligation of the APF to ensure effective implementation of obligations such as the proposed six-monthly equipment check and day to day ‘buddy checking’ system, CASA is presently reviewing the Part 149 Manual of Standards which relates to the obligations of self-administering sport aviation bodies such as the APF. In conducting that review, CASA will be mindful of the coroner’s recommendation.

In discussions between CASA and the Australian Skydiving Association (ASA) it has been confirmed that the ASA will consider the recommendations that were made relating to day-to-day buddy checks and specific six-monthly equipment checks to mirror those contained in the APF’s currently proposed update. The usual practice has been for the ASA to commence updating of their Operational Regulations following CASA’s approval of any significant safety-based updates of the APF Operational Regulations. A current timeline for this process has not yet been determined, however, CASA will maintain contact with ASA on this point.

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Inquest Inquest into the deaths arising from the March 2014 plane crash at Caboolture Airfield - death of pilot and four skydivers in crash of Cessna 206 aircraft shortly after take-off.

State QLD

Date of findings 10 March 2020

Recommendations for CASA

(A) I recommend a thorough review of the requirements of the CASA-approved APF Jump Pilot Manual, and its suitability for providing appropriate risk-based standards for all air operations by APF club members.

(B) I recommend that CASA and the APF review the implications for public safety of low-time or part-time jump pilots flying sorties in aircraft owned by APF club members and organisations not controlled by persons with the background and experience of an AOC operator. Issues that should receive particular attention include:

(i) the level of training that jump pilots should be receiving and the introduction of specified and appropriately rigorous standards that would apply to jump pilots conducting flights transporting tandem parachutists to the point of departure from the aircraft;

(ii) the need for more regular proficiency checks of jump pilots with a qualified examiner, in accordance with a checking syllabus approved by CASA where the syllabus would focus on matters germane to the airlift component of flights carrying tandem parachutists;

(iii) the creation of a new operational rating or endorsement with special attention to moulding or expanding the application of the general competency rule contained in regulation 61.385 of the CASR to jump pilots to ensure a far higher standard of airmanship by jump pilots than is presently required; and

(iv) surveillance of the ‘airlift component’ of parachuting operations by CASA flying operations inspectors on a regular or systematic basis accompanied, where resources permit, by area safety officers of the APF.

Response from CASA

CASA is still considering its response to these recommendations.

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Enforcement Table B.15 Medical certificate cancellations and suspensions, 2017-18 to 2019-20

Certificate

2017-18 2018-19 2019-20

C S C S C S

Class 1 37 33 19 42 18 31

Class 2 42 28 11 37 21 39

Basic Class 2a n/a n/a 4 0 15 0

Class 3 3 4 9 5 1 4

Total 82 65 43 84 55 74

C = cancelled, n/a = not applicable, S = suspended

Note: The certificate classes are 1 Professional pilots and flight engineers, 2 Student and private pilots (Basic Class 2 is an alternative to a full Class 2 certificate for private operations), and 3 Air traffic control and flight service providers. A certificate issued may have more than one class of medical: for example, all Class 1 medicals are automatically issued a Class 2 medical. The total shown is the total number of certificates issued, not the sum of the three licence classes for initial issues or renewals.

a The Basic Class 2 medical certificate was introduced as part of changes made to the aviation medical certification system on 2 July 2018. The Basic Class 2 certificate allows designated aviation medical examiners and general practitioners to assess applicants against the Austroads commercial driving standards for some simple types of private flying.

Table B.16 Licence and certificate actions, 2017-18 to 2019-20

Action 2017-18 2018-19 2019-20

Show cause notices issued 42 28 12

Variations 1 0 1

Suspensionsa 16 5 3

Cancellations 9 4 7

Note: These figures do not include action taken in relation to Civil Aviation Safety Regulations Part 99 offences in relation to medical certificates (see Table B.15) or variations processed by the CASA Service Centre.

a These include suspensions under regulations 265 and 269 of the Civil Aviation Regulations 1988.

Table B.17 Serious and imminent risk suspensions under section 30DC of the Civil Aviation Act 1988, 2017-18 to 2019-20

Action 2017-18 2018-19 2019-20

Suspensions 0 1 0

Table B.18 Aviation infringement notices and prosecutions, 2017-18 to 2019-20

Action 2017-18 2018-19 2019-20

Infringement notices issued 149 129 122 a

Matters referred to the Director of Public Prosecutions 5 13 12

Prosecutions finalised 6 7b 13

Acquittals 0 0 0c

Convictions 6 5 12

a Three infringement notices were withdrawn.

b Two matters resulted in findings of guilt with no conviction recorded.

c One prosecution was withdrawn by the Commonwealth Director of Public Prosecutions on public interest grounds.

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Table B.19 Compliance-related actions, 2017-18 to 2019-20

Action 2017-18 2018-19 2019-20

Enforceable voluntary undertakings 1 0 0

Counselling 106 105 97

Media, advertising and direct mail costs Table B.20 Payments to media, advertising and direct mail organisations, 2019-20

Vendor Amount ($)

Media organisations Australian Associated Press 14,299

iSentia Pty Ltd 51,171

Subtotal 65,470

Advertising agencies Universal McCann 1,035,000

Subtotal 1,035,000

Direct mail organisations Australia Post 140,511

Canon Business Services Australia 25,544

Toll Transport 67,998

Subtotal 234,053

Total 1,334,523

Note: In accordance with indexation as prescribed in the Commonwealth Electoral Act 1918, only payments over $14,000 (inclusive of GST) are reported. Amounts exclude GST and are rounded to whole dollars.

Legal costs Table B.21 Legal costs, 2019-20

Vendor Amount ($)

Australian Government Solicitor 229,008

HWL Ebsworth 48,047

Ian Harvey 26,659

James Emmett 19,574

MinterEllison 136,018

Proximity 40,172

Total 499,478

Note: Relates to amounts over $14,000. Amounts exclude GST and are rounded to whole dollars.

