Beruflich Dokumente
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This is an internal CASA policy manual. It contains guidance material intended to assist CASA officers
and delegates in carrying out their regulatory responsibilities and is available to the public for
information purposes only.
You should not rely on this manual as a legal reference. You should refer to the Civil Aviation Act, Civil
Aviation Regulations, Civil Aviation Orders and other legislative instruments, to ascertain the
requirements of, and the obligations imposed by or under, the civil aviation legislation.
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Manager,
Flight Crew Licensing,
Flight Standards Branch
Responsible Manager
Executive Manager,
Standards Division
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Manager
Flight Standards Branch
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To ensure that this handbook remains current, it is to be reviewed by the Manager, Flight
Crew Licensing (Flight Standards Branch) every two years. In addition, the handbook is to
be amended as soon as possible to reflect:
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Amendment/Revision Table
Revision History
Note: The revision history shows the most recent amendment first. Scroll down the table to
view details of previous amendment information.
Chapter/Section
Description of Amendment
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Version Date
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Temporary Revisions
The following Temporary Management Instructions (TMIs) are applicable to this version of
the Manual. These revisions will be incorporated into the next released version.
Issued By
Description
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Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures will be conducive to the achievement of these outcomes.
From time to time, however, decision-makers will encounter situations in which the strict
application of policy, in the making of a decision involving the exercise of discretion, would
not be appropriate. Indeed, in some cases, the inflexible application of policy may itself be
unlawful.
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This preface and the following Introduction, explains the way in which the policy and
processes set out in this manual are to be used by all CASAs personnel when making
decisions in the performance of their functions, the exercise of their powers and the
discharge of their duties. It also explains the processes to be followed if it appears that a
departure from policy is necessary or appropriate.
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This manual is one of the set of manuals and other documents which comprise CASAs
authorised document set. The authorised document set contains the policy, processes and
procedures with which CASA personnel are expected to comply when performing assigned
tasks. All CASA personnel are required to have regard to the policies set out in this manual.
Except as described in the Introduction, CASA decision-makers should not depart from
these policies, processes and procedures.
John F. McCormick
Director of Aviation Safety
Page 4 of 197
Introduction
Regulatory Decision Making
Where the legislation provides for one, and only one decisionthe correct decisionis the
only decision open to CASA. However, most of the decisions CASA makes involve the
exercise of discretion. In such cases, there may well be more than one acceptable or
correct decision. In these cases, the law requires that CASA makes the preferable
decision, that is, the most appropriate decision, having regard to the overriding interests of
safety and the obligation to be fair.
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In all such cases, CASA is bound to act in accordance with the applicable rules of
administrative law. These rules govern how CASA arrives at the preferable decision in any
given case. Adherence to these rules is a requirement, not an option. Decisions and
actions taken in contravention of these rules are unlawful, unenforceable, and in most cases
invalid. CASA is legally accountable for the decisions it makes, and CASA decision-makers
are obliged to avoid the appearance, as much as the reality, of unlawful decision-making.
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2. A decision-maker must not act for improper purposes. Even if the purposes for which
a particular decision are lawful, the decision may only be taken for the purposes
specifically authorised by the law under which the decision has been taken.
3. A decision-maker must not take any irrelevant considerations into account in coming
to a decision.
4. A decision-maker must take all relevant considerations into account in coming to a
decision.
Note:
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10. A decision maker must not act in a way that is manifestly unreasonable. A decision
must not be so unreasonable that no reasonable person would make such a
decision.
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Note: The meaning and application of these principles, and related considerations of
administrative law, are covered more fully in the induction and orientation training undertaken
by all CASA employees. Any questions in relation to these matters should be referred to the
Legal Services Division.
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Any departure from policy must be justified in order to ensure that it:
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Consultation Process
Decision-Makers Responsibilities
When a decision-maker believes there is a need to depart from policy he or she is expected
to consult with his or her direct supervisor. This process should be initiated in writing:
Setting out the pertinent facts and circumstances
Stating why the application of that policy would not result in the making of the
preferable decision in the circumstances to hand
Supervisors Responsibilities
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If, in the opinion of the supervisor, the circumstances do not warrant a departure
from policy, provide the decision-maker with written advice and guidance as to
how the decision might more properly be approached within the current policy
framework
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If, in the opinion of the supervisor, a departure from policy is warranted, the
supervisor should ensure the policy sponsor (normally the relevant Executive
Manager) is advised of:
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Note: Reliance on relevant precedent is a sound basis on which to ground such an opinion.
It may also be helpful to seek advice from peers, superiors and/or CASAs Legal Services
Division.
The supervisor should ensure that a full written record of these actions is made and
maintained.
Note: In no case may the terms of decision be dictated to a delegate authorised to exercise
discretionary decision-making powers.
If a decision-makers supervisor or the policy sponsor is not satisfied that the decision the
decision-maker intends to make is the correct or preferable decision in all the circumstances,
responsibility for that decision should be assumed by, or assigned to, another authorised
delegate in accordance with appropriate processes and procedures.
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Ensure that the decision-maker and any person affected by the decision (for
which the policy sponsor has assumed responsibility) is advised accordingly
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The policy sponsor should ensure that a full written record of these actions is made and
maintained.
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Nothing in these processes should be interpreted or applied so as to dictate the terms of the
decision to be made by a decision-maker authorised to make discretionary decisions under
the civil aviation legislation, or to delay unreasonably the making of such decisions.
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As a result of experience in applying policies and procedures, users will form views as to
accuracy, relevance and applicability of the content.
CASA personnel are required to provide recommendations for revisions to policies and
processes in this or any other manual should they become aware of shortcomings. In this
way the policies and manuals will be continually improved and remain relevant to the tasks
being undertaken.
Each policy and manual has a sponsor and recommendations for amendment are to be
forwarded to the relevant individual for consideration. The revision process can be accessed
via the link <casaconnect/manuals/doc_control/process.htm>
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Table of Contents
Management of this Handbook .................................................................................. 2
Amendment/Revision Table ....................................................................................... 3
Director of Aviation Safety Preface ............................................................................ 4
PART A Introduction to this Handbook .................................................................. 16
A1
A1.2
A1.3
A1.4
A1.5
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A2
A1.1
Glossary ...................................................................................................... 18
Key Words ........................................................................................................ 18
A2.2
A2.3
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A3
A2.1
A3.2
A4
A3.1
A4.1
Background ...................................................................................................... 21
A4.2
A4.3
A4.4
A4.5
A5
A5.1
Background ...................................................................................................... 23
A5.2
A6
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B2
B2.1
B2.2
B2.3
Approvals .......................................................................................................... 26
B3
C1.1
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C1
Name ........................................................................................................................... 27
C1.1.2
C1.1.3
C1.2
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C1.1.1
C1.2.2
Chain of Command...................................................................................................... 30
C1.2.3
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C1.2.1
C1.3
C1.4
C1.4.2
General ........................................................................................................................ 35
C1.4.1
C1.4.3
C1.4.4
C1.5
C1.5.1
C1.5.2
Experience ................................................................................................................... 41
C1.5.3
C1.5.4
Responsibilities ............................................................................................................ 44
C1.5.5
C1.5.6
C1.6
C1.6.1
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C1.6.2
C1.6.3
Responsibilities ............................................................................................................ 56
C1.6.4
C1.6.5
C1.7
C1.7.2
Experience ................................................................................................................... 69
C1.7.3
C1.7.4
Responsibilities ............................................................................................................ 72
C1.7.5
C1.7.6
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C1.8
C1.7.1
C1.8.2
Experience ................................................................................................................... 75
C1.8.3
C1.8.4
Responsibilities ............................................................................................................ 78
C1.8.5
C1.8.6
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Other Personnel................................................................................................ 81
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C1.9
C1.8.1
C1.9.1
C1.9.2
C2
C2.1
C2.2
C2.3
Aircraft .............................................................................................................. 86
C2.3.1
C2.3.2
C2.3.3
C2.4
C2.4.1
Description ................................................................................................................... 89
C2.4.2
C2.5
Facilities............................................................................................................ 91
C2.5.1
Description ................................................................................................................... 92
C2.5.2
Suitability ..................................................................................................................... 92
Page 11 of 197
C2.5.3
C3
C3.1
C3.1.2
C3.1.3
C3.1.4
C3.1.5
C3.1.6
C3.1.7
C3.1.8
C3.1.9
C3.1.10
Approval of Solo Training Flights - Other than Student Pilots ................................... 111
C3.1.11
C3.1.12
C3.1.13
C3.1.14
C3.1.15
C3.1.16
C3.1.17
C3.1.18
C3.1.19
C3.1.20
C3.2
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C3.1.21
C3.1.1
C3.2.1
C3.2.2
C3.2.3
C3.2.4
C3.2.5
C3.2.6
C3.2.7
C3.2.8
C3.2.9
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C3.2.10
C3.3
C3.3.1
C3.4
C3.4.2
C3.4.3
C3.4.4
C3.4.5
C3.4.6
C3.4.7
C3.4.8
C3.4.9
C3.4.10
C3.4.11
C3.4.12
C3.4.13
C3.4.14
C3.4.15
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C3.5
C3.4.1
C3.5.2
C3.5.3
C3.6
C3.5.1
C3.6.1
C3.6.2
C3.7
C3.8
C3.9
C3.9.1
C3.9.2
C3.10
C3.10.1
C3.10.2
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C3.10.3
C3.10.4
C3.10.5
C3.11
C3.12
C4
C4.1
C4.1.2
C4.1.3
C4.1.4
C4.1.5
C4.1.6
C4.1.7
C4.1.8
C4.1.9
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C4.2
C4.1.1
C4.2.2
C4.3
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C4.2.1
C4.3.2
C4.3.3
C4.3.1
C4.3.4
C4.3.5
C4.4
C4.4.1
C4.4.2
C4.5
C4.5.1
C4.5.2
C5
C5.1
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CASA has developed this handbook, in conjunction with its associated worksheet, to provide
a consistent assessment method for CASA technical assessors to assess applications for
compliance with the Civil Aviation Regulations 1988 (CAR) or the Civil Aviation Safety
Regulations 1998 (CASR).
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CASA does not expect its technical assessors to interpret legislation; this handbook provides
the necessary information relating to CASA standards, interpretations and explanations of
the law. CASA does, however, expect that its assessors will apply reasonable and
professional judgment in using this handbook during an assessment of legislative
requirements.
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A1.1
The primary audience for this handbook is suitably qualified, trained and experienced CASA
Flying Operations Inspectors (FOIs) and Safety Systems Inspectors (SSIs) who are required
to determine if an applicant has met the requirements specified in Part 142 of CASR.
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This handbook may also be used or referenced by CASA delegates and authorised persons,
who exercise powers under Part 142 of CASR, to issue a Part 142 authorisation.
For the purposes of this handbook, FOIs and SSIs are referred to as Technical Assessors.
A1.2
Page 16 of 197
Use the worksheet to undertake a standardised and unified entry control assessment of an
operators Part 142 exposition; documenting an auditable record of the decisions and
rationale against each of the assessment questions. Use the standardised legislation, policy
and philosophy statements contained in this handbook to thoroughly understand the
legislative requirements; thereby aiding a standardised decision-making process.
A1.3
This handbook and its associated worksheet only cover the technical aspects of assessing
an entry control application.
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The handbook includes the process and assessment elements for assessing an applicants
proposed exposition for compliance with regulation 142.340 of CASR, and for ensuring that
the applicant can conduct the proposed activities safely and in accordance with its exposition
and civil aviation legislation. The worksheet articulates the standardised assessment criteria
via a series of legislative questions, and is an auditable tool of the complex decision making
that occurs during the assessment.
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This handbook has been developed in parts for ease of use by the assessor. Part A includes
introductory and policy information, Part B includes information on the assessment process
and Part C describes the things for consideration which correspond to the assessment
questions in the associated assessor worksheet.
This handbook does not cover how an assessor will make a decision about whether CASA
should grant a Part 142 authorisation. It assumes that Technical Assessors are suitably
qualified, trained and experienced in accurately assessing the quality of an application for
the purposes of ensuring satisfactory compliance.
Although this handbook provides guidance information, the ultimate decision must be made
by the assessor as to whether the information presented is suitable, complies with relevant
legislation and does not impose safety concerns.
The systems that surround the technical aspects of assessing an entry control application
are not covered in this handbook and are the responsibility of other CASA divisions; this
includes the administrative tasks for receipt of an application and issue of a final permission,
or ongoing surveillance activities.
A1.5
To obtain further assistance with any of the information contained within this handbook and
associated appendices, contact the Flight Standards Branch, Standards Division.
Page 17 of 197
A2
Glossary
This section provides a list of definitions and abbreviations used throughout this handbook.
A2.1
Key Words
This handbook, and its associated worksheet, uses the following key words to convey
requirement levels. This section defines those key words as they should be interpreted in the
handbook and worksheet.
Must: used to define an obligation. The term is used to convey the regulatory requirements.
Must is used sparingly in the handbooks things for consideration section to re-iterate
legislative requirements.
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Should: used to signify a recommendation. The term is typically used in the handbooks
things for consideration section to denote those items that CASA recommends an assessor
considers in making a decision regarding the quality and suitability of an application.
A2.2
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May: used to signify something that is permitted, but not required. The term is often used in
the handbooks things for consideration section to denote items that are optional and is
often followed by examples of how an applicant may demonstrate those items.
Definition of Terms
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Technical Assessor: For the purposes of this handbook, the term refers to a CASA FOI or
SSI who is suitably qualified, trained and experienced in undertaking an assessment of Part
142 requirements.
Technical Assessor Worksheet: a Microsoft Excel spreadsheet, containing various sorting
and filtering functionality, for recording outcomes and decisions to legislative assessment
questions.
A2.3
AC
Advisory Circular
AOC
ARN
CAAP
CAO
CAR
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CRM
DAMP
ERP
FDAP
FOI
FSB
FSTD
HF
Human Factors
HF&NTS
ICAO
LOSA
MCC
MOS
Manual of Standards
QTG
SAG
SLA
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SMS
CASR
SOPs
SRB
SSI
STOM
TEM
TNA
VFR
VMC
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A3
A3.1
This handbook supports and partners with the following CASA regulatory and technical
documentation:
Civil Aviation Act 1988 (the Act)
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A3.2
The following material has been referenced during the development of, and/or is associated
with, this handbook:
CASA Application for a Part 142 authorisation
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A4
This section provides an overview of the CASR Part 142 assessment, including background
information regarding the regulatory and assessment process and a series of policy
statements in relation to undertaking the assessment.
Background
A4.1
Part 142 of CASR makes provision for the authorisation of flight training organisations to
conduct any of the following Part 142 activities:
A4.2
contracted checking.
Part 142 flight training is any of the following kinds of flight training:
1. An integrated training course for the grant under Part 61 of a private pilot licence or
commercial pilot licence.
2. Training for the grant under Part 61 of a multi-crew pilot licence, air transport pilot
licence or flight engineer licence.
Page 21 of 197
that is for the grant under Part 61 of a flight crew rating that is not a type
rating mentioned in a legislative instrument under regulation 142.045
(ii)
5. Training for the grant under Part 61 of a flight crew endorsement that is conducted as
a multi-crew operation
(ii)
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(i)
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A4.3
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7. Differences training:
Contracted recurrent training is recurrent training conducted by a Part 142 operator for the
personnel of a contracting operator, to ensure the personnel are competent to carry out their
responsibilities.
Contracted Checking
A4.4
A4.5
Training courses for the grant of all Part 61 licences, ratings and endorsements must be
competency based and must use the competency standards listed in the Part 61 Manual of
Standards (MOS).
Page 22 of 197
A5
A5.1
Background
This handbook addresses aviation safety related processes and activities of a CASR Part
142 operator; rather than the occupational health and safety, environmental protection,
quality management systems or security systems. The operator is responsible for the safe
conduct of its authorised Part 142 activities and the safety of services provided by third party
suppliers.
As specified in CASR Part 142, a Part 142 operator must have a Safety Management
System (SMS). The SMS should be commensurate with the size and complexity of the
organisation to ensure hazards are identified and risks are assessed and mitigated.
a safety risk management system which includes hazard identification and risk
assessment and mitigation processes
a safety training and promotion system to enable SMS training, education and
communication to all of the organisations employees.
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A5.2
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Integration Considerations
SMS goes beyond a traditional quality management system by focussing on the safety,
human and organisational aspects of an organisation. Within an SMS there is a distinct
focus on operational safety, and the human element in the system. Therefore, the integration
of Human Factors (HF) into the SMS is a key objective of the operators SMS program.
Although the coordination and integration process may be a challenging task for many
operators, and could impact on the ability to successfully implement an SMS program in the
short to medium term, an alternative would be to plan for integration once the SMS is initially
established within the organisation. This can be accomplished by a phased approach
through the organisations SMS implementation plan.
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A6
1. This handbook and its associated worksheet are internal CASA assessment tools for
a technical assessor to use in undertaking an assessment for compliance against
Part 142 of CASR. They are not designed as a compliance statement for industry
and therefore should not be provided to industry.
2. It is CASA policy that this handbook be the principle reference when assessing
compliance with Part 142 of CASR, as such this handbook must be used to assess a
Part 142 operator.
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3. The questions in the assessor worksheet are the minimum requirements that an
assessor must consider before making a recommendation to a CASA delegate
regarding the grant of a Part 142 authorisation. Each question in the worksheet must
be assessed and the technical assessor must include detailed comments/rationale of
their decisions made.
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B2
Assessment Overview
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This section provides a high level overview of the logical flow and assessment elements
involved in the technical assessment of a Part 142 operator exposition.
B2.1
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3. Contracted Checking.
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A person must apply to CASA for authorisation to conduct any of the following Part 142
activities:
Depending on the complexity of the organisation and proposed activities, an applicant may
be required to attend a preliminary application meeting with a CASA regional office, prior to
the commencement of the technical assessment. Any such arrangements will be advised by
the Industry Permissions or Operations Divisions, as necessary.
B2.2
The assessment of a Part 142 operator exposition will involve verification of the applicants
claims through a range of activities. Such activities will include:
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In many instances, the desktop assessment may appear to merely require a simple yes or
no, in response to a worksheet question about the inclusion of required content in an
exposition or manual. However, an assessor is obliged to go further and make a qualitative
assessment of the suitability of policies and processes proposed by the applicant.
CASA must be satisfied (under section 28 of the Act for issue of an Air Operators Certificate
(AOC), and under regulation 142.110(1)(f) of CASR for issue of a certificate) about suitable
procedures and practices to control the organisation and ensure the activities can be
conducted safely. Unless suitability is assessed, inferior procedures detrimental to training
may pass into practice.
B2.3
Approvals
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Before finalising an assessment of a Part 142 operator, the technical assessor must
determine any limitations or conditions for the authorisation in relation to those activities;
having regard to the nature of the proposed activities and the applicants ability to conduct
the activities safely.
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Once determined, the technical assessor should ensure that all decisions, conditions and
limitations are recorded in the Part 142 Assessment Worksheet.
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B3
The technical assessor is also required to comply with any specific instructions issued by the
Industry Permissions or Operations Divisions in relation to preparing a recommendation, or
other requirements, for the issue of a Part 142 authorisation (certificate or AOC).
Where re-authorisation is required, the assessment process involves using the same
procedures utilised for the initial authorisation. However, the procedures should be suitably
modified to focus on the difference between the approved elements and the change that
drove the re-approval/review requirement.
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EXPOSITION PART 1
ORGANISATION AND PERSONNEL
This part of the assessment evaluates the information the applicant must provide within its
exposition in relation to its organisation, including the organisational structure and personnel
details.
C1.1
Operator Details
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References
CASR: 142.340(1)
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Introduction
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To enable CASA to maintain ongoing contact with the applicant in relation to the conduct of
the activities, and in accordance with subregulations 142.340(1)(a) and (b) of CASR, the
exposition must include the name, address and contact details of the applicant.
The following information may be of value in determining if the applicant has adequately
described their name, address and contact details within the exposition.
C1.1.1
Name
If the applicant has used the CASA Part 142 sample exposition structure, the
name and contact details will be located in Part 1, paragraph 1.3 of the
exposition.
If the applicant does not intend to trade under its own entity name (e.g. individual,
partnership or company name), the registered business name and Australian
Business Number must be included.
C1.1.2
Contact Details
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the physical work address, phone numbers and email addresses for all
key personnel
the physical work address, phone numbers and email addresses for the
persons responsible for communications with CASA in relation to the
conduct of the activities.
The phone numbers and email address for the manager/senior base pilot (if any)
at each training base may also be provided.
C1.1.3
The physical address and phone number/s for each training base proposed to be
used in the conduct of activities must be included in the exposition.
Organisational Structure
C1.2
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References
Introduction
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CAA: section 28
CASR: 142.110, Subpart 142.D, 142.340(1)(c)
An applicant for an authorisation under CASR Part 142 must demonstrate that its
organisation comprises of sufficient resources and procedures to adequately support the
proposed Part 142 activities.
Under section 28(1)(b)(i) of the Civil Aviation Act 1988 (the Act) and subregulation
142.110(1)(b) of CASR, CASA must be satisfied that the applicants organisation is suitable
to ensure that the activities can be conducted safety - having regard to the nature of the
activities. CASA must also be satisfied that the organisation has the ability to continue to
meet these requirements.
In order to assist CASA in making such a determination, the applicant must describe its
organisational structure within its exposition.
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C1.2.1
The detail required for the description and diagram will vary dependent upon the size and
complexity of the organisation. An assessor should expect to see a diverse range of
structures.
Description
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Position titles for key personnel, managers, and instructors having responsibility
for particular Part 142 flight training, may be described.
If the applicant has chosen to use titles for key personnel positions that are
alternative to those described in CASR Part 142, the applicant must identify
which titles are equivalent to the regulatory titles. These may be provided within
the description.
The description may include the position titles that have management
responsibility for each functional element of the Part 142 operation. The chain of
command and reporting structure of the organisation may be included
(considerations in relation to the chain of command are available in
section C1.2.2 of this handbook). The applicant may also identify the supervisory
positions within the organisation.
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(b)
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(a)
Diagram
More than one diagram may be included in the exposition in order to provide a
comprehensive understanding of the whole organisation. This may be required
for large and complex organisations with multiple departments and long reporting
lines.
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a direct reporting line from the safety manager to the chief executive
officer, or a direct reporting line from the safety manager to senior
management with a formal direct line of communication with the chief
executive officer
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all key personnel positions (providing evidence that all positions have
been filled)
The diagram may also include communication lines, for example the line of
communication between the head of operations and the safety manager.
Chain of Command
C1.2.2
The diagram should clearly depict the management and reporting structure of the
organisation, including:
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The organisational structure is the basis for the organisations chain of command.
The chain of command provides the reporting structure of the organisation and
must be appropriate to ensure that the activities can be conducted safely.
The applicants chief executive officer should be positioned at the pinnacle of the
organisational hierarchy, demonstrating the overall responsibility and
accountability of the position.
