Commonwealth Numbered Regulations - Explanatory Statements

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CIVIL AVIATION AMENDMENT REGULATIONS 2002 (NO. 2) 2002 NO. 167

Statutory Rules 2002 No. 167

Issued by the Authority of the Minister for Transport and Regional Services

Civil Aviation Act 1988

Civil Aviation Amendment Regulations 2002 (No. 2)

Subsection 98(1) of the Civil Aviation Act 1988 (the Act) provides that the Governor-General may make regulations for the purposes of the Act and in relation to the safety of air navigation.

Under subsection 98(3) of the Act, the regulation making power includes the planning, construction, establishment, maintenance, operation and use of air route and airways facilities. By definition in the Act, air route and airways facilities include air traffic control services and facilities, communication services, non-visual aids to approach and landing at aerodromes, non-visual aids along the air routes, flight services and facilities and airways. The regulation making power extends to the planning, construction, establishment, maintenance, and use of services of the kind referred to in paragraph 8(1)(b) of the Air Services Act 1995. The services referred to are those for the purposes of giving effect to the Convention on International Civil Aviation (the Chicago Convention) to which Australia is a signatory, or otherwise for the purposes relating to the safety, regularity or efficiency of air navigation, and include an aeronautical telecommunication service and an aeronautical radio-navigation service.

Subsection 9 (1) of the Act specifies that the Civil Aviation Safety Authority has the function of conducting safety regulation of civil air operations by means that include, among other things, developing and promulgating appropriate, clear and concise safety standards and issuing certificates, licences, registrations and permits.

Under paragraph 98(3)(c) of the Act, the regulation making power extends to requiring persons performing specified functions in relation to the operation or maintenance of aircraft and aerodromes to be the holders of licences, permits or certificates of specified kinds, and providing for the grant, issue, cancellation, suspension or variation of such licences, permits and certificates.

The Air Services Act 1995, Division 2, Section 8 states that Airservices Australia will provide rescue and fire fighting services, or provide those services under contract. The Airports Act 1996, Part 14, Section 216 states that an entity other than Airservices Australia can provide rescue and fire fighting services with an arrangement approved in writing by the Minister for Transport and Regional Services.

Currently, there are no civil aviation safety regulations in Australia that cover the services provided by Airservices Australia. These services include air traffic, aerodrome rescue and fire fighting, aeronautical telecommunications, radio navigation, and training and licensing for air traffic controllers and aerodrome fire-fighters.

The Government has acknowledged this gap in safety regulation by directing CASA to develop an appropriate safety regulatory framework for these services. These new safety regulations address this direction by the Government.

The overall regulatory framework will not permit the provision of air traffic control by providers other than Airservices Australia (and, where appropriate, the Australian Defence Force). However, if control tower services were made contestable in the future, the safety regulatory framework would apply to other air traffic control service providers.

The Regulations establish an appropriate framework of safety regulations for the provision of air traffic services and aerodrome rescue and fire fighting services by inserting the following parts into the Principal regulations:

•       Part 65, entitled Air Traffic Services Licensing, which establishes safety regulations in relation to the licensing and performance of functions by individual personnel in connection with the provision of air traffic services (within the meaning of Annex 11 to the Convention on International Civil Aviation) in Australian territory. The Regulations establish requirements with which persons will have to comply if authorised to act in air traffic control and flight service activities together with the requirements to do with licensing of air traffic controllers and flight service officers, including details of the various licence annotations that authorise the performance of particular functions at specific localities and certain training requirements.

•       Part 139 - Subpart H, entitled Aerodrome rescue and fire fighting services which establishes the minimum standards for service provision in relation to Aerodrome Rescue and Fire Fighting Services and support services. The Regulations establish requirements for application and approval of prospective aerodrome rescue and fire fighting service and training providers, to provide that all service providers, including Airservices Australia, will be subject to the same level of safety regulations and to provide for the administrative control of approvals to provide Aerodrome Rescue and Fire Fighting Services.

•       Part 143, entitled Air Traffic Services Training Providers, which establishes safety regulations for the provision of air traffic services training. In particular they apply to a person (an individual or a body having legal responsibility) that wants to become, or is, an Air Traffic Service training provider. The Regulations establish requirements with which applicants for approval as Air Traffic Service (ATS) Training providers have to comply and the provisions applying to approvals issued to ATS training providers together with the requirements with which approved ATS training providers have to comply, such as requirements for a training plan, qualifications for certain personnel and reference materials, documents and records.

•       Part 171, entitled Aeronautical Telecommunication Service and Radionavigation Service Providers, which establishes safety regulations for the provision of aeronautical telecommunication and radionavigation services. The Regulations establish requirements for application and approval of prospective aeronautical telecommunication and radionavigation service providers together with the safety related requirements with which applicants for approval as an aeronautical telecommunication or radionavigation service provider have to comply, such as requirements for an operations manual, high level requirements and procedures for aeronautical telecommunication and radionavigation service provision, and organisation and personnel and management standards, including the requirement for a safety management system.

•       Part 172, entitled Air Traffic Service Providers, which establishes safety regulations for the provision of air traffic services. The Regulations establish requirements with which applicants for approval as an Air Traffic Service (ATS) provider have to comply and the provisions applying to approvals issued to ATS providers together with the requirements with which approved ATS providers have to comply, such as requirements for an operations manual, standards for air traffic service, standards for facilities and equipment, organisation and personnel standards and management standards, including the requirement for a safety management system.

The Regulations also establish the requirements:

•       In relation to the content of individual service providers' operations manual; and

•       In an interim method to do with applications for approval, variations of approval and suspension and cancellation of approvals.

Details of the amending Regulations are set out in the Attachment.

The Regulations commence on 1 May 2003 to permit an adequate transitional and implementation period for service providers to prepare for compliance and provision of the relevant service.

ATTACHMENT

Civil Aviation Amendment Regulations 2002 (No. 2)

DETAILS OF THE AMENDING REGULATIONS

Regulation 1 - Name of Regulations

Regulation 1 names the amending regulations as the Civil Aviation Amendment Regulations 2002 (No. 2).

Regulation 2 - Commencement

Regulation 2 provides that the regulations commence on 1 May 2003.

Regulation 3 - Amendment of Civil Aviation Regulations 1998

Schedule 1 amends the Civil Aviation Regulations 1998

Regulation 4 - Amendment of Civil Aviation Regulation 1988

Schedule 2 amends the Civil Aviation Regulations 1988

Regulation 5 - Transitional - persons holding certain licences

Regulation 5 provides that a person who holds an old air traffic controller licence or a flight service officer licence under Civil Aviation Regulation 1988 will be considered to hold that licence under the Part 65 of the Civil Aviation Regulations 1998, and also provides for associated transitional arrangements with respect to licence ratings, endorsements and qualifications.

Schedule 1 - Amendments of Civil Aviation Regulations 1998

Item 1

Item 1 substitutes a new Part 65 entitled Air Traffic Services Licensing.

Subpart A        General

65.000 - Make-up of this Part

This regulation lists the headings contained within the Part.

65.005 - Applicability of this Part

This regulation states that the Part is applicable to the performance of functions in connection with providing air traffic services (within the meaning of Annex 11 to the Convention on International Civil Aviation) in Australian territory.

65.010 - Definitions for this Part

This regulation sets out certain definitions such as Manual of Standards, currency requirements and recency requirements related to this Part.

65.015 - Meaning of successful completion of training

This regulation sets out the broad theoretical and practical training requirements for grant of an authority to act. It introduces the regime of a licence and its various annotations: ratings, endorsements and qualifications.

65.020 - Effect of ATS provider's failure to comply with this Part

This regulation provides for non-compliance by a provider of Air Traffic Services (ATS) to be taken into account in deciding whether or not the provider's certificate should be suspended or revoked.

65.025 - How to satisfy recency requirement

This regulation specifies the minimum time for which a function must be performed and the specific period within which it is required. This is deemed necessary for the maintenance of competence and provides for rationalisation of requirements in the case of two or more functionally similar operating positions and states how, when lost, recency may be restored.

65.030 - How to satisfy currency requirement

This regulation specifies the requirement to satisfactorily complete a relevant written examination at not less than 12 monthly intervals and a performance assessment at not less than 6 monthly intervals to maintain competence at a particular operating position and, with respect to the functional performance of ATS, the requirement to satisfactorily complete a relevant written examination at not less than 12 monthly intervals. It further requires that the examination and assessment processes must conform to requirements and standards detailed in the Manual of Standards (MOS).

Subpart B - Authority to act in air traffic control (ATC) and flight service

65.035 - Authority to carry out air traffic control function

This regulation requires the satisfaction of certain requirements for the exercise of air traffic control duties; these have to do with a properly annotated licence, all of which must be in force, and currency and recency in the particular function and for the operating position concerned, and makes provision for training to carry out air traffic control under supervision of a fully accredited person.

65.040 - Rules applicable when a person performs ATC function under supervision

This regulation states that a trainee must comply with the supervisor's directions and is subject to a penalty of 25 penalty units for non compliance, and states that any failure of the supervisor to properly act may occasion licensing action.

65.045 - Offences - carrying out ATC function without authority

This regulation prohibits carrying out the ATC function without authority and provides for so doing being an offence, punishable with 25 penalty units, and allows for a defence to be made on account of such an action taken in the interests of safety. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

65.050 - Authority to carry out a flight service function

This regulation requires the satisfaction of certain requirements for the exercise of flight service duties; these have to do with a properly annotated licence, all of which must be in force, and currency and recency in the particular function and for the operating position concerned, and makes provision for a trainee to carry out flight service function under supervision of a fully accredited person, and specifies such trainees. They include non-current and/or non-recent qualified flight service personnel, flight service personnel in training and trainee flight service personnel.

65.055 - Rules applicable when a person performs flight service function under supervision

The regulation states that a trainee must comply with the supervisor's direction and is subject to a penalty of 25 penalty units for non compliance, and states that any failure of the supervisor to properly act may occasion licensing action.

65.060 - Offences - carrying out flight service function without authority

This regulation prohibits carrying out the flight service function without authority and provides for so doing being an offence, punishable by a fine of 25 penalty units. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

65.065 - Authority to use ground-based radio equipment

This regulation authorises persons carrying out air traffic control and flight service functions to use radiocommunication equipment for the purpose of ensuring the safety of air navigation.

Subpart C - Licensing

Division 1 Air traffic controller licensing

65.070 - Eligibility for grant of ATC licence

This regulation details the requirements for eligibility of a person to hold an ATC licence and specifies some circumstances to do with alcohol, drug and substance abuse that may militate against suitability.

65.075 - Air traffic controller ratings

This regulation defines the five functional areas of ATC practice in Australia which are extracted from ICAO Annex 1 and defines each of these functions in detail.

65.080 - Grant of rating on ATC licence

This regulation links attainment of a rating to satisfactory completion of appropriate training specified in the MOS, and requires an appropriate process for rating administration to be set up by the provider, and requires the program to conform to MOS requirements, and requires the program to be articulated in the providers' operations manuals.

65.085 - Endorsement of ATC licences

This regulation explains the significance of the licence annotation known as an endorsement and links attainment of an endorsement to satisfactory completion of appropriate training specified in the MOS.

65.090 - ATS provider's obligation to provide currency and recency training and assessment.

This regulation imposes a requirement for service providers to set up and maintain a program for on-going competency of ATS personnel. This requires attention to both currency and recency requirements and must be in accordance with the requirements of the MOS. Appropriate programs for regaining lost currency or recency, involving familiarisation, training and assessment, must be included.

65.095 - Ancillary qualifications

This regulation establishes functions that are not directly involved in ATC operations and which answer to an annotation known as qualifications and identifies three of them. These qualifications require specific proven knowledge and skills requirements defined in the MOS and allows the ATS provider to define duties of these three qualifications within limits specified in the MOS. Providers are allowed to identify other qualifications and are required to set up and maintain a program for their administration, details of which are to be included in providers' operations manuals and the structure of which must conform to the requirements of the MOS.

65.100 - Conduct of practical training

This regulation requires that all practical training provided by an ATS provider for a licence, rating, endorsement or qualification must meet the standards and requirements of the MOS and be in accordance with its own operations manual.

65.105 - Conduct of examinations

This regulation requires that examinations or assessments conducted by an ATS provider are to be carried out in accordance with the standards and requirements of the MOS and the provider's own operations manual.

65.110 - Duration of ATC licence

This regulation states that an ATC licence is in force until cancelled and ratings and endorsements may not be exercised during periods of suspension or periods in which the holder does not meet medical fitness requirements.

65.115 - Periods of validity of ratings and endorsements

This regulation states that a rating has a validity period of 12 months or until the licence is cancelled. The periods of endorsement validity may be determined by the ATS provider and published in its operations manual, up to a maximum allowable validity period of 6 months. Validity is lost if the licence or a rating with which the endorsement is connected is cancelled and if the licence holder ceases to be employed by the ATS provider.

