Australian air transport operators - certification and management –
Notice of Proposed Rule Making Australian air transport operators certification and management – Proposed CASR Part 119 Annex D Draft Sample exposition for proposed CASR Part 119 Document NPRM 0903OS Page D1 Notice of Proposed Rule Making Australian air transport operators certification and management – Proposed CASR Part 119 INTENTIONALLY LEFT BLANK Document NPRM 0903OS Page D2 Example and Guidelines for a CASR Part 119 AIR TRANSPORT OPERATOR EXPOSITION SAMPLE EXPOSITION EXPLANATORY STATEMENT This document provides guidance on the structure and content of an air transport operator exposition as required under CASR regulation 119.330. The content relates directly to the requirements of CASR Part 119 as applicable to an air transport operator. The document is a mixture of requirements and guidance under recommended headings for an air transport operator’s exposition. The content of the sample exposition has been arranged into parts, sections and subsections. The aim is to collate all the processes and procedures related to a subject under the relevant section in the exposition, irrespective of the location of the legislative requirements either in the CASR Part 119. The text provided under each section or subsection of the sample exposition provides guidance on the nature of contents to be included. The sections and subsections should be further expanded according to the complexity of the processes and procedures of the air transport operator. As mentioned above, CASA recommends Part 1 of this document be retained as per the sample exposition as it provides the main administrative information about the operator, including the operator’s structure, location, scope of approval, list of key personnel etc. In some cases specimen text or procedures have been included (in italics) in the sample exposition to expand the guidance and to illustrate the nature of the content required. The operator should carefully consider the provided content and make necessary changes before including it in their exposition. It is important for the users of this document to appreciate that no single sample exposition can meet the needs of all types and sizes of operators or reflect the different operational structures, policies and procedures. This document is for guidance only and the structure and content of the air transport operator’s exposition should reflect their structures, policies and procedures. CASA suggests the operator correlates the content of the exposition with their own compliance check list/matrix to ensure that they have fully addressed all applicable requirements of CASR Part 119. Where the content of the exposition requires processes and procedures to be provided, these may be included in other documents provided they are referred to in the exposition. However, in that case, the other documents form part of the exposition and are subject to the same requirements and controls as the exposition. Processes and procedures included or referred to in the exposition should be of adequate depth and include enough details to demonstrate they establish compliance with the applicable requirements of CASR Part 119. Duties and responsibilities of individuals as mentioned in the exposition should relate to the obligation of the operator or the individual under CASR Part 119, and are not meant to cover employment conditions, performance criteria or non-operational administrative functions. Where content of the exposition requires identifying the individual responsible for an action or a decision that is part of a process, it is intended that the individual will be identified by their position title (such as ‘Safety Manager’) or if applicable, by means that describes their function (such as ‘data entry clerk’). Air Transport Operator Sample Exposition Page i Where content of the exposition deals with records to be created or kept by the operator, the relevant procedures in the exposition should take into account the following: legibility of the record; retrieval of records; and protection of the records from loss, damage or accidental alteration. CASA recommends worksheets, checklists, forms, lists of items and personnel etc. required under the exposition or associated with the processes or procedures required by the exposition should be included as appendices at the end of the exposition. However, as mentioned above, they may be included in other documents that contain the processes and procedures or in any other document if it is convenient for the operator to do so. Air Transport Operator Sample Exposition Page ii Insert Organisation Logo here ABC AIRWAYS PART 119 AIR TRANSPORT OPERATOR EXPOSITION This exposition has been developed to meet the Civil Aviation Safety Regulations 1998 (CASR) Part 119 Air Transport Operator exposition requirements Air transport operator AOC number xxxxx ABC Airways Limited Aviation Reference Number ARN xxxxxx Australian Business Number (if any) ABN xx xxx xxx xxx Address 1 Address 2 Address 3 Telephone: xx xxxxxxx Facsimile: xx xxxxxxxx Email: xxxx@xxxx.xxx.xx Copy Number: x of xx Holder Name: TABLE OF CONTENTS LIST OF EFFECTIVE PAGES .................................................................................................... 3 AMENDMENT RECORD ............................................................................................................ 4 DISTRIBUTION LIST .................................................................................................................. 5 ABBREVIATIONS, ACRONYMS AND DEFINITIONS................................................................. 6 PART 1 GENERAL ................................................................................................................ 7 1.1 CHIEF EXECUTIVE OFFICER’S STATEMENT ............................................................ 7 1.2 OPERATOR SAFETY POLICY ..................................................................................... 8 1.3 OPERATOR DETAILS .................................................................................................. 9 1.3.1 OPERATOR’S NAME (AND ARN)................................................................... 