CIVIL AVIATION SAFETY AUTHORITY

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PART 7 APPENDICES AND REFERENCES 193

Abbreviations list

AAT Administrative Appeals Tribunal

APS Australian Public Service

ASC Aviation Safety Committee

ASTRA Australian Strategic Air Traffic Management Group

ATSB Australian Transport Safety Bureau

Baro-VNAV Barometric Vertical Navigation

Beijing Declaration Commitments made by transport ministers at ICAO’s Asia and Pacific Ministerial Conference in Beijing, China, in February 2018

CART Council Aviation Recovery Taskforce

CASA Civil Aviation Safety Authority

CASR Civil Aviation Safety Regulations

CASS Civil Aviation Safety System

DGCA Directors General of Civil Aviation

EAP European Aviation Processing regulatory service

management system

EASA European Aviation Safety Agency

FAA United States Federal Aviation Administration

GST goods and services tax

HSA Health Services Australia Group

ICAO International Civil Aviation Organization

ICC Industry Complaints Commissioner

JARUS Joint Authorities for Rulemaking on Unmanned Systems

MOU memorandum of understanding

OCVA operational colour vision assessment

PGPA Act Public Governance, Performance and Accountability Act 2013

PSIDS Study Pacific Small Island Developing States - Aviation Needs Analysis

RASG-APAC Regional Aviation Safety Group - Asia and Pacific Regions

RFDS WO Royal Flying Doctor Service of Australia Western Operations

RMIT University Royal Melbourne Institute of Technology University

RMS Regulatory Management System

RPAS remotely piloted aircraft systems

SDT service delivery transformation

WHS work health and safety

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Compliance index Public Governance, Performance and Accountability Act 2013 requirements

PGPA Rule reference

Part of report Description Requirement

17BE Contents of annual report

17BE(a) Part 4 Details of the legislation establishing

the body

Mandatory

17BE(b)(i) Part 4 A summary of the objects and

functions of the entity as set out in legislation

Mandatory

17BE(b)(ii) Part 2 The purposes of the entity as included in the entity’s corporate plan for the reporting period

Mandatory

17BE(c) Part 4 The names of the persons holding

the position of responsible Minister or responsible Ministers during the reporting period, and the titles of those responsible Ministers

Mandatory

17BE(d) Part 4 Directions given to the entity by the

Minister under an Act or instrument during the reporting period

If applicable, mandatory

17BE(e) Part 4 Any government policy order that

applied in relation to the entity during the reporting period under section 22 of the Act

If applicable, mandatory

17BE(f) Part 4 Particulars of non compliance with:

(a) a direction given to the entity by the Minister under an Act or instrument during the reporting period; or

(b) a government policy order that applied in relation to the entity during the reporting period under section 22 of the Act

If applicable, mandatory

17BE(g) Part 2 Annual performance statements in

accordance with paragraph 39(1)(b) of the Act and section 16F of the rule

Mandatory

17BE(h), 17BE(i) Part 5 A statement of significant issues reported to the Minister under paragraph 19(1)(e) of the Act that relates to non compliance with finance law and action taken to remedy non compliance

If applicable, mandatory

17BE(j) Part 4 Information on the accountable

authority, or each member of the accountable authority, of the entity during the reporting period

Mandatory

17BE(k) Part 4 Outline of the organisational structure

of the entity (including any subsidiaries of the entity)

Mandatory

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PGPA Rule reference

Part of report Description Requirement

17BE(ka) Part 7 Statistics on the entity’s employees

on an ongoing and non ongoing basis, including the following:

(a) statistics on full time employees;

(b) statistics on part time employees;

(c) statistics on gender;

(d) statistics on staff location

Mandatory

17BE(l) Part 7 Outline of the location (whether or

not in Australia) of major activities or facilities of the entity

Mandatory

17BE(m) Part 4 Information relating to the main

corporate governance practices used by the entity during the reporting period

Mandatory

17BE(n), 17BE(o) Part 5 For transactions with a related Commonwealth entity or related company where the value of the transaction, or if there is more than one transaction, the aggregate of those transactions, is more than $10,000 (inclusive of GST):

(a) the decision making process undertaken by the accountable authority to approve the entity paying for a good or service from, or providing a grant to, the related Commonwealth entity or related company; and

(b) the value of the transaction, or if there is more than one transaction, the number of transactions and the aggregate of value of the transactions

If applicable, mandatory

17BE(p) Part 4 Any significant activities and changes

that affected the operation or structure of the entity during the reporting period

If applicable, mandatory

17BE(q) Part 4 Particulars of judicial decisions or

decisions of administrative tribunals that may have a significant effect on the operations of the entity

If applicable, mandatory

17BE(r) Part 4 Particulars of any reports on the entity

given by:

(a) the Auditor General (other than a report under section 43 of the Act); or

(b) a Parliamentary Committee; or

(c) the Commonwealth Ombudsman; or

(d) the Office of the Australian Information Commissioner

If applicable, mandatory

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PGPA Rule reference

Part of report Description Requirement

17BE(s) Not

applicable An explanation of information not obtained from a subsidiary of the entity and the effect of not having the information on the annual report

If applicable, mandatory

17BE(t) Part 5 Details of any indemnity that applied

during the reporting period to the accountable authority, any member of the accountable authority or officer of the entity against a liability (including premiums paid, or agreed to be paid, for insurance against the authority, member or officer’s liability for legal costs)

If applicable, mandatory

17BE(taa) The following information about the

audit committee for the entity:

(a) a direct electronic address of the charter determining the functions of the audit committee;

(b) the name of each member of the audit committee;

(c) the qualifications, knowledge, skills or experience of each member of the audit committee;

(d) information about each member’s attendance at meetings of the audit committee;

(e) the remuneration of each member of the audit committee

Mandatory

17BE(ta) Part 7 Information about executive

remuneration

Mandatory

Other reporting requirements Source Reference Part of report

Civil Aviation Act 1988 Section 49 Part 4

Commonwealth Electoral Act 1918 Section 311A Part 5

Environment Protection and Biodiversity Conservation Act 1999 Section 516A Part 5

Work Health and Safety Act 2011 Schedule 2, Part 4 Part 4

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PART 7 APPENDICES AND REFERENCES 197