Evidence that flight instructors and examiners will report to the head of operations
should be included; this may be demonstrated through direct or indirect reporting
lines which ultimately lead to the head of operations.
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To ensure that each managerial position has a suitable span of control, the
applicants organisational structure should demonstrate that the number of
managerial positions is appropriate to the size and scope of the proposed
operations. Whilst it is for the applicant to determine the level of responsibility for
each management position, an example of a suitable structure may be where a
management position does not have more than 7-9 direct reports.
C1.2.3
Organisational Design
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To ensure the safe and effective management of the proposed Part 142 activities, the
applicants organisational structure must take into account the matters mentioned in
regulation 142.160 of CASR. The considerations for these matters are discussed under the
subsequent headings to this section.
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If the applicant has followed the CASA sample exposition structure, the proposed
activities will be listed in Part 1, paragraph 1.4 of the exposition.
(a)
(b)
Numbers and Kinds of Aircraft and Flight Simulation Training Devices Used
If the applicant has followed the CASA Part 142 sample exposition, the aircraft
and Flight Simulation Training Devices (FSTDs) to be used in the activities will be
set out in Part 2, paragraphs 2.1 and 2.2 of the exposition.
If the applicants fleet is large and contains multiple types, the applicant may
choose to appoint individual fleet training managers as responsible for aircraft
and FSTDs of a particular type. This may include the incorporation of separate
departments into the applicants organisational structure, as discussed in section
C1.2.3(a) of this handbook.
Page 31 of 197
If the applicant has followed the CASA Part 142 sample exposition, details of the
applicants training bases (and operational headquarters) will be listed in Part 1,
paragraph 1.3 of the exposition.
se
Number of Personnel
Where the direct supervision of personnel is not able to be provided by the head
of operations due to the number or location of personnel, the applicant may have
appointed additional managers and supervisors to provide direct supervision on
behalf of the head of operations.
AS
A
(d)
nl
(c)
Page 32 of 197
The applicant should demonstrate that they have engaged, or have plans to
engage, a suitable number of instructors and/or examiners necessary for the safe
conduct of the proposed activities - taking into account the expected number of
course participants. Considerations relevant to the number of qualified and
experienced personnel are discussed in section C1.9 of this handbook.
se
nl
(e)
The applicant should demonstrate that adequate provision has been made for the
training and checking of its personnel. Dependent upon the number of personnel
for whom internal training and checking is required, an applicant may establish a
separate department to fulfil the training and checking requirements. The
applicant may also appoint a manager for internal training and checking, to
oversight the conduct and management of the internal training and checking
system. An example of such an appointment has been demonstrated in the
CASA Part 142 sample exposition.
Corporate Structure
References
AS
A
C1.3
Introduction
The corporate structure is the legal structure of the organisation, including ownership
interests and company office holders.
An applicant who is a corporation must include a description of the corporate structure within
its exposition. This description should provide an understanding of the layout of the
corporate structure.
Page 33 of 197
The degree of detail provided by the applicant when describing their corporate
structure need not be exhaustive, however should be sufficient to provide an
understanding of the basic corporation layout. The description should include the
relationship between the various departments, divisions and job descriptions that
interact to conduct the business of the corporation. The reporting structure of the
corporation should also be described.
A greater level of detail should be provided in cases where the applicant is owned
(wholly or in part) by another aviation entity, particularly the holder of another
authorisation.
Each officer of the applicants corporation must be a fit and proper person to be
an officer of the corporation. Considerations relevant to assessing fitness and
propriety are described in section C1.4.2 of this handbook.
AS
A
se
nl
C1.4
Key Personnel
References
CASR: 142.025, 142.085(1), Subpart 142.D
Page 34 of 197
Introduction
Regulation 142.025 of CASR defines key personnel as the persons holding or carrying out
the responsibilities of the following positions:
1. Chief Executive Officer
2. Head of Operations
3. Safety Manager (for operators conducting activities only in aircraft, or in both aircraft
and flight simulation training devices)
nl
This section of the handbook provides considerations that are common to each of the key
personnel positions. Considerations that are specific to individual key personnel positions
are described their respective section of this handbook (sections C1.5 through to C1.8).
General
C1.4.1
se
The following information may be of value in assessing those regulatory requirements which
are common to each of the applicants key personnel positions.
The full legal name of each key personnel appointee must be documented in the
applicants exposition.
It is not mandatory for an applicant to use the key personnel titles that are
described in CASR Part 142. If the applicant has chosen to use different position
titles for the key personnel positions, the exposition must specify which titles are
equivalent to the regulatory titles.
C1.4.2
AS
A
In the assessment of fitness and propriety, CASA should consider the honesty,
integrity and reputation of a person, together with the persons competence and
capability to fulfil their CASR Part 142 obligations (as described in C1.4.2(a) and
C1.4.2(b) of this section of the handbook). CASA must be satisfied that:
-
each of the applicants proposed key personnel are fit and proper persons
to be appointed to the position.
Page 35 of 197
An evaluation of the persons history, within the last ten years, should be
conducted to assess any criminal, regulatory, corporation or bankruptcy actions.
nl
se
AS
A
(a)
Note: Under regulation 142.110 of CASR, a reference to an AOC above may also be taken
as a reference to a certificate.
Page 36 of 197
whether the person has been the subject of any adverse finding or any
settlement in civil proceedings in connection with public and aviation
safety
whether the person has been the subject of, or interviewed in the course
of, any existing or previous investigation or disciplinary proceedings by
CASA, applicable professional bodies, other regulatory authorities, or
government bodies or agencies in relation to aviation safety
whether the person is, or has been, the subject of any proceedings of a
disciplinary or criminal nature, or has been notified of any potential
proceedings or of any investigation which might lead to those proceedings
se
nl
whether the person has ever been disqualified from acting as a director or
disqualified from acting in any managerial capacity
whether there is evidence that the person has not been candid and
truthful in all of the persons dealings with regulatory bodies, and whether
the person has not demonstrated a readiness and willingness to comply
with the requirements and standards of a regulatory system
AS
A
other matters such as the persons experience (if any) in aviation, and
their knowledge of the regulatory requirements applicable to civil aviation
in Australia.
Page 37 of 197
nl
whether the person has the experience to perform the function and meet
the responsibilities required by the position
whether the person has adequate time to perform the function and meet
the responsibilities associated with the position.
se
AS
A
(b)
C1.4.3
Temporary Absence
The exposition must include the full name of the person authorised to act on
behalf of each key person during any period of temporary absence.
The applicants procedure must describe how CASA is notified of a key persons
inability to carry out their responsibilities for a period of greater than 35 days. The
applicant must demonstrate that, in accordance with regulation 142.165 of CASR,
this notification will be provided:
-
within 24 hours of the time that the applicant becomes aware of the
absence, if there is not another person authorised to carry out the
responsibilities for all or part of the period of absence
Page 38 of 197
within 3 days of the time that the applicant becomes aware of the
absence, if there is another person authorised to carry out the
responsibilities for all or part of the period of absence (ie the
temporary/acting key person nominated with the applicants exposition).
The applicants procedure should also specify that the applicant will maintain an
auditable register providing a chronological record of each occasion that the
temporary/deputy key person holds responsibility and accountability for the
position.
AS
A
se
nl
Familiarisation Training
C1.4.4
The applicant must have a means for ensuring familiarisation training is provided
to each of its key personnel, prior to them carrying out their responsibilities.
The content of the familiarisation training must include the matters necessary to
familiarise the person with the responsibilities and accountabilities of the position.
In addition to the responsibilities and accountabilities, it may cover the following:
-
Page 39 of 197
the reporting requirements for key personnel and other management, and
the duties and responsibilities of all personnel
nl
se
References
AS
A
C1.5
Introduction
The overall responsibility and accountability for the safety of the operation rests with the
chief executive officer.
The chief executive officer is responsible for overseeing the strategic direction and policies
of the organisation, as set out by its directors. In less complex organisations, such as sole
traders, it is the chief executive officer who sets the direction and oversees the operations.
The chief executive officer must meet the experience requirements of regulation 142.175 of
CASR, and must have a demonstrated ability and support within the organisation to manage
the responsibilities and accountabilities required under regulation 142.180 of CASR. An
applicant may also prescribe additional responsibilities and accountabilities for the position.
Page 40 of 197
C1.5.1
If the applicant is an individual, the individual must provide written evidence that
they will be the chief executive officer. Such evidence may be a declaration,
made within the Application for Part 142 Authorisation, which verifies the
applicant is, or proposes to be, the chief executive officer.
Experience
C1.5.2
nl
Under regulation 142.175 of CASR, a chief executive officer must have sufficient
relevant experience in organisational, operational, financial and people
management of air operations, to enable the applicant to conduct safe operations
in accordance with its exposition and civil aviation legislation.
The applicant should have sufficient standards and processes for the assessment
and selection of individuals considered for the position of chief executive officer.
The applicant must provide evidence to verify that the chief executive officer
nominee holds the experience required by regulation 142.175 of CASR.
Verification should be confirmed through documentary evidence of the nominees
qualifications and experience.
The level of experience required for the chief executive officer nominee within
each of the criteria mentioned in regulation 142.175 of CASR will vary, dependent
upon the size and scope of the applicants organisation and the scope of the
proposed activities.
AS
A
se
the nature and complexity of the proposed activities, and whether the
nominee holds management experience from within a similar operation
the need to ensure the safe conduct of the activities in accordance with
the applicants exposition and civil aviation legislation
Page 41 of 197
the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence
resource planning
AS
A
se
nl
Operational management of air operations may include, but would not be limited
to:
-
safety management
resource allocation
Financial management of air operations may include, but would not be limited to:
-
creditor/debtor management.
Page 42 of 197
People management of air operations may include, but would not be limited to:
-
personnel recruitment
induction/familiarisation training
C1.5.3
se
AS
A
nl
If the applicant requires the chief executive officer to hold qualifications and
experience in addition to those required by regulation 142.175 of CASR, these
additional qualifications and experience must be documented within the
applicants exposition.
CASA may, under regulation 142.215 of CASR, issue a direction for a chief
executive officer to hold qualifications and experience in addition to those
required under regulation 142.175 of CASR, in order to ensure that the applicant
can safely conduct the proposed activities.
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
Page 43 of 197
The applicant must provide documentary evidence to verify that the chief
executive officer holds the additional qualifications and experience that are
required by CASA.
C1.5.4
Responsibilities
The chief executive officer may delegate duties to other personnel; however the
chief executive officer retains responsibility and accountability for the matters
specified in regulation 142.180 of CASR, and any additional responsibilities
required by the applicant.
The applicant must provide a means for the chief executive officer to carry out
each of the responsibilities of the position. This may be done by way of written
processes and procedures, supporting documentation, making available finance
and resources, or via support to the chief executive officer in carrying out the
functions required to fulfil each responsibility.
who should do it
AS
A
se
nl
(a)
Considerations and examples of the way in which the chief executive officer may
fulfil each of the responsibilities are described under the subsequent subheadings
in this section of the handbook. The applicant must demonstrate that they provide
a means for the chief executive officer to carry out functions such as those
provided in the examples.
Page 44 of 197
ensuring all personnel, whatever their roles, are suitably trained and
authorised for the tasks they perform
Whilst the chief executive officer holds the overall responsibility for ensuring the
applicant has sufficient suitable personnel, it is likely that the head of operations
would be involved in the recruitment selection process for instructors and
examiners.
To ensure that adequate financing and resources are available for the safe
conduct of the activities, the applicant must ensure the chief executive officer has
the authority to approve or obtain funding. Where the finances of the organisation
are controlled by a board of directors, CASA must be satisfied that the board has
provided the chief executive officer with this authority.
(c)
se
AS
A
(b)
nl
ensuring the activities are carried out in accordance with the procedures
contained within the exposition and supporting documentation
Page 45 of 197
ensuring the facilities are appropriate to the proposed activities and the
number of course participants.
To ensure the applicant sets and maintains standards for the activities in
accordance with the exposition, a means must be provided for the chief executive
officer to carry out the functions required to fulfil this responsibility. These may
include, but are not limited to:
AS
A
(e)
se
nl
(d)
(f)
The chief executive officer holds full accountability for the SMS, and must hold
full authority for its implementation, maintenance and ensuring necessary safety
activities are adequately resourced. The processes and procedures for the
management of these matters should be addressed within the applicants SMS
manual. Considerations relevant to safety management systems are described in
section C3.5 of this handbook.
Page 46 of 197
The applicants SMS manual must include a statement of the applicants safety
policy, established by the chief executive officer, which describes the safety
culture of the organisation and demonstrates organisational commitment to
safety. This statement may also be included within the applicants exposition.
To ensure the applicant implements and manages the SMS, has procedures
ensuring personnel understand the safety policy, and ensures the independence
of the safety manager, a means must be provided for the chief executive officer
to carry out the functions required to fulfil these responsibilities. These may
include, but are not limited to:
communicating the applicants safety policy to all personnel, and
maintaining a program of ongoing safety promotion and communication
AS
A
se
nl
(g)
To ensure the applicant advises CASA of the arrangements and any safety
implications relating to the supply of each turbine-engined aircraft, a means must
be provided for the chief executive officer to carry out the functions required to
fulfil these responsibilities. These may include, but are not limited to:
-
Page 47 of 197
(h)
(i)
AS
A
se
nl
Restrictions on the use of foreign registered aircraft within Australian territory are
described in section C2.3.3 of this handbook.
Page 48 of 197
The chief executive officer holds full accountability for the quality assurance
management system, and must hold full authority for its implementation,
maintenance and ensuring quality assurance actions are adequately resourced.
The processes and procedures for the management of these matters should be
addressed within the applicants quality assurance management system manual.
Considerations relevant to quality assurance management systems are described
in section C3.6 of this handbook.
se
AS
A
(k)
nl
(j)
Page 49 of 197
(m)
se
nl
(l)
AS
A
C1.5.5
If the applicant has followed CASAs Part 142 sample exposition structure,
additional responsibilities and accountabilities of the chief executive officer will be
listed in Part 1, paragraph 1.9.1.3 of the exposition.
Page 50 of 197
Additional duties and responsibilities of the chief executive officer, that are
required by the applicant, must not conflict with or distract from the
responsibilities required under regulation 142.180 of CASR. For example, if the
chief executive officer is also an instructor or examiner, and they are expected to
spend a significant proportion of time away from the key personnel role, the
additional duties must not inhibit the chief executive officers ability to meet the
responsibilities and accountabilities of the chief executive officer position.
The potential impact on a chief executive officer who may be involved with any
other legal entity should be considered, to determine whether this may affect their
ability to manage the responsibilities and accountabilities under regulation
142.180 of CASR.
se
nl
C1.5.6
In the interests of safety, and to be satisfied that the chief executive officer
nominee is suitable for the position, CASA may issue a direction for the nominee
to undertake an examination, be interviewed by CASA, or complete a stated
training course. Such a direction must be issued in writing.
AS
A
Page 51 of 197
demonstrates that they hold an ability to exercise due care and diligence,
which takes into account:
how the chief executive officer intends to implement the SMS or
quality assurance management system (as applicable) across the
organisation
se
nl
Head of Operations
References
AS
A
C1.6
Introduction
The head of operations is responsible for the safe management of the applicants authorised
Part 142 activities, and must meet the qualification and experience requirements of
regulation 142.185 of CASR. CASA may direct the head of operations to hold additional
qualifications and experience.
The head of operations must discharge the responsibilities required under regulation
142.190 of CASR. An applicant may prescribe additional responsibilities and accountabilities
for the position.
Page 52 of 197
C1.6.1
The head of operations nominee must provide CASA with documented evidence
of their qualifications and experience.
(b)
compliance history
nl
se
The applicant must have sufficient standards and processes in place for the
assessment and selection of individuals considered for the position.
The head of operations need not hold an air transport pilot licence if the proposed
activities are limited to single pilot operations (i.e. integrated courses for the grant
of a private pilot licence or commercial pilot licence). In this situation a minimum
of a commercial pilot licence is suitable.
AS
A
(a)
Operational Experience
for an aircraft that is covered by an aircraft type rating the aircraft type
rating
for an aircraft that is not covered by an aircraft type rating the type of
aircraft.
The applicant must provide evidence to verify that the head of operations has a
satisfactory record in the conduct or management of air operations. Where the
nominee has not previously held any operational key personnel position, an
assessment of whether the nominee has suitable and satisfactory experience in
deputy or supervisory roles with other operators should be conducted.
Page 53 of 197
The head of operations must have sufficient safety and regulatory knowledge to
enable the activities to be conducted safely and in accordance with the
applicants exposition and civil aviation legislation. Considerations relevant to the
assessment of the nominees safety and regulatory knowledge are discussed in
section C1.6.5 of this handbook.
In any other situation, for a head of operations nominee who does not meet the
requirements of subregulation 142.185(2) of CASR, the applicant may make
application to CASA for the nominee to hold an approval under regulation
142.040 of CASR to be head of operations. Considerations relevant to such an
approval are discussed in section C1.6.2 of this handbook.
AS
A
se
CASA may issue a direction for the head of operations to hold additional
qualifications and experience, beyond those required under subregulation
142.185(2) of CASR. Such a direction may be made in order to ensure the
nominee has the experience, qualifications and knowledge appropriate to the
size, scale and complexity of the proposed operation. For example, if the
applicant proposes to introduce a new aircraft type, CASA may require the head
of operations to gain a type rating on that particular aircraft type.
(c)
nl
the applicant may apply for an approval under regulation 142.040 of CASR for
the head of operations nominee to hold just one of these experience
requirements.
Page 54 of 197
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
C1.6.2
se
nl
AS
A
Page 55 of 197
Where the nominee does not hold the required qualifications and experience to
be the head of operations, the applicant may nominate an instructional specialist
to cover the specific authorisations for which it seeks approval. In such a
situation:
-
AS
A
se
nl
C1.6.3
Responsibilities
The head of operations may delegate duties to other personnel; however the
head of operations retains responsibility and accountability for the matters
specified in regulation 142.190 of CASR, and any additional responsibilities
required by the applicant.
Page 56 of 197
The head of operations is responsible for all operations conducted at the various
bases, which may require the delegation of some of their duties to an appropriate
person to act on their behalf. This is normally achieved by appointing a senior
base pilot at each additional base, with a program for regular scheduled and nonscheduled visits by the head of operations or a delegate, to provide supervision
and conduct internal audits.
The applicant must provide a means for the head of operations to carry out each
of the responsibilities of the position. This may be done by way of written
processes and procedures, supporting documentation, making available finance
and resources, or via support to the head of operations in carrying out each
responsibility.
who should do it
AS
A
(a)
se
nl
The head of operations must safely manage the authorised Part 142 activities.
This must be achieved by, however may not be limited to, the effective discharge
of each of the responsibilities of the head of operations under subregulation
142.190(2) of CASR. The applicant may also require additional responsibilities
for the head of operations. Any additional responsibilities required by the
applicant for the head of operations must be described within the exposition.
The applicant should provide a plan for the oversight of each training base to
assist in ensuring the safe management of the activities at each base. The plan
should include the methods for communication with personnel at each training
base, and a schedule for regular base visits and audits by the head of operations.
Considerations and examples of the way in which the head of operations may
fulfil each of the responsibilities under subregulation 142.190(2) of CASR are
described under the subsequent subheadings in this section of the handbook.
The applicant must demonstrate that they provide a means for the head of
operations to carry out functions such as those provided in the examples.
Page 57 of 197
se
nl
(b)
AS
A
(c)
To ensure standards are set and maintained in accordance with the exposition, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
providing induction training for instructors and examiners, which includes
familiarisation with company policy and documented standard operating
procedures
Page 58 of 197
(d)
se
The head of operations must have the ability to make changes to the training
management system processes where required, and make consequential
amendments to the training management system manual.
AS
A
(e)
nl
Monitoring of Activities
To ensure the activities are monitored effectively, a means must be provided for
the head of operations to carry out the functions required to fulfil this
responsibility. These may include, but are not limited to:
Page 59 of 197
se
(h)
ensuring the suitability of aircraft and/or FSTDs for each of the activities
(g)
nl
AS
A
(f)
providing personnel with the parts of the exposition that relate to each
persons duties, prior to the person carrying out those duties
Page 60 of 197
(j)
To ensure FSTDs are used only in accordance with the exposition, a means must
be provided for the head of operations to carry out the functions required to fulfil
this responsibility. These may include, but are not limited to:
-
nl
(i)
AS
A
se
(k)
Page 61 of 197
(m)
ensuring the resources that are required to carry out each check are
readily available (the head of operations may nominate a suitable
instructor or examiner to carry out the check)
To ensure that each instructor and examiner is authorised under CASR Part 61, a
means must be provided for the head of operations to carry out the functions
required to fulfil this responsibility. These may include, but are not limited to:
nl
(l)
se
AS
A
(n)
Page 62 of 197
(p)
ensuring suitable resources are available for the delivery of the training
course, prior to an instructor or examiner conducting activities
se
AS
A
(q)
nl
(o)
(r)
Page 63 of 197
(s)
se
AS
A
(t)
nl
C1.6.4
Additional Responsibilities
If the applicant has followed CASAs Part 142 sample exposition structure,
additional responsibilities of the head of operations would be listed in Part 1,
paragraph 1.9.2.3 of the exposition.
Page 64 of 197
The potential impact on a head of operations who may be involved with any other
legal entity should be considered, to determine whether this may affect their
ability to manage the responsibilities under CASR Part 142.
C1.6.5
The suitability of the head of operations may be determined through one or more
of the following:
AS
A
se
nl
Page 65 of 197
nl
se
AS
A
(a)
CASA may also discuss, at a post-assessment briefing with the nominee, any
matters requiring particular emphasis - such as:
The interview process may include an oral examination involving scenario based
questions. The nominee should display evidence of their knowledge in relation to
matters such as:
-
the organisations reporting structure, and the methods for liaison with the
chief executive officer and safety manager/quality assurance manager
Page 66 of 197
how the flight recording system works, including authorisations for solo
training flights (if applicable)
AS
A
se
nl
The outcome of the interview process must provide CASA with satisfactory
evidence that the nominee:
has a satisfactory knowledge of the processes and procedures contained
in the applicants exposition and supporting manuals/documentation
relating to the proposed activities
Page 67 of 197
(c)
If the proposed activities include training for the grant of a flight instructor rating,
the assessment should include questions relating to the principles and methods
of instruction.
Flight Assessment
CASA may carry out a flight assessment to assist in determining the suitability of
the nominee. When making a determination as to whether a flight assessment is
necessary, CASA may consider whether the nominee has, within the preceding
twelve months:
nl
(b)
se
The outcome of the flight assessment should provide CASA with satisfactory
evidence that the nominee:
-
meets the standard for the initial issue of a flight examiner rating
is able to assess instructional deficiencies and provide suitable remedial
training actions and recommendations.
AS
A
CASA should be satisfied that the aircraft/simulator to be used for the flight
assessment is appropriate and suitably equipped for the evaluation of each of the
flight sequences selected.