9 1.3.2 ADDRESS ....................................................................................................... 9 1.3.3 CONTACT DETAILS ....................................................................................... 9 1.3.4 HEADQUARTERS AND OPERATING BASES ............................................... 9 1.4 ORGANISATIONAL STRUCTURE ............................................................................. 10 SAFETY MANAGER ................................................................................................... 10 SAFETY MANAGER ................................................................................................... 11 1.5 OPERATOR’S CORPORATE STRUCTURE .............................................................. 11 1.6 PERSONNEL .............................................................................................................. 11 1.6.1 CHIEF EXECUTIVE OFFICER (CASR SUB REGULATION 119.330 (1)(E) AND 119.140 REFER)................................................................................... 12 1.6.2 HEAD OF FLYING OPERATIONS (CASR SUBREGULATION 119.330 (1)(E) AND 119.150 REFERS) ...................................................................... 12 1.6.3 HEAD OF TRAINING AND CHECKING ........................................................ 13 1.6.4 SAFETY MANAGER ..................................................................................... 13 1.6.5 FOR EACH OF THE KEY PERSONNEL, THE FOLLOWING INFORMATION ............................................................................................. 14 1.6.6 EACH MATTER (IF ANY) FOR WHICH THE HOLDER OF THE POSITION IS RESPONSIBLE IN ADDITION TO THE RESPONSIBILITIES MENTIONED IN SUBPART 119.D FOR THE POSITION .............................. 14 1.6.7 OTHER RELEVANT PERSONNEL ............................................................... 14 1.6.8 RESPONSIBILITIES OTHER THAN KEY PERSONNEL ............................... 15 1.6.9 DEPUTY/ASSISTANT KEY PERSONNEL .................................................... 15 1.6.10 CEO ADDITIONAL ACCOUNTABILITIES ..................................................... 15 PART 2 2.1 PART 3 OPERATIONS ........................................................................................................ 16 AIRCRAFT .................................................................................................................. 16 2.2.1 REGISTRATION OF AEROPLANE OR ROTORCRAFT ............................... 16 2.2.2 AIRCRAFT .................................................................................................... 16 2.2.3 FOREIGN REGISTERED AEROPLANES OR ROTORCRAFT ..................... 16 2.2.4 AEROPLANES OR ROTORCRAFT LEASING ARRANGEMENTS ............... 16 2.2.5 OPERATIONS AND PROCEDURES ............................................................ 16 2.2.6 MANAGEMENT OF AREA OF OPERATIONS .............................................. 17 2.2.7 OPERATIONS OTHER THAN AIR TRANSPORT OPERATIONS ................. 17 2.2.8 CONDUCT AND MANAGEMENT OF OPERATIONS ................................... 17 2.2.9 OBLIGATIONS OF THE OPERATOR UNDER PART 91, 121, 133 OR 135.. 18 SYSTEMS .............................................................................................................. 19 3.1 MANAGEMENT SYSTEMS ......................................................................................... 19 3.2 OPERATIONS MANUAL ............................................................................................. 19 3.3 DANGEROUS GOODS MANUAL (DGM) ................................................................... 19 Air Transport Operator Sample Exposition Page 1 3.4 HUMAN FACTORS TRAINING ................................................................................... 20 3.1.1 HUMAN FACTORS AND NON-TECHNICAL SKILLS PROGRAM................. 20 3.5 TRAINING AND CHECKING SYSTEM MANUAL ....................................................... 20 3.6 SAFETY MANAGEMENT SYSTEM (SMS) ................................................................. 20 3.7 FATIGUE RISK MANAGEMENT SYSTEM (FRMS) .................................................... 20 3.8 APPROVALS UNDER THESE REGULATIONS.......................................................... 20 3.8.1 EXPOSITION TO INCLUDE ALL LEGISLATIVE INSTRUMENTS ISSUED BY CASA ............................................................................................................ 20 3.9 CHANGE MANAGEMENT .......................................................................................... 21 3.9.1 EXPOSITION TO INCLUDE A DESCRIPTION OF THE OPERATOR’S PROCESS FOR MAKING CHANGES ........................................................... 21 3.10 SIGNIFICANT CHANGES ........................................................................................... 21 3.11 CHANGES THAT ARE NOT SIGNIFICANT CHANGES ............................................. 21 3.11.1 CHANGES TO AUSTRALIAN AIR TRANSPORT OPERATOR EXPOSITION ................................................................................................ 21 3.11.2 DIRECTION BY CASA TO CHANGE EXPOSITIONS ................................... 21 3.12 EXPOSITION .............................................................................................................. 22 3.12.1 PROVIDING EMPLOYEES WITH EXPOSITION ........................................... 22 3.12.2 KEEPING THE EXPOSITION UP-TO-DATE AND COMPLIANT ................... 22 PART 4 4.1 APPENDICIES ....................................................................................................... 23 APPENDICIES ............................................................................................................ 23 4.2.1 KEY PERSONNEL FAMILIARISATION TRAINING ....................................... 23 4.2 LIST OF DOCUMENTS ................................................................................. 23 4.3 LIST OF SUBCONTRACTORS ..................................................................... 