ALPHABETICAL INDEX A abbreviations, 193 Aboriginal and Torres Strait Islander

Employee Network, 6, 100; see also Aboriginal and Torres Strait Islander Engagement Network Aboriginal and Torres Strait Islander Engagement Network, 68; see also Aboriginal and Torres Strait Islander Employee Network Aboriginal and Torres Strait Islander people CASA engagement with, 6, 44, 68, 99 employees, 68, 100, 101, 102 Above and Beyond Award, 103, 104 accidents and incidents employee, 107 trend data, aviation industry, 3, 28-30,

32

accidents per hours flown, 3, 28, 29, 32; see also incidents per hours flown accountability reporting, other, 118-126 statistics, 175-192

see also corporate governance accountable authority, Board as, 26, 77 Address non-compliance (Goal 1 key

performance area), 27, 50 key performance indicators, 38 strategies and plans, 58 Administrative Appeals Tribunal, 38, 119, 184-185 Administrative Decisions (Judicial Review) Act 1977, 119; see also judicial decisions administrative scrutiny; see Administrative Appeals Tribunal; Commonwealth Ombudsman; external scrutiny; Federal Court advertising and market research, 125 expenditure, 192 aerial firefighting operations, approvals, 46-47 aerial work sector accident and incident rate trends, 28,

29, 30

continuing airworthiness regulations, 18, 58 aerodromes statistics, 173 age

aircraft, 171 staff, 101, 102

Air Navigation Commission (ICAO), 113 air navigation plan, future development of, 58 air operator certificates

extensions during COVID-19 pandemic, 12, 14, 73 urgent approvals during bushfire crisis, 46 air traffic management; see airspace

administration; Australian Strategic Air Traffic Management Group air transport sector, accident and incident rate trends, 28, 29, 30 air travel data, organisational, 124 aircraft maintenance engineer

certificates, extensions during COVID-19 pandemic, 12, 14, 73; see also maintenance personnel aircraft registration, 53, 58 applications processing, 37, 58 remotely piloted, 4, 16, 35, 52 airline lounge memberships, Board declarations of, 97 Airservices Australia, 7, 57, 112, 116 tripartite arrangement on Australia’s participation in ICAO, 61, 113, 114 Airspace Act 2007, 76 airspace administration, 7, 9, 51, 58, 76, 111-112 consultation on change proposals, 31,

36, 39, 57, 59 future risk management research, 57 see also regional airspace and

procedures advisory committees airworthiness certification, international agreements on, 17, 58 delays due to COVID-19 pandemic, 17,

55

see also continuing airworthiness regulations, development of airworthiness statistics, 169-173 alcohol and drugs management, 106 annual performance statement, 26-45 Annual Report 2018-19, award for, 95 annual reporting obligations, 26, 76, 77,

82

application processing, 5 service delivery standards, 33, 37 approach procedures, validation of new, 70-71

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approved self-administering aviation organisations, 41, 109 funding contribution model, 52 new regulations for, 4, 35, 74

Asia and Pacific Ministerial Conference (ICAO), 62; see also Beijing Declaration Asia and Pacific Regions Flight Procedures Programme Steering Committee

(ICAO), 71 Asia-Pacific region, engagement in, 113, 114-115 audit and risk committee; see Board Audit

and Risk Committee Auditor-General; see Australian National Audit Office, independent audit report Australasian Reporting Awards, 95 Australia Day Achievement Award, 103,

105

Australian Aid, 116 Australian Cyber Security Centre Essential Eight, 43, 67 Australian Information Commissioner, 119 Australian Maritime Safety Authority, 116 Australian National Audit Office,

independent audit report, 128-129; see also interim financial audit Australian National University, 12 Australian Network on Disability, 6, 99, 101 Australian Parachute Federation, 4, 35, 74 Australian Space Agency, 18 Australian Strategic Air Traffic Management Group, 112 Australian Transport Safety Bureau, 7, 76, 116 aviation safety information sharing,

113

memorandum of understanding with, 113 Australia-New Zealand mutual recognition agreements, 76 average staffing level, 19 Aviation Implementation Group, 112-113 aviation medicine, 60

application processing, 5, 37 international consultation on, 116 review of, 54, 58 Aviation Policy Group, 112 aviation reference number applications, 6, 43, 60, 67 Aviation Safety Advisory Panel, 17, 31, 35, 48, 49, 52

advice to Director of Aviation Safety, 59 members, 31, 111 publication of minutes, 36, 40 as Regulator Performance Framework

validation panel, 118 technical working groups, 31, 36, 59, 111 Aviation Safety Committee, 36, 53, 95 aviation safety plan, national, draft, 4, 61,

62, 115

aviation safety seminars, 12, 31, 32, 59, 62, 73, 110 Aviation Security Identification Card issuing body, relinquishment of role, 5 Aviation State Engagement Forum, 12 Aviation Transport Security Act 2004, 76 AviationWorx, external online learning

management system, 41, 103 AvMed; see aviation medicine AvSafety seminar program, 12, 31, 32, 59,

62, 73, 110 award scheme, staff, 45, 68, 69, 103-105 B Barometric Vertical Navigation (Baro-

VNAV) implementation, 70-71 Beijing Declaration, 62, 114, 115 Beyond Blue mental health training, 107 bilateral aviation safety arrangements,

113, 116 impact of COVID-19 on, 60, 116 see also international engagement; regional engagement Board

as accountable authority, 26, 77 committees, 82 conflict of interest disclosures, 97 establishment under Civil Aviation Act,

77

meetings and attendance, 81 membership, 77-81 appointments and departures, 77, 80-81

role and responsibilities, 77 Statement of Expectations issued to, 77 Board Audit and Risk Committee, 82, 95 members and remuneration, 82-83 Boeing 737 MAX, return to service procedures, 18, 114, 116 Brisbane Airport, commissioning of new runway, 4, 57, 71

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Budget estimates committee hearings, 118 Bureau of Meteorology, 116 bushfires, impact on operations, 14, 16,

94 airspace management issues, 41, 57, 108 people management issues, 45, 106,

107

urgent regulatory response, 46-47 business continuity arrangements, 6, 42, 72, 94