The CASA officer conducting the assessment must hold the appropriate aircraft
type or class rating, and meet the appropriate CASR Part 61 recency
requirements.
Page 68 of 197
C1.7
Safety Manager
References
CASR: 142.265(2)(b)(iii)
Introduction
A Part 142 operator must have a safety manager if the operator conducts authorised
Part 142 activities only in aircraft, or in aircraft and flight simulation training devices.
se
nl
The following information may be of value in determining if the applicant has nominated an
appropriate person to be the Safety Manager.
AS
A
C1.7.1
The organisation must appoint a safety manager responsible for the management
of the applicants SMS.
The safety manager must have independence from the operational areas, so as
not to be subject to undue influence, and should have authority to look across all
facets of the operation from a safety perspective.
The safety manager should report directly to senior management and have a
formal direct line of communication with the chief executive officer.
The safety manager should regularly report to the chief executive officer on the
performance of the SMS and be able to suggest improvements where required.
The safety manager position must not be occupied by the person nominated as
the chief executive officer or the head of operations for the Part 142 operator.
C1.7.2
Experience
The applicant must provide evidence to verify that the safety manager nominee
holds the experience required by regulation 142.195 of CASR. Verification should
be confirmed through documentary evidence of the nominees qualifications and
experience.
Page 69 of 197
The level of experience required for the safety manager nominee within each of
the criteria mentioned in regulation 142.195 of CASR will vary, dependent upon
the size and scope of the applicants organisation and the scope of the proposed
activities.
nl
se
AS
A
(a)
the nature and complexity of the proposed activities, and whether the
nominee has safety management experience from within a similar
operation
the need to ensure the safe conduct of the activities in accordance with
the applicants exposition and civil aviation legislation requirements
the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence.
Page 70 of 197
Safety and Regulatory knowledge may include, but would not be limited to:
C1.7.3
nl
se
AS
A
(c)
An applicant may choose to develop a position description for the safety manager
role, which sets out mandatory and desirable qualifications and experience. In
such a scenario, the applicants specified mandatory experience must meet the
experience requirements of regulation 142.195 of CASR.
CASA may, under regulation 142.215 of CASR, issue a direction for a safety
manager to hold qualifications and experience in addition to those required under
regulation 142.195 of CASR, in order to ensure that the applicant can safely
conduct the proposed activities.
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
(b)
Page 71 of 197
The applicant must provide documentary evidence to verify that the safety
manager holds the additional qualifications and experience that are required by
CASA.
C1.7.4
Responsibilities
The safety manager may delegate duties to other personnel (i.e. a safety officer
or safety representative); however the safety manager retains responsibility and
accountability for the matters specified in regulation 142.200 of CASR, and any
additional responsibilities required by the applicant.
The applicant must provide a means for the safety manager to carry out each of
the responsibilities of the position. This may be done by way of written processes
and procedures, supporting documentation, making available finance and
resources, or via support to the safety manager in carrying out each
responsibility.
se
nl
who should do it
AS
A
(a)
To ensure the safety manager manages the SMS, a means must be provided for
the safety manager to carry out the functions required to fulfil this responsibility.
These may include, but are not limited to:
-
Page 72 of 197
To ensure the safety manager reports to the chief executive officer on the
effectiveness of the SMS, a means must be provided for the safety manager to
carry out the functions required to fulfil this responsibility. These may include, but
are not limited to:
nl
(b)
se
receiving information and data from the SMS (e.g. incident reporting and
accident data and trending information)
AS
A
(c)
C1.7.5
Additional Responsibilities
Any additional responsibilities of the safety manager which are required by the
applicant should not conflict with or distract from the responsibilities under
regulation 142.200 of CASR.
Page 73 of 197
C1.7.6
An interview would be expected for nominees who have not previously held the
role of safety manager in a similar operation. A nominee who has previously
undertaken an interview, and deemed a suitable safety manager in a similar
operation, may not require further CASA interview or assessment, particularly if
this assessment was carried out in the preceding 12 months.
Can you describe your role and responsibilities within the operators
SMS?
se
AS
A
C1.8
nl
References
Introduction
If conducting authorised Part 142 activities only in flight simulation training devices, an
applicant must appoint a quality assurance manager. The quality assurance manager is
responsible for the operation, maintenance and continuous improvement of the applicants
quality assurance management system.
Page 74 of 197
A quality assurance manager must meet the experience requirements of regulation 142.205
of CASR and must have a demonstrated ability, and support within the organisation, to
manage the responsibilities required under regulation 142.210 of CASR. An applicant may
also prescribe additional responsibilities for the position.
The applicant must ensure that the quality assurance manager position is not occupied by
either the chief executive officer or head of operations except during a period of unforseen
circumstance and in accordance with subregulation 142.120(2) of CASR.
nl
C1.8.1
The following information may be of value in determining if the applicant has nominated an
appropriate person, in accordance with the regulatory requirements, to be the quality
assurance manager.
The organisation must appoint a quality assurance manager responsible for the
management of the applicants quality assurance management system.
The quality assurance manager must have independence from operational areas
so as not to be subject to undue influence, and should have authority to look
across all facets of the operation from a quality assurance perspective.
The quality assurance manager should report directly to the chief executive
officer, or to senior management with a formal direct line of communication with
the chief executive officer.
The quality assurance manager should regularly report to the chief executive
officer on the performance of the quality assurance management system and be
able to suggest improvements where required.
The quality assurance manager position must not be occupied by the person
nominated as the chief executive officer or the head of operations for the Part
142 operator.
C1.8.2
AS
A
se
Experience
The applicant must provide evidence to verify that the quality assurance manager
nominee holds the experience required by regulation 142.205 of CASR.
Verification should be confirmed through documentary evidence of the nominees
experience.
Page 75 of 197
The level of experience required for the quality assurance manager nominee to
meet the requirements of regulation 142.205 of CASR will vary, dependent upon
the size and scope of the applicants organisation and the scope of the proposed
activities.
The applicant should have sufficient standards and processes for the assessment
and selection of individuals considered for the position.
se
AS
A
(a)
nl
the nature and complexity of the proposed activities, and whether the
nominee holds quality assurance management experience from within a
similar operation
the need to ensure the safe conduct of the activities in accordance with
the applicants exposition and civil aviation legislation
Page 76 of 197
the need to take all reasonable steps to ensure each proposed activity,
and everything done in connection with each activity, is carried out with a
reasonable degree of care and diligence
how recently the nominee has used their quality assurance skills.
C1.8.3
Sufficient safety and regulatory knowledge may include, but would not be limited
to, a demonstrated knowledge of:
the legislative requirements of CASR Part 142 in relation to quality
assurance management systems
nl
If the applicant requires the quality assurance manager to hold qualifications and
experience in addition to those required by regulation 142.205 of CASR, these
additional qualifications and experience must be documented within the
applicants exposition.
CASA may, under regulation 142.215 of CASR, issue a direction for a quality
assurance manager to hold qualifications and experience in addition to those
required under regulation 142.205 of CASR, in order to ensure that the applicant
can safely conduct the proposed activities.
Any such direction for additional qualifications and experience must be made in
writing to the applicant.
The applicant must provide documentary evidence to verify that the quality
assurance manager holds the additional qualifications and experience that are
required by CASA.
AS
A
se
(b)
Page 77 of 197
C1.8.4
Responsibilities
The quality assurance manager may delegate duties to other personnel; however
the quality assurance manager retains responsibility and accountability for the
matters specified in regulation 142.210 of CASR, and any additional
responsibilities required by the applicant.
The applicant must provide a means for the quality assurance manager to carry
out each of the responsibilities of the position. This may be done by way of
written processes and procedures, supporting documentation, making available
finance and resources, or via support to the quality assurance manager in
carrying out the functions required to fulfil each responsibility.
who should do it
AS
A
(a)
se
nl
Page 78 of 197
se
(b)
nl
AS
A
(c)
Page 79 of 197
C1.8.5
training outcomes.
The potential impact on a quality assurance manager who may be involved with
any other legal entity should be considered, to determine whether this may affect
their ability to manage the responsibilities and accountabilities under regulation
142.210 of CASR.
se
nl
C1.8.6
AS
A
Page 80 of 197
C1.9
nl
Other Personnel
se
References
Introduction
AS
A
CAA: section 28
CASR: 142.110(1)(d), 142.340(1)(g), 142.340(1)(i)
CASA must be satisfied that an applicant has appointed a sufficient number of suitably
qualified and competent personnel to ensure the activities can be conducted safely. The
expected level of qualifications and experience will vary according to the scope and
complexity of the activities.
To ensure CASA is aware of how and to whom responsibilities under Part 142 are allocated
within an organisation, instructors who have been assigned responsibilities must be
identified by name within the exposition.
Page 81 of 197
C1.9.1
nl
The applicant should provide a means for determining the required number of
qualified pilot instructors, examiners and theory instructors, relevant to the
authorised activities and the proposed number of course participants. This may
be achieved through the establishment of an instructor to course participant ratio,
which must be sufficiently small to enable the effective supervision of course
participants. The establishment of an appropriate ratio will also support the
continuity of training, which is particularly important when the activities are
required to be completed within a condensed period of time (e.g. for PPL/CPL
integrated training). The ratio may vary for each activity, based on considerations
such as:
-
AS
A
se
the phase of training being conducted (e.g. during early training phases
such as ab initio sequences, the ratio may be higher than during CPL
cross country training sequences)
Page 82 of 197
The applicant must demonstrate that they have a sufficient number of instructors
and examiners, relevant to the size of the student cohort, available to provide
authorisation and supervision of student pilot solo activities.
Instructors and examiners must be appropriately qualified under, and meet the
validity and recency requirements of, Part 61 of CASR for the activities they are
assigned to conduct. The applicant may specify additional minimum experience
requirements, for example minimum multi-crew pilot training experience prior to
conducting training for an air transport pilot licence, or a minimum time on a type
for which an instructor will conduct type rating training.
If other operations (other than those under Part 142 of CASR) will be conducted,
consideration should be given to the shared responsibilities of pilot instructors
and examiners across the operation. As an example, where instructors and
examiners will also be involved in an applicants regular public transport, charter
and/or aerial work operations, an assessment of their availability and capacity to
discharge their duties in relation to the Part 142 activities should be considered.
AS
A
se
nl
Page 83 of 197
C1.9.2
responsibilities
accountabilities
duties.
The applicant should provide a means for demonstrating how the head of
operations is able to supervise, and communicate with, personnel holding
responsibility for particular Part 142 flight training. This may require the
appointment of managers or supervisors holding duties delegated from the head
of operations.
Other Personnel
AS
A
se
(b)
nl
The exposition must provide the name of instructors appointed by the head of
operations to have responsibility for particular Part 142 flight training. The
following should also be described:
(a)
Page 84 of 197
C2
EXPOSITION PART 2
ACTIVITIES AND FACILITIES
This part of the assessment evaluates the applicants description of the proposed Part 142
activities and the facilities to be used in the conduct of the activities.
C2.1
References
nl
Introduction
se
An applicants exposition must provide a description of the Part 142 activities it proposes to
conduct. Part 142 activities are described in regulation 142.015 of CASR and include
Part 142 flight training, contracted recurrent training and contracted checking.
The following information may be of value in determining if the applicant has adequately
described, within its exposition, the Part 142 activities the applicant proposes to conduct.
If the applicant has followed the CASA Part 142 sample exposition structure,
Part 142 activities will be listed in Part 1, paragraph 1.4 of the exposition.
The applicants exposition must clearly describe the licences, operational and
type ratings and other courses for which the applicant will provide flight training.
AS
A
C2.2
Other Operations
References
CASR: 142.340(1)(q)
Page 85 of 197
Introduction
The exposition must provide a description of any operations, other than the authorised
Part 142 activities, that are conducted or are proposed to be conducted by the applicant.
CASA must consider these other operations to ensure that personnel who hold shared
responsibilities across the operations of the organisation are capable of discharging their
responsibilities in relation to the Part 142 activities.
charter
se
Whilst training for the grant of design feature or flight activity endorsements under
Part 61 does not fall under CASR Part 142, an operator may conduct this training
if the instructor providing the training is appropriately qualified. If the applicant
intends to conduct this training, the exposition should provide details of the
training, together with training plans and syllabuses for each endorsement.
nl
Aircraft
References
AS
A
C2.3
Introduction
An exposition must identify certain details in relation to registered aircraft which are flown
into, out of or outside Australian territory in the course of conducting the applicants Part 142
activities. Certain details relating to foreign registered aircraft must also be provided.
If the operators aircraft include turbine-engined aircraft, the exposition must also include the
following information:
Page 86 of 197
C2.3.1
Aircraft Details
If the applicant has followed the CASA Part 142 sample exposition format, details
of each aircraft flown into, out of, or outside Australian territory are included in
Part 2, paragraph 2.1 of the exposition.
The applicants exposition must describe the kind and registration mark for each
registered aircraft flown into, out of, or outside Australian territory. If the aircraft
are flown solely within Australian territory, the kind and registration mark is not
required.
The exposition must provide the kind of aircraft, nationality and registration mark
for each foreign registered aircraft.
nl
Turbine-engined Aircraft
C2.3.2
(b)
Aircraft leasing can be arranged in many ways, which may result in varied and
complex safety situations, particularly if an aircraft registered in another
contracting state is to be operated in Australia by an Australian operator.
AS
A
(a)
se
A description of any leasing or other arrangements for the supply of any turbine-engined
aircraft must be included in an applicants exposition, to assist CASA to make a
determination as to whether the arrangement will compromise operational safety.
Page 87 of 197
If the aircraft is used for Part 142 activities and is also authorised to operate
under an AOC for the conduct of regular public transport (subregulation 206(1)(c)
of CAR), the exposition should state that the aircraft is subject to the continuing
airworthiness requirements of CASR Part 42.
C2.3.3
se
nl
References
AS
A
C2.4
Introduction
Under CASR Part 142, CASA now provides oversight of the operation of flight simulation
training devices at an organisational level.
Each of the applicants FSTDs must be qualified or approved, as prescribed by the
legislation relevant to the device. The applicant must provide information within its exposition
in relation to the way it will ensure the devices are approved or qualified under the applicable
legislation.
The applicants exposition must also include a description of each FSTD, together with the
purpose (as described in Part 61 of CASR) for which each device will be used.
Page 88 of 197
C2.4.1
Description
the manufacturers name and the model of each device, or the aircraft
type the device has been built to simulate
nl
To describe its FSTDs, the applicant may refer to certificates such as:
se
If the applicant refers to FSTD certificates within their exposition, the certificates
should be attached as annexes to the exposition.
The applicants exposition must describe the purpose (under CASR Part 61) for
which each device will be used. For example, if the applicant intends using the
device to accrue aeronautical experience for the issue of private and commercial
pilot licences, this must be described in the exposition. The applicable number of
hours and lesson content should be clearly detailed within the relevant training
plans and syllabuses.
AS
A
C2.4.2
Qualification or Approval
Page 89 of 197
nl
AS
A
se
The applicants documented procedures and instructions must set out the
requirements for the operation of each FSTD. These procedures may be
contained within a supplementary manual to which the exposition refers, for
example the quality system manual or STOM. These procedures and
instructions must be complied with in order to ensure the continuing qualification
or approval of each device.
Page 90 of 197
se
AS
A
C2.5
nl
Facilities
References
CAA: section 28
CASR: 142.110(1)(e), 142.340(1)(p)
Introduction
The applicants exposition must include a description of the facilities to be used by the
applicant in the conduct of the proposed activities.
CASA must be satisfied, under section 28 of the Act and regulation 142.110 of CASR, that
the applicants facilities are sufficient to conduct the activities safely.
Locations, version details and links for these listed documents are available in chapter A3 of this handbook.
Page 91 of 197
Facilities may include aircraft, flight simulation training devices, the premises and training
aids used in the conduct of the activities.
For an applicant who proposes to conduct activities from multiple training bases,
assessment of the facilities should be considered for each of the locations.
C2.5.1
Description
The applicants exposition must include a description of the facilities located at
the operational headquarters premises, and those located at each of the
applicants training bases.
(b)
Inspection of Premises
A site inspection of the facilities may be necessary to verify that the premises at
each location (headquarters and each training base) are suitable.
The requirement to inspect a particular location may be waived where, within the
preceding 12 months, the proposed premises and facilities were inspected for a
substantially similar operation, and were found suitable. Alternative inspection
criteria may be determined, which may include the use of photographs or video
presentation.
AS
A
(a)
Suitability
se
C2.5.2
nl
Briefing Rooms
have lighting (natural or artificial) that is suitable for the size of the room
Page 92 of 197
(c)
The applicant should also have briefing rooms and facilities necessary for the
conduct of internal training and checking.
Instructional Aids
training aids such as aircraft models, panel posters, cockpit cut-outs and
reference books relevant to the activities.
Training aids and equipment, including any audio-visuals, charts, model aircraft
or aircraft components listed in course outlines, must be as described in the
applicants exposition or training plans, and be appropriate to the activities for
which they are used.
The applicant should also provide the training aids necessary for the conduct of
internal training and checking.
The applicant should have an area, separate from classroom and recreational
areas, which allows for flight planning by students.
provide ready access to flight planning materials such as the AIP, weather
reports/forecasts and NOTAM
provide access to a facility to submit flight plan notifications
include a display of current revisions of maps and charts which may be
relevant to the area of operation of the activities.
(e)
se
AS
A
(d)
nl
Examination Areas
The applicant should have a room which is free from noise or other distractions
available for the conduct of examinations. A briefing room may be used as an
examination room, provided sufficient other briefing rooms are available for use in
the conduct of any other expected activities.
An area for the secure storage of examination material should be provided, for
both unused and completed examination papers. Access to this area should be
limited to those persons who have a direct need to access the location (e.g. the
head of operations and the conducting officer). Access limitations may be
documented in the applicants exposition or supplementary manual.
The examination area should include furniture and equipment adequate for the
conduct of examinations.
Page 93 of 197
Tarmac Areas
(h)
provide for safe access to the tarmac and aircraft parking area by course
participants
nl
The applicant should have procedures to ensure that course participants are
aware of precautions to observe around aircraft whilst on the tarmac area.
Aerodrome
se
The aerodromes used for flight training should be suitable for the purpose. To be
considered suitable:
-
(g)
Operational Information
AS
A
(f)
Considerations relevant to flight training areas and training area maps are
included in section C3.1 of this handbook.
Locations, version details and links to CAAP 92-1(1) and 92-2(2) are available in chapter A3 of this handbook
Page 94 of 197
Aircraft
The applicant should demonstrate that it has a sufficient number of aircraft when
considering the proposed number of course participants, and that the aircraft are
suitable for the proposed activities. This is important to enable flying programmes
to be carried out in the correct sequence and with due allowance made for
contingencies such as unfavourable weather.
The aircraft that the applicant proposes to use should be of a kind that are
satisfactory for the activities and the stage of training for which they will be
utilised. The aircraft must:
hold the appropriate Certificate of Airworthiness categorisation (e.g. utility
category)
be certified for operations appropriate to the flight rules under which the
activities are conducted.
nl
se
The aircraft should be equipped, to a satisfactory standard, for the conduct of the
particular activities for which they will be operated, for example:
-
aircraft first registered after 1 January 1981 are fitted with an electronic
intercom
for aircraft used during contracted checking activities, where the examiner
does not intend to occupy a control seat, there should be an appropriate
jump seat and intercom system that enables the examiner to observe the
flight crew under check
for the simulation of instrument meteorological conditions, a satisfactory
means for limiting external visual reference should be provided. The
applicants means for limiting external visual reference should be
sufficient to ensure that all required manoeuvres and procedures are
conducted by sole reference to instruments, whilst not restricting the
instructor or examiners ability to maintain an effective lookout.
AS
A
(i)
(j)
Each device should be suitable for each described purpose under CASR Part 61.
The devices systems and capabilities should be appropriate for the particular
activity, and the stage of training, for which it will be used.
Page 95 of 197
C2.5.3
An exposition may contain a list of the material that is included in the reference
library.
Electronic Libraries
The applicant should describe how it ensures that personnel can competently
access legislation via the CASA website or ComLaw website.
To demonstrate how the accessibility requirements will be met in the event that
the CASA website or ComLaw website are unable to be accessed, the following
may be considered to be reasonable methods for controlling such situations:
nl
AS
A
se
(a)
Reference Library
The applicant should describe how it will ensure that outdated versions of
legislation are rendered inaccessible.
Page 96 of 197
C3
EXPOSITION PART 3
SYSTEMS AND PROCESSES
This part of the assessment evaluates the applicants systems for managing compliance with
the requirements of CASR Part 142.
In this part, a reference to an exposition means a set of documents meeting the
requirements of regulation 142.340 of CASR. The set of documents must include an
operations manual and any applicable manuals required under subregulation 142.340(1)(s)
of CASR.
nl
C3.1
References
se
Introduction
AS
A
This part of the assessment evaluates how the applicant conducts and manages integrated
and multi-crew pilot flight training, as well as contracted recurrent training in aeroplanes,
rotorcraft or airships referred to collectively as aircraft.
Part 142 of CASR refers to integrated and multi-crew pilot flight training as Part 142 flight
training, which is any of the following:
1. An integrated training course for the grant under Part 61 of a private pilot licence or
commercial pilot licence.
2. Training for the grant under Part 61 of a multi-crew pilot licence, air transport pilot
licence or flight engineer licence.
3. Multi-crew cooperation training.
4. Training for the grant under Part 61 of a type rating other than a type rating
mentioned in an instrument under regulation 142.045. Training for a type rating
mentioned under the instrument may be conducted by a Part 141 operator.
5. Training, conducted as a multi-crew operation, for the grant under Part 61 of a flight
crew rating other than a type rating.
Page 97 of 197
6. Training conducted as a multi-crew operation, for the grant under Part 61 of a flight
crew endorsement other than:
(i)
(ii)
(ii)
nl
(i)
se
Contracted recurrent training means recurrent training conducted by a Part 142 operator for
a contracting operator.
AS
A
The following information may be of value in determining if the applicant has met the
requirements of Part 142 in relation to Part 142 flight training and contracted recurrent
training.
C3.1.1
Some considerations relevant to the processes in this list are described in the numbered headings subsequent
to this list.
Page 98 of 197
carriage of passengers
graduation administration.
who should do it
when
where
nl
se
Training plans
(a)
AS
A
A training plan must be prepared for each proposed course of training and
included in an exposition. For example, courses of training for the grant of type
ratings for different types of aircraft should be subject to separate training plans.
Page 99 of 197
Training plans should outline a strategy for the transfer of skills, knowledge and
behaviours to course participants in a clear, logical and systematic manner.
The successful completion of training will depend on the quality of the training
plan developed. An applicant should demonstrate the capability for preparing
training plans via a plan preparation process.
identification of standards
modes of delivery and training techniques (e.g. individual, group, selfpaced, aircraft or FSTD, lectures, guided group discussion, supervised
practice)
nl
se
training material
AS
A
As training for the grant of all Part 61 licences, ratings and endorsements is
competency based, each course must be designed in accordance with the units
of the relevant competency standard as specified in Schedule 1 of the Part 61
MOS.