23 Air Transport Operator Sample Exposition Page 2 LIST OF EFFECTIVE PAGES This section should include the list of effective pages of the complete manual. The list may be prepared in the following manner. Page No. Revision Date Air Transport Operator Sample Exposition Page No. Revision Date Page 3 AMENDMENT RECORD This section should set out the amendment record of the exposition. The amendment record may be in the following form. Amendment Date No. Amendment Details Air Transport Operator Sample Exposition Amended by Date of Inclusion Page 4 DISTRIBUTION LIST This section should include a distribution list to ensure proper distribution of the exposition and to demonstrate to CASA that all employees involved in maintenance have access to the relevant information. This does not mean that all employees have to be in receipt of a complete exposition but that a reasonable number of copies are distributed within the operation so that employees may have quick and easy access to this exposition. Alternately, if the manual is available electronically this section should set out how the electronic version is available throughout the operation and to individuals outside the operation. Distribution list. Copy No. Air Transport Operator Sample Exposition Holder Page 5 ABBREVIATIONS, ACRONYMS AND DEFINITIONS This section should set out the meaning of any abbreviations, acronyms and unique terms used in the exposition. For example: ABN .................. Australian Business Number AOC .................. Air Operator's Certificate ARN .................. Aviation Reference Number CAO………………Civil Aviation Order CASA ................ Civil Aviation Safety Authority CAMO ............... Continuing Airworthiness Management Organisation CASR……………Civil Aviation Safety Regulations (1998) CAR…………..…Civil Aviation Regulations (1988) CEO………………Chief Executive Officer FRMS…………….(Human) Fatigue Risk Management Systems HF…………………Human Factors HoFO……………..Head of Flying Operations HoT&C……………Head of Training and Checking NTS……………….Non-Technical Skills SMS……………….Safety Management Systems TSI…………………Transport Safety Investigation (Act and Regulations) Air Transport Operator Sample Exposition Page 6 PART 1 1.1 GENERAL CHIEF EXECUTIVE OFFICER’S STATEMENT (CASR subregulation 119.235 (2)(b)(i) refers) Part 119 exposition provisions do not require a CEO statement, however regulation 119.235 (2)(b)(i) Safety management systems requirements requires a management commitment and responsibility for SMS and SMS safety communication. Such matters could be addressed separately of the operator’s exposition. However, the beginning of the exposition is a very prominent place for management to establish beyond doubt to all personnel the CEO’s and the operator’s commitment to safety. The Chief Executive Officer's exposition statement should include the intent of the following paragraph. The following statement may be used without amendment. Any changes to the statement should not alter the intent. I, the Chief Executive Officer have the corporate authority to ensure that all services required by the operation can be financed and provided to the standard required and that all necessary resources are available to enable compliance with this exposition. I will establish and promote policies for safety management for this air transport operator and its employees in accordance with this exposition. This exposition defines the procedures upon which the CASR Part 119 AOC of [operator name] as an air transport operator is based. This exposition, along with the procedures contained in it, are approved by CASA and must be complied with as applicable, in order to ensure that all the activities involving the operation of aircraft are conducted safely and to the standard required by the legislation. The procedures included or referred to in this exposition do not override the necessity of complying with any new or amended regulations published by CASA from time to time where these new or amended regulations are in conflict with these procedures. Our Air Operator Certificate (AOC) will continue whilst CASA is satisfied that these procedures are being followed. CASA reserves the right to suspend, vary or cancel the AOC, as applicable, if CASA has evidence that the procedures are not being followed and the standards are not being upheld. Signed: ………………………………………… Date: ……………………………. Name: ………………………………………….. Air Transport Operator Sample Exposition Title: Chief Executive Officer, [Organisation name] Page 7 1.2 OPERATOR SAFETY POLICY (Regulation 119.235 (2)(b) refers) Part 119 exposition provisions do not require a Safety Policy statement, however regulation 119.235 (2)(b) Safety management systems requirements requires a statement of the operators safety policy. Such matters could be addressed separately of the operator’s exposition. However, the beginning of the exposition is a very prominent place for management to establish beyond doubt to all personnel the operator’s commitment to safety. The Safety Policy should, as a minimum, include a statement committing the operator to: recognise safety as a prime consideration at all times; apply Human Factors principles; recognise the value of good hazard identification, recording and mitigation; encourage personnel to report all errors/incidents to meet Part 119 requirements; recognise that compliance with procedures and legislation is the duty of all personnel; and recognise the need for all personnel to cooperate on safety management matters. Safety Policy Statement Refer to regulation 119.235 (2)(b). Safety is the first priority in all our activities. We are committed to implementing, developing and improving strategies, management systems and processes to ensure that all our aviation activities uphold the highest level of safety performance and meet national and international standards. Our commitment is to: 1 2 3 4 5 6 7 8 9 10 11 12 13 Develop and embed a safety culture in all our aviation activities that recognises the importance and value of effective aviation safety management and acknowledges at all times that safety is paramount. Clearly define for all employees their accountabilities and responsibilities for the development and delivery of aviation safety strategy and performance. Minimise the risks associated with aircraft operations to a point that is as low as reasonably practicable/achievable. Ensure that externally supplied systems and services that impact upon the safety of our operations meet appropriate safety standards. Actively develop and