65.120 - Periods of validity of ATC qualifications

This regulation provides for an ATS provider or training provider to define the period of qualification validity. It ceases to be valid if the licence, a rating or an endorsement on which the qualification is dependent is cancelled and if the licence holder ceases to be employed by the ATS provider.

Division 2        Flight service officer licensing

65.125 - Eligibility for grant of flight service licence

This regulation details the requirements for eligibility of a person to hold a flight service licence and specifies some circumstances to do with alcohol, drug and substance abuse that may militate against suitability.

65.130 - Flight service ratings

This regulation defines the one functional area of flight service in Australia as the traffic information service rating and defines the function in some detail.

65.135 - Maintenance of ratings on flight service licence

This regulation requires an appropriate program for rating administration to be set up and maintained by the ATS provider, requires the program to be articulated in the providers' operations manuals, and requires the program to conform to MOS requirements.

65.140 - Endorsements on flight service licences

This regulation explains the significance of the licence annotation known as an endorsement and requires an ATS provider to set up and administer a program to grant and administer endorsements and requires the provider to include details of the program in its operations manual and requires the program to be in accordance with the MOS.

65.145 - Ancillary qualifications

This regulation establishes functions that are not directly involved in flight service operations and which answer to an annotation known as qualifications and identifies three of them. These qualifications require specific proven knowledge and skills requirements defined in the MOS and allows the ATS provider to define duties of these three qualifications within limits specified in the MOS. Providers are allowed to identify other qualifications and to set up and maintain a program for their administration, details of which are to be included in providers' operations manuals and the structure of which must conform to the requirements of the MOS.

65.150 - Conduct of training

This regulation requires that all practical training provided by an ATS provider must meet the standards and requirements of the MOS and be in accordance with its own operations manual.

65.155 - Conduct of examinations

This regulation requires that examinations conducted by an ATS provider are carried out in accordance with the standards and requirements of the MOS and the provider's own operations manual.

65.160 - Duration of flight service licence

This regulation states that a flight service licence is in force until cancelled and ratings and endorsements may not be exercised during periods of suspension or periods in which the holder does not meet medical fitness requirements.

65.165 - Periods of validity of rating and endorsement

This regulation states that a rating has a validity period of 12 months or until the licence is cancelled. The periods of endorsement validity may be determined by the ATS provider and published in its operations manual, up to a maximum allowable validity period of 6 months. Validity is lost if the licence is cancelled before that time or the holder ceases to be employed by the ATS provider.

65.170 - Period of validity of flight service qualification

This regulation provides for an ATS provider or training provider to define the period of qualification validity. It ceases to be valid if the licence, a rating or an endorsement on which the qualification is dependent is cancelled and if the licence holder ceases to be employed by the ATS provider.

Subpart E - Administrative functions

Division 1 - Grant of licences

65.175 - Definitions for this Subpart

This regulation provides a meaning for licence and qualifications as they apply to ATC licensing.

65.180 - How to apply

This regulation sets out the way in which an applicant must apply, and requires an application to be in writing details the information required to accompany the application.

65.185 - Who to apply to

This regulation provides that an application may only be made to CASA.

65.190 - Application for a licence cancelled previously

This regulation provides for applicants whose previously held licence has been cancelled, and states that on re-application the applicant must include evidence that they can properly exercise the power and function of the licence.

65.195 - Other things CASA can ask individual applicant to do - test or interview

This regulation provides that CASA may ask an applicant to undertake a test or seek an interview with an applicant for clarification of any material essential to the application process and to ensure mutual understanding of it.

CASA may stop consideration of the application until the applicant participates in the interview or undertakes the test.

65.200 - Other things CASA can ask applicant to do - provide more information

This regulation provides that CASA may ask for more information to assist in the decision making process and provides that CASA may stop consideration of the application pending receipt of the information requested.

65.205 - Statutory declarations to verify applications

This regulation provides for CASA to require an applicant to verify by statutory declaration any statement in an application.

CASA may stop consideration of the application until the statutory declaration is provided.

65.210 - Statutory declarations about certain offences etc

This regulation provides that CASA may, subject to VIIC of the Crimes Act 1914 and relevant law of a State or Territory, ask the applicant to make a statutory declaration about any conviction of offence involving use of alcohol or drugs or any refusal to provide an appropriate sample in that regard. Sub-regulation 65.210 (2) and (3) define conviction of an offence. Sub-regulation 65.210 (4) provides that the decision maker may stop consideration of the application pending receipt of the information requested.

65. 215 - Matters that CASA may or must take into account

This regulation states that, in making a decision, CASA may take into account anything submitted by the applicant, and anything in CASA's records, contents of any statutory declarations made by the applicant and provides that before taking into account anything in CASA's records, CASA must make the applicant aware of the substance of what is being taken into account and invite the applicant to make a submission on the matter; and provides that CASA must take into account any submission; and provides that where an applicant's previous licence was cancelled, CASA must take into account the fact of and reasons for the cancellation and any evidence submitted by the applicant under 65.190.

65.220 - Statutory declarations to verify statements in submissions

This regulation provides that CASA may ask the applicant to verify any statement made by the applicant in a submission by statutory declaration; and requires CASA to take into account the submission; and provides that decision CASA need not consider or may stop considering the application until the applicant gives it the statutory declaration.

65.225 - When CASA must grant a licence

This regulation sets out the grounds for granting a licence, and details the requirements to be satisfied for the grant of a licence, and lists conditions that may be attached to the grant of licences.

65.230 - When decision must be made

This regulation provides that an application is taken to have been refused if a decision has not been made by CASA within a period of 21 days; and provides that the period of 21 days does not include the time that CASA is awaiting further information, test, interview, statutory declarations, or a response to an invitation to provide comment.

65.235 - Notice of decision

This regulation provides that CASA must notify the applicant of the decision, as soon as practicable, in writing, and if the application is refused, or issued subject to conditions, must notify the reasons for the decision.

65.240 - When licence comes into effect

This regulation states that the licence comes into effect either on the day stated in the issued notice or on the day of the notice.

65.245 - Licence document

This regulation provides that CASA must issue a licence document in an approved form to a licence holder and provides for CASA to issue a replacement document. A cancelled licence must be returned to CASA as soon as practicable and is subject to 1 penalty unit if not complied with. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

Division 2 - Ongoing proficiency and medical testing

65.250 - Re-examination or re-assessment of licence or qualification holder

This regulation provides for CASA to require the holder of a licence or qualification to undertake an appropriate examination or performance assessment or medical examination if there is evidence the holder is not adequately performing the duties, and it is necessary in the interests of the safety of air navigation.

Division 3 - Suspension and cancellation of licences

65.255 - Provisional suspension of licence pending examination or assessment

This regulation provides for CASA to provisionally suspend the licence, rating or endorsement during the period of examination or assessment.

65.260 - Provisional suspension of ATS licence etc during investigation

This regulation provides for CASA to provisionally suspend the licence, rating, endorsement or qualification by notice in writing if there is evidence that the holder has contravened a provision of the Act or Regulations; or if they have not met requirements, or have failed in their duty, or may not have characteristics of personality and other psychological attributes necessary to carry out the duties.

65.265 - Show cause procedure

This regulation provides for CASA to give the holder of an ATS licence a show cause notice if there is evidence the holder may have contravened a provision of the Act or Regulations, or has not met requirements, or have failed in their duty, or may not have characteristics of personality and other psychological attributes necessary to carry out the duties.

65.270 - CASA's powers in respect of licence etc

This regulation provides for CASA to cancel or suspend a licence, rating, endorsement or qualifications if the holder has contravened a provision of the Act or Regulations, or has not met requirements, or have failed in their duty, or appear not to have characteristics of personality and other psychological attributes necessary to carry out the duties.

65.275 - Choice between cancellation and suspension

This regulation sets out how CASA decides whether to cancel a person's licence, rating, endorsement or qualification, or whether to suspend it.

65.280 - Procedure for decision

This regulation specifies what CASA must take into account and the decision processes when considering whether to cancel or suspend a licence, rating, endorsement or qualification.

Item 2 - Part 139

This item inserts a new Part 139 entitled, Aerodrome certification and operation.

Subpart A - General

139.000 - Make-up of this Part

This regulation provides a contents list for Part 139.

Subpart H - Aerodrome rescue and fire fighting services

This inserts a new subpart H into Part 139 and provides a note on Australia's signatory obligations under the Chicago Convention with respect to the provision of rescue and fire fighting services at certain aerodromes.

Division 1 - General

139.700 - Applicability of this Subpart

This regulation states that subpart H applies to aerodrome rescue and firefighting services and the Subpart sets out the obligation applicable to certain aerodrome operators to provide aerodrome rescue and fire fighting services, how a person receives approval as a provider of such a service and the operating and technical standards applicable to such a service.

139.705 - Definitions for this Subpart

This regulation provides various definitions such as airside, ARFFS, ARFFS operation, ARFFS provider, category, ERSA and Manual of Standards, which are specifically referenced in the Subpart as they apply to the provision of the Aerodrome Rescue and Fire Fighting Service operations.

139.710 - Functions of ARFFS

This regulation explains that the functions of an ARFFS for an aerodrome are to rescue persons and property from an aircraft that has crashed or caught fire during landing or take-off, and to control and extinguish and to protect persons and property threatened by a fire.

139.715 - Effect of Manual of Standards

This regulation explains that an ARFFS provider who choses to comply with requirements using a way set out in the manual of standards, then the provider is taken to have complied with the requirements unless the contrary is shown. The Civil Aviation Safety Authority (CASA) may take into account the extent to which the provider complies with the manual in deciding whether the service being provided is adequate.

Division 2 - ARFFS obligations of aerodrome operator

139.720 - Aerodromes that must have ARFFS

This regulation states the type of aerodrome that must have an ARFFS as an aerodrome from which or to which an international passenger air service operates and any other aerodrome through which more than 350,000 passengers passed through on air transport flights during the previous financial year. A penalty of 50 penalty units will apply to the operator of an aerodrome that does not provide ARFFS to the ICAO standard. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

139.725 - Standard of ARFFS service at other aerodromes

This regulation provides that where an aerodrome operator who is not normally required to provide an ARFFS announces in the En-route Supplement Australia (ERSA) that it provides such a service, must be of the standard set out in the manual of standards.

139.730 - Response time of ARFFS

This regulation requires that an ARFFS must be able to meet the response time criteria set out in the Annex 14 to the Chicago Convention.

139.735 - Discontinuing service when service no longer required

This regulation states that if an aerodrome operator who is not normally required to provide an ARFFS but does provide the service, the operator cannot discontinue the service unless the disestablishment criteria set out in the manual of standards are met.

139.740 - Buildings and emergency facilities

This regulation provides and lists the necessary buildings and facilities that must comply with the MOS where an ARFFS is provided at an aerodrome.

139.745 - Officer in charge

This regulation requires that an aerodrome operator that must provide, or provides, an ARFFS must appoint as officer in charge of the ARFFS operations, a person who holds an Australian Fire Competency (AFC) advanced diploma for a category 6 aerodrome, or a person who hols an AFC diploma for a category 5 aerodrome. But CASA is able to approve the appointment of a person that does not have the required qualification under certain circumstances.

Division 3 - Requirements to be complied with by ARFFS provider

139.750 - Requirements in this Division

This regulation explains that for there to be a system or procedure to do something is a requirement and that the system or procedure must exist and must be in use.

139.755 - Definition for Division - applicable standards and requirements

This regulation provides a definition of what constitutes applicable standards and requirements for an aerodrome of a particular category by reference to the standards and requirements set out in Chapter 9 of Annex 14 to the Chicago Convention and the manual of standards.

139.760 - Inconsistency between Manual and chapter 9 of Annex 14

This regulation states that the manual of standards prevails over any inconsistencies with that of Chapter 9 of Annex 14 to the Chicago Convention.

139.765 - Knowledge, equipment and expertise to deal with aviation hazards

This regulation requires that an ARFFS provider must have the knowledge, equipment and expertise to deal with any hazard that may arise during an aviation accident or incident and any hazard mentioned in the MOS.

139.770 - General obligation to maintain service

This regulation requires an ARFFS provider to ensure that the service is available during all periods published in the ERSA, but does not prevent the level of protection provided from being reduced in times of low activity.

139.775 - Notice about times service is available etc

This regulation requires the ARFFS provider to publish the hours during which the service is provided in the ERSA. If it becomes temporarily impossible to provide the service to the required standard, then this must be advised to the Australian NOTAM office. The provider must also advise CASA in writing of any proposed reduction in the standard of service that will last longer than 24 hours.