Course planning should consider the elements within each unit of competency.
The elements of knowledge for each qualification are described at Appendix 3 to
the MOS, while elements of competency (skill) are described in Appendix 2 to the
MOS.
(b)
With reference to the units and elements required for the course, each training
plan should demonstrate that the applicant has considered the following:
the division of the course into phases, based on the appropriate grouping
of similar material
the number of lessons required for each element - the duration of lessons
related to knowledge training should be limited to approximately
45 minutes. However, the duration of flight training periods is more
variable due to factors such as the type of training (e.g. ab initio or
advanced training), the type of operation or aircraft type
nl
Planning should include a process for listing all lessons and periods in
chronological order to form a program of instruction for the course.
The planning process should determine, and the plan should describe, the
resources required for delivery of each course - including the minimum
qualifications and experience for instructional and examining personnel to be
engaged to conduct the course.
The level of detail for the facilities should be sufficient to identify items essential
to the conduct of each course - these may include briefing rooms (air conditioned
and free of noise distraction), briefing aids, a flight preparation office with internet
access, amenities, aircraft/simulators and operational publications etc.
AS
A
se
Assessment Plans
Evidence should reflect task skills, management skills, contingency skills and the
ability to apply skills and knowledge in new circumstances.
During flight training, each assessment plan should provide for continuous
(formative) assessment, and for periodic (summative) assessment at
predetermined milestones - such as phase or course completion.
The exposition should provide policy and procedure for summative assessments,
including flight tests and examinations of knowledge.
AS
A
se
nl
(c)
record keeping
planning validation.
Course Syllabuses
For each knowledge lesson, a syllabus should list the elements of knowledge as
specified in the training plan, together with related topics and specific content
described in the Part 61 MOS.
For each flight lesson a syllabus should list the elements of performance
together with related performance criteria described in the Part 61 MOS.
se
nl
responsibilities
(d)
AS
A
For each flight training lesson a syllabus should include time allocated for:
-
pre-flight briefing
flight lesson
debriefing
administration.
Course Outlines
course commencement
(f)
The process should include provisions to ensure that further assessment may
only be made on recommendation by a senior instructor, when the retraining plan
has been completed.
The re-training plan and records should be included in the participants training
file.
AS
A
se
(e)
nl
Policy and process for approval of solo flights conducted by course participants,
should be included in an applicants exposition.
The process should ensure that, before giving approval for a solo flight, the
responsible flight instructor is satisfied that:
-
training records indicate the solo pilot has completed training for the flight,
as specified in the applicants Part 142 exposition, and has been
assessed and certified as competent by a flight instructor to conduct the
flight
the training objectives of the flight and the limitations on the conduct of the
flight, have been provided orally and (preferably) in writing to the solo
pilot, and entered by the instructor in the designated parts of the flight
training record
The approval of a solo flight including terms and conditions, must be discussed
with the solo pilot during the pre-flight briefing, and authenticated on the training
record by the signature of the responsible instructor.
Provision should be made for the solo pilot to acknowledge the terms and
conditions of the approval (e.g. by countersigning the document).
se
nl
AS
A
(g)
The process should include provision for active monitoring of each solo flight by a
Part 142 flight instructor. As well as active monitoring, the supervising instructor
should provide flight following, operational control and the rendering of assistance
if necessary.
For solo circuit operations, the applicant should ensure that a competent
instructor is assigned to visually monitor circuit operations. The supervising
instructor should be provided with two way radio communication with circuit
aircraft for the purpose of exercising operational control over solo flights, if
necessary.
The exposition should describe the duties and responsibilities of Part 142
personnel for ensuring participants in activities are supervised to an extent
necessary to avoid incidents and accidents.
The policy for dual flights should provide that during dual flight time, the flight
instructor must be the pilot in command, and that during flight tests or checks, the
flight examiner must be the pilot in command.
AS
A
Supervision of Instructors
(j)
se
(i)
nl
(h)
For training area and navigation solo flight operations, an applicant should ensure
that an instructor is assigned to monitor radio frequencies when possible, to
provide assistance if necessary, and maintain a search and rescue watch.
(k)
Integrated Training
The applicant should demonstrate that theory and flight training will be conducted
in accordance with a syllabus meeting the standards specified in the Part 61
MOS.
The delivery of theory training should be timed to optimise flight training. The
applicant should demonstrate that sufficient underpinning knowledge is provided
to enable an understanding by the student of what is happening in a flight lesson
and why. A flight training lesson should not commence until relevant
underpinning knowledge has been provided.
The applicants training plan should demonstrate that consideration has been
given to dividing courses into logical phases, separated by course milestones.
navigation phase
CPL examinations
se
AS
A
The exposition must include training/ assessment plans and syllabuses for each
course of contracted training.
The exposition should nominate a person responsible for managing each course
of contracted training.
An applicant should provide for the timely acquisition of the contracting operators
relevant publications, such as the training and checking manual, standard
operating procedures and aircraft flight manuals.
(l)
nl
any arrangements for Part 142 personnel to have recency flying with the
contracting operator, is reflected in the agreement.
nl
a detailed syllabus
standards to be met
AS
A
se
C3.1.2
record forms
C3.1.3
C3.1.4
a table of contents
a distribution list
an amendment record.
The process must provide for the timely acquisition of the contracting operators
relevant publications (such as the training and checking manual, standard
operating procedures and aircraft flight manuals).
The process should also include provision for the systematic review and
subsequent awareness training for contracted instructors, of the contracting
operators procedure manuals (relevant to the contracted training).
se
nl
C3.1.5
C3.1.6
AS
A
Command Responsibility
For other than sole occupant flights, the exposition should include a means for
identifying and recording the name of the pilot in command of the aircraft. Any
command responsibilities, in addition to those required under civil aviation law,
may also be recorded.
The policy for command responsibility should specify that during dual flight time,
the flight instructor is to be the pilot in command, and that during flight tests or
checks the flight examiner is to be the pilot in command.
C3.1.7
C3.1.8
se
nl
C3.1.9
For the purposes of the CASR, the term student pilot refers to persons who are
receiving flight training prior to holding a pilot licence.
AS
A
a means to ensure that flights are only conducted under the Visual Flight
Rules (VFR) and in accordance with the instructors approval
the briefing should include the terms and conditions of the approval of the
solo flight
provision for the solo pilot to acknowledge the terms and conditions of the
approval (e.g by countersigning the document)
record keeping.
nl
C3.1.10
The process must also ensure compliance with regulation 142.386 of CASR
(appropriate briefing and capability to conduct certain solo flights etc), in relation
to the conduct of any solo flight for the first time.
AS
A
se
a means to ensure that flights are only conducted under the VFR and in
accordance with the instructors approval
the briefing should include the terms and conditions of the approval of the
solo flight
provision for the solo pilot to acknowledge the terms and conditions of the
approval (e.g. by countersigning the document)
record keeping.
C3.1.11
Carriage of Passengers
An applicant must have a means for ensuring that passengers are not carried
during student pilot operations - including dual training flights. Subregulation
61.113(2) of CASR provides that a student pilot is not authorised to pilot an
aircraft carrying passengers. Pilot means to manipulate the flight controls of an
aircraft during flight or to occupy a flight control seat in an aircraft in flight.
An applicant must also include a means for ensuring passengers are not carried
in aircraft when conducting the following operations:
nl
low flying.
Additionally, the applicant must describe a means to ensure that authorisation for
the carriage of passengers, in aircraft conducting Part 142 activities, will not be
permitted unless the pilot in command is authorised under CASR Part 61 to fly
the aircraft as pilot in command with a passenger on board. This requirement
may be applicable in circumstances when the holder of an RPL, who is
participating in integrated licence training, may seek to carry more than one
passenger.
AS
A
se
C3.1.12
Each flight training area used to conduct Part 142 activities must be described in
the applicants exposition.
The description should identify established areas or describe the lateral and
vertical boundaries, and the kind of flight training permitted in the area.
The process should provide for the safe establishment, promulgation and review
of each flight training area, with an emphasis placed on ensuring that information
about flight training areas is disseminated to all relevant personnel.
An applicant should demonstrate that they have considered the following in the
establishment of a flight training area:
the location and size of the area compared to the type of training and the
maximum number of aircraft planned to use the area
When a training area does not include the departure aerodrome, entry and exit
paths to the training area should be identified.
C3.1.13
The process should provide for the safe establishment, promulgation and review
of each low flying training area.
The proposed area should free from high risk obstacles (such as power lines or
cables) and should not be located over livestock.
The review process should include regular aerial inspections of low flying areas,
to monitor obstacles and hazards.
An applicant must have a means to ensure that low flying training is conducted
only over a flight training area approved by CASA, if required.
nl
se
AS
A
C3.1.14
The process must describe procedures for ensuring a person recommended for a
flight test meets the flight test prerequisites provided under regulation 61.235 of
CASR
The procedures may provide for an initial check of the prerequisites, by a flight
instructor, before final verification and certification.
The head of operations, or another person named in the exposition, must certify
that an applicant for a licence (other than ATPL) or a rating, has met the
prescribed eligibility requirements.
The process may include a checklist of prerequisites with provision for verification
and certification.
C3.1.15
C3.1.16
Training Records
se
nl
AS
A
participant name/ARN
briefings completed
remedial training
flight time
instructor/participant sign-off.
Training records should certify end of phase competence and suitability for
progression to the next phase.
C3.1.17
Access to Records
An exposition must describe procedures for ensuring instructors and examiners
have access to the records of course participants, prior to conducting a Part 142
activity.
The procedures should ensure the security and confidentiality of the records.
Availability of Records
nl
C3.1.18
An applicant must have a process for providing, within seven days, a copy of a
training record to another Part 142 operator when requested.
The process:
C3.1.19
AS
A
se
the parts of the course the person has completed with previous operators
the parts of the course the person needs to complete to ensure that all
applicable standards of the Part 61 MOS are satisfied.
The process for managing the transfer of students from another operator should
include procedures for:
-
C3.1.20
Checklists
Aircraft operating checklists applicable to training, and instructions and
circumstances for use, must be described in an exposition.
For contracted recurrent training, an applicant must ensure that instructors are
provided with prior access to aircraft flight check systems required to be used by
the contracting operator.
se
The areas of operation for flight training and contracted recurrent training must be
included in an applicants exposition.
C3.2
Contracted Checking
Areas of Operation
C3.1.21
nl
AS
A
References
Introduction
Contracted checking is checking conducted by a Part 142 operator for a contractor operator
who enters into an agreement with a Part 142 operator.
Checking is the assessment of proficiency of the personnel of an aircraft operator of the
operator of a FSTD that is conducted to ensure that the personnel are competent to carry
out their responsibilities.
Checking may be conducted to meet regulatory requirements or other requirements such as
those of a third party or client.
When contracted checking is conducted to meet regulatory requirements, the contracting
operator retains responsibility for meeting the requirement.
C3.2.1
a means for ensuring each contract confirms that the chief pilot/head of
flying operations of the contracting operator retains responsibility for
contracted checking conducted to meet regulatory requirements
AS
A
se
nl
C3.2.2
Part 142 examiners are trained in the practices and procedures of the
contracting operator
se
AS
A
nl
C3.2.3
C3.2.4
The policy must not countermand the regulatory requirements for command
responsibility, but may include additional responsibilities imposed by the
applicant.
The process should specify a means of identifying and recording the name of the
pilot in command of the aircraft and any command responsibilities that are in
addition to those required under civil aviation law.
During flight tests or checks, the policy may specify that the flight examiner will be
the pilot in command.
C3.2.5
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C3.2.6
nl
The process must ensure that examiners are not rostered for contracted checking
activities unless assessed as competent for the activity.
AS
A
C3.2.7
Record Keeping
The process must ensure that a record is made within 21 days after the
contracted checking activity, and that a copy of the record is provided on request,
to the person to whom the record relates.
activities conducted
briefings completed
flight/FSTD time
examiner/participant sign-off.
nl
Records of participation in Part 142 activities must be retained by the Part 142
operator for a period of at least 7 years.
The applicant should provide a process of internal audit to check for compliant
operation of the management system and to verify the accuracy and
completeness of records.
se
Transfer of Records
C3.2.8
An applicant must describe a means for providing, within seven days, a copy of a
record of participation in contracted checking to another Part 142 operator when
requested. A means for compliance must be documented in an exposition or
subordinate manual, and should provide confidentiality and security of the record.
An applicant must have a process for providing, within seven days, a copy of a
record of contracted checking to another Part 142 operator when requested.
The process:
AS
A
must ensure a copy is provided within seven days after receiving the
request.
C3.2.9
Carriage of passengers
the Part 142 examiner will be qualified under CASR Part 61 to be pilot in
command of the aircraft
Training areas
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C3.2.10
nl
Operations Manual
References
AS
A
C3.3
CASR: 142.340(1)(s)(i)
Introduction
An exposition must include an operations manual. The CASR Part 1 Dictionary defines an
operations manual as meaning the manual required under CAR 215. For practical reasons
the manual need not be included within the exposition document, but may be included as a
supplementary document to the exposition.
For the safe conduct of flight operations, CAR 215 requires an operator to include
information, procedures and instructions, in their operations manual (other than information,
procedures or instructions set out in other documents required to be carried in the aircraft),
regarding the flight operations for all types of aircraft operated by the operator.
Assessing compliance of an operations manual against relevant legislation should be
conducted in accordance with current CASA policy.
C3.3.1
Operations Manual
An exposition must include an operations manual. The manual may be included
as a supplementary document. As a supplement to the exposition, the operations
manual forms part of the exposition and is subject to the same requirements and
controls.
nl
se
C3.4
References
Introduction
AS
A
Regulation 142.310 of CASR requires a Part 142 operator to have an internal training and
checking system. The system must be described in an internal training and checking system
manual that forms part of the operators exposition.
A Part 142 internal training and checking system, or the appointment of training and
checking personnel, are not subject to approval by CASA.
CASR Part 142 does not specify the training and checking to be conducted under the
internal system. Therefore although the objectives and extent of internal training and
checking are at the discretion of the operator, there are several mandatory training and
checking requirements under Parts 61 and 142 of CASR (such as instructor proficiency
checks, HF&NTS training etc.) that should be performed by that part of the applicants
organisation responsible for the internal training and checking system.
C3.4.1
The organisational structure and reporting lines of the training and checking
organisation should be described.
C3.4.2
The description should include the objectives, scope, depth, frequency and
methods for the internal training.
AS
A
se
nl
command responsibilities
carriage of passengers
graduation administration.
CASR Part 142 requires an operator to provide internal training in HF&NTS, and
familiarisation training for key personnel.
Other internal training, while not prescribed under Part 142 but essential in
ensuring suitably qualified and competent personnel, includes induction training
and upgrade training.
Induction Training
The internal training and checking system manual should describe the applicants
process for ensuring induction training is given to all Part 142 personnel, before
commencing their duties and responsibilities.
The process should include analysis of training requirements for each inductee
(the training must be appropriate to each persons role in the Part 142
organisation and sufficient to enable each person to safely and effectively
discharge their duties and responsibilities).
se
nl
AS
A
(a)
employment conditions
HF training for a Part 142 organisation should not be something radically new. HF
training may initially appear to cover many safety principles and practices which
are already incorporated within operations; however these practices are often
both informal and inconsistent in application. In describing and explaining the
underlying HF principles for certain practices within an organisation, HF&NTS
training can ensure that Part 142 activities are carried out in a more consistent
and professional manner such that aircraft are operated and students are trained
with a higher level of safety.
nl
If training has been contracted to a third party training provider, the Part
142 organisation should still ensure appropriately trained and competent
staff are employed in relation to HF&NTS course design and delivery.
se
AS
A
(b)
investigation processes
If an operator has followed the guidance given in CAAP SMS 3(1) for the
design and development of their HF&NTS training course, have they
addressed those specific influences that will be present in the flying
training/checking environment?
Course Objectives
The objectives of the operators HF&NTS training program should include:
o
reduced errors
The learning outcomes of the HF&NTS training should provide the course
participant with:
knowledge of potential HF influences and hazards
nl
AS
A
se
AS
A
o
o
nl
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(c)
An internal training and checking system manual may describe the applicants
process for ensuring familiarisation training is provided to each prospective key
personnel, prior to the appointee carrying out the duties and responsibilities of the
position. Considerations relevant to the assessment of familiarisation training for
key personnel are available in section C1.4 of this handbook.
(d)
Upgrade Training
C3.4.3
The description should include the objectives, scope, depth, frequency and
methods for the internal training.
CASR Part 142 does not prescribe the specific checks to be conducted by an
internal training and checking system. However, to align with common industry
practice that the responsibility for Part 142 internal checking should be assigned
to that part of the applicants organisation responsible for the Part 142 internal
training and checking system. If an operator does not choose to do this, then the
exposition must make other provisions to ensure personnel complete mandatory
checking.
Additionally, under Part 142, an applicant must provide for annual standardisation
and proficiency checking of instructors..
Part 142 standardisation and proficiency checks must only be conducted by the
head of operations or a delegate.
Other than as required under CASR Part 61 and Part 142, an operator is not
bound to conduct checks more frequently. The content and frequency of
additional checking is at the discretion of an operator.
AS
A
se
nl
As the frequency of mandatory checks under CASR Part 61 and Part 142 may
not provide sufficient assurance of competence on a continual basis, an applicant
may schedule additional checks to unequivocally establish the competence of an
instructor or examiner to perform any assigned task according to the applicants
published requirements (this may include specialist skills such as instruction in
formation aerobatics or helicopter winching).
a means for ensuring the checks assess both knowledge and skill of
personnel
nl
se
AS
A
C3.4.4
procedures for managing checks that are not completed before a due
date.
While a Part 142 operator is not required to establish a key personnel position of
head of training and checking, a person responsible for managing and
supervising the organisation should be appointed.
C3.4.5
An internal training and checking system manual must describe a cyclic training
and proficiency program, if proposed by the applicant.
C3.4.6
Procedures for use of the system may be included in training given on induction
to the training and checking organisation.
nl
C3.4.7
this should also apply to all Part 142 instructors and examiners
conducting internal training and checking
AS
A
Supervision of Personnel
C3.4.8
se
An applicant must provide a means for ensuring internal training and checking
personnel are effectively supervised.
C3.4.9
Supervision may be enhanced through regular staff meetings with agenda for:
-
An applicants internal training and checking system manual should describe the
minimum qualifications and experience for appointment of a person responsible
for managing and supervising the training and checking organisation, together
with the selection process.
Command Responsibility
An applicants internal training and checking system manual must describe a
policy for command responsibility for each training and checking activity
Prudent policy should require that Part 142 instructors and examiners conducting
internal training and checking in aircraft, must be authorized as pilot in command.
nl
C3.4.10
An applicants internal training and checking system manual must describe the
minimum number of check pilots required to meet all obligations for checking.
The manual must also describe the minimum qualifications and experience for
personnel conducting training activities.
The manual should describe a method for establishing the minimum number of
training and checking positions required (the method may be based on known
Part 142 activity commitments, including a margin for contingencies).
AS
A
se
C3.4.11
Safety Precautions
An applicants internal training and checking system manual must include any
restrictions, specifications or precautions applicable to the conduct of internal
training and checking.
These may relate to aircraft system shutdown, the simulation of emergency and
abnormal conditions, and limitations on weather and environment).
Examples may be:
instructors or examiners must not introduce simultaneous multiple
unrelated simulated emergency or abnormal situations during the flight
only emergency and abnormal systems failures listed in the aircraft Pilot
Operating Handbook, Quick Reference Handbook, Minimum Equipment
List, Flight Crew Operating Manual (or however described), are to be
simulated by an instructor or examiner during training or checking
se
Standards
C3.4.12
AS
A
nl
An applicants internal training and checking system manual must describe the
standards to be achieved when conducting training and checking.
While the minimum competency standards are those specified in the Part 61
MOS, an applicant may specify more stringent or additional standards. If the
standards of the Part 61 MOS are adopted, the manual must include a statement
of policy to that effect.
C3.4.13
Remedial Training
C3.4.14
policy
management responsibility
se
nl
AS
A
If an applicants personnel will conduct activities under CASR Parts 141 and 142,
the applicant must demonstrate that the flight crew competency requirements of
both Parts of CASR are satisfied. For example, a standardisation and proficiency
check applicable to a Part 142 instructor must check competencies required to
conduct Part 142 activities; a check conducted under CASR Part 141 is unlikely
to suffice. However, in some cases, a more stringent requirement applicable to
the competency of personnel under one CASR Part, may satisfy a less stringent
requirement of the other (e.g. an instrument proficiency check).
(a)
Validity
The process must ensure personnel are not rostered for authorised activities
unless holding a valid check. Standard industry practice is to employ a software
recording/monitoring/alerting program for renewable qualifications, recency and
other regulatory requirements, as part of the crew rostering process.
The process for ensuring instructors hold valid standardisation and proficiency
checks should address:
recording performance
remedial action.
nl
The process must ensure standardisation and proficiency checks are only
conducted by the head of operations or a delegate.
Content
An applicants internal training and checking system must include a process for
managing the content of standardisation and proficiency checks.
The process must ensure the content of each check addresses the competencies
necessary to conduct activities an instructor has been engaged to conduct, and
must address instructional standardisation and instructional proficiency.
AS
A
(b)
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pre-flight briefing
flight/simulator lesson
The process must ensure proficiency is assessed against the standards of the
Part 61 MOS for flight instructor ratings and endorsements.
nl
An applicant must describe a process for ensuring the head of operations notifies
CASA, in writing, when a standardisation and proficiency check is not completed
to the standard described by the operator. The notification must be made within
14 days of the attempt, and include the instructors name, position and ARN.
Conduct
A check may only be carried out by the head of operations or a person authorised
by the head of operations. An applicants internal training and checking system
manual must describe a process for authorising persons to conduct Part 142
instructor standardisation and proficiency checks.
AS
A
(c)
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C3.4.15
training
FSTD Competency
The process may include training, but must include an assessment to determine
competency.
C3.5
References
CASR: Part 60, Subpart 142.H, 142.340(1)(s)(v)
MOS: Part 60
AC:
60-1(0), 60-2(2), 60-3(0), 60-4(0)
Other: Operational Standards and RequirementsApproved Synthetic
Trainers (FSD2)
Introduction
If conducting authorised Part 142 activities only in flight simulation training devices, an
applicant must have a quality assurance management system.
se
nl
The applicants quality assurance management system should define the day to day
procedures or working practices by which the applicants quality objectives will be achieved,
and must meet the requirements of regulation 142.275 of CASR. A successful quality
assurance management system ensures the highest possible standard for the operation and
maintenance of the flight simulation training devices and the conduct of the authorised Part
142 activities.
AS
A
The following information and questions may be of value in determining if the applicants
quality assurance management system meets the requirements of regulation 142.275 of
CASR.