ICAO taskforces, 61 business intelligence and analytics capabilities, 43, 67 C capability framework, employee, 69;

see also training and professional development, staff Capital Management Plan, 22, 43, 67 CASA Award Scheme, 45, 68, 69, 103-105 The CASA Briefing (e-newsletter), 40, 109-110 CASA Consultation Hub, 5, 17, 31, 33, 36, 39, 40, 59, 109 CASA continually develops its capability and capacity (Goal 3 key performance area), 27, 50 key performance indicators, 44-45 strategies and plans, 68-69 CASA Corporate Plan 2019-20, 7, 26, 27, 34, 50, 77 CASA Enterprise Agreement 2016-19, 19, 103 CASA Inclusion Strategy 2019-23, 44, 68 CASA Leadership Program, 45, 69; see also manager orientation program CASA Self Service portal, 5; see also myCASA portal CASA Surveillance Manual, 55, 56 CASA Work Health and Safety Strategy 2019-22, 68, 105 CASA Workforce Plan 2019-20, 68 CASA Workforce Strategy 2019-23, 68 CASA’s Methodology for Validation of Baro-VNAV Instrument Approaches, 71 case management functionality, introduction, 18 cash flow, 22; see also financial statements; financial summary certificates, extensions during COVID-19 pandemic, 12, 14, 73

Chair of the Board message from, 14-15 statement of preparation, 26 statement on financial statements,

130

charter operations, continuing airworthiness regulations, 53, 58 Chicago Convention, 113; see also International Civil Aviation

Organization (ICAO) Chief Executive Officer, CASA; see Director of Aviation Safety Chief Executive Officer of Airservices

Australia, 112 Chief Financial Officer, statement on financial statements, 130 Chief of Air Force, 112 cinema advertising on drone safety, 125 Civil Aviation Act 1988, 14, 26, 46, 51, 76,

88, 103 CASA functions, 76, 122, 126 establishment of Board, 77 establishment of CASA, 76 external engagement obligations, 108 notice of strategic directions under, 77 Civil Aviation Authority of New Zealand,

17, 116

delays in proposed maintenance agreement, 55 Civil Aviation Authority of Singapore, 116 Civil Aviation (Carriers’ Liability) Act 1959,

76, 126 Civil Aviation Legal Advisers Forum (ICAO), 114 Civil Aviation Legislation Amendment Act

1995, 76 Civil Aviation Order 48.1 (fatigue rules), 4, 16, 18, 24, 35; see also flight crew

fatigue rules Civil Aviation Order 82.3, 58 Civil Aviation Order 82.5, 58 Civil Aviation Order 48.1 Instrument 2019,

4, 16, 35 Civil Aviation Orders, 58, 76 Civil Aviation Regulations 1988, 48 Civil Aviation Safety Regulations 1998

(CASR), 48, 76 Part 5, 58 Part 13, 58 Part 21, 58 Part 43, 18, 53, 58 Part 47, 58 Part 60, 52, 53

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Part 61, 18, 47 Part 66, 53 Part 67, 4, 54, 58 Part 91, 58, 64 Part 103, 4, 35, 52 Part 105, 4, 52 Part 119, 58 Part 121, 35, 58 Part 131, 4, 52 Part 133, 58 Part 135, 35, 58 Part 137, 46, 58 Part 138, 35, 58 Part 139, 35 Part 141/Part 142, 73 Part 149, 4, 35, 74 Part 173, 70 Civil Aviation Safety System (CASS), 53 CLASS, internal online learning

management system, 41 classification, staff, 175-179 Client Services Centre, 54 cloud environment, migration of systems

to, 69

Code of Conduct policy, 96 investigation of breaches, 96 Comcare, 107 Comcover, 126 Commonwealth Director of Public

Prosecutions, 38 Commonwealth Electoral Act 1918, 125 Commonwealth Fraud Control

Framework, 97 Commonwealth Ombudsman, 96, 119 Commonwealth Procurement Rules, 125 Commonwealth Risk Management Policy,

94

community engagement, 108-111; see also external engagement; stakeholder engagement

Community Sponsorship Program, 126 complaints, 39, 118, 119 mechanisms to manage, 60 preventative measures, 121

processing statistics, 120-121 relating to transparency of decision making, 39 see also Industry Complaints

Commissioner Compliance assurance (Goal 1 key performance area), 27, 50 key performance indicators, 38

strategies and plans, 55-57

compliance index, 194-196 conflict of interest, 97 consultancy services, 125 consultative forums, 55, 111; see also

Aviation Safety Advisory Panel; CASA Consultation Hub; industry consultation; public consultation; stakeholder engagement contact details, inside back cover continuing airworthiness regulations,

development of, 12, 18, 53, 58, 59, 62, 110 continuous improvement strategies, 42, 65-66; see also Goal 3: Continuous

improvement of organisational performance Convention on International Civil Aviation 1944, 58, 113; see also Chicago

Convention; International Civil Aviation Organization (ICAO) coronial inquiries, 119, 186-190 corporate goals, 8, 27, 34, 50; see also Goal 1: Maintain and enhance a fair, effective and efficient safety regulation system; Goal 2: Collaborative engagement with the aviation industry and wider community to promote and support aviation safety; Goal 3: Continuous improvement of organisational performance corporate governance, 76-97; see also Goal 3: Continuous improvement of organisational performance corporate objectives, 7-8; see also CASA Corporate Plan 2019-20; key performance areas; key performance indicators Corrective Action Plans (ICAO), 32 cost-recovery arrangements, 66 Council Aviation Recovery Taskforce (ICAO), 115 counselling notices, issuing of, 38 COVID-19 pandemic CASA industry support measures, 4,

16, 17, 20, 35, 40, 57, 62, 72-73, 110 regulatory relief, 12, 14, 17, 32, 54, 60, 62, 73, 116 commitment to support recovery

post-pandemic, 14, 15, 17, 61, 115 impact on agency operations, 4, 12, 17, 19, 32, 33, 39, 45, 51, 53 delivery of safety education

programs, 32, 51, 110-111

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external engagement and consultation, 5, 55, 60, 61, 110, 111, 112, 113, 115, 116

governance functions, 94, 95, 118 people management issues, 19, 43, 44, 45, 67, 100, 102, 103, 106, 107 surveillance operations, 17, 32, 38,