139.780 - Agreements with other fire fighting bodies

This regulation provides for the ARFFS provider to make arrangements with other service providers such as the Defence Force or State or Territory bodies where the aerodrome is a jointly used airport within the meaning of the Airports Act 1996.

139.785 - Stock of fire extinguishing agents

This regulation requires that suitable quantities of stock of fire extinguishing agents meeting the required performance standards be kept on the aerodrome.

139.795 - Extinguishing equipment and vehicles

This regulation requires that there are sufficient numbers of capable vehicles and equipment on the aerodrome to deliver the extinguishing agents onto a fire and prescribes the standard for equipment and vehicles.

139.800 - Other vehicles and equipment

This regulation requires that there are sufficient vehicles and equipment, other than those for delivering fire extinguishing agent onto a fire, on the aerodrome to provide the service in accordance with the applicable standards and requirements.

139.805 - Vehicles and equipment for firefighting and rescue in difficult environments

This regulation requires where aircraft movements may occur over difficult environments, such as water or swamp, there must be appropriate vehicles, boats and equipment for fire fighting and rescue purposes within the vicinity and within the applicable standards and requirements.

139.810 - Commissioning of certain equipment

This regulation requires an ARFFS provider to obtain CASA approval that operational equipment conforms to specifications and standards mentioned in the MOS and operators manual, before using the operational equipment for the purposes of an ARFFS.

139.815 - Protective clothing and equipment

This regulation specifies that protective clothing and equipment conforming to relevant standards and requirements must be provided to fire fighting and rescue personnel.

139.820 - Communications

This regulation requires that there must be sufficient communications equipment available and fitted to vehicles on the aerodrome to provide communications during an ARFFS operation. A person who is required to operate the equipment must hold a licence or certificate appropriate to the equipment.

139.825 - Test and maintenance equipment

This regulation requires the provider to have the necessary equipment and tools conforming to applicable standards and requirements for testing and maintaining the equipment used to provide the service.

139.830 - Commissioning of new vehicles and equipment

This regulation states that a provider must not put a new vehicle or new equipment that affects the quality or rate of discharge of extinguishing agent into service unless the vehicle or equipment has been approved by CASA as conforming to specifications and personnel training has been completed.

139.835 - Number of operating personnel

This regulation requires adequate numbers of trained personnel to be available to operate equipment and vehicles at aerodromes where ARFFS are provided.

139.840 - Medical standard of firefighters

This regulation requires that people employed as firefighters must meet the medical requirements set out in the manual of standards and requires a system for continuing medical checks to ensure these people continue to meet the standards.

139.845 - Qualifications and training of firefighters

This regulation states the qualification, competency and training requirements for aviation fire fighters.

139.850 - Operations manual

This regulation sets out the requirements pertaining to the keeping of an operations manual for the service.

139.855 - Amendment of operations manual

This regulation provides for the ARFFS provider to amend its operations manual subject to CASA approval and for CASA to direct the provider to amend its operations manual.

139.860 - Voice data recording

This regulation requires that a system, that meets standards and requirements set out in the manual of standards, must be in place to record electronically any voice communication by radio or telephone in the course of an ARFFS operation.

139.865 - Records of accidents or incidents

This regulation provides a requirement for a system, that meets standards and requirements set out in the manual of standards, to record relevant details of all accidents and incidents to which the ARFFS respond.

139.870 - Contingency plan

This regulation requires that there must be a contingency plan, that meets standards and requirements set out in the manual of standards, setting out the providers to be used in the event of an emergency that interrupts the service provided by the ARFFS.

139.875 - Records management

This regulation requires a records management system, that meets standards and requirements set out in the manual of standards, to be in place and specifies the time frame for records to be retained.

139.880 - Organisation

This regulation requires the provider to maintain an appropriate organisation with a sound and effective management structure at all times.

139.885 - System for rectification of service failures

This regulation requires a system, that meets standards and requirements set out in the manual of standards, to be in place to rectify any failures that could affect the operational efficiency of the ARFFS.

139.890 - Quality control

This regulation requires a system, that meets standards and requirements set out in the manual of standards, to ensure the service meets the requirements of this Subpart.

139.895 - Change management

This regulation requires a system, that meets standards and requirements set out in the manual of standards, to manage changes in equipment, service and procedures.

139.900 - Safety management

This regulation requires that there must be a safety management system, that meets standards and requirements set out in the manual of standards, that includes the policies, procedures and practices necessary to provide the service.

139.905 - Applicant's organisation

This regulation requires the provider to notify CASA in writing who its managers are, its organisational structure and staff numbers and qualifications, and any changes in these matters.

139.910 - Telling users and CASA about changes

This regulation requires ARFFS providers to have a procedure, that meets standards and requirements set out in the manual of standards, to identify and advise CASA and industry of any variation to the level of service required to be provided.

Division 4 - Conduct of ARFFS operations

139.915 - Powers of officer in charge or firefighter

This regulation provides definitions for a firefighter, officer in charge and a volunteer and explains the powers of an officer in charge and firefighter to enable them to carry out their functional role.

Division 5 - Administration

139.920 - Definition for division

This regulation gives the meaning for a show cause notice as that under regulation 139.1015.

139.925 - How to apply for approval as ARFFS provider

This regulation provides for the manner and the requirements a person must follow to apply for approval as an ARFFS provider. A definition of an officer of an applicant is provided.

139.930 - Who to apply to

This regulation states that an application must be made to CASA.

139.935 - Application for approval when approval cancelled previously

This regulation requires that where a person who applies for an ARFFS provider approval, has previously been approved and that approval has been cancelled, the applicant must include with the application available evidence that supports the applicant's ability to exercise the powers and carry out the functions of an ARFFS provider.

139.940 - Other things CASA can ask applicant to do - interview

This regulation provides for CASA, if it reasonably needs more information to allow it to consider an application, to ask an officer of the applicant to attend an interview at a specified place and at a specified reasonable time. CASA may stop considering the application pending the interview.

139.945 - Other things CASA can ask applicant to do - provide more information

This regulation provides for CASA, if it reasonably needs more information to allow it to consider an application, to ask the applicant to provide the information. CASA may stop considering the application pending receipt of the information.

139.950 - Statutory declarations to verify applications

This regulation provides for CASA to ask an applicant to verify, by statutory declaration, any statement in an application. CASA may stop considering the application pending receipt of the statutory declaration.

139.955 - Matters that CASA may or must take into account

This regulation provides for CASA, when making a decision on an application, to take into account the application documents submitted by the applicant, CASA's records on the applicant, the contents of any statutory declarations provided and the applicants financial standing.

139.960 - Statutory declarations to verify statements in submissions

This regulation provides for CASA to ask an applicant to verify statements in submissions that have been made by statutory declarations and for CASA to take into account that submission when making a decision on the application.

139.965 - When CASA must grant approval

This regulation requires CASA to grant an approval to a person who has applied for the approval in accordance with these regulations if the person satisfies the criteria for the grant of the approval.

139.970 - When decision must be made

This regulation requires that if CASA does not make a decision about an application within 21 days after receiving it, CASA is taken to have refused the application. However, if CASA seeks more information from the applicant, the time between the period of asking and when the applicant provides the information does not count.

139.975 - Notice of decision

This regulation requires CASA to notify an applicant in writing the decision made on an application as soon as practicable.

139.980 - When approval comes into effect

This regulation specifies that an approval comes into effect on a day stated in the notice of decision or if no day is stated on the date of the notice.

139.985 - Certificate about approval

This regulation requires CASA to issue to an approved ARFFS provider a certificate that sets out details of the provider, address, ACN, the date of effect of the approval, location and category and any conditions.

139.990 - Return of certificate if approval cancelled

This regulation requires the provider of an ARFFS who has had the approval cancelled by CASA to return the certificate to CASA as soon as practicable. A penalty of one penalty unit applies. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

139.995 - Application for variation of approval

This regulation provides for an approved ARFFS provider to apply to CASA to vary its approval.

139.1000 - CASA's power to vary condition of approval

This regulation provides for CASA to impose conditions on, or vary a condition of an approval in the interests of the safety of air navigation. CASA must provide a notice in writing to the provider of the imposition or variation and must specify a period for the provider to make a submission. Unless withdrawn by CASA the condition or variation has effect at the end of the period or at a time stated in the notice.

139.1005 - Suspension or continued suspension of approval by show cause notice

This regulation provides for CASA to state in a show cause notice that an approval is suspended if CASA reasonably considers that not suspending the approval may have an adverse effect on the safety of air navigation. If the approval is already suspended when the show cause notice is given, the approval continues to be suspended until CASA revokes the suspension. If CASA does not cancel the approval within 90 days after the show cause notice is given to the provider, the suspension lapses at the end of that period.

139.1010 - Grounds for cancellation of approval

This regulation specifies the grounds for cancellation of the ARFFS provider approval: if the provider has breached a condition of the approval, has contravened the Act or these regulations, or has otherwise been guilty of conduct that has an adverse effect on the safety of air navigation.

139.1015 - Notice to approved ARFFS provider to show cause

This regulation provides for CASA to give an approved ARFFS provider a show cause notice to cancel the approval if there are reasonable grounds to justify cancellation.

139.1020 - Cancellation of approval after show cause notice

This regulation states that CASA can only cancel an approval if there exists facts or circumstances that amount to grounds for cancellation, that CASA has given a show cause notice in relation to the grounds for cancellation, if CASA has taken account of written representations by the holder and that not cancelling the approval would be likely to have an adverse effect on the safety of air navigation.

139.1025 - Cancellation at request of approved ARFFS provider

This regulation provides that CASA must cancel an approval of an ARFFS provider if asked to do so in writing by the provider.

Item 3

Item 3 inserts into Civil Aviation Regulations 1998 a new Part 143 entitled Air Traffic Service Training Providers.

Subpart A        General

143.000 - Make up of this Part

This regulation lists the headings contained within the Part.

143.005 - Applicability of this Part

This regulation states that the Part is applicable to a person that wants to become, or is, an ATS training provider and sets out certain administrative rules applying to the Civil Aviation Safety Authority.

143.010 - Definitions for this Part

This regulation sets out definitions for certain terms for the purposes of this Part.

143.015 - What is an ATS training provider

This regulation states that an ATS training provider is a person approved to provide training related to air traffic services.

Subpart B - Approval as an ATS training provider

143.020 - What an application must be accompanied by

This regulation lists the items that must accompany an application for approval as an ATS training provider in addition to a statement describing arrangements for compliance with Subparts C and D.

143.025 - When applicant is eligible for approval

This regulation provides that an applicant is eligible for approval if the applicant's registration as a registered training organisation is in force and appropriate to training delivery of ATS training and the applicant is able to comply with the requirements of Subparts C and D.

143.030 - Approval subject to conditions

This regulation provides that if an ATS training provider's approval is subject to conditions, the ATS training provider must comply with those conditions.

143.035 - Approval not transferable

This regulation states that an approval is not transferable.

143.040 - Certificate under Subpart F

This regulation lists the items that must be shown on a certificate, in addition to the information required by Subpart F.

143.045 - How long approval remains in force

This regulation provides that an approval comes into force on the date stated in the certificate and remains in force until cancelled. However, it is not in force during any period of suspension.

143.050 - Variation of approvals

This regulation provides a mechanism for an ATS training provider to seek a variation to the approval from CASA and provides for a date of effect for the variation.

Subpart C - Requirements to be complied with by ATS training providers

Division 1 - Requirements for training

143.055 - Standard for training

This regulation states that the training relating to air traffic services must at least, be to the standard required by the Manual of Standards (MOS) and in compliance with the Australian Qualifications Framework.

143.060 - Training plan

This regulation requires ATS training providers to have a training plan to deliver only training specified in their approval and in accordance with the standards and requirements set out in the MOS.

Division 2 - Personnel

143.065 - Personnel

This regulation requires that an ATS training provider must have enough suitably qualified personnel to enable it to provide the training in accordance with the Australian Recognition Framework and the MOS.

143.070 - Qualifications for certain personnel

This regulation requires that ATS training providers must not give responsibility to personnel involved in the critical functions of training delivery and assessment unless the person satisfies particular requirements within the Australian Recognition Framework and the MOS.

Division 3 Reference materials, documents and records

143.075 - Reference materials

This regulation specifies the reference materials that an ATS training provider must maintain. The reference materials must be up to date, in a readily accessible form and must be available to personnel with responsibilities for instruction and assessment. Another set of reference materials must be maintained for use by anyone undertaking training. Ready access must be available to those entitled to it.

143.080 - Material to be included in reference materials

This regulation requires that the reference materials to be maintained must include the Act and Regulations, certain ICAO Annexes, the MOS, the Aeronautical Information Publication (AIP) and all manuals and documents specified in the MOS.