C3.5.1
The applicant must include, within its exposition, a manual which describes its
quality assurance management system.
who should do it
nl
se
AS
A
the applicants facilities and resources are appropriate for the conduct of
the activities.
The quality assurance management system manual should describe how the
applicant will:
-
relevant terminology
management responsibilities
nl
resource allocation.
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AS
A
reporting procedures
audit procedures
C3.5.2
The applicants quality assurance management system must include, but may not
be limited to, the following documentation and information relating to the
operation and maintenance of FSTDs:
a quality policy
management responsibility
document control
resource allocation
quality procedures
internal audit.
AS
A
se
nl
Quality Policy
The quality policy, usually documented within the quality assurance management
system manual, should define the applicants quality objectives for the operation
and maintenance of its FSTDs. It may also refer to the applicants quality
objectives for the conduct of the authorised activities and training outcome
targets.
The quality policy should highlight how the applicant intends to meet its stated
quality objectives, and establish an environment and culture of continual
improvement.
(a)
The applicants quality objectives for the operation of FSTDs should include:
-
reaching the applicants targets for the reliability and availability of each
FSTD
The applicant should demonstrate how the quality policy will be communicated,
with visible endorsement from management, to personnel throughout its
organisation.
The applicant should communicate its quality policy and objectives to third parties
involved in the supply of goods and services for the conduct of the activities. The
applicant holds the overall responsibility for the quality of all goods, services and
resources used during the conduct of the activities, and therefore written
agreements between the applicant and third parties should clearly define the
quality objectives in relation to the goods and services to be provided.
Considerations in relation to third party suppliers are provided in section C3.12 of
this handbook.
Management Responsibility
The chief executive officer is responsible for ensuring the implementation and
ongoing management of the quality assurance management system. The chief
executive officer, in conjunction with the quality assurance manager, should
establish the quality policy and set the applicants quality objectives.
The responsibilities of the quality assurance manager are set out in regulation
142.210 of CASR. Considerations in relation to the quality assurance manager
are provided in section C1.8 of this handbook.
AS
A
(b)
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nl
Document Control
modification records
the results of all validation tests mentioned in the master QTG, and all
functions and subjective tests.
nl
The applicant should describe within the quality assurance management system
manual the requirements for the retention of documentation such as:
se
The applicant must provide verification that, in accordance with regulation 60.095
of CASR, the following documents relating to each particular FSTD shall be
retained until at least 3 years after the device is decommissioned:
technical logs
update history
other system records (e.g. audit schedules, quality inspection and audit
reports, responses to findings, corrective and preventative action reports,
follow-up and closure reports and management evaluation reports).
AS
A
(c)
The applicant should provide a means for controlling the revision and distribution
of the quality assurance management system manual to personnel.
The applicant must provide a means to ensure that the quality assurance
management system manual, and any related documentation, is up to date and
made readily accessible to personnel involved in the operation and maintenance
of FSTDs and the conduct of the activities.
access arrangements
Resource Allocation
The applicant should demonstrate that sufficient resources are allocated to
ensure proper operation of the quality assurance management system and
internal audit program.
The applicant should provide a means for ensuring that personnel who are
delegated duties for managing the quality assurance management system
receive training which covers:
audit techniques
se
nl
The applicant must ensure that instructors and examiners are competent to
conduct an activity in a FSTD, prior to the activity being conducted.
Considerations for assessing instructors and examiners to conduct activities in
FSTDs are provided in section 3.1.15 of this handbook.
AS
A
(e)
Quality Procedures
The system should detail schedules and methods for monitoring all aspects of the
operation of each FSTD.
(d)
the day to day operation of each device in order to ensure that the
applicants quality objectives are achieved, for example:
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AS
A
nl
FSTD availability
defects
open defects
The quality assurance management system should provide for the ongoing
assessment of the quality of the actions performed during each of the quality
procedures, ensuring that deviations from the standard are recognised, reported
and corrected.
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Internal Audits
The applicant should monitor and assess compliance with the procedures of the
quality assurance management system to ensure the objectives of the system
are met, and improvements are made to the system when required. Assessment
of compliance may be achieved through a program of scheduled internal audits.
The applicants internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
each FSTD is operated and maintained to the highest standard
AS
A
(f)
nl
the applicants written procedures and relevant civil aviation legislation are
complied with by all personnel
nl
se
The number of audits required will vary dependent upon the size of the
organisation, the number of FSTDs utilised and the scope of the authorised
activities. The applicants schedule for internal audits should ensure that all
aspects of the operation are audited within a 12 month period.
The applicants internal audit procedures should provide for the assessment of:
whether the applicants organisational structure and chain of command
are appropriate to assist in achieving the applicants quality objectives
AS
A
The conduct of scheduled functions and subjective tests (fly-outs) for each device
may be included as part of the applicants internal audit program to assist in
confirming the continued suitability of each FSTD. The applicants procedures
should ensure that, during functions and subjective testing, the assigned check
pilot/flight examiner:
holds the relevant aircraft type rating
nl
The applicant should provide evidence to verify that at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
a description of the audit findings and observations (e.g. non-compliances
or change recommendations)
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AS
A
a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
The applicants internal audit program should include procedures to verify that the
recommended corrective and preventative actions resulting from internal audit
findings have been implemented, and that the desired outcomes have been
achieved.
The applicants internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
The applicant should provide a means for the quality assurance manager to
report to the chief executive officer in relation to audit findings.
The applicant may require personnel involved in the conduct of internal audits
(normally the quality assurance manager or delegate) to have received internal
quality auditor training. Considerations in relation to additional qualifications and
experience for the quality assurance manager are provided in section C1.8.2 of
this handbook.
C3.5.3
The applicant must provide a process for auditing the activities in order to:
-
The applicant should describe, within its quality assurance management system
manual, a program of scheduled internal audits.
The applicants internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
the activities are conducted to the highest possible standard and the
desired outcomes are being achieved
the applicants written procedures are relevant to the activities, and are
adequate to ensure ongoing compliance.
se
nl
AS
A
(a)
The applicants internal audit program should include, but would not be limited to,
procedures for:
-
reviewing the applicants written procedures and practices for the conduct
and management of activities, and ensuring course participants,
instructors and examiners are complying with them
reviewing training outcomes, which may be via pass rates, post-flight test
feedback from examiners and average hours required to achieve a
qualification (further considerations in relation to the evaluation of training
outcomes are provided in section C3.5.3(c) of this handbook)
The applicant should provide evidence to verify that at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
a description of the audit findings and observations (e.g. non-compliances
or change recommendations)
a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
nl
se
The applicant should describe a means to verify that following each audit, the
applicants written procedures and course syllabuses will be assessed and
improved where necessary, in order to address any identified patterns of training
deficiencies.
AS
A
The number of audits required will vary dependent upon the size of the
organisation and the scope of the activities. The applicants schedule for internal
audits should ensure that all aspects relating to the conduct of the activities are
audited within a 12 month period.
The applicants internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
The applicant should provide a means for the quality assurance manager to
report to the chief executive officer in relation to audit findings.
The applicant may require personnel involved in the conduct of internal audits
(normally the quality assurance manager or delegate) to have received internal
quality auditor training. Considerations in relation to additional qualifications and
experience for the quality assurance manager are provided in section C1.8.2 of
this handbook.
The applicant should continually seek to improve the standards and outcomes
achieved in the conduct of the activities. The applicant may demonstrate this
commitment via its quality policy.
The applicant must describe, within its quality assurance management system
manual, a process for promoting the continual improvement of the activities.
The continual improvement of the activities may include, but would not be limited
to, procedures which:
se
provide for regular review of the activities to determine the validity of the
quality policy and objectives
encourage personnel to provide feedback and suggestions for
improvement in relation to the activities (e.g. providing mechanisms for
feedback relating to the applicants resources, written processes and
procedures)
AS
A
(b)
nl
(c)
encourage course participant feedback (e.g. via observations during dayto-day conduct of the activities, surveys, comments made during audits,
end of course evaluations)
The applicant may choose to review root causes raised over a period of time, in
order to determine any significant trends and identify areas requiring further
rectification.
The applicants process for assessing the suitability of facilities and resources
should include procedures for assessing:
se
AS
A
(d)
nl
The applicant should describe how facility and resource assessments will be
recorded and retained.
Change Recommendation
The applicant should describe the means whereby personnel can make change
recommendations in relation to each of these systems.
se
nl
(e)
Fatigue Management
C3.6
AS
A
References
CASR: 142.340(1)(o)
Introduction
Under a revision to CAO 48, introduced in April 2013, operators and flight crew must share
the responsibility to manage fatigue. The revision adopts a tiered approach to managing
fatigue, ranging from prescriptive requirements, to a mix of prescriptive and managed, to a
fully developed fatigue risk management system.
The tiered structure will allow operators to choose how they manage fatigue in their
organisations based on their operating environment and needs. Refer to the CASA fatigue
management toolkit for further information.
C3.6.1
Fatigue Management
C3.6.2
Refer to The Fatigue Risk Management Handbook (V 1. April 2013) for guidance
in developing an FRMS Manual.
CASR: 142.340(1)(s)
se
References
nl
C3.7
Introduction
AS
A
CASR Part 92 prescribes the minimum safety requirements for the consignment and
carriage of dangerous goods by air. If required by CASR Part 92 to have a dangerous goods
manual, an applicant must include the manual in their exposition.
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(s) of CASR in relation to the inclusion of a dangerous
goods manual in an exposition.
a table of contents
a distribution list
an amendment record.
C3.8
References
CASR: Part 99
Introduction
nl
CASR Part 99 requires the development of Drug and Alcohol Management Plans (DAMPs)
covering persons involved in safety sensitive aviation activities. If required by CASR Part 99
to have a drug and alcohol management plan, an applicant must include their DAMP in their
application.
C3.9
References
AS
A
se
The following information may be of value in determining if the applicant has met the
requirements of CASR Part 99 in relation to the inclusion of a DAMP in their application.
CASR: 142.340(1)(u)
Introduction
Regulation 142.340(1)(u) of CASR requires the applicant to include, in their exposition, any
other matter in relation to Part 142 activities that is required to be approved by CASA. This
includes any request for approval to be the head of operations for the operator or any
requirement to hold a Part 142 authorisation.
Regulation 142.340(1)(v) of CASR requires the applicant to include, in their exposition, any
matters prescribed by a legislative instrument that CASA considers to be necessary in the
interest safety.
C3.9.1
nl
Other matters that may require CASA approval are specified under regulation
142.040(3) of CASR, and include:
C3.9.2
se
Change Management
References
AS
A
C3.10
Introduction
A change management system provides a structured framework for managing most aspects
of change. Adherence to an appropriate system minimises the inherent risks of change,
ensures effectiveness and will provide a means for compliance with Subpart 142.C of CASR.
CASR Part 142 refers to changes as either significant changes or changes that are not
significant changes.
Regulation 142.030 of CASR defines significant changes. Subpart 142.C of CASR makes
requirements for those changes, including requesting formal approval of the change by
CASA prior to the change taking place.
An applicant is entitled to make changes that are not significant changes without prior
approval from CASA. However, an applicant must have a means to ensure that notification
of all changes and a copy of the exposition detailing changes, are received by CASA.
An exception is a change to the applicants name (including any operating or trading name),
contact details and operational headquarters address (if different to the mailing address). An
applicant is required to amend the exposition to reflect changes, give CASA written notice
and a copy of the amended part of the exposition, before making those changes.
(b)
Identification
AS
A
(a)
se
Significant Changes
C3.10.1
nl
The following information may be of value in determining if the applicant has met the
requirements of subpart 142.C of CASR (changes).
The applicant must have a means to ensure that any significant changes are not
implemented until CASA has approved the change. There are two exceptions to
this rule, which refer to the permanent appointment of key personnel on
occasions when substantive key personnel are absent or unable to carry out the
responsibilities. Considerations relating to the permanent appointment of key
personnel are located in section C3.10.2 of this handbook.
preparation of a plan
nl
The applicant should provide a means for ensuring awareness training for all
personnel, including induction and key personnel familiarisation, will include
training on significant changes.
AS
A
se
CASA may approve a change if satisfied that the applicant can continue to meet
the conditions of issue, for the AOC or certificate (as applicable), as described in
regulation 142.085(1) and regulation 142.110(1) of CASR respectively.
C3.10.2
The change management system should include suitable procedures for making
application to CASA for approval, and for subsequent amendment, of the
exposition in accordance with the appropriate timeframes prescribed in regulation
142.140(2) of CASR. The applicants procedures should ensure that:
-
(b)
se
Identification
Management
AS
A
(a)
nl
C3.10.3
preparation of a plan
The applicant should provide a means for ensuring awareness training for all
personnel, including induction and key personnel familiarisation, will include
training regarding changes that are not significant changes.
version control
se
nl
C3.10.4
C3.10.5
AS
A
An applicants system for managing change must include provision for changes
directed by CASA. The system must provide evidence that the applicant will
comply with any conditions imposed by CASA, such as time limitations.
C3.11
Exposition
References
CASR: 142.350
Introduction
Part 142 includes several provisions relating to expositions, including the requirement under
regulation 142.350 of CASR for an operator to make the exposition available to personnel.
se
An exposition must describe how the applicant ensures personnel have access to
the parts of the exposition that are relevant to their duties. The description should
address:
how an applicant will maintain a written record of the distribution of its
exposition to personnel
how personnel receive the sections of the exposition that relate to their
duties, prior to carrying out the duties (this may be achieved through the
applicants distribution procedures)
how an applicant will ensure that changes are communicated to
personnel, if changes are made that may affect their duties (this may form
part of the applicants change management system procedures)
AS
A
nl
The following information may be of value in determining if the applicant has a suitable
means for ensuring that the parts of the exposition, relating to the duties of personnel, are
made available to the personnel prior to carrying out their duties.
C3.12
References
CASR: 142.340(1)(r)
Introduction
The applicants exposition must provide a description of any aeronautical or aviation related
services provided, or to be provided, by third parties to the applicant.
nl
The following information may be of value in determining if the applicant has met the
requirements of regulation 142.340(1)(r) of CASR relating to descriptions of services
provided by third party suppliers.
The exposition must provide details of any third party relationships between the
applicant and third party suppliers (e.g a supplier of aircraft fuel or aircraft
performance data, or leased aircraft etc.).
AS
A
se
C4
EXPOSITION PART 4:
SAFETY MANAGEMENT SYSTEM
C4.1
References
CASR: 142.265(1)(d), 142.265(2)(b)
Introduction
se
nl
In the SMS framework managements commitment to and responsibility for safety is formally
expressed in a series of statements in the applicants safety policy. The safety policy reflects
the applicants philosophy of safety management and becomes the foundation on which the
organisations SMS is built. The safety policy outlines what the applicant will do to achieve
the desired safety outcomes.
AS
A
Safety objectives often accompany the safety policy. They define what the applicant wishes
to achieve, and the safety policy declares the applicants commitment to achieving them.
The safety objectives should state an intended safety outcome and may be expressed in
terms of short, medium and long term safety objectives. The safety objectives, like the safety
policy, should be publicised and widely distributed across the applicants organisation.
The following information and questions may be of value in determining if the applicant has
captured all of the appropriate elements required for the safety policy, objectives and
planning.
The applicants safety policy, objectives and planning should provide information
and statements covering:
-
SMS Documentation.
C4.1.1
Safety Policy
The organisations safety policy is contained within the SMS manual and may
also be promulgated around the organisation to highlight managements
commitment to safety.
The organisations safety policy should set a clear, high-level direction for the
operator to follow in order to manage safety effectively.
As with the SMS, the safety policy should reflect the chief executive officers
written approach and commitment to safety.
C4.1.2
nl
se
AS
A
Safety objectives should state intended safety outcomes. Some examples may
be:
Safety objectives may be expressed in terms of short, medium and/or long term
desired outcomes.
The applicant should carry out a periodic review of the stated safety objectives to
ensure they are still relevant, and that they are providing desired outcomes in line
with the organisations strategic safety goals.
C4.1.3
AS
A
se
nl
C4.1.4
(a)
Safety Manager
The size and/or complexity of the organisation will determine whether the
applicant has a Safety Review Board (SRB), as the highest-level internal safetyrelated meeting. For smaller operators, a safety committee may provide the
guidance required for the operators SMS. Normally an SRB would provide
direction to the organisations various Safety Action Groups (SAGs), whereas a
safety committee may address all of the operators SMS issues.
If the operator has an SRB, then it should be chaired by the chief executive
officer or a non-executive director with the chief executive officer in attendance,
and include the Safety Manager. A safety committee would typically consist of the
chief executive officer, the Safety Manager and other members of the senior
management team.
Membership
AS
A
se
nl
(b)
Terms of Reference
monitoring the effectiveness of safety oversight of subcontracted operations carried out on behalf of the
organisation
nl
SAGs are accountable to, and take strategic direction and guidance from, the
SRB. The SAGs comprise a representative section of the line management and
supervisory staff of all departments in the organisation (not only operations and
maintenance, but also other disciplines such as financial and commercial).
In a large organisation there may be more than one SAG. These groups should
meet periodically to support the identification of hazards and the assessment of
risks faced by the organisation, and to suggest methods of mitigation. They
should also support the systematic review of safety-related standards and
procedures, as well as providing experienced advice on major aviation safety
issues.
AS
A
(c)
se
Accountability
o
Membership
o
Terms of Reference
o
AS
A
se
nl
C4.1.5
The basic HF principles an operator should adopt to integrate HF into their SMS
are:
se
nl
management of change
the design and procurement of systems, equipment and facilities, and
their subsequent use
HF&NTS training
risk management
AS
A
(a)
incident investigation.
Risk management
Management of change
The design and procurement of systems, equipment and facilities, and their
subsequent usability
Integration may be demonstrated by processes that:
identify how personnel within the organisation may be affected by
modifications to systems, facilities and/or equipment
identify how personnel may potentially interact with the new system,
facility and/or equipment
assess the risks associated with new systems, facilities and equipment.
nl
(f)
(e)
se
(d)
(c)
AS
A
(b)
identify safety critical tasks, and the personnel that perform them
(g)
Incident Investigation
Integration may be demonstrated by:
-
C4.1.6
nl
the gap analysis used to determine the competent and elements of the
SMS
the major elements of an SMS implementation plan
AS
A
se
(a)
Gap Analysis
Items identified in a gap analysis as missing or deficient should form the basis of
the SMS implementation plan. The applicant should tailor the SMS to:
-
the size, complexity, and scope of the organisation and its proposed
activities
Implementation Plan
The applicants initial gap analysis should form part of the SMS implementation
plan.
Major elements that should be addressed within the implementation plan include:
Safety Policy, Objectives and Planning, including details of:
SMS Documentation.
nl
hazard identification
management of changes
an FDAP, if applicable.
AS
A
C
-
se
(b)
Phased Approach
Due to the possible deficiencies an organisation faces after the initial gap
analysis, it would be unrealistic to impose tight timeframes for SMS
implementation. Typically, depending on the size and complexity of the
organisation, 12 to 18 months is normally sufficient time to implement an SMS up
to 24 months. Timelines can be discussed further with the CASA inspectorate, if
required.
C4.1.7
The applicants SMS should ensure that the level of safety of an organisation is
not eroded or compromised by the inputs, services and supplies provided by
external (third party) organisations.
se
nl
AS
A
(c)
The applicant holds the overall responsibility for the safety of services provided
by a contractor. Therefore, the contract between the applicant and the third party
must specify the expected safety standards that the applicant will ensure the
contractor complies with.
(a)
All SLAs should contain a schedule of oversight to monitor the third partys
performance on a regular basis.
All agreements should detail how any noted safety hazards and deficiencies will
be addressed, and the timeframe in which to accomplish this.
Contractor Performance/Qualifications
All third party providers should hold the appropriate qualifications/credentials or
approvals for the work being carried out.
All third party organisations should be able to demonstrate that they are providing
trained and competent staff.
All third parties should understand the applicants SMS, and their responsibilities
within it. This should be accomplished by third party SMS induction training
delivered by the applicant.
There should be a mechanism in place where the applicant can assess the third
partys previous safety record, prior to the contracted services commencing.
nl
(b)
se
C4.1.8
AS
A
provide methods for communicating with the public in the event of a major
incident.
The applicant should ensure that their ERP is properly coordinated with the ERPs
of those organisations it must interface with during the conduct of the proposed
activities.
An ERP may be a stand-alone document, may form a part of the applicants SMS
manual, or may be a combination of both. For example, the ERP policies, roles
and responsibilities may be contained within the SMS manual, and immediate
response information may be contained in easily accessible booklets, pamphlets
etc.
accident investigation
preservation of evidence
media relations
nl
se
The applicant should provide a means for ensuring that personnel are adequately
trained and familiar with the procedures that will be employed in the event of an
accident or serious incident. This should include rehearsing plans regularly and
providing training, including:
-
desktop exercises
AS
A
The applicant should ensure that personnel are aware of the location of the ERP
instructions to enable efficient access in case of an emergency. This may be
achieved by the applicant ensuring the emergency response posters, instructions
and information pamphlets etc. are accessible in all relevant workplaces.
The applicants mechanism should ensure that feedback and improvements are
widely disseminated throughout the applicants organisation, to ensure personnel
are aware of the lessons learned. Methods the organisation can employ to
achieve this may be via:
company intranet
safety newsletters
C4.1.9
The applicant should ensure the requirements for personnel to support the SMS,
at all levels, are documented and the relevant documents are freely available.
If the applicants procedures are in separate manuals (as may happen in larger
organisations), the applicant should to clearly publicise this so that all personnel
have simple and effective access to detailed information about the SMS
procedures and processes.
nl
SMS Manual
se
The applicants exposition must include a SMS manual which describes its safety
management system. The SMS manual should be developed and maintained as
part of the applicants SMS documentation.
The most effective method for an operator to document all SMS procedures,
policies and practices is to consolidate all of the information within one manual
(an SMS Manual).
AS
A
(b)
Implementation Plan
(a)
SMS Documentation
contain all of the written policies, procedures and instructions covering the
organisations SMS standards and SMS requirements
Any information that may change regularly in the SMS manual (e.g. personnel
assigned with specific safety roles and responsibilities) may be put into
appendices/annexes to the SMS manual to enable this information to be easily
updated and maintained.
nl
hazard identification
FDAP, if required.
AS
A
se
safety promotion.
C4.2
References
CASR: 142.265(2)(c)
Introduction
nl
Safety risk management is the identification of hazards and the analysis and evaluation of
associated risks to an acceptable level. The systematic identification and treating of risks
and hazards in an organisation, together with the continual monitoring and communication of
the risk management processes, are vital to the sustainability and effectiveness of the SMS.
se
The following information and questions may be of value in determining if the applicant has
sufficient processes to ensure hazards are identified and associated risks analysed and
mitigated, and where possible eliminated.
C4.2.1
Hazard Identification
The applicant should develop and maintain a process that ensures hazards
associated with its aviation operations are identified.