improve our safety processes to conform to world-class standards. Comply with and, wherever possible, exceed legislative and regulatory requirements and standards. Ensure that all employees are provided with adequate and appropriate aviation safety information and training, are competent in safety matters and are only allocated tasks commensurate with their skills. Ensure that sufficient skilled and trained resources are available to implement safety strategy and policy. Establish and measure our safety performance against realistic objectives and/or targets. Achieve the highest levels of safety standards and performance in all our aviation activities. Continually improve our safety performance. Conduct safety and management reviews and ensure that relevant action is taken. Ensure that the application of effective aviation safety management systems is integral to all our aviation activities, with the objective of achieving the highest levels of safety standards and performance. Air Transport Operator Sample Exposition Page 8 1.3 OPERATOR DETAILS 1.3.1 Operator’s name (and ARN) An exposition of an Australian air transport operator must include the operator’s name; address, ABN (if any) and contact details. This section should list the contact details of the air transport operator: If the AOC holder is a natural person (human) their full name and ARN (if any). If the AOC holder is a corporation their corporate name and ARN (if any). The street address at which the operation is or will be managed from; and the contact addresses for the operator. 1.3.2 Address An exposition of an Australian air transport operator must include the location and address of the operator’s headquarters, each of the operator’s main operating bases and each of the operator facilities. This section should list the mail and street addresses for all places where the air transport operator has a physical presence. 1.3.3 Contact details This should include all work contact addresses, phone numbers and email addresses (if any) for all (proposed) key personnel. Australian Business Number ABN (IF ANY) - The ABN is a unique 11 digit identifying number that Australian businesses use when dealing with other businesses. Registering for an ABN is not compulsory. http://www.business.gov.au/BusinessTopics/Registrationandlicences/Registerfo rtaxation/Pages/RegisterforanAustralianBusinessNumber(ABN).aspx 1.3.4 Headquarters and operating bases The location and address of the operator’s headquarters; The location and address of each of the operator’s main operating bases; and The location and address of each of the operator’s operational and maintenance facilities. The operator is required to have a CAMO as part of the AOC. The exposition needs to outline a documented two-way communication structure in place between the operators aircraft scheduling section and the CAMO to ensure that the operator passes on to the CAMO, all necessary information about aircraft utilisation, defects detected in use, and any damage incurred, so that the CAMO is able to ensure that scheduled maintenance is carried out at the right time, that items with a finite life do not continue in service beyond approved life limits, that damage is assessed and rectified as required, and that defects are either rectified or deferred in an approved manner. This normally requires a means of passing on aircraft utilisation in real-time or at regular intervals (normally daily) to ensure that maintenance scheduling is done in a timely manner. Air Transport Operator Sample Exposition Page 9 The CAMO must also be able to communicate to the operators schedulers information about when a deferred defect is due for rectification, when an AD is required to be carried out and when the next scheduled maintenance event is due, in sufficient time to ensure that an aircraft is not inadvertently scheduled to fly through a calendar date or time in service at which a maintenance action is required to be carried out. The CAMO will normally manage the aircraft maintenance program, the ordering of maintenance, approval of AMOs, approval of modifications and management of continuing airworthiness records on behalf of the AOC holder. 1.4 ORGANISATIONAL STRUCTURE An exposition of an Australian air transport operator must include a description and diagram of the operator’s organisational structure showing formal reporting lines including the formal reporting lines for the key positions. Depending on the size and complexity of the operation, one or more charts may be used to provide a comprehensive understanding of the whole organisation including the line of reporting. The following chart shows the overall structure of one sample air transport AOC holder. Chief Executive Officer Safety Manager Head of Training and Checking Head of Flying Operations Head of Department The chart below shows a more detailed management structure, and clearly shows the independence of the safety management system, including the links between the safety department and the other departments. This chart may be combined with the one above or subdivided as necessary depending on the size and the complexity of the organisation. The structure depicted below the Head of Flying Operations in the chart is an example only. It is up to the operator to determine the most appropriate structure; including nomination of managers to cover all the operations the applicant is seeking an approved exposition to provide. Air Transport Operator Sample Exposition Page 10 Chief Executive Officer Safety Manager Chief Operating Officer Head of Department A Head of Flying Operations Head of Training and Checking 1.5 Head of Department B Fleet Manger Aircraft X Head of Department C Fleet Manger Aircraft Y OPERATOR’S CORPORATE STRUCTURE If the operator is a corporation the exposition should include a description of the operator’s corporate structure. The exposition should include a high level layout of the various departments, divisions, and job positions that interact to conduct the business of the company. Even the smallest of businesses have a corporate structure, although the exact format for the structure may be quite simple. The degree of detail need not be exhaustive in a large operation but should be sufficient to