143.085 - Documents and records

This regulation requires an ATS training provider to keep documents and records of the type and for as long as specified in the MOS. The ATS training provider is required to make the documents and records, or copies, available for inspection by CASA on request.

143.090 - Document and record control system

This regulation imposes a requirement for ATS training providers to set up and put into effect a system for controlling the documents and records required by Regulation 143.085, including policies and procedures for making, amending and preserving these documents, as required by the MOS.

Subpart D - Telling CASA about changes

143.095 - Advice on organisational changes

This regulation requires an ATS training provider to tell CASA, in writing, of any change of circumstances that materially affects its capacity to provide ATS training services. It is required to do so within 7 days after the change occurs.

143.100 - Discontinuing training

This regulation requires that an ATS training provider must not discontinue any training unless it has given CASA at least 28 days prior notice in writing. This requirement does not apply if having regard to the provider's circumstances, it was not reasonably practical to give 28 days notice. Notice must then be given as soon as reasonably practical.

143.105 - Status as a registered training provider

This regulation requires that any ATS training provider losing its status as a registered training provider must tell CASA in writing within 7 days.

Subpart E - Miscellaneous

143.110 - Unapproved training

This regulation states that an ATS training provider must not provide ATS training unless its CASA approval and registration as a registered training provider are both in force and cover the delivery of appropriate training services.

Subpart F - Administration

Note: This Subpart is an interim measure while a separate Part dealing with administration rules is being developed.

Division 1 - Preliminary

143.115 - Applicability of this Subpart

This regulation states that this Subpart sets out certain administrative rules applying to CASA's administration of the Part.

Division 2 - Approvals

143.120 - Joint applications not permitted

This regulation states that joint applications made by two or more persons are not permitted.

143.125 - How to apply - application by individual applicant

This regulation sets out the way in which an applicant who is an individual must apply and what the application must include.

143.130 - How to apply - application by corporation etc.

This regulation sets out the way in which an applicant that is a body corporate must apply, that an application is to be in writing, that an application must include certain information, and defines the officers for the purposes of subregulation 143.130 (3) (b).

143.135 - Who to apply to

This regulation provides that an application must be made to CASA.

143.140 - Application for approval cancelled previously

This regulation provides that if an approval had been previously cancelled, then the applicant on re-application must provide evidence that shows the applicant can now provide the training.

143.145 - CASA may require demonstrations of procedures or equipment

This regulation makes provision for CASA to ask the applicant to provide practical demonstrations that CASA describes to assess whether the proposed ATS training services can be provided properly. The demonstrations must be conducted under the observations of an officer approved by CASA in writing.

The regulation also provides that CASA may stop consideration of the application until the applicant conducts the demonstration.

143.150 - Other things CASA can ask individual applicant to do - interview

This regulation provides that CASA may seek an interview with the applicant to seek clarification and to ensure mutual understanding of any material that the applicant is required to provide to CASA. This regulation provides that CASA may stop consideration of the application until the applicant participates in the interview.

143.155 - Other things CASA can ask applicant to do - provide more information

This regulation provides that CASA may ask for more information to assist in the decision making process and provides that CASA may stop consideration of the application pending receipt of the information requested.

143.160 - Statutory declarations to verify applications

This regulation provides for CASA to require an applicant to verify by statutory declaration any statement in an application and provides that CASA may stop consideration of the application pending receipt of the statutory declaration.

143.165 - Matters that CASA may or must take into account

This regulation states that, in making a decision, CASA may take into account anything submitted by the applicant, and anything in CASA's records, contents of any statutory declarations made by the applicant and any demonstrations of equipment or procedures conducted by the applicant; and provides that before taking into account anything in CASA's records, CASA must make the applicant aware of the substance of what is being taken into account and invite the applicant to make a submission on the matter; and provides that CASA must take into account any submission made; and provides that where an applicant's prior approval was cancelled the decision maker must take into account the fact of and reasons for the cancellation and any evidence submitted by the applicant.

143.170 - Statutory declarations to verify statements in submissions

This regulation provides that CASA may ask the applicant to verify any statement made by the applicant in a submission by statutory declaration; and requires CASA to take into account such a submission; and provides that CASA need not consider or may stop considering the application until the applicant gives it the statutory declaration.

143.175 - When CASA must approve an applicant

This regulation sets out the grounds for approval and provides that the decision maker may impose conditions on the approval in the interests of safety of air navigation.

143.180 - When decision must be made

This regulation provides that an application is taken to have been refused if a decision has not been made by CASA within a period of 6 months, and provides that the period of 6 months does not include the time that CASA is awaiting further information, demonstration, interview, statutory declarations, or a response to an invitation to provide comment.

143.185 - Notice of decision

This regulation provides that CASA must notify the applicant in writing of the decision, as soon as practicable, and if the application is refused, or issued subject to conditions, must notify the reasons for the decision.

143.190 - Certificate about approval

This regulation requires CASA to provide evidence of that approval. CASA must issue a certificate setting out, among other things, that the applicant is approved to provide the services mentioned in the certificate and specifying any conditions where applicable.

143.195 - Return of certificate if approval cancelled

This regulation requires a certificate holder to return the certificate to CASA in the event that the certificate is cancelled and imposes a penalty of 1 penalty unit for non compliance. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

Division 3 - Variation of approvals

143.200 - Applicability of this Division

This regulation states that this Division applies to variation of an approval (including imposing, removing or varying a condition applicable to the approval.)

143.205 - Application for variation

This regulation provides that an ATS training provider may apply to CASA to vary its approval and states that Division 2 applies in relation to an application to vary an approval with the exception that the provider need not provide information already given to CASA previously.

143.210 - CASA's power to vary condition of approval

This regulation provides for CASA to impose or vary a condition at any time. CASA may have reason to do this in the interests of the safety of air navigation. However, an ATS training provider would be given the opportunity to provide a submission in relation to the imposition or variation.

Division 4 - Suspension and cancellation of approvals

143.215 - Definition for this Division

This regulation defines "show cause notice" as a notice under regulation 143.230.

143.220 - Suspension of approval by show cause notice

This regulation permits CASA to suspend an approval, in a show cause notice, in the interests of the safety of air navigation; and provides that the approval is suspended from when the notice is given to the ATS training provider; and that CASA may revoke the suspension at any time, and the suspension lapses within 90 days of the show cause notice being given if CASA has not cancelled the approval in that time.

143.225 - Grounds for cancellation of approval

This regulation sets out the grounds on which an ATS training provider's approval may be cancelled.

143.230 - Notice to show cause

This regulation provides for CASA to give an ATS training provider a show cause notice if there are reasonable grounds for believing that the provider's approval should be cancelled and CASA is to tell the provider of the grounds which it believes justify the cancellation and must invite the provider to show why, within a period not less than seven days, the approval should not be cancelled.

143.235 - Cancellation of approval after show cause notice

This regulation sets out the circumstances in which CASA may cancel an ATS training provider's approval. If CASA has given a show cause notice and decides not to cancel the approval, it must, tell the provider in writing of the decision, and if the approval is suspended, revoke the suspension.

143.240 - Cancellation at request of ATS training provider

This regulation provides that CASA must cancel an approval if asked to do so by an ATS training provider and sets out when the cancellation takes effect.

Item 4

Item 4 inserts into the Civil Aviation Regulations 1998 entitled Aeronautical telecommunication service and radionavigation service providers

Subpart A - General

171.000 - Make-up of this Part

This regulation lists the headings of the Subparts and the regulations contained within the Part.

171.005 - Applicability of this Part

This regulation states that this Part sets out the requirements for a person to be approved as a provider of an aeronautical telecommunication (ATEL) service or aeronautical radionavigation (ANAV) service, involving the operation and maintenance of those services, and certain administrative rules relating to CASA for its administration of this Part.

171.010 - Interpretation

This regulation defines certain terms mainly relevant to ATEL or ANAV services for the purposes of this Part.

171.015 - Person not to provide service without approval

This regulation establishes that a person other than an approved provider must not provide an ATEL or ANAV service. A penalty of 50 penalty units is imposed for an offence against this regulation. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

Subpart B - Approval of service providers

171.020 - Application

This regulation lists the items that must accompany an application for approval as an ATEL or ANAV service provider.

171.025 - If applicant is a corporation

This regulation lists the additional items that must accompany an application for approval as an ATEL or ANAV service provider if the applicant is a body corporate.

Subpart C - Obligations and privileges of service provider

171.030 - Service by provider

This regulation provides that an ATEL or ANAV service must be provided, in accordance with the approval and the operations manual, except for emergencies or for the testing of services, in keeping with the provider's approval.

171.035 - Changes by service provider to service

This regulation applies if an approved service provider wishes to make a change to an approved service. A service provider wishing to change a service must submit an amendment to its operations manual and receive approval for the change from CASA before the change to the service is made.

171.040 - Changes by service provider to operations manual

This regulation provides that an approved provider may make amendments to its operations manual in respect to changes other than to changes of service, and may implement those changes without prior approval, but must send a copy to CASA.

171.045 - Agreements with other bodies

This regulation requires that a service provider must establish operating agreements with other bodies that have an involvement in service provision in writing. This includes the relevant air traffic services provider if the service is an ATEL service, the aerodrome operator if the facilities for the provision of the service are owned by the aerodrome, and the Australian Aeronautical Information Service provider, for the purpose of publication of services in the Australian Aeronautical Information Publication.

171.050 - Technicians

This regulation establishes the qualifications, competencies, and certifications required of technicians as specified in the Manual of Standards who operate and maintain an ATEL or ANAV service.

171.055 - Test transmissions

This regulation establishes the conditions under which a service provider may make test transmissions of ATEL or ANAV services so that the transmission are not mistakenly used by pilots as operational transmissions.

171.060 - Post-accident performance inspection

This regulation applies if the appropriate authority advises a service provider that an ATEL or ANAV service of a provider may have contributed to an aircraft accident. It requires that, before any change is made to the implicated service, that the performance of the service is measured and the results recorded. This record would thus be available for the purposes of accident investigation.

171.065 - Interruption to service

This regulation requires a service provider to advise the Australian Aeronautical Information Service, and users of the service, if the service is interrupted, or if the provider knows that the service is to be interrupted.

171.070 - Test equipment

This regulation establishes the technical standards for the maintenance and calibration of the test equipment that a service provider uses to test and maintain an ATEL or ANAV service in accordance with the Manual of Standards.

171.075 - Documents to be maintained

This regulation lists the types of documents and manuals that must be maintained by a service provider, and establishes what is involved in maintaining such documents.

171.080 - Records

This regulation establishes the requirement for service providers to retain certain records relevant to the ATEL and ANAV services they are approved to provide, in accordance with the Manual of Standards and to retain those records for at least 5 years.

171.085 - Security program

This regulation requires service providers to establish, and put into effect, a security program in their operations manual and must be in accordance with the Manual of Standards for the purpose of minimising the risk of unauthorised access or damage to facilities or equipment that provides an ATEL or ANAV service.

Subpart D - Contents of operations manual

171.090 - Operations manual to contain or refer to information

This regulation requires that a provider has a manual, termed an operations manual, which contains, or references, another document held by the service provider that contains information as specified in the succeeding regulations of the Subpart.

171.095 - Organisation and management of service provider

This regulation specifies that a service provider's operations manual must include an organisation chart of the service provider, including the identity and qualifications of the key personnel and the number of technicians who will provide each service. This requirement will provide CASA with information to assess whether an applicant has the capability to manage, operate and maintain the intended services.

171.100 - Way in which standards are met

This regulation requires that a service provider's operations manual must contain the standards to which each service operates and explain how each standard is to be met. It also establishes that "standards" means any of the following: an International Civil Aviation (ICAO) Standard; a standard set out in Annex 10 to the Convention on International Civil Aviation; a standard in the CASA Manual of Standards; or any standard included in the operations manual of the service provider.

171.105 - Functional specification and performance values of services

This regulation requires the inclusion of information in the provider's operations manual pertaining to the functional specification and the high level performance figures relevant to each ATEL or ANAV service.

171. 110 - Technical description

This regulation requires the inclusion of information in the provider's operations manual pertaining to the technical description of each ATEL or ANAV service provided, including the kind, location, and technical specification of each facility which makes up a service, how these facilities are interconnected, and the way in which the service provider intends to monitor the operational status of each facility.

171.115 - Safe operation

This regulation requires the operations manual to describe engineering procedures and practices relevant to the design, configuration control, change management, commissioning, monitoring and recording of performance, fault reporting and rectification, and defect reporting and rectification, of facilities and services.

171.120 - Facility operation and maintenance plan

This regulation defines what a flight inspection is, and requires service providers to establish, and include in their operations manual, a plan for the operation and maintenance of each kind of facility that makes up an ATEL or ANAV service. The plan must include operating and maintenance instructions, including flight inspections, technician workload assessment, the maintenance scheduling process, and the interval between performance inspections.