The starting point for any safety risk management process needs to be the
establishment of the context of hazard identification. The applicant must have a
systematic and comprehensive hazard identification process because hazards
not identified at this stage may be excluded from further risk analysis and
mitigation.
AS
A
C4.2.2
C4.3
nl
References
se
Introduction
AS
A
Management of Change
-
The following information and questions may be of value in determining if the applicant has
an appropriate safety assurance system in place to ensure the organisations safety
objectives are being met and periodically reviewed for relevance.
nl
C4.3.1
safety monitoring
safety measurement
safety review.
safety performance
AS
A
(a)
se
(b)
Safety Monitoring
Safety Measurement
safety surveys/questionnaires
safety studies
nl
C4.3.2
se
Safety Review
(d)
AS
A
(c)
The scale and scope of any investigation should be suitable to determine and
validate the underlying hazards. A systems approach is useful to provide a broad
appreciation of the context of any occurrence. Effort expended should be
proportional to the perceived benefit to the organisation in terms of identifying
hazards and risks.
a reporting system
an investigation policy
Reporting System
se
nl
Investigation Policy
(b)
The operator should have certain processes in place for personnel to report
hazards and/or events in the workplace. Processes that enable reporting may
include:
The applicants investigation policy documented within the SMS should highlight
the purpose of the investigation. The policy should clearly state that:
-
AS
A
(a)
(c)
Investigation Methodology
The extent of each investigation will depend on the actual and potential
consequences of the hazard/event. The applicant may determine this through an
initial risk assessment. Where resources are limited the applicant needs to
determine that the effort expended, in terms of identifying hazards and risks to
the organisation, will be proportional to the perceived benefit of the investigation.
Investigation Recommendations
using identified safety issues (as a result of an investigation) in reevaluating existing risk controls/defences
nl
(d)
company intranet
safety newsletter
AS
A
se
C4.3.3
Management of Change
The management of change process included in the applicants SMS should be a
formal process to be used in the event of external and/or internal change that
may affect established processes and services.
The applicants management of change process within an SMS should only focus
on hazard identification and the controls/defences to be employed to improve the
safety of the conduct of the Part 142 activities. Other potential risk factors (such
as a lack of business growth) may also be considered; whilst they are additional
to the scope of SMS management of change they may have the potential to
affect operational safety.
relocation or expansion
se
nl
(b)
AS
A
(a)
(c)
the use of resources and the involvement of personnel in the process will
not impact operational safety
The applicant should ensure that communication and consultation takes place
with all key stakeholders during the ongoing monitoring and review of changes.
C4.3.4
feedback mechanisms
nl
se
(b)
AS
A
(a)
The applicant should monitor and assess the effectiveness of its SMS processes
to enable continuous improvement of the overall performance of the SMS.
Methods to achieve this may include:
(c)
The applicant should have a means for ensuring follow-up from feedback
mechanisms is reviewed and considered by the safety committee and/or safety
manager to ensure issues raised are addressed to the SRB (or equivalent).
Following review, the applicant should ensure that any amendments or additions
to the SMS are monitored and evaluated for ongoing effectiveness. The applicant
should provide a means for ensuring that evidence of improvements are
documented as a part of the continual improvement process.
C4.3.5
The FDAP should form an integral part of the SMS. Normally the FDAP would be
located, as stand-alone element, within the safety assurance component of the
SMS.
The applicants FDAP should be non-punitive and de-identify the person who is
the source of the data, whilst ensuring data gathered is secure. A feedback loop,
which should be a part of the SMS, will allow timely corrective action to be taken
where safety may be compromised by significant deviation from SOPs.
nl
will ensure the FDAP process is clearly documented within their SMS
manual.
FDAP Implementation
se
If the FDAP is provided by a third party the applicant should have a means for
acknowledging and retaining responsibility for the provision of the program and
its effectiveness.
AS
A
(b)
To maximise safety benefits the applicant must ensure that the FDAP is
integrated seamlessly within their SMS.
The applicant may use the FDAP operational data provided by the program to
provide quantitative information to support investigations that would otherwise be
based on subjective reports.
The applicant should have a means for ensuring operational data provided by the
FDAP is regularly analysed and recorded in support of improving flight
operations, and, as a direct consequence, the improvement of the SMS.
(a)
Documentation
The FDAP process should be clearly documented within the organisations SMS
manual.
the data retention policy and accountability, including the measures taken
to ensure the security of the data
the policy highlighting instances where the identity of the person who is
the source of the data may be disclosed, such as:
nl
the conditions under which punitive action will not occur in relation to the
data, unless the person has:
se
AS
A
(c)
the policy for the publishing the findings resulting from the FDAP, in order
to improve the organisations flight safety program and SMS.
C4.4
Safety Promotion
References
CASR: 142.265(2)(e)
Introduction
A safety management system should have a safety promotion system, which includes SMS
training and education, and SMS safety communication. Safety training is related to, but
different from, safety promotion. An operator should ensure that their personnel are trained
and competent to perform their roles within the SMS, and that the training programs are
tailored to suit the needs and complexity of the organisation.
Safety promotion assists in setting the SMS tone and aids in building a robust safety culture.
Safety promotion communicates the lessons learned, safety information, safety procedures,
and key safety messages from senior management that can also assist the organisation to
foster improved safety performance.
C4.4.1
nl
The following information and questions may be of value in determining if the applicant has
an appropriate safety promotion system in place for the organisations size and complexity.
The applicants SMS training should focus on the identification and reduction of
hazards in the system, and the significance of the human component in achieving
this.
Depending on the size and/or complexity of the organisation, the SMS training
may include:
SMS training for all personnel, and where possible third party service
providers
AS
A
se
The applicant should develop and maintain a safety training program that
ensures personnel are trained and competent to perform their SMS duties. The
scope of the safety training program should be appropriate to each individuals
involvement in the organisations SMS.
(a)
The applicant should have a means for ensuring that all personnel, including
safety-critical personnel, operational personnel, supervisors, managers and
senior management within the applicants organisation, take part in an SMS
induction course and recurrent SMS training.
The applicant should ensure that their SMS induction course is made available to
third party contractors, part-time employees and temporary workers who are
conducting activities related to the organisations operations.
The applicant should be able to demonstrate that they have an on-going program
of SMS training for all employees.
While the training doesnt necessarily have to be the same as the SMS induction
training, the applicants recurrent training should cover:
a review of the organisations SMS principles
hazard reporting
(d)
se
AS
A
(c)
nl
(b)
In order for the applicant to develop an internal SMS training program, the
organisation should have undertaken a TNA to determine what level of SMS
training is required.
Continuous Improvement
C4.4.2
The applicant should have developed a formal means for safety communication
that:
ensures personnel are aware of the SMS to a degree commensurate with
their positions
nl
se
AS
A
The applicant should have a means to ensure they use their safety
communication processes to highlight relevant hazard reporting outcomes,
recommendations from safety meetings, internal investigations, and to highlight
various improvements to the SMS (e.g. why particular safety actions are taken,
why safety procedures are introduced and/or changed).
Safety communication is closely linked with safety training and the dissemination
of information. Therefore, the applicant should base safety topics on the
experience of past events and/or incidents, hazards or potential hazards raised
by recent hazard analyses, and observations from routine internal safety audits.
Where appropriate, the applicant may have a means for sending some safetyrelated outcomes and/or information to third party contractors or customers in
order to highlight the applicants commitment to improving safety.
(a)
(c)
The applicant may deliver safety communication and promotion internally through
various methods, such as:
-
posters
DVDs
questionnaires
observations
interviews.
se
nl
(b)
As part of the continual improvement process the applicant should have a means
to evaluate whether the current communication processes are being received,
and are relevant and understood.
The applicant should have a means to ensure safety communication content and
methodologies are reviewed in response to feedback.
The applicant should have a means for ensuring that safety-related outcomes are
widely published. It is essential that the operator publishes safety-related
outcomes raised through the hazard/risk reporting process. This ensures that
safety messages communicated and promoted by the organisation are widely
read, understood and acted upon.
AS
A
C4.5
References
CASR: 142.265(1)(b)&(c), 142.265(8)
Introduction
The applicants SMS must have processes in place to ensure authorised Part 142 activities
are conducted in a planned and systematic manner; this includes processes for identifying
and addressing deficiencies in training outcomes.
C4.5.1
The applicant must provide a process for auditing the activities in order to:
confirm that the applicants systems, processes and procedures ensure
that the activities are conducted in a planned and systematic manner
se
The applicant should describe, within the safety assurance section of the SMS
manual, a program of scheduled internal audits.
The applicants internal audit program should provide, but may not be limited to,
confirmation that the following objectives have been met:
the activities are conducted in accordance with the applicants written
procedures, contained within the exposition and supporting documents
AS
A
(a)
nl
the activities are conducted to the highest possible standard and the
desired outcomes are being achieved
the applicants written procedures are relevant to the activities, and are
adequate to ensure ongoing compliance.
The applicants SMS manual should describe the following in relation to the
auditing of activities:
-
The applicants internal audit program should include, but would not be limited to,
procedures for:
reviewing the applicants written procedures and practices for the conduct
and management of activities, and ensuring course participants,
instructors and examiners are complying with them
reviewing training outcomes, which may be via pass rates, post-flight test
feedback from examiners and average hours required to achieve a
qualification (further considerations in relation to the evaluation of training
outcomes are provided in section C4.5.1(c) of this handbook)
nl
se
The applicant should provide evidence to verify that, at the completion of each
audit, an audit report will be prepared and retained. Audit reports should include:
AS
A
a schedule and timeframe for the follow up and closure of corrective and
preventative actions.
The applicant should describe a means to verify that following each audit, the
applicants written procedures and course syllabuses will be assessed and
improved where necessary in order to address any identified patterns of training
deficiencies.
To support the effectiveness of the SMS, the applicant should provide a means
for personnel conducting internal audits to:
nl
The SMS manual should identify personnel within the organisation who have the
training, experience, responsibility and authority for:
report directly to the safety manager, and for the safety manager to report
audit findings directly to the chief executive officer.
The number of audits required will vary dependent upon the size of the
organisation and the scope of the activities. The applicants schedule for internal
audits should ensure that all aspects relating to the conduct of the activities are
audited within a 12 month period.
The applicants internal audit schedule should allow sufficient flexibility to enable
the conduct of unscheduled audits when required.
The applicant should provide a means for the safety manager to report to the
chief executive officer in relation to audit findings.
The applicant may require personnel involved in the conduct of internal audits
(normally the safety manager or delegate) to have received internal quality
auditor training. Considerations in relation to additional qualifications and
experience for the safety manager are provided in section C1.7.3 of this
handbook.
AS
A
se
(b)
The applicant should continually seek to improve the standards and outcomes
achieved in the conduct of the activities.
The applicant must describe, within the safety assurance section of the SMS
manual, a process for promoting the continual improvement of the activities.
The continual improvement of the activities may include, but would not be limited
to, procedures which:
-
provide for regular review of the activities to determine the validity of the
safety policy and objectives
encourage course participant feedback (e.g. via observations during dayto-day conduct of the activities, surveys, comments made during audits,
end of course evaluations)
The SMS must provide a process for evaluating the training outcomes from preflight test assessments and post-flight test feedback from examiners.
(d)
se
nl
AS
A
(c)
The applicant may choose to review root causes raised over a period of time, in
order to determine any significant trends and identify areas requiring further
rectification.
The applicants SMS must provide a process for the regular assessment of the
suitability of the facilities and resources used in the conduct of the activities.
The applicants process for assessing the suitability of facilities and resources
should include procedures for assessing:
-
nl
The applicant should describe how facility and resource assessments will be
recorded and retained.
Change Recommendations
The applicants SMS must provide a process for recommending changes to the
applicants systems for safety management, training management and internal
training and checking.
The applicant should describe the means whereby personnel can make change
recommendations in relation to each of these systems.
C4.5.2
AS
A
(e)
se
C5
EXPOSITION PART 5:
APPENDICES
C5.1
Other Documents
AS
A
se
nl
In this section of an exposition, an applicant may include a list of manuals and other
documents provided in support of the application. Other documents may include system
forms or other proformas mentioned in the exposition. If not included as appendices under
this part, the other documents must be included in relevant parts of the exposition or
manuals.
AS
A
se
nl
Note: The technical assessor worksheet is contained in an electronic excel format and
published with this technical assessor handbook on the CASA website suite of manuals under
the topic Flight Operations.
AS
A
se
nl
APPENDIX 2 Reserved
USER INSTRUCTIONS
PAGE 1 of 6
Version 1.0: June 2014
Issued in accordance with the following legislation as current on the ComLaw website June 2014:
Part 142 of the Civil Aviation Safety Regulations 1988 (CASR)
Civil Aviation Legislation Amendment (Flight Crew Licensing and Other Matters) Regulation 2013
Document F2013L02129 - December 2013
Important information
nl
1. This worksheet contains the assessment criteria that, at a minimum, an assessor must consider in
undertaking a technical assessment. Whilst some questions may appear to be a simple yes/no
response an assessor is required to undertake a qualitative assessment for each assessment question,
having regard to the suitability of procedures and practices that enable the applicant to conduct their
operations safely.
se
2. This worksheet is intended to be used in conjunction with the CASR Part 142 Assessor Handbook
and relevant legislation. Its purpose is not to provide formal notification to an applicant on outcomes but
to maintain a CASA record of the assessment. Applicants should be notified of the outcomes to their
assessment through formal documentation as specified in various CASA policies.
AS
A
3. This Handbook Appendix (technical assessor worksheet) is a web-based asset. This means that once
it is printed or saved locally it becomes an uncontrolled document and you may not be using the latest
revision. As a user of this Appendix, it is recommended that you always use the published electronic
version.
4. A Blank Worksheet has been developed and provided as part of this Appendix as a means to
address new or amended legislation and/or to enter additional assessment criteria questions and
comments relating to the assessment of an application for a CASR Part 142 authorisation.
5. There may be editorial delays between any future legislation amendments and their associated CASA
documentation, due to CASA processes. Its the users responsibility to ensure they are referring to the
latest revision of this worksheet and check its content revision status for currency against the current
legislation. Legislation content applicable to this version of the Assessment Worksheet is described
above.
6. This electronic assessment worksheet may be filtered and printed or saved as a PDF and provided to
the applicant to support CASAs findings. However, to ensure the record of communications of the
assessment are not compromised, this worksheet must not be provided to an applicant in any other
means, including in the current excel format.
USER INSTRUCTIONS
PAGE 2 of 6
Worksheet Tabs
This is the main section to access the assessment criteria
for assessing compliance against relevant legislation for
the issue of a CASR Part 142 authorisation.
The sign off sheet is used to record the final assessment
result/recommendation.
nl
se
The 'More Info' column is located within the Assessment Worksheet tab
and is referenced as Column 'E'. The purpose of this column is to provide
background to the questions and indications of how criteria may be
satisfied. This is for guidance only and further information is provided in
the CASR Part 142 - Assessor Handbook.
AS
A
Each assessment Subpart begins with a 'Title Row' which may contain
further information regarding the assessment criteria. Where further
information is available, the 'More Info' column contains a red arrow in the
top right hand corner of the cell. Click on this cell to review the comments.
Note: Due to limited cell size only some
reference information will be contained. For
further information, refer to the latest
revision of the CASR Part 142 Assessor
Handbook. In particular, the section titled
'Things for Consideration'.
Column J - Comments
The purpose of this column is for the user to enter relevant comments and decision rationale for the
assessed criteria, which will support the final status. Relevant comments include why and where
there are areas for clarification or to highlight requirements for verification.
Note: For traceability it is recommended comments be provided against each assessment criteria
and retained even if compliance is eventually achieved.
If you need to enter onto a new line within a specific cell (i.e. comments cells) use ALT+Enter.
USER INSTRUCTIONS
PAGE 3 of 6
Column G - Applicant Exposition or Manual Reference
This cell enables the Assessor to record the reference to where the evidence of compliance can be
found in the applicant's exposition or related manual (i.e. the applicant's operations manual). This
may be a reference to a page number or a numbered heading as applicable.
nl
The purpose of this cell is to enter the operators name and the date of assessment. This is achieved
by:
1. Right Click in Cell J1
2. Click in the Formula Bar after Operator Name and type the name of the operator
3. Click after the text Assessment Date and type the date of assessment
Column H - Present
se
The purpose of this column is to indicate, through a desktop assessment, if the necessary evidence
has been supplied.
MI (More Information)
AS
A
Where the assessment criteria has multiple sub elements, the criteria will pre-populate in a specific
order of priority based on the responses to the sub elements. This assists the Assessor as it
automatically shows the most critical response. The order of priority for these responses is:
'No', 'MI', 'Site Visit', 'Yes', 'N/A'
E.g. If one sub element to the criteria is 'No' this will automatically populate a 'No' against the criteria.
Note: The Site Visit response enables the Assessor to note the items for which a site visit is required
to determine compliance.
Column I - Satisfactory
The purpose of this column is to indicate if the evidence complies with the relevant legislation.
There are four available responses:
Yes
No
MI (More Information)
Where the assessment criteria contains multiple sub elements, the criteria pre-populates the same
way it does for the present column, with the order of priority being: 'No', 'MI', 'Yes', 'N/A'
Note: Onsite verification and testing may be required to complete this section, and will have been
determined in the desktop assessment by selecting 'site visit' in the 'present' column.
USER INSTRUCTIONS
PAGE 4 of 6
Subpart Status
The purpose of these Status fields is to allow the assessor to record
an appropriate decision on the overall compliance within a particular
assessment subpart. To enter the relevant status, select the
appropriate response using the drop down menus in the 'Title Row'.
The status should reflect one of the following:
Satisfactory: The overall status for the particular assessment part is satisfactory. This means the
assessment criteria under that subpart has been satisfied through a 'Yes' status.
Unsatisfactory: The overall status for the particular assessment part is unsatisfactory and/or may
require further information. This means that the assessment criteria under that particular subpart
contains a 'No' or 'More Information' status.
Not Applicable: The overall status for the particular assessment part is not applicable. This means that
all of the assessment criteria under that subpart contains an 'N/A' status and that the criteria is not
applicable to the assessment.
Note: A status of Not Applicable must include justification as to why the content is not applicable.
nl
se
Sorting/Filtering data
This action displays only certain criteria and hides some of the data in
your worksheet. Using the drop down arrows against each heading,
click the arrows to view the list of available filters for each row.
AS
A
Removing Filters
To remove a filter applied to one column in a range or list, click the
filter button for that column and select 'clear filter from.....'. To remove
filters applied to all columns in a range or list, select "clear" from the
Sort and Filter drop down menu under the editing group of the home
tab.
Filters
Applied
USER INSTRUCTIONS
PAGE 5 of 6
AS
A
se
nl
You may wish to apply more than one filter to criteria. This is
particularly useful when you only want to display those questions that
are not yet satisfactory.
For example: you have completed the desktop assessment and now
need to go onsite to verify and test some of the criteria. You only
want to display the items still to be verified.
To do this, apply a filter to the 'present' column by ticking only the
MI, SiteVisit and No options.
Refer to the example on the following page for what a worksheet
could look like with filters applied.
USER INSTRUCTIONS
PAGE 6 of 6
Examples of a Filtered Worksheet:
The following worksheet has a filter applied to the 'present' column. This is visible by the auto filter
symbol in cell H1 and by the blue row numbers.
se
nl
The filtering options ticked on this column were: 'MI' 'Site Visit' and 'No'
Another useful filter is by legislation reference. This filter enables you to conduct the assessment by
legislation requirements, rather than using the headings and flow in the current view.
AS
A
This is completed by unticking the 'select all' filter in column B and filtering by only one legislation
reference (e.g. regulation 142.340)
Assessor Recommendation
CASR Part 142
Applicant ARN:
Name of
Assessor:
Task Reference
Number:
nl
y
Name of
Applicant:
This form certifies that the CASR Part 142 application for the above named applicant has been assessed in accordance with the Assessor Handbook and
this Assessor Worksheet and successfully demonstrates compliance with all assessment criteria.
Recommendation
Yes
No
se
AS
Signature of Assessor:
Date of Assessment:
Page 1 of 1
Assessment Worksheet
CASR PART 142
CASR
sub para
More
Info
Handbook
Reference
Applicant
Exposition
or Manual
Reference
Present?
Ref
CASR
Reference
Operator Name:
Assessment Date:
C1
APPLICANT DETAILS
C1.1
Comments
10
11
12
13
(1)(a)
contact details?
142.340 (1)(b)(i)
142.340 (1)(b)(ii)
19
20
23
24
25
26
27
28
29
30
31
32
33
34
Does the exposition include a description and diagram of the applicant's organisational structure?
142.340
(1)(c)
142.340
(1)(c)
142.340
(1)(c)
sect. 28 CAA
(1)(b)
(1)(c)
142.160
If the application is for an AOC authorising activities in aircraft or aircraft and an FSTD, has the applicant
demonstrated that the chain of command of the organisation is appropriate?
142.160
the number and kinds of aircraft and/or flight simulation training devices used?
142.160
(1)(c)
142.160
(1)(d)
142.160
(1)(e)
--
--
--
--
--
--
C1.2.3(a)
C1.2.3(b)
C1.2.3(c)
C1.2.3(d)
If the applicant conducts flight training, does the structure take into account the number of course
participants?
C1.2.3(e)
If the applicant conducts contracted recurrent training, does the structure take into account:
142.160
(1)(f)
142.160
(1)(f)
the number of personnel for which the applicant conducts the training?
C1.2.3(e)
C1.2.3(e)
C1.2.3(e)
If the applicant conducts contracted checking, does the structure take into account
142.160
(1)(g)
142.160
(1)(g)
the number of personnel for which the applicant conducts the checking?
CORPORATE STRUCTURE
142.340
(1)(d)
142.340
(1)(d)
142.085
(1)(d)
is each officer of the corporation a fit and proper person to be an officer of the corporation?
C1.2.3(e)
C1.2.3(e)
C1.2.3(e)
KEY PERSONNEL
Comments
C1.3
C1.3
--
--
C1.3
C1.3
142.340 (1)(e)(iii) Does the exposition identify all key personnel appointees by name?
--
C1.2.2
C1.2.3
(1)(b)
(1)(c)
--
C1.2.2
If the application is for a certificate authorising activities in an FSTD, has the applicant demonstrated that
the chain of command of the organisation is appropriate?
142.160
Comments
C1.2.1
(1)(a)
142.100
C1.2.1
C1.2.1
142.160
142.160
C1.2
C1.2.1
21
22
C1.1.3
(1)(c)
142.110
18
C1.1.3
142.340
15
17
C1.1.2
ORGANISATIONAL STRUCTURE
14
16
C1.1.1
142.340
C1.1.1
nl
ABN, if applicable?
--
142.340
(1)(a)
U
se
--
C1.1
142.340
(1)(a)
AS
(1)
142.340
C1.4
Comments
C1.4.1
C1.4.1
Page: 1 of 15
(1)(e)
Have each of the applicants key personnel been assessed as a fit and proper for the position?