56

impact on aviation industry, 14, 15, 16, 17, 38, 54, 58, 62, 126 impact on financial results, 19, 20

cultural appreciation training, 6, 44, 68, 99 Customer Relationship Management system, 60; see also myCASA portal cyber security, 43, 67 D decision-making, transparency, 39 Department of Defence, 7, 57 Department of Home Affairs, 61 Department of Infrastructure, Transport,

Regional Development and Communications, 7, 118 collaboration with, 4, 112, 116 tripartite arrangement on Australia’s

participation in ICAO, 61, 113, 114 Department of the Prime Minister and Cabinet, 118 designated aviation medical examiner

assessment guidelines, 54, 58; see also aviation medicine Develop regulatory framework (Goal 1 key performance area), 27, 50

key performance indicators, 35-36 strategies and plans, 51-53 Digital Continuity 2020 Policy, 66 Digital Transformation Agency Digital Graduate Program, 12 Director of Aviation Safety appointment to Board under Civil

Aviation Act, 77 review by, 16-18 statement on financial statements,

130

Director of Aviation Safety Achievement Award, 103, 104 Director of Public Prosecutions, referral of serious breaches to, 38 Directors General of Civil Aviation

Conference, 115 Disability Champion, 100 disability network, national, 6, 99, 101; see

also people with disability

disclosure of conflict of interest, 97 Diversity Champions Award, 68 Diversity Champions, Executive, 100 diversity, workforce, 6, 44, 68, 99-102 Drone Sponsorship Program, 126 drones

airspace risk management, 57 commercial delivery services, 57 dedicated website, 12 registration system for, 19, 20 safety awareness measures, 12, 40, 41,

63, 108-109, 110, 125, 126 see also remotely piloted aircraft systems E Early Intervention Assistance Program,

44, 108 ecologically sustainable development report, 123-125 education and awareness activities,

40-41, 62-63; see also aviation safety seminars; roadshows, aviation safety promotion; training and professional development, staff; workshops education and training programs,

staff; see training and professional development, staff Effective engagement (Goal 2 key performance area), 27, 31, 50

key performance indicators, 39 strategies and plans, 59-62 Effective Implementation Score (ICAO Universal Safety Oversight Audit

Program), 27, 32 e-learning programs, internal, 6, 41, 42, 44, 64, 94, 102-103 electronic personnel licensing,

introduction, 16 employee statistics, 7, 98, 100, 101-102, 175-179 enabling legislation, 76 e-newsletter, 40, 109-110 energy use, organisational, 124 enforceable voluntary undertakings, 122 enforcement actions, 122-123, 191-192 Enhancing pilot skills - Expect the

unexpected (AvSafety seminar theme), 110 Enhancing pilot skills in a dynamic environment (AvSafety seminar), 110 enterprise agreement, 19, 103

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Entry control (Goal 1 key performance area), 27, 50 key performance indicators, 37 strategies and plans, 54-55

Environment Protection and Biodiversity Conservation Act 1999, 123 environmental sustainability performance report, 123-125 European Aviation Processing system, 18,

33, 56

European Aviation Safety Agency, 53, 55 working arrangement with, 116 Executive Committee, 95 Executive Diversity Champions, 100 executive remuneration, 180-183 expenses, 9, 17, 21; see also financial

statements; financial summary external engagement, 108-116 external scrutiny, 118-121, 184-190 F Facebook, 33, 41, 64, 108, 109 factors affecting performance, analysis,

45

fatigue risk management system, approvals, 24 fatigue rules; see flight crew fatigue rules Federal Aviation Administration, United

States, 46-47, 116 Federal Court, 119 judicial review of administrative decisions, 186 feedback

on AvSafety seminars, 31, 62 on myCASA portal, 31, 39, 41, 59, 109 on safety education materials, 41, 63, 109

social media as mechanism for, 5, 63 see also CASA Consultation Hub; complaints; consultative forums; Industry Complaints

Commissioner; surveys female staff, 102, 177 financial outlook, 23; see also financial statements; financial summary financial position, 22; see also financial

statements financial results, 9, 17; see also financial statements; financial summary financial statements, 131-164

independent auditor’s report, 128-129 interim audit of, 42 financial summary, 19-23; see also financial statements

firefighting aircraft, urgent approvals for, 46-47 first aid training, 107 flight crew fatigue rules, 4, 14, 18, 24, 35,

40, 62 education campaign, 40, 62, 63, 110-111 impact of COVID-19 on transition to,

4, 14, 16 industry consultation, 16 flight crew licensing, 16, 18, 65 application processing, 5, 37, 54

statistics, 167-168 flight operations regulations, new, 18, 32 flight operations statistics, 166 flight personnel statistics, 167-168 Flight Safety Australia (magazine), 5, 12, 59,

64 survey of readers, 41, 63, 109 Flight Test Management system, review and enhancement, 5 flight training certificates, extensions

during COVID-19 pandemic, 12, 73 Flying in the wet season (AvSafety seminar), 110 flying training sector accident and

incident rate trends, 28, 29, 30 foreign aircraft operators, approvals for firefighting operations, 46-47 40th ICAO Assembly, 61, 62, 114 fraud awareness training, 97 Fraud Control and Integrity Plan 2019-2021,

97

Freedom of Information Act 1982, 122 freedom of information reporting obligations, 122 fuel excise revenue, 19, 20, 23; see also

financial statements full-time staff, 178-179 Future Aviation Research and

Development Program, 57 G Gender Champion, 100 gender, staff, 102, 177 general aviation sector

accident and incident rate trends, 28, 29, 30 continuing airworthiness regulations, 12, 18, 58 parliamentary inquiry into, 45 General Safety Promotion Sponsorship

Program, 126

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Geoscience Australia, 18 Global Aeronautical Distress and Safety System (ICAO), 114 Global Air Navigation Plan (ICAO), 114 Global Aviation Safety Oversight System

(ICAO), 62, 115 Global Aviation Safety Plan (ICAO), 115 Global Aviation Safety Roadmap (ICAO),