171.125 - Safety management system

This regulation requires service providers to establish, and put into effect, a safety management system that includes the policies, procedures and practices necessary to safely provide the ATEL or ANAV services under its approval. The regulation also requires the safety management system to be in accordance with the standards set out in the CASA Manual of Standards.

171.130 - Agreements

This regulation requires a provider to include in its operations manual the agreements with other bodies which are required under regulation 171.045, these being the agreement with the relevant aerodrome operator, any ATS provider under Part 172 which an ATEL service supports, each agreement with bodies providing support services, and the agreement with the provider of the Australian Aeronautical Information Service.

171.135 - Post-accident performance inspection procedure

This regulation requires service providers to include in their operations manual the procedure to be taken under regulation 171.060 relating to post-accident performance inspections of facilities that may be implicated in an aircraft accident.

171.140 - Test equipment

This regulation requires service providers to include in their operations manual the procedures to maintain and calibrate test equipment used for the maintenance of ATEL or ANAV services.

171.145 - Interruption to service

This regulation requires service providers to include in their operations manual the procedures to be used in the event of an interruption to an ATEL or ANAV service. It also requires providers to specify an acceptable recovery time for each service, taking into account the type of service and its use for air traffic control or aircraft navigation, what actions are to be taken if the recovery time is exceeded, and a description of the intended means of providing any alternative form of service during the period of the interruption.

171.150 - Document control

This regulation requires service providers to include in their operations manual the system by which the documents that are to be maintained by the service provider under regulation 171.080 are to be stored and retrieved.

171.155 - Security program

This regulation requires service providers to include in the operations manual a description of the security program called for under regulation 171.085.

171.160 - Changes to procedures

This regulation requires service providers to include in their operations manual a description of the method used to change the operation and maintenance procedures relevant to ATEL or ANAV services and facilities.

Subpart E - Administration

Note: This Subpart contains certain administrative rules applicable to CASA and generic provisions including application for approval, approvals, issue of certificates of approval, variation of approvals, variation of conditions of approvals, suspension and cancellation of approvals, that apply to anyone who wants to become, or is, an ATEL or ANAV service provider. This Subpart is an interim measure while a separate Part dealing generally with administrative rules is being developed.

171.165 - Joint applications not permitted

This regulation states that an application purportedly made by 2 or more persons jointly or made by a partnership is not a valid application for any purpose.

171.170 - CASA may ask for demonstration of service

This regulation makes provision for the applicant to practically demonstrate to CASA that its proposed aeronautical telecommunication or radionavigation service is provided safely.

171.175 - CASA can ask applicant to provide more information

This regulation provides for CASA to ask for more information to assist in the application approval process. In addition, it provides that CASA may cease consideration of the application pending receipt of the information requested.

171.180 - Matters that CASA may or must take into account

This regulation provides that, in making a decision, CASA may take into account anything submitted by the applicant, and anything in CASA's records, contents of any statutory declarations made by the applicant and any demonstrations of equipment or procedures conducted by the applicant. It also provides that, before taking into account anything in CASA's records, CASA must make the applicant aware of the substance of what is being taken into account and invite the applicant to make a submission on the matter.

171.185 - When CASA must grant an approval

This regulation provides that CASA must grant an approval if the applicant satisfies requirements for the grant of the approval as set out these regulations and that granting the approval would not be likely to have an adverse effect on the safety of air navigation.

171.190 When decision must be made

This regulation provides that an application is taken to have been refused if a decision has not been made by CASA within a period of 90 days.

171.195 - Decision-making period may be extended

This regulation provides that, if CASA makes a request for an applicant to provide further information under regulation 171.175, or has invited the applicant to make a written submission under 171.180, the time the applicant takes to provide the information does not count in the 90 days period allowed by regulation 171.190 for CASA to make a decision.

171.200 - Notice of decision

This regulation provides that CASA must notify the applicant in writing, as soon as practicable, of the decision, and if refused or if issued subject to conditions, must notify the reasons for the decision.

171.205 - Approvals

This regulation provides that CASA may approve an application only if it has approved the applicant's draft operations manual. The regulation also provides that approvals may be subject to conditions that restrict the kind of services to be provided, the way in which a service is provided, the coverage of a service, or the time during which the service is provided.

171.210 - When approval comes into effect

This regulation provides that the date of effect of an approval is the date of the notice of the decision by CASA.

171.215 - CASA's power to vary condition of approval

This regulation sets out CASA's power to impose or vary a condition at any time. CASA may have reason to do this in the interests of the safety of air navigation. An ATS provider is given the opportunity to provide a submission in relation to the imposition or variation.

171.220 - Suspension and cancellation of approvals

This regulation permits CASA to suspend an approval, in a show cause notice, in the interests of the safety of air navigation. It provides that the approval is suspended from when the notice is given to the provider. It also provides that CASA may revoke the suspension at any time. Finally, it provides that the suspension lapses within 3 months of the show cause notice being given if CASA has not cancelled the approval in that time.

171.225 Notice to approval holder to show cause

The regulation provides for CASA to give an aeronautical telecommunication or radionavigation service approval holder a show cause notice if there are reasonable grounds for believing that the provider's approval should be cancelled. CASA must inform the provider of those grounds which it believes justify the cancellation, and must invite the provider to show, within a period of not less than 7 days, why the approval should not be cancelled. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

171.230 - Grounds for cancellation of approval

This regulation sets out the grounds on which a provider's approval may be cancelled.

171.235 - Cancellation of approval after show cause notice

This regulation sets out the circumstances in which CASA may cancel a service provider's approval. It also provides that, if CASA has given the holder a show cause notice and it decides not to cancel the approval, it must tell the provider in writing of the decision, and if the approval is suspended, revoke the suspension.

171.240 - Cancellation at request of service provider

This regulation provides that CASA must cancel an approval if asked to do so by an aeronautical telecommunication or radionavigation service provider, and establishes the time at which the requested cancellation takes effect.

171.245 - CASA's power to direct variation of manual

This regulation provides that CASA may direct an approved provider to amend its operations manual. This power would be exercised if any matter in the operations manual needed to be changed in the interest of the safety of air navigation.

171.250 - Certificate

This regulation requires CASA to provide evidence of the approval to an approved provider. CASA must issue a certificate certifying that the applicant is approved to provide the services mentioned in the certificate and specifying any conditions where applicable.

171.255 - Return of certificate if approval ceases

This regulation requires the certificate holder to return the certificate to CASA as soon as practicable if the approval ceases. A penalty of 1 penalty unit applies.

Item 5

This item inserts into Civil Aviation Regulation 1998, after Part 171, a new Part 172, entitled Air Traffic Service Providers.

Subpart A        General

172.000 - Make-up of this Part

This regulation lists the headings contained within the Part.

172.005 - Applicability of this Part

This regulation states that the Part is applicable to a person that wants to become, or is, and ATS provider and sets out certain administrative rules that apply to CASA.

172.010 - Definitions for this Part

This regulation sets out definitions for certain terms for the purposes of this Part.

172.015 - What is an ATS provider

This regulation sets out that an ATS provider is a person approved to provide air traffic services.

172.020 - Providing air traffic services without approval

This regulation provides that a person who is not an approved ATS provider must not provide air traffic services and imposes a penalty of 50 penalty units for an offence against this regulation. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

Subpart B        Approval as an ATS provider

172.025 - What an application must be accompanied by

This regulation lists the items that must accompany an application for approval as an ATS provider in addition to anything that is required in Subpart F.

172.030 - When applicant is eligible for approval

This regulation provides that an applicant is eligible for approval if the applicant is able to comply with the requirements of Subparts C and D of this Part.

172.035 - Approval subject to conditions

This regulation provides that, if an ATS provider's approval is subject to conditions, the ATS provider must comply with those conditions.

172.040 - Approval not transferable

This regulation provides that an approval is not transferable.

172.045 - Certificate under Subpart F

This regulation lists the items that must be shown on a certificate, in addition to the items mentioned in 172.275.

172.050 - How long approval remains in force

This regulation provides that an approval comes into force on the date stated in the certificate and remains in force until cancelled. However, it is not in force during any period of suspension.

172.055 - Variation of approvals

This regulation provides a mechanism for an ATS provider to seek approval from CASA for variation to the approval and provides for a date of effect to the variation.

Subpart C Requirements to be complied with by ATS providers

Division 1 - Operations manual

172.060 - Operations manual

This regulation requires an ATS provider to maintain an operations manual that complies with the manual of standards;

The provider must ensure the operations manual is readily accessible by all personnel who perform functions in connection with the provision of air traffic services;

That the ATS provider, as necessary; must amend the operations manual;

That provides that all amendments are to be incorporated in the operations manual; and

That amendments are incorporated in all copies of the manual and that CASA is given copies.

Division 2        Air traffic service

172.065 - Standards for air traffic service

This regulation requires an ATS provider to ensure that any air traffic services it provides are provided in accordance with the standards set out in the Manual of Standards and those in ICAO Annex 11; and permits a deviation from the standards in an emergency or other circumstance that makes the deviation necessary in the interests of aviation safety; and requires that an ATS provider notify CASA as soon as practicable of any deviation from the standards.

172.070 - Aeronautical telecommunications procedures

This regulation requires that an ATS provider must provide its services in accordance with ICAO Annex 10 and the AIP.

172.075 - ICAO Doc. 4444 and ICAO Doc. 7030

This regulation requires an ATS provider to ensure that any air traffic service it provides is provided in accordance with the procedures and relevant rules of ICAO Doc.4444. If a supplementary procedure set out in ICAO document 7030 relates to a service the provider provides, the provider must ensure the service is provided in accordance with that procedure.

A deviation from the procedures and rules of Doc.4444 is permitted in an emergency or other circumstance that makes the deviation necessary in the interests of safety.

An ATS provider must notify CASA as soon as practicable of any deviation from the relevant procedures and relevant rules of Doc.4444.

172.080 - Compliance with provider's operations manual

This regulation requires an ATS provider to ensure that any service it provides is provided in accordance with it's operations manual.

172.085 - Priority of standards

This regulation establishes a hierarchy between the Manual of Standards and Annex 11 in order to prevent any conflict.

172.090 Priority of inconsistent procedures.

The purpose of regulation 172.090 is to establish a hierarchy for the purposes of the application of procedures in the AIP, Annex 10 Vol II, ICAO Doc.4444, and any procedures in the ATS provider's operations manual.

Division 3 Standards for facilities and equipment

172.095 - Facilities and equipment

This regulation requires an ATS provider to make available for use by its personnel the necessary equipment and facilities for the conduct of functions associated with the provision of air traffic services. The minimum required is specified in the Manual of Standards.

Any equipment or facilities mentioned in Annex 11, Chapter 6 that an ATS provider uses in the provision of air traffic services must comply with the standards of that chapter.

If a control tower is used for the purpose of providing air traffic control is to be appropriately equipped in accordance with the Manual of Standards.

Division 4        Organisation and personnel

172.100 - Definitions for this Division

This regulation provides a definition for the term 'trained' as in accordance with the requirements set out in the providers training and checking program.

172.105 - Organisation

This regulation requires that an ATS provider maintains an appropriate organisation with a sound and effective management structure to provide the service standards as set out in the Manual of Standards.

172.110 - Personnel

This regulation requires that an ATS provider have enough suitably qualified and trained personnel to provide the service in accordance with the standards set out in the Manual of Standards.

172.115 - Supervisory personnel

This regulation requires an ATS provider to have enough suitably qualified and trained supervisory personnel.

172.120 - Qualifications for certain personnel

This regulation provides that an ATS provider must not give to any person responsibility for any air traffic control function performed in connection with any service it provides unless that person is appropriately qualified. Qualified for this purpose means is either authorised by CASA, or is licensed with appropriate ratings and endorsements in accordance with Part 65, or the person performs the function under the supervision of a person similarly qualified.

Division 5        Arrangements to maintain service

172.125 - Agreements with service providers

This regulation requires that an ATS provider have an agreement with a Part 171 service provider in accordance with the Manual of Standards, to ensure that it has the telecommunications and radionavigation services it needs to enable its air traffic service functions to be properly conducted.

172.130 - Agreements with aerodrome operators

This regulation provides that an ATS provider providing an aerodrome control service has an agreement with the aerodrome operator. This agreement will cover the control of aircraft, vehicles and people on the runways, or on other areas used of take-off and landing, and on taxiways, and includes control for such matters such as aerodrome works, aerodrome lighting inspections and repairs, surface inspections, and matters relating to aerodrome emergency procedures.