Handbook
Reference
36
C1.4.3
37
142.340 (1)(e)(iv) Does the exposition name each person who will carry out the responsibilities of a key person, when the
position holder is absent or unable to do so?
C1.4.3
142.165
(1)
142.165
(2)(a)
39
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
142.170
142.170
Are key personnel required to complete familiarisation training prior to carrying out their responsibilities?
(1)(c)
142.085
(1)(c)(i)
142.085 (1)(c)(ii)
142.110
(1)(a)
142.110
(1)(e)
142.175
142.175
C1.5.2
142.085 (1)(e)(iv)
142.180
Does the applicant provide a means for the chief executive officer to ensure the applicant:
142.180 (1)(a)(i)
142.180 (1)(a)(ii)
142.180 (1)(a)(iii)
142.180 (1)(b)(i)
sets and maintains standards for the activities in accordance with its exposition?
142.180 (1)(b)(ii)
142.180 (1)(c)(i)
142.180 (1)(c)(ii)
has procedures that ensure all personnel understand the applicants safety policy?
--
--
--
--
--
--
--
--
--
C1.5.2
142.085 (1)(e)(iii)
142.180
67
--
C1.5.1
142.340 (1)(e)(i) If the applicant requires the chief executive officer to hold qualifications and experience in addition to those
under subpart 142.D, are these described in the exposition?
142.085
C1.5.1
C1.5.1
Does the chief executive officer have sufficient relevant experience in:
142.175
--
C1.5.1
--
Comments
C1.5.1
142.175
C1.5
C1.5.1
142.110
142.175
C1.4.4
(1)
65
66
C1.4.4
C1.4.3
44
to advise CASA within 3 days if there is another person authorised to carry out the responsibilities?
U
se
43
--
C1.4.3
42
(2)(b)
C1.4.3
to advise CASA within 24 hours if there is not another person authorised to carry out the
responsibilities?
AS
41
142.165
If the applicant becomes aware that a key person is unable to carryout their responsibilities for longer than
35 days, does the applicant have a procedure:
40
--
Operator Name:
Assessment Date:
C1.4.2
142.340 (1)(e)(v) Does the exposition describe how the responsibilities for each key person will be managed when the
position holder is absent or unable to do so?
38
Applicant
Exposition
or Manual
Reference
Satisfactory?
142.085
sub para
More
Info
35
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
- Assessment Worksheets -
Present?
C1.5.2
C1.5.2
C1.5.2
C1.5.3
C1.5.3
C1.5.3
C1.5.3
C1.5.4
C1.5.4(a)
C1.5.4(b)
C1.5.4(c)
C1.5.4(d)
C1.5.4(e)
C1.5.4
C1.5.4(f)
C1.5.4(f)
Page: 2 of 15
maintains an organisational structure where the safety manager is independent and not subject to
undue influence ?
notifies CASA of an arrangement for the supply of turbine-engined aircraft?
142.180 (1)(c)(v)
notifies CASA if the arrangement for supply of a turbine-engined aircraft will affect the safety of
activities?
C1.5.4(g)
notifies CASA if the arrangement for supply of turbine-engined aircraft will contravene the law of the
country in which the aircraft is registered?
C1.5.4(g)
142.180 (1)(c)(v)
71
72
complies with the aviation safety laws of any foreign country where activities are conducted?
142.180 (1)(c)(vii)
will maintain a foreign registered aircraft used in activities, in accordance with the law of the country in
which the aircraft is registered?
142.180
(1)(d)
74
76
77
142.180
142.180
(1)(f)
ensure the applicants exposition is monitored and managed for continuous improvement?
142.180
(1)(g)
ensure key personnel satisfactorily carry out their responsibilities in accordance with the exposition and
civil aviation legislation?
(1)(f)
79
(3)
80
(1)
If required by CASA, has the proposed chief executive officer been assessed, through examination,
interview or training, as suitable for the role?
C1.5.6
(2)(a)
142.185
(2)(b)
(3)(a)
(2)(b)
(3)(b)
(2)(c)
hold an air transport pilot licence if any activities relate to the operation of multi-crew aircraft?
142.185
86
142.185
(5)(a)
87
142.185
(5)(b)
88
89
94
hold a Part 61 authorisation to pilot a kind of aircraft used to conduct a significant proportion of the
activities?
have sufficient safety and regulatory knowledge to enable the applicant to conduct the activities safely,
and in accordance with its exposition and civil aviation legislation?
(4)(a)
142.185
(5)(a)
(5)(b)
If the applicant holds an approval under regulation 142.040, does the head of operations have:
at least 500 hours flight time on a kind of aircraft used to conduct a significant proportion of the
activities, or at least 6 months experience in the conduct or management of air operations conducted
under an AOC or equivalent foreign authorisation?
142.340 (1)(e)(i) Does the exposition describe the qualifications and experience, if required by the applicant, in addition to
those required under subpart 142.D?
142.085
Last Printed: 1/08/20141:15 PM
--
--
--
--
C1.6.1(a)
C1.6.1(b)
C1.6.1(b)
(2)(f)
--
C1.6.1(a)
have at least 6 months experience in the conduct or management of air operations conducted under an
AOC or equivalent foreign authorisation?
142.185
--
C1.6.1(a)
C1.6.1(b)
142.185
C1.6.1
have at least 500 hours flight time on a kind of aircraft used to conduct a significant proportion of the
activities?
(2)(e)
92
93
hold a commercial pilot licence or air transport pilot licence, in any other case?
142.185
90
91
142.185
142.185
Comments
C1.6
For other than a person requiring approval to be head of operations, does the proposed head of operations:
AS
85
C1.5.4(m)
C1.5.5
84
--
C1.5.4(l)
If the applicant requires the chief executive officer to have responsibilities or accountabilities in addition to
those in regulation 142.180, are they described in the exposition?
82
83
--
C1.5.4(k)
HEAD OF OPERATIONS
142.185
C1.5.4(j)
C1.5.4
(1)(e)
142.215
C1.5.4(i)
Does the applicant provide a means for the chief executive officer to:
142.180
142.340
C1.5.4(h)
If the applicant conducts the activities only in flight simulation training devices, does the applicant provide a
means for the chief executive officer to ensure the applicant will implement and manage the quality
assurance management system?
78
81
C1.5.4(g)
142.180 (1)(c)(vi)
73
75
C1.5.4(f)
142.180 (1)(c)(iv)
70
Operator Name:
Assessment Date:
69
Applicant
Exposition
or Manual
Reference
142.180 (1)(c)(iii)
68
Handbook
Reference
nl
sub para
More
Info
Present?
Assessment Worksheet
CASR PART 142
CASR
U
se
Ref
CASR
Reference
C1.6.1(b)
C1.6.1(b)
C1.6.1(b)
C1.6.1(b)
C1.6.1(c)
C1.6.1(c)
Page: 3 of 15
98
142.085 (1)(e)(iii)
142.085 (1)(e)(iv)
142.190
(1)
142.190
(2)(a)
99
100
101
102
C1.6.3
C1.6.3(a)
monitor, maintain and report to the chief executive officer on compliance with relevant legislation and
the exposition?
142.190
(2)(b)
set and maintain standards for the activities, in accordance with the exposition?
142.190
(2)(c)
ensure authorised training is conducted in accordance with the training management system?
142.190
(2)(d)
142.190
(2)(e)
manage the maintenance and continuous improvement of the fatigue risk management system (if any)?
C1.6.3(c)
107
108
C1.6.3(e)
142.190
(2)(f)
ensure the proper allocation and deployment of aircraft, FSTD and personnel for use in activities?
142.190
(2)(g)
ensure personnel are provided with information and documentation necessary to carryout their
responsibilities?
142.190
(2)(h)
ensure that FSTDs (if any) are used only in accordance with the exposition?
142.190
(2)(i)
ensure that flight simulators or flight training devices, if any, are qualified under Part 60?
142.190
(2)(j)
ensure that synthetic trainers (if any) are qualified under CAO 45.0?
142.190
(2)(k)
if activities are conducted in any other device, the device meets the standards prescribed by an
instrument under regulation 61.045, or is qualified by the national aviation authority of a recognised
foreign state?
109
142.190
(2)(l)(i)
C1.6.3(j)
C1.6.3(j)
(2)(m)
142.190
ensure that each instructor holds a valid standardisation and proficiency check under regulation
142.325?
142.190
ensure that each examiner has access to the parts of the exposition relating to the examiner's duties?
ensure that each instructor or examiner:
is authorised under Part 61 to conduct an activity?
142.190 (2)(n)(ii)
has successfully completed training set out in the applicant's internal training and checking system
manual?
142.190 (2)(n)(iii)
142.190
(2)(o)
117
142.190
(2)(p)
118
142.190
(2)(q)
119
142.190
(2)(r)
120
142.190
(2)(s)
121
142.190 (2)(n)(i)
115
116
C1.6.3(i)
AS
142.190 (2)(l)(ii)
114
C1.6.3(h)
C1.6.3(j)
C1.6.3(k)
111
113
C1.6.3(g)
ensure that each instructor has access to the parts of the exposition relating to the instructor's duties?
110
112
C1.6.3(d)
U
se
106
C1.6.3(b)
C1.6.3(f)
105
--
C1.6.1(c)
103
104
--
Operator Name:
Assessment Date:
C1.6.1(c)
Does the applicant provide a means for the head of operations to:
142.190
Applicant
Exposition
or Manual
Reference
Satisfactory?
97
Handbook
Reference
96
sub para
More
Info
nl
95
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
- Assessment Worksheets -
Present?
has successfully completed training in non-technical skills and human factors principles?
C1.6.3(l)
C1.6.3(k)
C1.6.3
--
C1.6.3(m)
C1.6.3(n)
C1.6.3(o)
report to the chief executive officer on compliance with the authorisation and training requirements
under regulation 142.190 (2)(n)?
C1.6.3(p)
ensure that each instructor or examiner who conducts contracted recurrent training or contracted
checking, has access to the contracting operator's training and checking manual?
C1.6.3(q)
tell CASA in writing within 14 days, of the name, position and ARN of an instructor who does not
successfully complete a standardisation and proficiency check mentioned in the applicant's internal
training and checking system manual?
C1.6.3(r)
ensure that effective communications about activities are established and maintained with CASA and
each contracting operator that the applicant conducts contracted recurrent training or contracted
checking?
C1.6.3(s)
ensure that written reports are provided to the head of training and checking of each contracting
operator, about the performance of each person for whom checking or recurrent training is conducted?
--
C1.6.3(s)
Page: 4 of 15
142.340 (1)(e)(ii) If the applicant requires the head of operations to have responsibilities in addition to those mentioned in
regulation 142.190, are they described in the exposition?
(3)
142.185
(6)
125
128
129
142.195
134
135
136
137
138
141
142
143
Are the chief executive officer and safety manager positions occupied by separate individuals?
142.100
(1)(g)
Are the head of operations and safety manager positions occupied by separate individuals?
142.195
(a)
Does the safety manager have sufficient relevant safety management experience to capably lead, manage
and set standards to enable the operator to safely implement its safety management system in accordance
with its exposition?
(b)
Does the safety manager have a satisfactory record in the conduct or management of air operations?
142.195
(c)
Does the safety manager have sufficient safety and regulatory knowledge to enable the operator to conduct
safe authorised Part 142 activities in accordance with its exposition and civil aviation legislation?
C1.7.2
C1.7.2
C1.7.2
142.340 (1)(e)(i) If the applicant requires the safety manager to hold qualifications and experience, in addition to those
required under subpart 142.D, are these described in the exposition?
Has the safety manager been assessed as:
having additional qualifications and experience, if required by the applicant?
142.085 (1)(e)(iv)
(1)
Does the applicant provide a means for the Safety Manager to manage the SMS?
142.200
(2)
142.200
(2)(a)
(2)(b)
142.200 (2)(c)(ii)
managing the maintenance and continuous improvement of the FRMS (if any)?
C1.7.4
--
C1.7.4(a)
C1.7.4(b)
C1.7.4(c)
C1.7.4(c)
142.340 (1)(e)(ii) If the applicant requires the safety manager to have responsibilities in addition to those mentioned in
regulation 142.200, are they described in the exposition?
C1.7.5
If required by CASA, has the proposed safety manager been assessed, through examination, interview or
training, as suitable for the role?
--
C1.7.4
142.120
--
C1.7.3
managing the operation of the SMS including managing corrective, remedial and preventative action in
relation to the system?
142.200 (2)(c)(i)
(3)
--
C1.7.3
142.200
142.200
C1.7.3
C1.7.3
142.085 (1)(e)(iii)
142.215
C1.7.6
C1.8
Comments
Are the chief executive officer and quality assurance manager positions occupied by separate individuals?
146
147
C1.7.1
C1.7.1
142.195
142.085
Comments
C1.7
C1.7.1
(1)(f)
144
145
142.100
139
140
C1.6.5
132
133
If required by CASA, has the proposed head of operations demonstrated, through flight assessment, their
suitability for the role?
SAFETY MANAGER
130
131
C1.6.5
U
se
127
If required by CASA, has the proposed head of operations been assessed, through examination, interview
or training, as suitable for the role?
126
C1.6.4
142.215
124
Operator Name:
Assessment Date:
C1.6.3(t)
AS
123
ensure that section 28BH of the Act (Reference Library) is complied with, if activities are conducted in
aircraft?
Applicant
Exposition
or Manual
Reference
(2)(t)
122
Handbook
Reference
Present?
sub para
More
Info
nl
142.190
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
C1.8.1
142.120
(1)(g)
142.205
(a)
148
142.205
(b)
149
Last Printed: 1/08/20141:15 PM
Are the head of operations and quality assurance manager positions occupied by separate individuals?
C1.8.1
Does the quality assurance manager have sufficient relevant quality assurance management experience to
capably lead, manage and set standards to enable the applicant to safely implement its quality assurance
management system in accordance with its exposition?
C1.8.2(a)
Does the quality assurance manager have sufficient safety and regulatory knowledge to enable the
applicant to conduct authorised Part 142 activities safely and in accordance with its exposition and civil
aviation legislation?
C1.8.2(b)
Page: 5 of 15
155
156
157
158
159
142.085 (1)(e)(iv)
142.210
142.210
(2)(a)
manage the operation of the QAMS including managing corrective, remedial and preventative action?
142.210
(2)(b)
regularly report to the chief executive officer on the effectiveness of the QAMS?
142.210
(2)(c)
142.110
(1)(d)
163
142.340
(1)(g)
164
142.340
(1)(i)
165
If the application is for a certificate authorising activities in FTSDs, has the applicant demonstrated that the
organisation has sufficient suitably qualified and competent personnel?
C1.9.1
For Part 142 flight training, does the exposition include the name of each instructor appointed by the head of
operations to have responsibility for particular flight training?
C1.9.2(a)
Does the exposition describe the responsibilities under CASR Part 142 of personnel, other than key
personnel?
C1.9.2(b)
OTHER OPERATIONS
AIRCRAFT
142.340
(1)(l)
142.340
(1)(l)(i)
173
174
175
176
177
178
179
142.340 (1)(l)(ii)
the kind and registration mark of each registered aircraft flown into, out of or outside Australian
territory?
the kind, nationality and registration mark of each foreign registered aircraft, if any?
142.340 (1)(l)(iv) If conducting activities in turbine-engined aircraft, does the exposition include a description of:
142.340 (1)(l)(iii)
142.340 (1)(l)(iv)
142.340 (1)(l)(iv)
142.340 (1)(l)(iv)
142.395
(1)
180
Last Printed: 1/08/20141:15 PM
C2
C2.1
Comments
C2.1
If the applicant conducts operations other than Part 142 activities, are these operations described in the
exposition?
142.340
170
Is a description of the authorised Part 142 activities, conducted by the applicant, included in the exposition?
168
(1)(q)
Comments
C1.9
C1.9.1
C1.8.6
167
142.340
C1.8.5
If the application is for an AOC authorising activities in aircraft, or aircraft and FSTDs, has the applicant
demonstrated that the organisation has sufficient suitably qualified and competent personnel?
172
C1.8.4(c)
If required by CASA, has the proposed quality assurance manager been assessed, through examination,
interview or training, as suitable for the role?
166
171
C1.8.4(a)
C1.8.4(b)
OTHER PERSONNEL
162
--
C1.8.4(a)
142.340 (1)(e)(ii) If the applicant requires the quality assurance manager to have responsibilities in addition to those required
under regulation 142.210, are they described in the exposition?
sect. 28 CAA
169
C1.8.4
142.210
(3)
--
C1.8.3
(1)
142.215
--
C1.8.3
Does the applicant provide a means for the quality assurance manager to:
160
161
C1.8.3
Satisfactory?
142.085 (1)(e)(iii)
--
C1.8.3
154
142.085
Operator Name:
Assessment Date:
nl
153
142.340 (1)(e)(i) If the applicant requires the quality assurance manager to hold qualifications and experience, in addition to
those required under subpart 142.D, are these described in the exposition?
Applicant
Exposition
or Manual
Reference
152
Handbook
Reference
U
se
151
sub para
More
Info
150
Assessment Worksheet
CASR PART 142
CASR
AS
Ref
CASR
Reference
- Assessment Worksheets -
Present?
If using foreign registered aircraft, has the applicant demonstrated that each foreign aircraft will not be used
in Australian territory for more than 90 days in any 12 month period?
Comments
C2.2
C2.2
Comments
C2.3
C2.3.1
--
--
--
--
C2.3.1
C2.3.1
C2.3.2
C2.3.2(a)
C2.3.2(b)
C2.3.2(b)
C2.3.2(b)
C2.3.3
Page: 6 of 15
142.340 (1)(n)(ii)
the purposes mentioned in CASR Part 61 that each device may be used for?
142.340 (1)(n)(iii)
if using flight simulators and flight training devices the procedures by which the applicant ensures the
simulators and devices are qualified under CASR Part 60?
C2.4.2
if using synthetic trainers the procedures by which the applicant ensures the trainers are approved
under CAO 45.0?
C2.4.2
189
190
191
FACILITIES
142.110
196
(1)(e)
142.075
199
200
201
202
203
204
Does the exposition include a description of the facilities used for the activities?
207
208
209
210
211
212
C2.5
If the application is for an AOC authorising activities in aircraft or aircraft and in FSTDs, has the applicant
demonstrated that the facilities are sufficient to conduct the activities safely?
C2.5.2
If the application is for a certificate authorising activities in FSTDs, has the applicant demonstrated that the
facilities are sufficient to conduct the activities safely?
C2.5.2
C2.5.3
142.075
(a)
142.075
(b)
142.075
(c)
information about the flight operations of each kind of aircraft necessary for the safe conduct of the
activities?
Present?
--
--
--
--
--
--
C2.5.3
142.075
(d)
(1)
(3)
Does the applicant have a procedure to ensure the library is kept up-to-date and readily accessible?
(4)
Does the applicant keep up-to-date records of the distribution of operational documents to:
(4)
flight crew?
(4)
cabin crew?
(4)
142.125
(1)
any other publications, information or data required by the applicant's exposition, if any?
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
If the applicant conducts activities in flight simulation training devices only, does its reference library include:
C2.5.3
142.125 (2)(a)(i)
142.125 (2)(a)(ii)
142.125 (2)(a)(iii)
142.125 (2)(a)(iv)
information about the operation or maintenance of each kind of flight simulation training device used?
142.125 (2)(a)(v)
any other publications, information or data required by the applicant's exposition, if any?
142.125
(2)(b)
142.125
(2)(c)
Does the applicant have a procedure to ensure the library is kept up-to-date and readily accessible?
Comments
C2.5.3
205
206
C2.4.2
C2.5.1
197
198
C2.4.2
193
195
C2.4.2
(B)
sect. 28 CAA
194
if using any other device, the applicants procedures to ensure that the device:
142.340 (1)(n)(v)
192
--
C2.4.1
142.340
--
C2.4.1
142.340 (1)(n)(v)
(A)
(1)(p)
--
142.340 (1)(n)(v)
--
nl
142.340 (1)(n)(iv)
Operator Name:
Assessment Date:
Comments
C2.4
186
188
C2.4
142.340 (1)(n)(i)
185
187
If the applicant conducts activities in flight simulation training devices, does the exposition include:
Applicant
Exposition
or Manual
Reference
184
(1)(n)
Handbook
Reference
U
se
183
More
Info
182
sub para
AS
181
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
C2.5.3
Page: 7 of 15
142.125
(3)
Does the applicant keep up-to-date records of the distribution of operational documents to personnel?
215
216
142.250
142.255
For each kind of authorised Part 142 flight training or contracted recurrent training, does the training
management system include:
218
222
223
a course outline?
142.255
(a)
a detailed syllabus?
142.255
(a)
142.255
(a)
record forms?
142.255
(b)
142.255
(c)
an auditable system for maintaining records of the results of the operators flight training or contracted
recurrent training?
224
225
226
227
228
229
(1)
142.385
(1)
232
235
236
240
241
C3.1
C3.1.9
142.385
(2)(c)
on a cross-country flight?
142.385
(2)(d)
at night?
142.385
(3)
142.386
142.386
(2)(b)
--
C3.1.9
C3.1.9
(2)(a)
--
C3.1.9
has completed training, as described in the applicants training management system manual or
exposition, for the conduct of a solo flight of that kind?
has been assessed as competent to conduct the solo flight?
--
C3.1.9
C3.1.9
(3)(b)
--
C3.1.9
Do the procedures for assessing the competency of a student pilot to fly solo for the first time ensure that
the student pilot:
142.385
--
C3.1.6
Does the applicant have a procedure to ensure the competency of a student pilot prior to flying solo for the
first time:
(2)(b)
--
C3.1.5
C3.1.8
142.385
(3)(a)
C3.1.4
Does the applicant have a means to ensure that a person flying as pilot in command is authorised to do so
under CASR Part 61?
in the circuit?
142.385
C3.1.3
C3.1.7
(2)(a)
238
C3.1.2
Does the applicant have a means to ensure its instructors and examiners only conduct activities for which
they are authorised under CASR Part 61?
142.385
237
239
142.365
--
C3.1.2
142.340 (1)(j)(iii)
231
234
C3.1.2
the minimum qualifications and experience for personnel conducting the activities?
142.230
233
C3.1.2
142.340 (1)(j)(ii)
230
--
C3.1.2
C3.12
142.340 (1)(j)(iv) For contracted recurrent training, does the exposition include procedures to ensure that the training is
conducted in accordance with the contracting operators training and checking manual and standard
operating procedures?
(1)(j)
C3.1.1
C3.1.2
142.340 (1)(s)(iii) Does the exposition include a training management system manual, describing the applicant's training
management system?
142.340
Comments
C3.1
U
se
221
(a)
220
142.255
AS
219
C3.1.2
217
Does the exposition contain a description of procedures by which the applicant conducts and manages the
activities, including the supervision of instructors and persons participating in activities?