115

Goal 1: Maintain and enhance a fair, effective and efficient safety regulation system, 4, 8, 27, 34, 50 key achievements in 2019-20, 4 key performance indicators and

measures, 4, 27, 35-38 looking ahead, 58 outcomes, 51-58 strategies and plans, 50, 51-58 Goal 2: Collaborative engagement with

the aviation industry and wider community to promote and support aviation safety, 5, 8, 27, 34, 50 key achievements in 2019-20, 5 key performance indicators and

measures, 5, 27, 39-41 looking ahead, 64 outcomes, 59-64 strategies and plans, 50, 59-64 Goal 3: Continuous improvement of

organisational performance, 6, 8, 27, 34, 50 key achievements in 2019-20, 6 key performance indicators and

measures, 6, 27, 42-45 looking ahead, 69 outcomes, 65-69 strategies and plans, 50, 65-69 governance committees, 95-96

review of, 42, 65, 95 governance, corporate, 76-97; see also Goal 3: Continuous improvement of

organisational performance grants and sponsorships, 126 H Harmony Day celebrations, 100-101 Hayabusa2 spacecraft project, 61 hazards, work health and safety, 105-106 The human component (AvSafety seminar

program), 12 human resource management, 98-108

I ICAO Annex 19: Safety Management, 58, 114 ICAO APAC COVID-19 Contingency and

Recovery Planning Group, 115 ICAO Civil Aviation Legal Advisers Forum, 114 ICAO Protocol Questions, 32 ICAO Resolution A37-11, 70 ICT operating environment, 43, 67; see

also service delivery transformation program incidents per hours flown, 3, 28, 30, 32; see also accidents per hours flown Inclusion Award, 68,103 income, 17, 19, 20; see also financial

statements; financial summary indemnities and insurance, 126 independent auditor’s report (ANAO),

128-129 Indigenous Australians, CASA engagement with, 6, 44, 68, 99 Indigenous Australians, staff, 68, 100, 101,

102

Indigenous Champion, 100 Indonesia, cooperation with, 116 industry advisory panels; see Aviation Safety Advisory Panel

Industry Complaints Commissioner, 39, 119-121; see also complaints industry consultation, 16-17, 36, 39, 40, 43; see also Aviation Safety

Advisory Panel; CASA Consultation Hub; consultative forums; industry engagement industry engagement, 31, 111-112; see also Aviation Safety Advisory Panel; CASA Consultation Hub; industry consultation; stakeholder engagement information management governance arrangements, review of, 66, 69 Information Publication Scheme, 122 Information Systems Audit and Assurance Standards, 94 Infrastructure, Transport, Regional Development and Communications Portfolio, 76 infringement notices, 38, 122, 191 Innovation and Continuous Improvement Award, 103, 104 inoperative staff, 98; see also employee statistics

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insurance and indemnities, 126 interesting facts and activities in 2019-20, 10-12 interim financial audit, 42 internal audit arrangements, 94-95 International Civil Aviation Organization

(ICAO)

CASA participation in working groups, 60-62, 114-115 CASA’s obligations under, 114 International Civil Aviation Organization

(ICAO) Council, support for Australia’s position on, 61, 114 International Day Against Homophobia, Biphobia, Intersexism and

Transphobia, 101 International Day of People with Disability, 100 international engagement, 17, 60-61,

113-116 impact of COVID-19 on, 55, 60, 115, 116 see also bilateral aviation safety

arrangements; International Civil Aviation Organization (ICAO); regional engagement International Men’s Day, 100 International Organization for Standardization, 94 International Standards for the Professional Practice of Internal Auditing, 94 International Women’s Day, 100 intragovernmental engagement, 112-113 Investment Committee, 95 ISACA, 94 J Japan Aerospace Exploration Agency, 61 Japan Civil Aviation Bureau, proposed mutual recognition agreement, delays to, 55 Joint Authorities for Rulemaking on Unmanned Systems, 57 judicial decisions, 118 K key performance areas, corporate plan, 27, 50; see also Address non-compliance (Goal 1 key performance area); CASA continually develops its capability and capacity (Goal 3 key performance area); Compliance assurance (Goal 1 key performance area); Develop regulatory framework

(Goal 1 key performance area); Effective engagement (Goal 2 key performance area); Entry control (Goal 1 key performance area); Promote safety and education (Goal 2 key performance area); Robust structures, systems and processes supporting good governance (Goal 3 key performance area) key performance indicators, 27

results against, 8 Goal 1, 4, 35-38 Goal 2, 5, 39-41 Goal 3, 6, 42-45 Know Your Drone

Facebook page, 108 safety education campaign, 40, 41, 63, 108-109, 110, 126 website, 12 L Leadership Award, 103 leadership development, 45, 69; see also

manager orientation program learning management system, transition to, 12, 41, 102 legal costs, 192 length of service awards, employee, 105 letter of transmittal, 1 liability insurance, 126 licensing statistics, 166-168 LinkedIn, 41, 64, 108, 109, 110; see also

LinkedIn Learning LinkedIn Learning, 102 local governments, relationships with, 5,

60

locations, staff, 175-176 looking ahead, 58, 64, 69; see also year ahead M maintenance organisations statistics,

168-169 maintenance personnel licensing, 37, 53, 58

statistics, 169 Major Programs Board, 96 male staff, 177 management and accountability statistics,

175-192 manager orientation program, 6, 42, 94 Manuals of Standards, 35, 52, 53, 64, 76 market research and advertising, 125

expenditure, 192

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Master of Innovation and Professional Practice students, placements, 12 medical certificates, 54, 58, 64, 168 extensions during COVID-19

pandemic, 12, 14, 73 memorandum of understanding, with Australian Transport Safety Bureau, 113 mental health training, 107 merits reviews and judicial reviews,

118-119, 184-186 milestone awards, employee, 105 Minister for Infrastructure, Transport and

Regional Development, 76, 77 ministerial correspondence and submissions, 60 Ministerial directions, 77; see also

Minister’s Statement of Expectations Minister’s Statement of Expectations, 77 mission, organisational, 7 Mobile Equipment (Cape Town Convention)