ensure an understanding of the basic company layout by an employee or by CASA. The description should also give an outline of the company ownership. A higher level of detail should be provided in cases where the business is owned (wholly or in part) by another aviation entity particularly the holder of another AOC. The description should also state whether the company is privately or publicly owned, if it is a publicly listed company, charity, trust, government or quasi-government entity etc. 1.6 PERSONNEL (CASR regulation 119.330 (1)(e) refers) This section should list names of the individuals occupying the following positions and demonstrate the assessment procedure to ensure appropriate qualifications. All key personnel positions required by Part 119 have regulated responsibilities. Regulations relating to key personnel responsibilities are not offences and therefore do not carry a penalty. However, key personnel compliance with regulations relating to their responsibilities are conditions on the operator’s AOC. Failure of key personnel to adhere to regulations which are conditions on an operator’s AOC could place the future of the AOC in question. Air Transport Operator Sample Exposition Page 11 1.6.1 Chief Executive Officer (CASR sub regulation 119.330 (1)(e) and 119.140 refer) THE NAME OF THE PERSON APPOINTED, OR PROPOSED TO BE APPOINTED, TO THE POSITION This section should identify the Chief Executive Officer, set out the duties, accountabilities and responsibilities of the Chief Executive Officer in relation the air transport operator, and demonstrate that the Chief Executive Officer has corporate authority for ensuring that all aircraft operations can be conducted safely, financed and carried out to the required standard. Part 119 operators are required to have a Chief Executive Officer at all times and the responsibilities of the Chief Executive Officer are regulated regardless of the title used. Additional qualifications and experience above baseline requirements of 119.175 for the Chief Executive Officer should be stated here whether imposed by the operator itself or imposed by CASA. 1.6.2 Head of Flying Operations (CASR subregulation 119.330 (1)(e) and 119.150 refers) THE NAME OF THE PERSON APPOINTED, OR PROPOSED TO BE APPOINTED, TO THE POSITION This section should identify and set out the duties and responsibilities of the Head of Flying Operations. The level of detail should be sufficient to show all the responsibilities and obligations of the air transport operator under CASR Part 119 that are covered by the Head of Flying Operations. The Head of Flying Operations (HoFO) of a Part 119 operator has the overall responsibility for the flying operations of a Part 119 operator. The responsibilities detailed in 119.150 denote that the responsibility ultimately rests with the HoFO but do not indicate that the HoFO must perform each of these functions personally. If there is more than one manager with operational responsibilities then the delineation of responsibilities and obligations between the team should be detailed. The size of an air transport operator and the complexity of its scope of operations and the capability of individuals nominated determine the number of operational managers required. In a small operation with a steep gradient of experience and expertise it would be expected that the HoFO would be involved in much of the detail of the regulated 119.150 responsibilities. However, in a large operation with a consequent larger number of senior staff, the operator’s commercial and safety interests would be likely better served by the delegation of tasks associated with these regulated 119.150 responsibilities. Delegation of the tasks associated with regulated 119.150 responsibilities in no way absolve the HoFO from the ultimate responsibility imposed by 119.150. Air Transport Operator Sample Exposition Page 12 Regulation 119.150 derives its head of power from section 28(3) of the Civil Aviation Act. The Act specifies key personnel (however they are described). There is nothing in Part 119 precluding the Head of Flying Operations having another title (example Chief Pilot). However, operators should specifically state in their exposition if alternative titles to those provided by the Act are used for key personnel. Part 119 operators are required to have a HoFO at all times and the responsibilities of the HoFO are regulated regardless of the title used. Additional qualifications and experience above baseline requirements of Part 119.150 for the HoFO should be stated here whether imposed by the operator itself or imposed by CASA. 1.6.3 Head of Training and Checking (CASR sub regulation 119.330 (1)(e) and 119.160 refer) THE NAME OF THE PERSON APPOINTED, OR PROPOSED TO BE APPOINTED, TO THE POSITION This section should identify and set out the duties and responsibilities of the Head of Training and Checking. The head of training and checking of a Part 119 operator must safely manage the training and checking activities of the operator. Part 119 operators are required to have a Head of Training and Checking at all times and the responsibilities of the Head of Training and Checking are regulated regardless of the title used. Additional qualifications and experience above baseline requirements of Part 119.160 for the Head of Training and Checking should be stated here whether imposed by the operator itself or imposed by CASA. 1.6.4 Safety Manager (CASR sub regulation 119.330 (1)(e) and 119.170 refers) THE NAME OF THE PERSON APPOINTED, OR PROPOSED TO BE APPOINTED, TO THE POSITION This section should identify and set out the duties and responsibilities of the Safety Manager. The safety manager should answer directly to the CEO, with reporting lines to senior management as appropriate. The reasons for this are twofold. Firstly, this should allow the safety manager to be independent from operational areas, thus giving them the authority to look across the company from the safety perspective. Secondly, as the CEO is the person legally accountable for the overall safety performance of the operation (as outlined within 119.170, it is appropriate that the safety manager, as the manager responsible for the oversight for these safety responsibilities, report