172.135 - Arrangements for transfer of information

This regulation provides that an ATS provider must have adequate arrangements to ensure it gets the information needed for the air traffic service functions it carries out. The ATS provider must have adequate arrangements to enable it to provide information to other ATS providers whose duties or functions reasonably require the provision of the information.

Division 6       Management

172.140 - Training and checking program

This regulation requires an ATS provider to have a training and checking program in accordance with the Manual of Standards to ensure that each member of its personnel who performs functions in connection with any of its air traffic services is competent to perform those functions.

172.145 - Safety management system

This regulation requires an ATS provider to have, and to put into effect, a safety management system in accordance with the Manual of Standards. The safety management system must include the policies, procedures and practices for managing the safety of the provision of services and managing any changes in that provision.

172.150 - Contingency plan

This regulation requires that an ATS provider has a contingency plan of the procedures to be followed in accordance with the Manual of Standards, if, for any reason, an air traffic service being provided it is interrupted. The plan must detail the actions of individuals and provide for possible alternative arrangements for continued provision of services. It must also provide for arrangements for resuming normal operations.

172.155 - Security program

This regulation requires an ATS provider to have, and to put into effect, a security program in accordance with the Manual of Standards. The purpose of the security program is to prevent, as far as practicable, interruption to safety related air traffic services.

Division 7 Reference materials, documents, records and log books

172.160 - Reference materials

This regulation specifies the reference materials that an ATS provider must hold. The reference materials must be kept up to date, in a readily accessible form and must be readily available to staff having functions in connection with any air traffic service being provided. The reference materials are the Act and regulations, ICAO Annexes and Document, the AIP, the Manual of Standards and instructions issued to personnel by the provider in relation to the performance of air traffic service functions.

172.165 - Documents and records

This regulation requires an ATS provider to keep documents and records for each air traffic service it provides from a particular location as specified in the Manual of Standards. The provider must make the documents and records available for inspection by CASA on request.

172.170 - Document and record control system

This regulation requires an ATS provider to establish and put into effect a system for controlling documents and records relating to the services it provides. The system must be in accordance with the Manual of Standards.

172.175 - Logbooks

This regulation requires the ATS provider to keep a logbook of activities in accordance with the standards set out in the Manual of Standards and makes the logbook available for inspection by CASA on request.

Division 8 - Notice of air traffic services

172.180 - Availability of air traffic service

This regulation requires an ATS provider to provide details of its services to the Aeronautical Information Service including the hours the service is available. An ATS provider must also tell the Aeronautical Information Service about any changes, interruptions or unavailability of its air traffic services, unless it is impractical to do so.

Subpart D       Telling CASA about changes

172.185 - Advice on organisational changes

This regulation requires an ATS provider to tell CASA, in writing, of any change of circumstances that materially effects its capacity to provide any of its air traffic services. It is required to do so within 7 days after the change occurs.

172.190 - Discontinuing air traffic service

This regulation requires that an ATS provider must not discontinue a service unless it has given CASA at least 7 days prior notice. This does not apply having regard to the ATS provider's circumstances if it was not reasonably practical to give 7 days notice. Notice must then be given as soon as reasonably practicable.

Subpart E       Miscellaneous

172.195 - ATS provider must not provide unauthorised air traffic service

This regulation provides that an ATS provider must not provide a service unless its approval is in force and it covers that service.

Subpart F       Administration

Note: This Subpart is an interim measure while a separate Part dealing with administrative rules being developed.

Division 1 - Preliminary

172.200 - Applicability of this Subpart

This regulation sets out what this Subpart does. It contains certain administrative rules applicable to CASA and generic provisions that apply to anyone who wants to become, or is, an ATS provider.

Division 2       Approvals

172.205 - Joint applications not permitted

This regulation specifies that joint applications made by 2 or more persons or partnerships are not a valid application for any purpose.

172.210 - How to apply - application by individual applicant

This regulation sets out the way in which an applicant who is an individual must apply.

172.215 - How to apply - application by corporation etc

This regulation sets out the way in which an applicant that is a body corporate must apply, an application must be in writing, and must include a statement of what must be included with the application. A definition of an applicants 'officers' for the purposes of subregulation 172.215 (3)(b) is provided.

172.220 - Who to apply to

This regulation provides that an application must be made to CASA.

172.225 - Application for approval cancelled previously

This regulation provides that an applicant in their resubmitted application has adequately addressed previously identified safety deficiencies.

172.230 - CASA may require demonstrations of procedures or equipment

This regulation makes provision for the applicant to provide practical demonstrations to satisfy CASA that its proposed air traffic services can be provided safely, in accordance with an ATS provider's operations manual and the requirements of Part 172.

172.235 - Other things CASA can ask individual applicant to do - interview

This regulation provides that CASA may seek an interview with the applicant. The purpose of such an interview would be to seek clarification and to ensure mutual understanding of any material that the applicant is required to provide to the decision maker. CASA may stop consideration of the application until the applicant participates in the interview.

172.240 - Other things CASA can ask individual applicant to do - provide more information

This regulation provides that CASA may ask for more information to assist in the decision making process and provides that the decision maker may stop consideration of the application pending receipt of the information requested.

172.245 - Statutory declarations to verify applications

This regulation provides for CASA to require an applicant to verify by statutory declaration any statement in an application and provides that the decision maker may stop consideration of the application pending receipt of the information requested.

172.250 - Matters that CASA may or must take into account

This regulation states that, in making a decision, CASA may take into account anything submitted by the applicant, and anything in CASA's records, contents of any statutory declarations made by the applicant and any demonstrations of equipment or procedures conducted by the applicant. CASA must, before taking into account anything in their records, make the applicant aware of the substance of what is being taken into account and invite the applicant to make a submission on the matter. CASA must take into account any submission made under 172.250 (2). If an applicant's prior approval was cancelled, CASA must take into account the fact of and reasons for the cancellation and any evidence submitted by the applicant under 172.225.

172.255 - Statutory declarations to verify statements in submissions

This regulation provides that CASA may ask the applicant to verify any statement made by the applicant in a submission by statutory declaration. CASA must take into account the submission, and need not consider or may stop considering the application until the applicant gives it the statutory declaration.

172.260 - When CASA must approve an applicant

This regulation sets out the grounds for approval and provides that CASA may approve the applicant for only some of the air traffic services sought. CASA may refuse an application for a service to be provided in particular airspace, or at a particular aerodrome if another ATS provider already holds an approval, and may impose conditions on the approval in the interests of the safety of air navigation.

172.265 - When decision must be made

This regulation provides that an application is taken to have been refused if a decision has not been made by CASA within a specified period of 6 months. The period of 6 months does not include the time that CASA is awaiting further information, demonstration, interview, statutory declarations, or a response to an invitation to provide comment.

172.270 - Notice of decision

This regulation provides that CASA must notify the applicant, as soon as practicable, of the decision, and if refused, or if issued subject to conditions, must notify the reasons for the decision.

172.275 - Certificate about approval

This regulation requires CASA to provide evidence of that approval. CASA must issue a certificate certifying that the applicant is approved to provide the services mentioned in the certificate and specifying any conditions where applicable.

172.280 - Return of certificate if approval cancelled

This regulation requires a certificate holder to return the certificate to CASA in the event that the certificate is cancelled. A penalty of 1 penalty unit applies for non-compliance with the regulation. Strict liability as per section 6.1 of the Criminal Code has been incorporated in respect to this offence.

Division 3       Variation of approvals

172.285 - Applicability of this Division

This regulation states that this Division applies to variation of an approval (including imposing, removing or varying a condition applicable to the approval).

172.290 - Application for variation

This regulation provides that an ATS provider may apply to CASA to vary its approval. Division 2 applies in relation to an application to vary an approval. This has the effect that an ATS provider must meet the relevant criteria as if it were making an initial application.

172.295 - CASA's power to vary condition of approval

This regulation provides for CASA to impose or vary a condition at any time. CASA may have reason to do this in the interests of the safety of air navigation. However, an ATS provider would be given the opportunity to provide a submission in relation to the imposition or variation.

Division 4       Directions to amend provider's operations manual

172.300 - CASA may direct amendments to provider's operations manual

This regulation provides that CASA may direct an ATS provider to amend its operations manual.

Division 5       Suspension and cancellation of approvals

172.305 - Definition for this Division

This regulation sets out a definition for show cause notice as that meaning under regulation 172.320.

172.310 - Suspension of approval by show cause notice

This regulation provides for CASA to suspend an approval, in a show cause notice, in the interests of the safety of air navigation. The approval is suspended from when the notice is given to the ATS provider. CASA may revoke the suspension at any time. The suspension lapses within 90 days of the show cause notice being given if CASA has not cancelled the approval in that time.

172.315 - Grounds for cancellation of approval

This regulation sets out the grounds on which an ATS provider's approval may be cancelled.

172.320 - Notice to show cause

This regulation provides for CASA to give an ATS provider a show cause notice if there are reasonable grounds for believing that the provider's approval should be cancelled. CASA must tell the provider of the grounds on which it believes justify the cancellation and must invite the provider to show why, within a period not less than 7 days, the approval should not be cancelled.

172.325 - Cancellation of approval after show cause notice

This regulation sets out the circumstances in which CASA may cancel an ATS provider's approval. If CASA has given a show cause notice and decides not to cancel the approval, it must tell the provider in writing of the decision, and if the approval is suspended, revoke the suspension.

172.330 - Cancellation at request of ATS provider

This regulation provides that CASA must cancel an approval if asked to do so by an ATS provider and sets out when the cancellation takes effect.

Item 6 - Dictionary, Part 1

This item inserts in the Dictionary, Part 1, and definitions for air traffic control function, ATC licensed, ATS training provider, flight service function and flight service licence.

Schedule 2       Amendments of the Civil Aviation Regulations 1988

Item 1

This item inserts after paragraph 89C (2) (a), new paragraphs (aa) and (ab) which provide a link to the Subpart 139H of Civil Aviation Regulation (CAR) 1998 with respect to the requirements to provide an ARFFS at certain aerodromes.

Item 2

This item inserts after paragraph (2) (c) a new paragraph (ca) which provides a link to the new Subpart H of Part 139 of CAR 1998 with respect to the provision of an ARFFS.

Item 3

This item inserts after subregulation 89C (2) a new paragraph (2A) which explains that the meaning of ARFFS is the same as that in Subpart H of Part 139 of CAR 1998.

Item 4

This item removes regulations 102 and 104 dealing with authority to act in ATC, classifications of ratings and qualifications for grant of an ATC licence, as these are now replaced by requirements in Part 65 of CAR 1998 - Air Traffic Services Licensing.

Item 5

This item removes regulations 106 to 108 dealing with duration of ATC ratings, re-examination etc. of holders of licences and ratings and foreign ATC licence; and removes regulations 112 to 114 dealing with authority to act in flight service classification of flight service ratings and qualifications for grant of a flight service officer licence as these have been replaced by the requirements contained in Part 65 of CAR 1998 - Air Traffic Service Licensing.

Item 6

This item removes regulations 116 to 118 dealing with duration of flight ratings, re-examination etc. of holders of licences and ratings; flight service officer and foreign flight service license as these have been replaced by requirements contained in Parts 65 of CAR 1998 - Air Traffic Service Licensing.

Item 7

This item deletes the meaning of a licence under paragraph 263(1)(e) as the details contained under Part 10 have been removed (see items 4,5,6).

Item 8

This item inserts into Schedule 11 Part 2, after clause 3 a new clause 4 which ensures the provider of an ARFFS under the requirements of Subpart H of Part 139 of CAR 1998 complies with the requirements of that Subpart including the manual of standards and the provider's operations manual.

CIVIL AVIATION SAFETY AUTHORITY AUSTRALIA

Regulation Impact Statement

CASA # 0005

Regulatory Framework and Standards for the Provision of Aerodrome Rescue and Fire Fighting Services

Civil Aviation Safety Regulation (CASR) -

Part 139, Subpart H

and

Manual of Standards (MOS) Sections 1 to 29

APPROVED

20 March 2001

Table of Contents        

Abbreviations and Terminology       

Background       

- The current Australian Model       

1. The Issue       

2. Objective       

3. Options        

4. Impact of the options       

5. Consultation undertaken       

6. Conclusion and recommended option       

7. Implementation and review       

Abbreviations

AC        Advisory Circular

ACFT        Aircraft

AEP        Aerodrome Emergency Plan

AFC        Australian Fire Competency

ANTA        Australian National Training Authority

ARFFS       Aerodrome Rescue and Fire Fighting Service

CAR        Civil Aviation Regulation

CASA        Civil Aviation Safety Authority

CASR        Civil Aviation Safety Regulation

DoTRS       Department of Transport and Regional Development

ERSA        En-route Supplement Australia

EXCO         Executive Council

MOS        CASA Manual of Standards

NOTAM       Notice To Airmen

NPRM        Notice of Proposed Rule Making

OH&S        Occupational Health & Safety

RAAF        Royal Australian Air Force

RIS        Regulation Impact Statement

RPT        Regular Public Transport

SARPS       ICAO Standards and Recommended Practices

Explanation of Terminology:

Airport:         see aerodrome.