Act 2013, 76 motor vehicle fleet, organisational, 123, 124, 125 mutual recognition arrangements,

international, 55, 60-61, 76, 116 impact of COVID-19 on, 55, 60, 116 myCASA portal, 16, 43, 54, 65, 69 feedback survey, 31, 39, 41, 59, 109 N NAIDOC week events, 100 national air navigation plan, future

development of, 58 National Australian Built Environment Rating System, 123 national aviation safety plan,

development, 4, 61, 62 National Health and Safety Committee, 105-106 National Reconciliation Week, 101 National Surveillance Selection Process,

36, 38, 55 net result, 20; see also financial statements; financial summary New Zealand, 54, 62, 65, 114

mutual recognition agreements with, 76 see also Civil Aviation Authority of New Zealand non-compliance, management of, 39; see

also Address non-compliance (Goal 1 key performance area) non-compliance with finance law, 122

non-English speaking background employees, 101, 102 non-ongoing employees, 7, 98, 177-179; see also employee statistics notice of strategic direction, 77 notifiable incidents, health and safety, 106 O objectives, corporate, 7 occupational health and safety; see work

health and safety, employee office locations, inside back cover Office of Parliamentary Counsel, 58 Ombudsman, Commonwealth, 96, 119 ongoing employees, 7, 177-179; see also

employee statistics online application processes, 16, 43, 67; see also myCASA portal online learning system, external, 41, 103 online services platform, 6, 16, 67; see

also myCASA portal; CASA Self Service portal operating deficit, 9, 17, 19 operating environment, 8 operating statistics, 166-174 operational colour vision assessment (OCVA), 4, 17, 54 organisational structure, 84-85 changes to, 45, 86 orientation program, staff, 6, 42, 94 outcome, portfolio, 7, 27 outcomes Goal 1, 51-58 Goal 2, 59-64 Goal 3, 65-69 see also performance reports outcomes not achieved, 17 overview, 13-24 P Pacific Aviation Safety Office, 61, 62 Pacific Islands, strategic engagement with, 114-115 Pacific Small Islands Developing States - Aviation Needs Analysis (ICAO), 62, 114-115 Pandemic Action Plan, 72 Papua New Guinea, cooperation with, 116 parliamentary accountability, 118 part-time staff, 178-179 People Committee, 95 people management, 98-108 people with disability, 6, 44, 68, 99, 101, 102

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performance criteria, 26, 27 results against, 3, 8, 28-33 see also key performance areas; key performance indicators

performance framework, 26-27 performance reports Goal 1, 35-38, 51-58 Goal 2, 39-41, 59-64

Goal 3, 42-45, 65-69 plain English guides for new regulations, 54, 64 Portfolio Additional Estimates

Statements, 23, 26 Portfolio Budget Statements, 3, 7, 8, 19, 28; see also performance criteria portfolio outcome, 3, 7, 28 Privacy Act 1988, 119 procurement, 125 professional development program;

see training and professional development, staff professional indemnity, 126 project management, of regulatory change projects, 52 Promote safety and education (Goal 2 key performance area), 27, 50 key performance indicators, 40-41 strategies and plans, 62-64 Protocol Questions Management System, implementation, 32 Psychosocial Safety Climate Program, 44, 106 public consultation, 5, 31, 33, 35, 36, 40; see also CASA Consultation Hub; consultative forums Public Governance, Performance and Accountability Act 2013, 26, 76, 77, 82, 94, 97 reporting obligations under, 26, 76, 77, 82 Public Governance, Performance and Accountability Rule 2014, 26, 45, 97, 122 Public Interest Disclosure Act 2013, 96 public interest disclosure policy, 96 purchasing, 125 Q questions on notice, 118 R ramp inspections, foreign aircraft operators, 62 recognition and reward scheme, 45, 68, 69, 103-105

Reconciliation Action Plan Working Group, 6, 68, 100 recruitment, staff, 6, 69 recycling, waste, 123, 124, 125 regional airspace and procedures

advisory committees, 111-112 publication of minutes on website, 40 Regional Aviation Safety Group - Asia and Pacific Regions (ICAO), 61, 62, 115 regional engagement, 111-112; see also

Asia-Pacific region, engagement in; international engagement Regulator Performance Framework, 118 external validation panel, 118 regulatory and technical training, 103;

see also training and professional development, staff Regulatory Management System, rebranding, 53 regulatory philosophy

implementation of, 50, 51 monitoring compliance with, 38, 51 workshops, 51 regulatory reform program, completion, 4, 14, 16, 48, 52 Regulatory Reset training sessions, 51 Regulatory Services and Surveillance Transformation Program, 18, 33, 40, 56, 58 Rehabilitation Directive, 108 Rehabilitation Management Procedures, 108 related entity transactions, 126 remote working arrangements, CASA staff, 12, 43, 67, 69 remotely piloted aircraft systems, 14, 60, 67 registration and accreditation of, 4, 16,

35, 43, 52 safety oversight of, 18 see also drones remuneration

Board Audit and Risk Committee, 82-83 COVID-19 pause on increases, 19, 103 key management personnel, 155,

180-81 other highly paid staff, 183 senior managers, 182 see also enterprise agreement responsible minister, 76 retention, staff; see turnover, staff rewards and recognition scheme, staff,

45, 68, 69, 103-105

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risk management, 66, 94 staff awareness initiatives, 6, 42, 45, 66, 94 see also sector risk profiling

roadshows, aviation safety promotion, 62, 63, 110-111 Robust structures, systems and processes supporting good

governance (Goal 3 key performance area), 27, 50 key performance indicators, 42-45 strategies and plans, 65-67 role and functions, organisational, 7, 9, 76 Royal Australian Air Force, 112 Royal Flying Doctor Service of Australia

Western Operations, 24 Royal Melbourne Institute of Technology University, 57 S Safe skies for all (vision), 7, 18, 94, 118 Safety Information Monitoring System