directly to the CEO. Part 119 operators are required to have a safety manager at all times and the responsibilities of the safety manager are regulated regardless of the title used. Additional qualifications and experience that are above baseline requirements of 119.170 for the safety manager should be stated here whether imposed by the operator itself or imposed by CASA. Air Transport Operator Sample Exposition Page 13 1.6.5 For each of the key personnel, the following information THE QUALIFICATIONS AND EXPERIENCE (IF ANY) REQUIRED BY THE OPERATOR FOR THE POSITION IN ADDITION TO THE QUALIFICATIONS AND EXPERIENCE REQUIRED UNDER SUBPART 119.D FOR THE POSITION Key Personnel qualifications and experience (CASR sub regulation 119.175 refers) The exposition must state whether each person appointed to the position, and each person authorised, to act in the position in the absence of the position holder has: the qualifications and experience required for the position under Subpart 119.D; has the additional qualifications and experience required by the operator (if any); and meets any requirements imposed by CASA under regulation 119.180 that are in addition to the qualifications and experience requirements mentioned for the position in Subpart 119.D. 1.6.6 Each matter (if any) for which the holder of the position is responsible in addition to the responsibilities mentioned in subpart 119.d for the position The exposition must list each matter (if any) for which the holder of the position is responsible in addition to responsibilities of the position under Subpart 119.D. Do key personnel have job responsibilities that go beyond those regulated as a key person? Are key personnel likely to be distracted by additional responsibilities that would otherwise not be visible to CASA? Does the HoFO also have a line pilot with an expectation of a significant proportion of his/her time spent away from the key person role? Does the business operate in a scope that goes beyond just aviation? Are key personnel likely to be distracted by additional non-aviation responsibilities? Does the key person work part-time in the role or are they a contractor? Does a person fill more than one key person position? It is an offence for the CEO and Safety Manager positions to be filled by the same person without CASA approval. Note: Part 119 does not prevent part-time or contracted positions however approval of the key person by CASA would be contingent upon sufficient ‘management commitment’ to assure safe operations. 1.6.7 Other Relevant Personnel (CASR regulation 119.330 (1)(c) refers) This section can be continued with the terms of reference of additional management personnel, who report to the upper level of management, as necessary to fully describe the operation. Part 119 does not require that the personnel be named in the exposition as do key personnel. Air Transport Operator Sample Exposition Page 14 1.6.8 Responsibilities other than key personnel (CASR regulation 119.330 (1)(h) refers) The exposition must state detail of the responsibilities of the operator’s personnel (other than key personnel). This is the job role description, responsibilities and accountabilities of all specific jobs within the operation. The exposition may refer to other documents. 1.6.9 Deputy/Assistant Key Personnel (CASR regulation 119.330 (1)(e)(iv) refers) THE NAME OF EACH PERSON AUTHORISED, OR PROPOSED TO BE AUTHORISED, TO CARRY OUT THE RESPONSIBILITIES OF THE POSITION WHEN THE POSITION HOLDER IS ABSENT FROM THE POSITION; OR CANNOT CARRY OUT THE RESPONSIBILITIES It is a condition of the AOC that all key person positions must be filled at all times. Therefore operators would be well advised to ensure that each key person position has a named person authorised to carry out the responsibilities of the position when the position holder is absent from the position or cannot carry out the responsibilities. A DESCRIPTION OF HOW THE OPERATOR WILL MANAGE THE RESPONSIBILITIES OF THE POSITION DURING ABSENCE OF A KEY PERSON (CASR regulation 119.330 (1)(e)(v) refers) Unless operations are to immediately cease in the absence of a key person the exposition must contain a description of how the operator will manage the responsibilities of the position during the absence of the substantive key person. 1.6.10 CEO additional accountabilities (CASR regulation 119.330 (1)(f) refers) The exposition must state each matter (if any) for which the chief executive officer is accountable in addition to the matters mentioned in regulation 119.140. Does the chief executive officer have job responsibilities that go beyond those regulated as a key person? Is the chief executive officer likely to be distracted by additional responsibilities that would otherwise not be visible to CASA? For a small operator is the chief executive officer also a line pilot with an expectation of a significant proportion of his/her time spent away from the key person role? Does the business operate in a scope that goes beyond just aviation? Is the chief executive officer likely to be distracted by additional non-aviation responsibilities? Does the key person work part-time in the role or are they a contractor? Does the chief executive officer fill more than one key person position? It is an offence for the CEO and Safety Manager positions to be filled by the same person without prior CASA approval. Air Transport Operator Sample Exposition Page 15 PART 2 2.1 OPERATIONS AIRCRAFT (CASR regulation 119.330 (1)(i) refers) 2.2.1 Registration of aeroplane or rotorcraft The exposition must state for each registered aeroplane or rotorcraft to be operated, by the operator under an Australian air transport AOC: the registration mark for the aeroplane or rotorcraft; and a description of the type of aeroplane or rotorcraft. 2.2.2 Aircraft Base Registration Sydney VH- Sydney VH- Sydney VH- Melbourne VH- Melbourne VH- Melbourne 2.2.3 VH- Aircraft B737-200 Base A320200/CFM56 A320200/V2500 B737-200 Archerfield A320200/CFM56 A320200/V2500 Jandakot Registration Aircraft B58 VHC208 VH- Parafield Darwin Launceston Birdsville VH- B200 PA31-350 VHVHVH- R44 R22 Foreign registered aeroplanes or rotorcraft (CASR regulation 119.330 (1)(j) refers) The exposition must detail for each foreign registered aeroplane or rotorcraft to be operated by the operator under an Australian air transport AOC: the nationality and registration mark for the aeroplane or rotorcraft under the law of the country where it is registered; and a description of the type of aeroplane or rotorcraft. 