Aerodrome:        "A defined area on land or water (including any buildings, and equipment) intended either wholly or in part for the arrival, departure and surface movement of aircraft".

Entry:       Refers to the prerequisite qualifications and licensing requirements needed to offer ARFFS services in Australia.

Establishment:       Refers to the benchmark figure used to identify the domestic aerodromes that must have an ARFFS in Australia.

Disestablishment:       Disestablishment is a benchmark figure used to identify when ARFFS services no longer need to be retained at an aerodrome

Exit:        See Disestablishment.

ICAO:       The body which coordinates the safety and efficiency of international air transport is the International Civil Aviation Organisation (ICAO), a body established under the Chicago Convention on International Civil Aviation, 1944. To achieve its aims, ICAO establishes and promulgates international Standards and Recommended Practices (SARPs) considered necessary for the safety and efficiency of air navigation and for uniform application by contracting nations.

The SARPs are published as Annexes to the Convention. Australia, as a member of ICAO, is obliged to comply with their standards unless a difference is lodged under Article 38 of the Convention.

A Standard is defined by ICAO as any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which is recognised as necessary for the safety or regularity of international air navigation and to which contracting states will conform in accordance with the Convention; in the event of impossibility of compliance, notification to the Council is compulsory under Article 38.

A Recommended Practice is defined by ICAO as any specification for physical characteristics, configuration, material, performance, personnel or procedure, the uniform application of which is recognised as desirable in the interests of safety, regularity or efficiency of international air navigation, and to which contracting states will endeavour to conform in accordance with the Convention.

The ICAO Standards (Annex 14, Chapter 9 and related documents) relevant to ARFFS provision are written to provide a level of service for international aircraft operation.

The significant standards include:

•       application for the provision of service;

•       level of protection to be provided based on aircraft length and width;

•       minimum amounts of extinguishing agents for level of protection;

•       response times for effective intervention (2002);

•       discharge rates;

•       personnel training; and

•       protective respiratory equipment.

Background

The Government has decided that CASA must finalise by 31 August 2001 the safety regulatory framework for the entry and exit provisions and minimum safety standards for the provision of air traffic control and rescue and firefighting services, including establishment and disestablishment criteria for the provision of Aerodrome Rescue and Fire Fighting Services (ARFFS).

Aerodrome Rescue and Fire Fighting Services (ARFFS) were established in 1947 and have always been provided predominantly by the Commonwealth Government statutory body corporate (with the exception of three aerodromes, Norfolk Island 1992, Broome 1995 and Townsville, the latter being a joint user aerodrome and with the fire services provided by the RAAF), and its various predecessors, acting under an authorising Act of Parliament. Airservices Australia presently provides ARFFS and related supporting services at sixteen locations in accordance with the Airservices Act 1995 and Australia international obligations under the Chicago Convention.

CASA's proposed new regulatory framework and minimum standards for ARFFS are part of a comprehensive regulatory framework that, when adopted, will provide the regulatory basis for any entity providing, or proposing to provide ARFFS, and/or the services directly supporting ARFFS.

The current Australian model

In Australia, ARFFS and related supporting services such as mechanical and ARFFS personnel training is required to be provided by Airservices Australia, a statutory government authority with regulatory powers relative to its function. However, an entity other than Airservices Australia can provide rescue and fire fighting services with an arrangement approved in writing by the Minister for Transport and Regional Services.

Airservices Australia's functions are governed by the Air Services Act 1995. It has developed internal safety and efficiency standards and practices that comply with Australia's international ICAO obligations and also with non-regulatory standards established by CASA in a document termed "Draft Regulatory Arrangements and Standards" and given effect by a Memorandum of Understanding between CASA and Airservices Australia. This document came into effect on the 14th August 1995. The existing framework of standards and practices set the current Australian minimum requirements for the efficient provision of ARFFS, and for the qualification and training of personnel involved in service provision.

The ICAO standard (Annex 14) for international aerodromes states that 'rescue and fire fighting equipment and services shall be provided at an aerodrome'. Australia, as a signatory to the Chicago Convention, is obliged to comply with this requirement unless a difference is lodged under Article 38 of the Convention.

Australia also applies the ICAO standards for rescue and fire fighting services to domestic aerodromes subject to specified criteria.

Airservices Australia establishes or provides ARFFS at aerodromes (counted in descending order by traffic volume) that cumulatively account for approximately 90% of the total number of travelling public, both domestic and international, on regular scheduled passenger flights (RPT) in Australia over a year. Once an ARFFS is established and if the traffic volumes fall, the service must be retained at the aerodrome for 12 months or until the aerodrome falls outside of the group of aerodromes cumulatively accounting for 95% of passengers travelling on RPT flights. This provides a buffer zone to account for cyclical and seasonal variation.

In practice, the current criteria for ARFFS means that a service must be provided to all aerodromes with throughput of 500,000 or more passengers as these aerodromes cumulatively account for around 90% of the travelling public. Services continue to be provided at some aerodromes with throughput as low as 192, 000 passengers because the aerodromes sits in the buffer zone. Some aerodromes, such as Ayers Rock with passenger throughput as high as 405,709 annually do not have ARFFS as the aerodrome falls outside the cumulative 90% criterion for establishment of a service.

1.       The Issue

CASA is responsible for developing and promulgating aviation safety standards. However, no regulations have been made to regulate services provided by Airservices Australia, such as the provision of air traffic services and aerodrome rescue and firefighting services.

A Memorandum of Understanding was entered into between CASA and Airservices Australia to provide the basis for the surveillance and safety audit of Airservices and as a policy statement of the standards to which Airservices would comply. Even though the MOU envisaged the creation of regulatory requirements by CASA to enable safety oversight of Airservices, no such regulations were made.

CASA's standards and requirements relating to its safety regulation of Airservices are documented in a document titled 'Safety Regulation of Airservices Australia and Aerodrome Rescue and Firefighting Service Providers - Final Draft Regulatory Arrangements and Standards ' dated April 1996.

The Government recognised this continuing lacuna in safety regulation and directed CASA to develop appropriate standards governing services currently provided by Airservices Australia.

The regulatory standards would permit the provision of services by providers other than Airservices Australia, as is currently the case at airports such as Broome and Norfolk Island. At Commonwealth leased airports which fall under the jurisdiction of the Airports Act 1996, Airservices Australia will remain the service provider. However, the Minister for Transport and Regional Services retains the ability to approve whether an alternative service provider can provide the service at these airports.

2.       Objective

The Government's objectives in developing a regulatory framework for the entry and exit provisions and the minimum safety standards for Aerodrome Rescue and Fire Fighting services are to ensure that:

•       ARFFS are provided to minimum safety levels and the minimum level is specified; and

•       the standards comply with Australia's international obligations under the Convention on International Civil Aviation for international aerodromes.

In the establishment of regulatory requirements, it is the CASA Board's policy to seek world 'best practice' through the adoption of proven safe practices, which results in safety resources being most effectively allocated to ensure optimum safety.

3.        Options

In considering how to meet the objectives, it is necessary to look at two inter-related issues. These are the form of the regulatory framework and the content of the standards for entry and establishment of ARFFS.

Options for a regulatory framework

Options for a framework within which to develop standards can range from self-regulation through to explicit government regulation. In the case of ARFFS, Australia is obliged to meet certain international treaty obligations. Consequently, non-regulatory options, such as self-regulation are not feasible.

Feasible regulatory options for a framework within which to develop standards for entry and establishment of ARFFS include:

OPTION 1 - Non-prescriptive principles-based regulatory model

Under this option, CASA would determine the principles or objectives to which ARFFS provider(s) should operate and allow the providers to determine the most appropriate way to achieve the regulatory requirements. A non-prescriptive principle-based regulatory approach is consistent with the ICAO requirements.

Rescue and fire fighting is a complex and dangerous business. A non-prescriptive approach recognises that service providers need to be flexible so that they can respond quickly and appropriately to the particular problems as each emergency arises.

It is often more difficult to assess the quality of service when a non-prescriptive approach is adopted. It requires ARFFS providers to take on the primary responsibility for the safety management of the services provided. CASA takes on the role of overseeing the processes. Consistent with other sectors of the aviation industry CASA monitors safety via a range of safety audits, to ensure that the safety integrity of their services is maintained. Audit and surveillance is undertaken at the systems level to ensure appropriate management processes are in place that comply with the standards.

Where possible, CASA would monitor the actual service to verify that the system/process was operating correctly. This approach is consistent with internationally accepted audit practice and with the arrangements adopted by overseas authorities in respect of surveillance of airways services.

OPTION 2 - Prescriptive regulatory model

This option requires CASA to determine the technical means for achieving the specified safety objectives. Often such an approach is easy to monitor and comply with as the requirements are strictly specified and measurable.

This approach tends to limit opportunities for service providers to determine the best means of complying with the safety standards. This could hamper an organisation's ability to provide a timely and suitable response to an emergency. It also tends to make service providers focus on processes rather than the ultimate goal of improving and maintaining safety at the specific aerodromes where the services are provided.

This option requires CASA to have a substantial level of knowledge and expertise in all areas of the service provider's operations so as to ensure the standards adequately address those factors that are critical to operational safety. This could substantially add to CASA training costs.

This approach is not consistent with the ICAO approach or the practices adopted by other aviation authorities overseas.

OPTION 3 - A mixture of non-prescriptive and prescriptive regulations (preferred)

Under this option, the major emphasis is placed on the development of overall safety standards to which the service providers respond by determining their own means of compliance, which CASA then endorses. Prescriptive rules can be applied where it provides a simple and clear-cut solution and where factors are unlikely to change significantly over time.

In such cases prescriptive rules can be more efficient and effective than alternative approaches. This approach provides an opportunity to tailor the regulations to take best advantage of the best elements of options 1 and 2.

CASA's preferred approach (Option 3) is to rely mostly on principle-based non-prescriptive standards that are consistent with Australia's ICAO requirements. Where necessary this would be supported by prescriptive technical or procedural standards to provide minimum safety assurance. For example, entry provisions relating to training and competency of staff is best regulated through principle-based regulations. For determining which aerodromes require rescue and fire fighting services a prescriptive rule provides a simple, clear and consistent means for determining the appropriate level of minimum service.

Options for applying minimum standards to ARFFS

Australia has limited options for setting the minimum standards to apply to ARFFS. Australia must mandate the ICAO standards and endeavour to conform with the recommended practices. The ICAO standards and recommended practices apply to international aerodromes only. Beyond this, Australia does have options for determining appropriate minimum entry (training and training providers) criteria, establishment and disestablishment criteria for providing services at domestic aerodromes and for determining who should be responsible for providing a service.

Entry provisions -- training and training providers

Entry provisions determine the minimum training and competencies required to operate an ARFFS.

ARFFS Training

Australia offers up to 21 training modules on aviation fire fighting training that comply with ICAO training standards. Airservices Australia currently requires its aviation fire fighting personnel to complete all these modules to the highest level (level 5) to obtain a full Australian Fire Competency (AFC) certificate. This is regardless of whether the person works at a small domestic aerodrome or a major international aerodrome. Training to this comprehensively skills a person for aviation fire fighting at most aerodromes.

CASA proposes to reduce the minimum training requirements to Certificate of Attainment level. This requires an individual to complete a minimum of 19 core modules to achieve a minimum level of competency to operate as an aviation fire fighter. By adopting this flexible training scheme, costs can be reduced because the non-fire fighting modules can be excluded from the certificate. Individuals would then have the option of undertaking the remaining two modules to achieve the full AFC Certificate.

The national fire service approach to competency based training will facilitate the migration of staff between fire service providers and ensure a larger recruitment base for appropriately trained staff.

ARFFS providers would be required to develop their own certificates and systems - both documenting the qualifications achieved and the local competency requirements. Aerodrome operators will need to advise CASA of the competency requirements for their particular aerodrome. At audit, CASA will check the certificates to ensure the staff have the complementary certifying procedures and records management practices in place. Unlike a flight crew licence, it is proposed that CASA will not issue a ''national'' licence or certificate because of the resource requirements necessary to ensure that validation is applicable to local conditions.

Training Providers

Airservices Australia has been recognised by CASA as a provider of ARFFS training. Airservices Australia has developed a series of module descriptors (manuals) that cover the full range of aviation fire service qualifications.

The manuals have been developed using the AFC curricula and modified specifically for aviation fire fighting. The development of these manuals has been in consultation with the Open Learning Institute (OLI) of Queensland and TAFE. The curricula are protected by copyright.