Ramp Inspections Data Sharing Project (ICAO), 62, 115 Safety Sector Risk Profile Program, 36, 53 satellite-based augmentation system, 71 Secretary of the Department of Infrastructure, Transport, Regional Development and Communications, 112 sector risk profiling, 36, 53 self-administering organisations, 41, 52, 109 new regulations for, 4, 35, 74 self service portal, 5; see also myCASA portal seminars and webinars; see AvSafety seminar program; webinars Senate Rural and Regional Affairs and Transport Legislation Committee, 118 senior management appointments and departures, 86 remuneration, 155, 182-183 roles and responsibilities, 87-93 service delivery standards, 27, 33, 37 improvements in, 5, 37, 58 see also service delivery

transformation program service delivery transformation program, 37, 43, 54, 58, 67, 69 significant activities and changes, 122 snapshot of results, 3-6; see also

interesting facts and activities in 2019-20

social media, 33, 41, 108-109 use to promote safety information, 63, 64, 108-109

sponsorships and grants, 126 sport and recreational sector, 35, 48, 52 staff recruitment, 6, 69 staff statistics; see employee statistics staff training; see training and professional

development, staff staff turnover, 95, 99 stakeholder engagement, 31, 33, 36,

39-41, 108-111; see also Effective engagement (Goal 2 key performance area); external engagement; industry engagement; stakeholder engagement survey stakeholder engagement survey, 33, 39

delay due to COVID-19, 39 Standards and Recommended Practices (ICAO), 62, 113, 114 Standards Australia, 94 Standing Notice of Material Personal

Interest (Board Members), 97 state and territory governments, relationships with, 60, 111-112 State of chief importance (ICAO), 61, 114 State Safety Program, Australia’s, 4, 58,

61, 113; see also State Safety Programs (ICAO) State Safety Programs (ICAO), 114; see also State Safety Program, Australia’s Statement of Expectations, Minister’s, 77 statement of preparation, 26 statement of reasons for decisions,

publication of, 39 statutory authority, CASA as, 76, 118 Stephen Guerin Scholarship, 126 strategic risk profile and appetite, 94 structure, organisational, 84-85

changes to, 45, 86 Sunshine Coast Airport, commissioning of new runway, 4, 57, 71 surveillance manual, 55, 56 surveillance operations, 17, 38

impact of COVID-19 on, 17, 32, 38, 56 new approach to, 55, 56 policies and procedures, 32 see also National Surveillance Selection

Process; Regulatory Services and Surveillance Transformation Program

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surveys, 41 safety publication readers, 41, 63, 109 stakeholder engagement, 33, 39 see also feedback

sustainable funding strategy, requirement to prepare, 66 synthetic training devices, standards for, 52, 53 T training and professional development,

staff, 41, 44, 69, 102-103 cultural appreciation, 6, 44, 68, 99 impact of COVID-19 on, 44, 102 information management, 66 work health and safety, 107 see also e-learning programs, internal training certificates, statistics, 174 transmittal letter, 1 transparency

of decision-making, 39 of engagement, 27, 28, 33, 59 of ICT systems, 43 Transport Canada, 116 Transport Safety Investigation Act 2003, 76, 113 trends, aviation accidents and incidents, 3, 28-30, 32 tripartite arrangement on Australia’s participation in ICAO, 61, 113, 114 turnover, staff, 99 2020 Asia-Pacific Bilateral Partners Dialogue Meeting, postponement due to COVID-19, 55 Twitter, 33, 41, 108 2019-20 Infrastructure, Regional Development and Cities Portfolio Budget Statements, 26, 28; see also Portfolio Budget Statements 2019-20 Mid-Year Economic and Fiscal Outlook update, 66 U United States Federal Aviation Administration, 46-47, 116 United States National Aeronautics and Space Administration, 61 Universal Safety Oversight Audit Programme (ICAO), 27, 32, 114 University of South Australia, 106 unplanned absences, employee, 99

V validation panel, Regulator Performance Framework, 118 values, organisational, 8; see also Code of

Conduct policy videoconferencing/teleconferencing, due to COVID-19 restrictions, 31, 43, 59, 67,

72, 100, 112, 113 vision, 7, 18, 94, 118 W waste management, organisational, 123,

124, 125 webinars, 101, 110; see also AvSafety seminar program website, 33, 59

information for recreational drone users, 12, 108, 109, 110 (see also Know Your Drone)

publication of policy documents and guidelines, 39, 40 publication of regulatory changes, 40, 111 publication of technical working group

minutes, 36, 40 review of content, 39 safety promotion material, 41, 111 wet season, flight safety issues, 110 whole-of-government initiatives, 18, 66 wireless access network upgrade, 43 Work Health and Safety Act 2011, 105 work health and safety, employee,

105-108 work health and safety risk register, 106 workers’ compensation, 107, 108 workforce diversity and inclusion, 6, 44,

68, 99-102 workforce planning, 68 working from home arrangements due to

COVID-19, 12, 43, 67, 69, 107 workplace agreement, 19, 103 workshops, 106, 115

Board, 94 program risk assessment, 6, 42, 94 regulatory philosophy, 51 Y year ahead, 17-18; see also looking ahead YouTube, 33, 41, 108, 110

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Acknowledgements Drafted by: Philippa Woonton and Cathy Koch

Assisted by: Rebecca Neish and Damitha Senanayake

Design: Fiona Scheidel and Melissa Jones

Editing: WordsWorth Writing Pty Ltd

Printing: CanPrint Communications Pty Ltd

Thank you to all contributors and divisional coordinators for your invaluable support and input throughout the development and drafting process.

Contact details Civil Aviation Safety Authority GPO Box 2005 Canberra ACT 2601 AUSTRALIA

Phone 131 757

Email casa.corporate.reporting@casa.gov.au

This report and other CASA corporate publications can be accessed online at casa.gov.au

More information CASA regulatory instruments and publications can be accessed on CASA’s website. All proposed regulatory changes and related consultation documents for 2019-20 are published on the website and can be accessed at casa.gov.au/newrules

Australasian Reporting Awards recognition for CASA

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CASA National Headquarters Aviation House 16 Furzer Street Phillip ACT 2606 GPO Box 2005 Canberra 2601

Phone: 131 757 casa.gov.au

2019 -20