2.2.4 Aeroplanes or rotorcraft leasing arrangements (CASR regulation 119.330 (1)(k) refers) The exposition must detail a description of any leasing or other arrangements for the supply of the operator’s aeroplanes or rotorcraft to be operated under an Australian air transport AOC. 2.2.5 Operations and procedures (CASR regulation 119.330 (1)(l) refers) The exposition must provide an outline of the operations to be conducted by the operator under an Australian air transport AOC including the areas of operation or routes to be operated. Is the operation passenger and cargo? Is the operation cargo only? Is the operation local to an area of Australia? Does the operation cover all of Australia? Does the operation conduct international operations? Air Transport Operator Sample Exposition Page 16 2.2.6 Does the operation conduct polar operations? Does the operation conduct EDTO operations? Does the operation conduct RVSM operations? Management of area of operations (CASR regulation 119.330 (1)(m) refers) A description of the procedures by which the operator conducts and manages the assessment and planning for operations at places not previously/not regularly served The exposition must detail the matters that all must be addressed before the decision to operate to a place is made: scheduled flights; and unscheduled flights. 2.2.7 Operations other than air transport operations (CASR regulation 119.330 (1)(n) refers) The exposition must provide a description of any operations, other than Australian air transport operations, conducted, or proposed to be conducted, by the operator. Many air transport operators also conduct aerial work, flying training or other aviation matters. These must be detailed. Differing forms of air operations may have differing legislative requirements. Where personnel, aircraft or equipment are utilised across differing forms of air operations the highest standard of the two requirements must be met. Example 1: Pilots are used in command roles in the multi-crew air transport; and in the flying training segments of the aviation business. They would have to hold an ATPL despite the fact that a CPL might only be required for the flying training role. Example 2: The business operates in other than a purely aviation environment and conducts an airport car rental service. The two business segments share some aviation technical staff. Factors such as human fatigue management would have to be carefully managed across the business The operator’s exposition would be expected to provide direction and guidance to staff on the management of the competing priorities and differing standards of operations between the segments of the operator’s business to assure aviation safety. 2.2.8 Conduct and management of operations (CASR regulation 119.330 (1)(n) refers) The exposition must provide a description of any operations, other than Australian air transport operations, conducted by the operator Air operations that are conducted by the operator under other CASR Parts: aerial work; flying training; Part 142; and Aerial application. Air Transport Operator Sample Exposition Page 17 2.2.9 Obligations of the operator under Part 91, 121, 133 or 135 (CASR regulation 119.330 (1)(h) refers) The exposition must provide details of all obligations the operator (or any person employed or engaged by the operator) has under Part 91, 121, 133 or 135. This requirement may be addressed by means of a compliance statement, compliance matrix or by reference to the operator’s operations manual. Detailed information on this subject is contained in AC 119-5(0) Guide to the preparation of operations manuals. Air Transport Operator Sample Exposition Page 18 PART 3 3.1 SYSTEMS MANAGEMENT SYSTEMS The exposition includes the following manuals: an operations manual; a dangerous goods manual; a training and checking manual that includes a training and checking system that meets the requirements of regulation 119.E; a safety management system manual that includes a safety management system that meets the requirements of regulation 119.F; and a personnel fatigue risk management system that meets the requirements of regulation 119.G. The operators dangerous goods manual, training and checking manual, safety management system manual or fatigue risk management system manual may be included as part of the operator’s operations manual. 3.2 OPERATIONS MANUAL (Regulation 119.330 (1)(p)(i) refers) Operations Manual may be addressed in its own manual document volume, or as a subsection of the main exposition document. Detailed guidance on the Operations Manual can be found in AC 119-5(0) Guide to the preparation of operations manuals. 3.3 DANGEROUS GOODS MANUAL (DGM) (Regulations 119.330 (1)(p)(ii) and 92.045 refer) DGM may be addressed in its own manual, as a sub-section of the main exposition document, or as a sub-section of the operations manual (itself a sub-section of the main exposition document). Detailed guidance on Dangerous Goods Manuals can be found in AC 92-2(0) http://www.casa.gov.au/wcmswr/_assets/main/rules/1998casr/092/092c02.pdf Air Transport Operator Sample Exposition Page 19 3.4 HUMAN FACTORS TRAINING (Regulation 119.330 (1)(g) and 119.235 (1)(b) refers) 3.1.1 Human Factors and Non-Technical Skills program The exposition must give a description of the operator’s program for training in non-technical skills and human factors awareness. The operator may choose to place this matter in its own manual or the training and checking manual or the operations manual and provide a sign post reference in the main exposition document. Detailed guidance on HF & NTS can be found in AC 119-2(0) Integration of Human Factors (HF) into Safety Management Systems (SMS); AND AC 119-3(0) Non-Technical Skills Training and Assessment for Air Transport Operations. 3.5 TRAINING AND CHECKING SYSTEM MANUAL (Regulations 119.330 (1)(p)(iii) and 119.E refer) Training And Checking Manual may be addressed in its own manual volume, as a subsection of the main exposition document, or as a sub-section of the operations manual (itself a sub-section of the main exposition document). 