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Australia's State Aviation Safety Programme

Appendix E

Aviation safety risk management in CASA

Consistent with the increased international emphasis on a state safety risk management programme, and as highlighted in ICAO Annex 19 (Safety Management) and ICAO Doc 9859 (Safety Management Manual), CASA adheres to the AS/NZS ISO 31000:2009 Risk Management principles and guidelines to effectively identify, evaluate, control (where CASA has risk ownership) and monitor aviation safety risks.

As outlined in Chapter 2—State Safety Risk Management, management of Australian aviation safety risk is undertaken through a multi-layered process that has the capacity to identify and manage risks at various levels of the aviation industry. The system is comprised of the following levels of risk management.

Regulatory risk management

Aviation safety regulations must be shown to be necessary.

They are developed on the basis of addressing known or likely safety risks that cannot be addressed adequately by non-regulatory means. Each proposed regulation must be assessed against the contribution it will make to aviation safety. The regulations must not impose unnecessary costs or unnecessarily hinder high levels of participation in aviation and its capacity for growth.

Surveillance outcomes risk management (2016–2020)

Risk-based surveillance seeks to assess an authorisation holder's management system and its ability to identify and keep operational risks to an acceptable level of safety performance while at the same time ensuring compliance with Australian aviation legislation is maintained. Risk-based surveillance is a structured process used by CASA in its oversight of authorisation holders to prioritise surveillance activities based on authorisation holders’ risk profiles. It focuses on the effectiveness of an authorisation holder's management of its risks and enables targeted surveillance of high-risk areas of an authorisation holder's systems.

Sector risk profiling

Sector risk profiling is a proactive approach to identifying the risks that exist within the sector at a defined point in time. It is a data-driven process for identifying the current and emerging risks. The process output is a collection of risks that is the aggregate of known and predicted risks impacting the sector operations as a consequence of factors within the operating environment, supporting infrastructure/services and deviations associated with the growth and change in the sector. Risk profiling outputs supplement CASA's oversight and decision-making through proactive risk identification and risk management processes to ensure the sector risks are maintained within acceptable limits.

Industry risk profiling (2016–2020)

The industry risk profiling process links to the SSP and CASA safety governance system by providing an aviation industry review of the impact of the risks on industry.

CASA's role in regulating safety requires the identification of potential risks within the industry. Aggregating safety-related information gathered from multiple sectors provides an industry level understanding of the risks and enables the development of a baseline measurement for safety performance.

The risk profiling process at an industry level draws on the aviation body of knowledge, which includes updated strategic studies that reflect how the industry and economy are evolving and system and sector risks identified.

The current risks and the emerging risks identified at an industry level are compared and prioritised based on their relevance and impact on system safety. The industry risk profile involves high level analysis taking a strategic approach to the risk. Aggregating the risks enables the development of safety performance measures at the industry level.

System risk profiling (2017–2020)

The system risk profile consists of the systemic safety risk that exists within the entire aviation community. The system risk profile provides a high-level risk management summary categorising significant aviation system safety risks and contributes to the CASA Safety Plan and State Safety Performance Indicators.

CASA Safety Plan (2017–2020)

The CASA Safety Plan is the documented output of an aggregated safety risk analysis conducted in CASA's safety risk management processes. The plan provides a risk picture of the aviation safety system in Australia from a CASA perspective.

The purpose of the CASA Safety Plan (four year plan, updated annually) is to outline to CASA stakeholders where CASA will, in addition to normal regulation oversight activities, target resources over the next 3–5 years.

The plan aligns to Section 3A of the Act ‘… enhancing and promoting the safety of civil aviation, with particular emphasis on preventing aviation accidents and incidents’ and Section 9(1)(g) of the Act ‘conducting regular reviews of the system of civil aviation safety in order to monitor the safety performance of the aviation industry, to identify safety-related trends and risk factors and to promote the development and improvement of the system’.

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Last Updated: 10 May, 2016