ICAO Audit Findings and Recommendations Relating to Primary Aviation Legislation and Civil Aviation Regulations

• LEG / 01 General statement relating to differences
• LEG / 02 Establish surveillance regulatory basis and timetable

General statement relating to differences

Primary Aviation Legislation and Civil Aviation Regulations

(Original copy signed by Richard G Yates, Assistant Director, Aviation Safety Standards, dated 13 October 1999)

LEG/01a:

• ICAO Recommendations
  The Civil Aviation Safety Authority (CASA) of Australia should review the requirements contained in its Regulation and Orders to ensure full conformance with the Standards and Recommended Practices (SARPs) contained in Annexes 1, 6 and 8.
• Australia's Comments and Observations
  Agree, unless Australia (CASA) decides to notify a difference in relation to a particular standard or recommended practice.
  See comments against LEG/01b.
• Immediate Action
  1. Where necessary, consult with industry on whether or not a difference should be notified or rectified.
  2. Start programs for changes to existing legislation of those differences to be rectified.
  3. Alert regulatory framework program to other differences that need to be incorporated into the rewrite of the CARs.
• Short-Term Action
  1. Where appropriate, CASA will notify industry and CASA personnel of the differences with a view to adopting interim practical solutions.
  2. Consideration of those departures from SARPs that should be the subject of a notified difference has begun.
  3. Target date for notifications: 1 January 2000.
• Long-Term Action
  Complete program of rewriting the CARs and monitor changes in ICAO SARPs to ensure future conformance.

LEG/01b:

• ICAO Recommendations
  If the rules and procedures established by CASA do not conform to the Standards contained in Annexes 1, 6 and 8, the State is required to notify ICAO of existing differences in accordance with Article 38 of the Convention on International Civil Aviation.
• Australia's Comments and Observations
  Agree.
• Immediate Action
  Decide which identified departures from SARPs should be the subject of a notified difference.
  Target date: 1 January 2000.
• Short-Term Action
  Develop programs for monitoring future changes to SARPs to ensure that Australia remains compliant.
• Long-Term Action
  Implement changes to SARPs identified by short term program to ensure future conformance.

LEG/01c:

• ICAO Recommendations
  Significant differences identified in relation with SARPs should also be included in the national Aeronautical Information Publication (AIP) in accordance with Annex 15, paragraph 4.1.2 c.
• Australia's Comments and Observations
  Agree.
• Immediate Action
  Develop programs for monitoring future changes to SARPs to ensure that significant differences are included in the AIP.
• Short-Term Action
  Notify differences to ICAO by 30 November 1999.
  Decide which identified differences are significant and incorporate into AIP.
  Target date: 30 November 1999.
• Long-Term Action
  Implement future program to ensure significant differences are included in the AIP.
  Implement changes to SARPs identified by short term program to ensure future conformance.

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Establish surveillance regulatory basis and timetable

Primary Aviation Legislation and Civil Aviation Regulations

(Original copy signed by Richard G Yates, Assistant Director, Aviation Safety Standards, dated 13 October 1999)

LEG/02:

• ICAO Recommendations
  CASA should establish a sound regulatory basis and develop adequate guidance material before structuring a transition plan from one system of surveillance to the other. CASA should also establish a manageable timetable for the implementation of such a transition.
• Australia's Comments and Observations
  1. Sound regulatory basis currently exists in CAA 28(1) and CAA 28BE (copies attached). However, some areas of regulatory oversight guidance and actual audit practices are not synchronised.
  2. CASA is currently conducting surveillance in areas where surveillance has been conducted in the past, but utilising teams of inspectors and specialists against current regulations.
  3. The Act requires various things of AOC holders.
  4. CASA is extending the traditional areas of surveillance to ensure that there is compliance with CAA 28(1)(b) and CAA28BE(1)(3)
  5. CASA has a timetable and full project plan which extend over two years for the implementation of the transition from inspection based surveillance to system based. This includes project review meetings, monitoring and feedback elements.
  6. CASA is not basing its audit system safety solely on operators internal QA systems.
• Immediate Action
  Review meeting held 8 September 99 to review first round of surveillance (3 audits).
  Intend to review the project plan on the basis of findings.
• Short-Term Action
  Continuing with the process.
• Long-Term Action
  Continue with project plan.