3.6 SAFETY MANAGEMENT SYSTEM (SMS) (Regulations 119.330 (1)(p)(iv) and 119.235 refer) SMS may be addressed in its own manual, as a sub-section of the main exposition document, or as a sub-section of the operations manual (itself a sub-section of the main exposition document). 3.7 Detailed guidance on Safety Management Systems can be found in: AC 119-1(0) Safety Management Systems for Large Aircraft or Complex Air Transport Operations; and AC 119-6(0) Safety Management Systems Development Guide for Small Aircraft Non-Complex Air Transport Operations. FATIGUE RISK MANAGEMENT SYSTEM (FRMS) (119.G refers) [RESERVED PENDING CASA FRMS PROJECT] 3.8 APPROVALS UNDER THESE REGULATIONS 3.8.1 Exposition to include all legislative instruments issued by CASA (Regulations 119.330 (1)(r) refers) If CASA has issued an instrument of permission, exemption, or approval or a legislative instrument issued under regulation 119.050. The operator must as a matter of course for reasons of good safety communication publish the instrument and details of its impact upon operations in the exposition. Such information would normally be published in the subset of the exposition the operations manual. Air Transport Operator Sample Exposition Page 20 3.9 CHANGE MANAGEMENT 3.9.1 Exposition to include a description of the operator’s process for making changes (Regulations 119.330 (1)(q) and 119.C refer) The exposition must provide a description of the operator’s process for making changes to its exposition, including identifying: changes that are significant changes; and changes that are not significant changes. The exposition must provide a description of anything else required to be approved by CASA under these Regulations in relation to the Australian air transport operations to be conducted by the operator. 3.10 SIGNIFICANT CHANGES (CASR subpart 119.C refers) Significant changes to the operation require approval by CASA in accordance with CASR subpart 119.C. Significant changes are defined in CASR subregulation 119.100. This section of the exposition should set out the procedure that the air transport operator must itself follow for making significant changes to the operation. In particular, it should set out how the changes are initiated and assessed, how applications are made, how the operator ensures that the change is fully incorporated and who within the operation is responsible for managing these changes. 3.11 CHANGES THAT ARE NOT SIGNIFICANT CHANGES (CASR 119.110 refers) Changes to the operation and exposition that are not significant changes may be approved by the air transport operator in accordance with CASR 119.110 without prior approval by CASA. This section should set out the procedure that the air transport operator must follow for making changes to the operation that are not significant changes. In particular, it should set out how the changes are initiated and assessed, how applications are made, how approvals are given, how the operator ensures that the change is fully incorporated, how the operator notifies CASA and who within the operation is responsible. 3.11.1 Changes to Australian Air Transport Operator Exposition (CASR 119.C refers) This section should set out the how any proposed change to the exposition is initiated, who is responsible for assessing the proposed change to determine whether the change needs to be approved by CASA, or whether it may be approved in-house. The section should set out the procedures for making applications for changes to CASA or if applicable, the procedures for in-house approval by the air transport operator. It should also identify the individual who is responsible for incorporating the change in the exposition once it is approved. 3.11.2 Direction by CASA to change expositions (CASR 119.115 refers) This section should set out the how the air transport operator incorporates changes to its exposition to comply with a direction given by CASA. The individuals responsible for this should be identified. Air Transport Operator Sample Exposition Page 21 3.12 EXPOSITION (CASR sub regulation 119.340 refers) 3.12.1 Providing employees with exposition (CASR 119.340 refers) This section should set out how the operator ensures employees and required contractor and contractor’s staff have access to the parts of the exposition that relate to their duties and responsibilities, has delegated as being responsible for this task. 3.12.2 Keeping the exposition up-to-date and compliant (Regulation 119.140 (1)(d) refers) This section should identify how the CEO ensures that the operator’s exposition is kept up to date and it complies with requirements of CASR Part 119 in relation to its content and who the CEO has delegated as being responsible for this task. Air Transport Operator Sample Exposition Page 22 PART 4 4.1 APPENDICIES APPENDICIES AN EXPOSITION FOR AN AUSTRALIAN AIR TRANSPORT OPERATOR MAY INCLUDE A LIST OF MATERIAL REQUIRED FOR THE OPERATOR’S REFERENCE LIBRARY LIST OF DOCUMENTS LIST OF SUBCONTRACTORS 4.2.1 Key Personnel familiarisation training The exposition must state whether a person appointed to a key position or their nominated deputy has completed familiarisation training for the position; The lists shown may be kept as separate documents from the exposition as long as an adequate cross-reference is included in the exposition. 4.2 LIST OF DOCUMENTS An exposition for an Australian air transport operator may include a list of material required for the operator’s reference library. Suggested contents Note: This is a list of company forms and is not intended to be exhaustive or to represent the forms required for any particular operator. The approved operator must include those forms with which it controls and records its operational work and procedures. 4.3 LIST OF SUBCONTRACTORS (Part 119.235 (2)(b)(vi) refers) Any aeronautical or aviation-related services provided to the operator by third parties Relevant third party relationships and interactions Air Transport Operator Sample Exposition Page 23 INTENTIONALLY LEFT BLANK Air Transport Operator Sample Exposition Page 24
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