Operator Name:
Assessment Date:
(1)(k)
Applicant
Exposition
or Manual
Reference
C2.5.3
214
142.340
Handbook
Reference
Present?
sub para
More
Info
213
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
C3.1.9
C3.1.9
C3.1.9
Page: 8 of 15
243
142.386
(2)(d)
142.385
(4)
244
142.385
(4)
245
246
247
248
249
250
has completed the solo flight training, mentioned in the training management system manual or
exposition, for the rating or endorsement?
(4)
142.386
(2)(a)
142.386
(2)(b)
142.386
(2)(d)
has an ARN?
142.370
(1)
142.370
(1)
142.370
(1)
142.375
(1)
C3.1.10
C3.1.10
C3.1.10
C3.1.10
C3.1.10
C3.1.10
Does the applicant have a means to ensure that passengers are not carried:
C3.1.11
when conducting a simulated engine or system failure that affects the aircrafts performance or handling
characteristics?
when conducting low-flying training?
254
142.340 (1)(l)(v) If the applicant conducts activities in aircraft, does the exposition include a description of each flight training
area?
C3.1.12
258
142.340
142.340
142.245
(1)(j)(i)
(C)
(1)(j)(i)
(B)
(1)(b)
259
142.240
(1)
260
142.255
(c)
261
262
263
264
265
266
267
257
For each kind of authorised Part 142 flight training or contracted recurrent training, does the exposition
include:
checklists (if any) and the circumstances when the use of a checklist is permitted?
the areas of operation for the training?
AS
(1)(j)(i)
If the applicant will conduct low-flying activities, does the exposition describe how the applicant will
determine a suitable flight training area for the activities?
Does the applicant have procedures to ensure a person recommended for a flight test is eligible under
CASR 61.235 (flight test prerequisites)?
If conducting activities in a flight simulation training device, does the applicant have a means to assess the
competency of an instructor or examiner to conduct the activity in the device, prior to conducting the
activity?
142.340
256
Are records of results of flight training or contracted recurrent training maintained using an auditable
system?
142.355
(1)
142.355
(1)(b)
a record of the persons participation is made within 21 days after the activity?
142.355
(1)(b)
142.355
(2)
the record of participation is retained for at least 7 years after the record is made?
142.360
(1)
142.235
(1)
Does the applicant provide its instructors and examiners with access to records for course participants?
142.360
(2)
Does the applicant have a procedure to ensure that, when another Part 142 operator requests a record of a
persons participation in an activity, the applicant:
268
--
--
--
--
--
--
--
C3.1.11
C3.1.11
(1)(m)
--
C3.1.11
Does the applicant have a means to ensure that passengers are not carried unless the pilot is authorised to
fly the aircraft as pilot in command with a passenger on board?
142.340
--
C3.1.9
253
255
--
Operator Name:
Assessment Date:
C3.1.9
For a person who holds a pilot licence and is receiving training for a rating or endorsement, does the
applicant have a procedure to ensure that, prior to conducting a solo flight at night for the first time, the
person:
142.385
251
252
has an ARN?
Satisfactory?
242
has been assessed by CASA or an examiner as meeting the general English language proficiency
standard mentioned in the Part 61 MOS, or has completed an approved course of training in English
language proficiency?
Applicant
Exposition
or Manual
Reference
(2)(c)
Handbook
Reference
nl
sub para
More
Info
142.386
Assessment Worksheet
CASR PART 142
CASR
U
se
Ref
CASR
Reference
- Assessment Worksheets -
Present?
For a person participating in an activity, does the applicant have a means to ensure:
C3.1.13
C3.1
C3.1.20
C3.1.21
C3.1.14
C3.1.15
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.16
C3.1.17
C3.1.18
Page: 9 of 15
sub para
More
Info
(2)
142.380
(2)
142.380
(2)
will provide a copy of the record within 7 days after receiving the request?
Does the applicant have a procedure to manage the transfer of a person seeking to undertake part of an
integrated training course, when the person has previously undertaken part of the course with another Part
142 operator?
C3.1.19
Does the procedure for managing transfer from another operator require prior to providing any part of the
course, a determination be made:
C3.1.19
142.380
(3)(a)
regarding what part of the course the person has already completed?
142.380
(3)(b)
142.380
(3)(b)
that the parts of the course already completed, when taken together with the parts to be completed,
meet the standards specified in the Part 61 MOS for the course?
275
(1)(k)
277
(1)(j)
142.340 (1)(j)(iii)
(1)
142.240
(1)
283
286
287
288
If conducting activities in a flight simulation training device, does the applicant have a means to assess the
competency of an examiner to conduct the activity in the device, prior to conducting the activity?
C3.2.6
142.355
(1)(b)
a record of the persons participation is made within 21 days after the activity?
142.355
(1)(b)
142.355
(2)
the record of participation is retained for at least 7 years after the record is made?
142.360
(1)
142.360
(2)
289
142.360
For a person participating in contracted checking, does the applicant have a means to ensure:
C3.2.7
292
297
--
--
--
C3.2.7
C3.2.8
C3.2.8
142.360
(2)
142.370
(1)
142.370
(1)
142.370
(1)
142.375
(1)
295
296
--
C3.2.7
holds written authority from the person to whom the record relates, prior to the record being provided?
will provide a copy of the record within 7 days after receiving the request?
C3.2.8
Does the applicant have a means to ensure that passengers are not carried:
C3.2.9
when conducting a simulated engine or system failure that affects the aircrafts performance or
handling characteristics?
293
294
--
C3.2.7
290
291
--
C3.2.7
Does the applicant have a procedure to ensure that, when another Part 142 operator requests a record of a
persons participation in an activity, the applicant:
(2)
--
C3.2.4
C3.2.5
(1)
--
C3.2.3
Does the applicant have a means to ensure its examiners only conduct activities for which they are
authorised under CASR Part 61?
142.355
Comments
C3.2.2
C3.2
the minimum qualifications and experience for personnel conducting the activities?
142.230
285
142.340 (1)(j)(ii)
282
284
C3.2.1
142.340 (1)(j)(iv) Does the exposition include procedures to ensure that contracted checking is conducted in accordance with
the contracting operator's training and checking manual and standard operating procedures?
142.340
C3.2
U
se
281
Does the exposition contain a description of the applicants procedures used to conduct and manage
contracted checking?
280
C3.1.19
AS
279
C3.1.19
CONTRACTED CHECKING
142.340
278
C3.1.19
276
--
C3.1.18
(2)
142.360
272
274
--
Operator Name:
Assessment Date:
C3.1.18
271
273
Applicant
Exposition
or Manual
Reference
holds written authority from the person to whom the record relates, prior to the record being provided?
269
270
Handbook
Reference
Satisfactory?
142.360
Assessment Worksheet
CASR PART 142
CASR
nl
Ref
CASR
Reference
- Assessment Worksheets -
Present?
C3.2.9
C3.2.9
Does the applicant have a means to ensure that passengers are not carried unless the pilot is authorised to
fly the aircraft as pilot in command with a passenger on board?
C3.2.9
142.340 (1)(l)(v) If the applicant conducts checking activities in aircraft, does the exposition include a description of each
flight training area?
OPERATIONS MANUAL
Last Printed: 1/08/20141:15 PM
C3.2.10
C3.3
Page: 10 of 15
Comments
File Name: CASR Part 142 Technical Assessor Worksheet - Appendix 1
(1)(s)
300
302
303
142.315
305
306
307
308
Does the exposition include an internal training and checking system manual, describing the applicant's
internal training and checking system?
142.315
142.315
(a)
142.315
(b)
a description of the duties and responsibilities assigned to personnel conducting internal training and
checking?
142.315
(d)(i)
procedures to ensure all personnel have an understanding of the training management system?
142.315
(d)(ii)
procedures to ensure all personnel complete the internal training and checking?
142.315
(d)(iii)
142.315
(e)
details of any cyclic training and proficiency program used (if applicable)?
C3.4.5
C3.4.6
C3.4.7
C3.4.8
requirements for assignment of command responsibility during flights for internal training and checking?
(f)
(g)
any general restrictions, specifications or safety precautions (including in relation to fuel load, ballast
and minimum weather conditions) required for internal training and checking, by the applicant?
C3.4.11
(h)(i)
142.315
(h)(ii)
the training sequences for common faults when conducting the training and checking?
142.315
(h)(iii)
the methods of simulating emergencies or malfunctions when conducting the training and checking?
142.315
(i)
procedures to ensure instructors hold a valid standardisation and proficiency check for the applicant?
142.315
(j)
procedures to ensure instructors are competent to use any flight simulation training devices (if used by
the applicant)?
317
142.330
(1)
318
142.330
(2)
319
142.335
(1)(b)
320
142.340
(1)(h)
321
(1)(a)
142.275
(2)
C3.4.14
C3.4.15
C3.4.14(a)
Does the applicant's standardisation and proficiency check assess the competency of the instructor to
conduct authorised activities?
C3.4.14(b)
Are standardisation and proficiency checks carried out by the head of operations, or a person authorised by
the head of operations?
C3.4.14(c)
Does the applicant have a means to ensure that before an instructor or examiner conducts an authorised
Part 142 activity for the applicant, the instructor or examiner has met the requirements in the applicants
exposition about training in human factors principles and non-technical skills?
C3.4.2(b)
Does the applicant's exposition include a description of the applicants program for training and assessing
personnel in human factors principles and non-technical skills?
142.340 (1)(s)(v) Does the exposition include a quality assurance management system manual that describes the applicants
quality assurance management system?
142.275
C3.4.11
Prior to instructors conducting authorised activities, does the applicant have procedures to ensure
instructors hold a valid standardisation and proficiency check for the operator, or are successfully
participating in an approved cyclic training and proficiency program?
324
C3.4.13
AS
(2)
C3.4.12
142.320
325
C3.4.10
142.315
316
323
the minimum number of check pilots and the minimum crew qualifications required (if any) for each kind
of internal training and checking conducted?
U
se
142.315
322
Present?
C3.4.4
C3.4.9
311
315
--
C3.4.3
(c)
142.315
314
--
C3.4.2
142.315
310
313
Comments
C3.4
C3.4
(a)
309
312
Operator Name:
Assessment Date:
C3.4.1
304
Applicant
Exposition
or Manual
Reference
C3.3.1
301
Handbook
Reference
299
sub para
More
Info
nl
298
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
Does the quality assurance management system ensure the correct operation and maintenance of the flight
simulation training devices?
Does the quality assurance management system include:
C3.4.2(b)
Comments
C3.5
C3.5.1
C3.5.2
C3.5.2
Page: 11 of 15
--
333
334
335
336
337
(2)(b)
management responsibility?
142.275
(2)(c)
document control?
142.275
(2)(d)
resource allocation?
142.275
(2)(e)
quality procedures?
142.275
(2)(f)
internal audit?
142.275
(1)(b)
142.275
(1)(b)
ensure that the authorised activities are conducted in a planned and systematic manner?
142.275
(1)(b)
142.275
(3)
142.275
(3)(a)
142.275
(3)(b)
142.275
(3)(c)
evaluating the training outcomes from pre-flight test assessments and post-flight feedback from
examiners?
339
340
341
342
343
344
345
348
349
C3.5.3(e)
Does the exposition describe the way the risk of personnel fatigue is managed?
142.340
(1)(o)
If a fatigue risk management system is used, does the exposition include the fatigue risk management
system manual?
C3.6.2
(1)(v)
142.340
(1)(t)(i)
142.140
(1)
356
C3.9.2
Does the exposition describe how the applicant will manage significant changes, including applying to
CASA for approval of the change?
(4)
142.140
(4)(a)
be in writing?
142.140
(4)(b)
Does the applicant specify that an application to CASA for approval of a significant change will:
Comments
C3.9
If applicable, does the exposition describe a matter prescribed by a legislative instrument under regulation
142.045?
142.140
C3.8
C3.9.1
Comments
C3.8
If applicable, does the exposition describe any other matter required to be approved by CASA under the
CASR, in relation to the activities?
CHANGE MANAGEMENT
Comments
C3.7
C3.7
Has the applicant met the requirements of Subpart 99.B of CASR in regard to a drug and alcohol
management plan?
(1)(u)
Comments
C3.6
C3.6.1
--
C3.5.3(d)
C3.5.3(e)
(1)(o)
--
C3.5.3(c)
C3.5.3(e)
142.340
(1)(s)
--
C3.5.3(e)
FATIGUE MANAGEMENT
--
C3.5.3(b)
142.275 (3)(e)(iii)
142.340
359
C3.5.3(a)
142.275
353
358
C3.5.3
(3)(e)(i)
142.340
C3.5.3
C3.5.3
Does the quality assurance management system include a process for recommending changes to:
352
357
C3.5.3
(3)(e)
142.340
355
C3.5.2(f)
142.275
350
354
C3.5.2(e)
regularly assessing the suitability of facilities and resources used for conducting the activities?
99.B
351
C3.5.2(d)
(3)(d)
346
347
C3.5.2(c)
142.275
--
C3.5.2(b)
142.275 (3)(e)(ii)
--
C3.5.2(a)
338
Satisfactory?
332
142.275
331
a quality policy?
Operator Name:
Assessment Date:
nl
330
(2)(a)
Applicant
Exposition
or Manual
Reference
329
142.275
Handbook
Reference
U
se
328
327
sub para
More
Info
AS
326
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
- Assessment Worksheets -
Present?
Comments
C3.10
C3.10.1(a)
C3.10.1(b)
C3.10.1(b)
--
--
C3.10.1(b)
C3.10.1(b)
Page: 12 of 15
(4)(c)
be accompanied by a copy of the relevant part of the exposition, clearly identifying the change?
142.140
(2)
For a change to the permanent appointment of any of the applicants key personnel, does the exposition
state that:
C3.10.2
where the person appointed is authorised within the applicants exposition to carry out the
responsibilities temporarily, the application for change to CASA will be made within 7 days after the
change is made?
C3.10.2
where the person appointed has not previously been authorised to carry out the responsibilities of the
position temporarily, the application for change to CASA will be made within 3 days after the change is
made?
C3.10.2
(2)
142.140
(3)
363
Does the exposition describe how the applicant will manage changes that are not significant changes,
including telling CASA of the change?
367
368
369
370
371
142.135
(1)(a)
142.135
(2)(a)
142.135
(2)(a)
contact details?
142.135
(1)(a)
142.135
(1)(b)
142.135
(1)(b)(i)
142.135 (1)(b)(ii)
372
374
375
376
give CASA written notice of the change, including a copy of the amended part of the exposition, clearly
identifying the change?
142.155
(2)
Does the exposition describe how the applicant will comply with a direction from CASA to:
381
383
384
385
386
387
388
389
390
C3.10.5
142.265
(2)
142.265
(2)
Does the SMS include a statement of the applicant's safety objectives and planning?
142.265
(2)(b)
142.265
(2)(b)(i)
Does the applicant's safety policy, objectives and planning documentation include:
a statement regarding management's commitment to, and responsibility for, safety?
142.265 (2)(b)(ii)
142.265 (2)(b)(iii)
142.265 (2)(b)(iv)
confirmation of how human factors principles are integrated into the SMS?
142.265 (2)(b)(v)
142.265 (2)(b)(vi)
--
--
C3.10.5
Comments
C3.11
C3.11
If applicable, does the exposition describe aeronautical or aviation-related services to be provided by third
parties?
--
C3.10.4
Does the applicant have a means to ensure that parts of the exposition relating to the duties of personnel
are made available to them prior to carrying out the duties?
380
--
C3.10.5
EXPOSITION
379
--
C3.10.4
(1)
(1)(r)
--
C3.10.4
C3.10.4
142.155
142.350
382
C3.10.4
(4)
142.340
C3.10.4
C3.10.4
142.155
377
378
Does the exposition describe how the applicant will manage a change to its:
373
C3.10.3(b)
366
C3.10.3(a)
U
se
142.150
--
C3.10.1(b)
142.340 (1)(t)(ii) Does the exposition describe how changes that are not significant changes are identified?
365
--
Operator Name:
Assessment Date:
142.140
362
Applicant
Exposition
or Manual
Reference
Satisfactory?
142.140
361
364
Handbook
Reference
nl
sub para
More
Info
AS
360
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
- Assessment Worksheets -
Present?
Comments
C3.12
C3.12
C4
C4.1
Comments
C4.1.1
C4.1.2
C4.1
--
--
C4.1.1
C4.1.3
C4.1.4
C4.1.5
C4.1.6
C4.1.7
Page: 13 of 15
142.265 (2)(b)(viii)
397
398
399
400
401
402
403
404
405
406
407
408
142.265
(1)(d)
142.265
(1)(a)
142.265
(2)(a)
142.265
(2)(a)
142.265
(2)(a)
142.265
(2)(a)
142.265
(2)(c)
142.265
142.265
(2)(d)(i)
142.265 (2)(d)(i)
142.265
(C)
(2)(d)(i)
(D)
142.265
(3)
142.265 (2)(d)(ii)
142.265
(4)(a)
415
142.265
(4)(b)
142.265
(5)
417
142.265 (4)(c)(i)
(A)
(4)(c)(i)
(B)
142.265 (4)(c)(i)
421
422
(C)
C4.2.2
Comments
C4.2.1
Comments
C4.3
C4.3
C4.3
--
--
C4.3.1
C4.3.2
management of change?
C4.3.3
C4.3.4
C4.3.5
--
--
--
--
--
--
C4.3.5
C4.3.5
C4.3.5
C4.3.5
If the FDAP is provided by another appropriate person (not the applicant), does the applicant acknowledge
and retain responsibility for providing and ensuring the effectiveness of the program?
C4.3.5
a person whose duties require the person to analyse operational flight data?
Comments
C4.3
Does the applicant's FDAP regularly record and analyse the operational flight data of individual and
aggregated operations for the purpose of improving safety of flight operations?
C4.3.5
C4.3.5
a person who has access to the persons identity solely for the purpose of analysing operational flight
data?
C4.3.5
a pilot appointed by the applicant to liaise with flight crew in relation to matters arising from the flight
data analysis program?
C4.3.5
142.265 (4)(c)(i) Does the FDAP ensure that the identity of a person who is the source of the data is protected from
disclosure other than:
Last Printed: 1/08/20141:15 PM
C4.2
C4.2
142.265 (4)(c)(i) Does the FDAP ensure that the identity of a person who is the source of the data is protected from
disclosure to anyone other than:
142.265
420
If conducting Part 142 activities in aeroplanes with a MTOW of >27000 kg and/or rotorcraft with a MTOW of
>7000 kg:
412
419
C4.1
418
C4.1
(A)
(2)(d)(i)
(B)
142.265
416
C4.1
410
414
C4.1
142.265 (2)(c)(ii) Does the applicants risk management system include risk assessment and mitigation processes?
142.265 (2)(d)(i)
413
C4.1
142.265 (2)(c)(i) Does the applicants risk management system include hazard identification processes?
(2)(d)
--
C4.1.9
C4.1.5
409
411
Does the applicant's safety management system manual adequately describe the safety management
system?
396
--
C4.1.9
U
se
395
Operator Name:
Assessment Date:
C4.1.8
nl
(1)(s)
Applicant
Exposition
or Manual
Reference
142.340
Handbook
Reference
Satisfactory?
142.265 (2)(b)(vii)
393
394
392
sub para
More
Info
AS
391
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
- Assessment Worksheets -
Present?
C4.3.5
Page: 14 of 15
(7)(a)
423
142.265
(7)(b)
424
142.265
(6)(a)
425
142.265
(6)(b)
426
427
428
429
430
431
if the applicant has evidence that the person deliberately contravened a provision of civil aviation
legislation or the applicants exposition?
C4.3.5
if the applicant has evidence that the person persistently engaged in unsafe actions without appropriate
safety reasons?
C4.3.5
Does the FDAP ensure that the identity of a person who is the source of data may be disclosed with the
written consent of the person?
C4.3.5
Does the FDAP ensure that the identity of a person who is the source of the data may be disclosed under a
court order?
C4.3.5
142.265 (4)(c)(ii) Does the FDAP ensure that no punitive action in relation to the data may be taken by the operator against
the person who is the source of the data, unless the operator has evidence that the person:
142.265
(7)(a)
has deliberately contravened a provision of civil aviation legislation or the operator's exposition?
142.265
(7)(b)
142.265
(2)(e)
C4.3.5
C4.3.5
C4.3.5
SAFETY PROMOTION
142.265 (2)(e)(i) Does the applicants safety training and promotion system provide details of SMS training and education?
438
U
se
437
--
Comments
C4.4.2
(1)(b)
142.265
(1)(b)
the applicant's authorised Part 142 activities are conducted in a planned and systematic manner?
142.265
(1)(b)
142.265
(8)(a)
Does the SMS include a process for auditing the operator's authorised Part 142 activities?
142.265
(8)(b)
Does the SMS include a process for promoting the continual improvement of the operator's authorised Part
142 activities?
C4.5.1(b)
Does the SMS include a process for evaluating the training outcomes from pre-flight test assessments and
post-flight test feedback from examiners?
C4.5.1(c)
Does the SMS include a process for regularly assessing the suitability of the operator's facilities and
resources used for conducting the operator's authorised Part 142 activities?
C4.5.1(d)
Does the SMS include a process for recommending changes to the following:
C4.5.1(e)
439
142.265
(8)(c)
440
142.265
(8)(d)
441
(8)(e)
442
142.265
443
142.265 (8)(e)(i)
444
142.265 (8)(e)(ii)
445
142.265 (8)(e)(iii)
142.265
(1)(c)
446
Comments
C4.5
142.265
C4.5.1
--
--
--
--
C4.5.1
C4.5.1
C4.5.1(a)
436
142.265 (2)(e)(ii) Does the applicants safety training and promotion system provide details of SMS safety communication?
AS
435
--
Operator Name:
Assessment Date:
C4.4.1
434
C4.4
C4.4
432
433
Applicant
Exposition
or Manual
Reference
Satisfactory?
Handbook
Reference
sub para
More
Info
nl
142.265
Assessment Worksheet
CASR PART 142
CASR
Ref
CASR
Reference
- Assessment Worksheets -
Present?
C4.5.1(e)
C4.5.1(e)
C4.5.1(e)
If the applicant conducts activities in flight simulation training devices, does the SMS, in relation to those
activities, include a means to ensure the correct operation and maintenance of the devices?
C4.5.2
447
C5
448
OTHER DOCUMENTS
C5.1
Comments
449
142.340
(1)(s)
C5.1
Page: 15 of 15
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Reference
- Blank Worksheet -
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This Blank Worksheet has been developed and provided as a means to address new or amended legislation and/or to enter additional assessment criteria questions
and comments relating to the assessment.
This worksheet may also be used as a note pad.
Operator Name:
Assessment Date:
COMMENTS
AS
U
se
nl
Compliant?
1 Of 2
Ref
Legislation
Reference
- Blank Worksheet -
Cross
Reference
BLANK WORKSHEET
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This Blank Worksheet has been developed and provided as a means to address new or amended legislation and/or to enter additional assessment criteria questions
and comments relating to the assessment.
This worksheet may also be used as a note pad.
Operator Name:
Assessment Date:
COMMENTS
AS
U
se
nl
Compliant?
2 Of 2