Currently fire fighting competency training to an AFC Certificate level 2 is available through Airservices Australia, TAFE and the Victorian Country Fire Authority. The TAFE and Victorian Country Fire Authority colleges do not provide Aviation Fire Suppression due to lack of facilities. This module, which is necessary for obtaining the higher AFC Certificate, is only offered by Airservices Australia.

Training providers will need to be recognised by CASA to ensure that the correct level of training can be provided to satisfy the new safety regulation. The providers will need to produce training manuals to ensure alignment with the requirements of the CASR, the appropriate TAFE/AFC requirements and State/Federal government regulations such as OH&S. Airservices Australia, TAFE and the Victorian Country Fire Authority already have the appropriate documentation to operate as CASA approved training providers.

Validation of all modules must be conducted by an independent 'validator'. This is to ensure that the person conducting the training does not also perform the assessment of the module - a perceived conflict of interest. An independent validator, nominated by CASA, who is appropriately qualified to perform this role, can validate the assessment.

Training options for private aviation fire service providers could include:

•       providing their own rescue and fire fighting facilities and obtaining a separate certification as a training provider from CASA; and

•       contracting out their training requirements to a third party training provider e.g., Airservices Australia, local fire brigades, TAFE or other institutions, provided that they have been certified by CASA under the new regulatory provisions.

Requirements for training provision conform to the minimum ICAO requirements.

Establishment criteria

International aerodromes: ICAO standards apply to international aerodromes and CASA must adopt these standards. They will apply to "an aerodrome from or to which an international passenger air service operates" and

Domestic aerodromes: any domestic aerodrome through which more than 350 000 passengers pass through on air transport flights during the previous financial year.

In setting minimum safety standards CASA assessed whether it is appropriate to continue to apply ICAO standards to domestic aerodromes and if so what criteria should be used for determining the level of service to offer.

In developing proposed regulations, CASA assessed overseas practices relating to establishment criteria and service provision.

Overseas practice

The aviation safety regulations pertaining to ARFFS in the USA, UK, New Zealand and Canada were reviewed. The aforementioned countries have already adopted regulatory regimes that permit the provision of ARFFS by entities other than a government agency. The models are as follows:

•       The UK model: The United Kingdom provides ARFFS to ICAO Standards for all scheduled regular passenger transport services over 2,730 kg and for those aerodromes providing flying instruction.

•       The USA model: The USA provides ARFFS for all scheduled regular passenger transport services at aerodromes at which aircraft having a passenger capacity of 30 or more are operated, with a provision for a remission in the provision of ARFFS when the aerodrome capacity covers less than 0.25 of 1% of the total number of travelling public.

•       The NZ model: New Zealand provides ARFFS for all regular passenger transport turbo/jet aircraft of 30 passenger seats or greater based on achieving 700 aircraft movements in the busiest consecutive 3 months of the year. 700 aircraft movements in the busiest consecutive 3 months of the year is an ICAO standard used to determine the level of coverage and foam discharge rates.

•       The Canadian model: Canada provides ARFFS to approximately 90% of all RPT movements.

The above four countries were chosen for study for the following reasons:

•       similarity to Australia

•       data availability

•       geographical size (Canada)

•       geographical location (New Zealand)

•       passenger loading (UK)

•       largest aircraft movements (USA)

An Australian model for establishment and disestablishment criteria

Australia's existing practices are broadly in line with current practice overseas. However, at present there are no enforceable guidelines for the provision of ARFFS at Australian domestic and international airports. Airservices Australia currently aims to provide ARFFS to around 90% of the travelling public each year. Airservices Australia provides ICAO standards at all aerodromes where it provides ARFFS.

Airservices Australia provides an ARFFS at sixteen locations around Australia. The impact of the proposed regulation would see one new location open and would require airport owners to determine if those aerodromes outside of the criteria should be retained.

Level 1: Establishment

An aerodrome from or to which an international passenger service operates, and any domestic aerodrome through which more than 350 000 passengers passed through on air transport flights during the previous financial year as mentioned above.

The disestablishment of, or the reduction to, the level of ARFFS may be effected when the number of annual passengers on air transport falls below the required criteria for a 12 month period. The ARFFS provider may then apply to CASA for a reduction to the level of ARFFS.

The 350,000 passenger figure equates to approximately 90% of the travelling public, consistent with the current criterion. The difference in lowering the Australian passenger numbers from the proposed 350,000 to, for instance, 300,000 would alter the ARFFS coverage only slightly to 91.76% but is likely to increase costs to industry. These increased costs would be through the possible retention of ARFFS at locations where airport owners would otherwise have the option of continuing or removing the existing service. It is the Civil Aviation Safety Authorities expectation that the airports concerned would retain a level of service based on feedback for the aerodrome industry. Duty of Care, anticipated traffic growth and the cost of re-establishment are factors that need to be consideration prior to any withdrawal.

Level 2: Aerodromes, where the annual number of passengers on air transport is less than 350,000, may provide a level of ARFFS.

All licensed aerodromes must have an Aerodrome Emergency Plan (AEP) in accordance with the requirements defined in ICAO Standards, CH 9 Annex 14 to the Chicago Convention. However, should the aerodrome operator wish to publish in the ERSA that an ARFFS is available, then it must be to a standard and it will be subject to CASA audit.

The applicable standard for Level 2 is: Where aircraft less than 30 seats operate as air transport, an ARFFS must be provided at a minimum of category 2.

Where aircraft with 30 passenger seats or greater operate as air transport, an ARFFS must be provided at a minimum of category 4. The category 2 and category 4 refer to ICAO standards and relate to response times, water capacity for foam production and foam discharge rates.

The disestablishment of a service can occur at any time subject to advice to CASA, NOTAM (notice to airmen) action, (NOTAM advice is to remain in force until ERSA has been amended) and notification to all regular users of the aerodrome and advice to ERSA of the withdrawal of service.

Responsibility for establishment of service

Under the authority of the Airservices Act 1995, Airservices Australia is the sole provider of ARFFS and, based on the current criteria, CASA determines where ARFFS should be provided.

The proposed regulation will place the responsibility for provision of ARFFS on the Aerodrome owner/ operator. The aerodrome operator will be required to obtain passenger movement figures from the Department of Transport and Regional Services for the preceding financial year and determine the provision on an ARFFS to maintain the aerodrome licence. An ARFFS will be required if international passenger aircraft operate or 350,000 passengers on air transport are exceeded in the previous financial year.

At non-Commonwealth leased airports, the aerodrome operator can call for expressions of interest for an ARFFS operator. If the aerodrome operator fails to attract any response to its expressions of interest to provide an ARFFS, Airservices Australia must provide the services in the short term.

At Commonwealth leased airports the owner/operator can advise Airservices Australia that an ARFFS is required and it then becomes Airservices Australia's responsibility to ensure the services are provided. Alternatively, the owner/operator can apply to the Minister for Transport

and Regional Services under the Airports Act 1996 and receive approval in writing to call for expressions of interest for provision of ARFFS. If the aerodrome operator fails to attract any response to its expressions of interest to provide an ARFFS, Airservices Australia must provide the services.

In both cases CASA must approve the service provider's operations manual prior to commencement of service delivery.

If the aerodrome operator fails to attract any response to expressions of interest to provide an ARFFS, there will be a fall back position in the short term and the service will be provided by Airservices Australia.

This option provides greater flexibility for aerodrome operators as they can choose their own ARFFS providers.

4.       Impact of the Options

The new regulatory framework will enable CASA to apply legally binding safety standards for the provison of ARFFS. The regulatory options proposed for applying standards to ARFFS do not vary significantly from the existing requirements and standards, which have been established by CASA under a Memorandum of Understanding between CASA and Airservices Australia. Consequently the overall impact of the proposed regulations is likely to be relatively small.

However, better targeting of services to an aerodrome's operations, more consistent establishment criteria and greater opportunities for aerodrome operators to select their preferred ARFFS providers is expected to provide a small net benefit to the community as a whole.

Airservices Australia and its staff. Currently Airservices Australia offers a National Fire Service with a national approach to operational performance, standardisation, operational documentation, career paths, succession training, administration, equipment acquisition, recruitment, promotion and national transfer system. Where an airport owner decides to seek expressions of interest, but is unable to attract an alternative provider, Airservices will be the service provider.

Under the preferred Australian model Airservices Australia will have greater flexibility to adjust the service offered to specific aerodromes. This could reduce overhead costs and provide savings to the aviation industry and their customers compared to the existing arrangements.

Airservices Australia has a charging regime in place where-by the charges levied on the aviation industry are based on a cost per 1000kg loaded weight and are site specific. Each of the 16 locations where the ARFFS is located is provided by Airservices as a self support cost centre.

Some administrative functions, such as representations on safety standard committees, would be transferred to CASA. This ensures Airservices Australia is able to compete on an equal footing with other providers. The removal of regulatory functions from Airservices Australia also ensures the regulations operate in a competitively neutral manner.

The preferred Australian model is substantially consistent with Airservices Australia's current practice and complies with ICAO requirements. Although Airservices Australia requires its staff to be qualified in non-aviation fire training in addition to aviation fire training, the proposed model should not impose significant adjustment costs on Airservices Australia in meeting the AFFRS delivery standards.

Aerodrome operators. Aerodrome operators will face higher compliance costs under the preferred Australian model compared to the existing arrangements. Under the proposed Australian model the responsibility to ensure provision of ARFFS will rest with the aerodrome operator, where their aerodrome meets the specified criteria, not Airservices Australia. The actual provision of the ARFFS will rest with the provider contracted by the aerodrome operator.

To date aerodrome owners/operators have had a rapid response to all building fire calls, first aid calls and any other emergency incident that required expertise offered by the ARFFS on their aerodrome at no cost. Over time it is likely that aerodrome owners/operators will be charged for these services, whether the service continues to be provided by Airservices Australia or a private provider.

Greater use of user charges should improve efficiency by providing incentives for users to keep costs to a minimum to while maintaining services at ICAO levels. It should only impose marginally higher compliance costs in terms of determining whether a service is required and to find a provider. Currently Airservices Australia charges the aircraft operators for all ARFFS. However, it is likely that aerodrome operators would pass any ARFFS charges onto its customers including the aircraft owners.

Aerodrome operators could contract public and private service providers. However, if Commonwealth leased aerodrome operators wish to employ private providers they need to obtain Ministerial approval.

The aviation industry. There will be no significant impact on the aviation industry, as existing core safety standards will be maintained. Site specific charging for ARFFS are currently in place. More consistent establishment criteria for provision of ARFFS may increase costs to the aviation industry by providing greater encouragement to establish services at aerodromes not presently covered by ARFFS. These costs may be offset by potential cost savings associated with more appropriately targeted training and service provision requirements leading to greater efficiencies in the delivery of the services.

The travelling public. There should be no significant impact on the general public. ARFFS will continue to be provided to the public in accordance with ICAO requirements. The cost of providing ARFFS is currently incorporated in the cost framework of the airline ticket. Efficiency incentives in the delivery of ARFFS may lead to reduction in costs to the travelling public.

Prospective service providers. The preferred Australian model provides consistent standards of operation for both public and private providers to enable them to compete on an equal footing in the provision of ARFFS in a contestable environment. There are already a number of private providers in Australia that have the necessary qualifications to offer these services. These companies are Transfield and SERCO, which currently provide services under contract to the RAAF.

Other prospective service providers could include overseas providers or local fire brigades. However, these potential providers would need to purchase the appropriate vehicles to meet ICAO standards for entry into the ARFFS provider business.

In addition they would be required to ensure that fire-fighting staff had the necessary aviation fire competency qualification. However, operators other than Airservices would need to obtain Ministerial approval to provide a service at Commonwealth leased airports.

CASA. CASA's role will be to ensure that all ARFFS providers comply with the proposed regulations. Entry control processes for prospective providers will ensure that only those who are capable of providing effective and efficient services are certificated to do so. Newly approved service providers will be subject to close surveillance by CASA auditors to ensure compliance with standards before actual services are commissioned and thereafter. These processes are consistent with the procedures currently in place for enforcement of other safety standards.

Compliance management costs will increase particularly in the short term to ensure that application and audit processes are in place. Compliance audits of service providers will continue to be carried out by CASA.

CASA will need to broaden its role to encompass representation on various committees, including those associated with fire training competencies and standards development (both nationally and internationally). Airservices previously carried out this role.

Overall, the preferred Australian model is not likely to impose significant administration costs on CASA, as it requires all operators to meet the same minimum standards.

5.       Consultation Undertaken

The CASR Parts were developed under the auspices of an ARFFS Working Group, which had representation from the Department of Transport and Regional Services, Airservices Australia, the Department of Defence and CASA. The Office of Legal Drafting within the Attorney General's Department provided the legal drafting service.

A consultation document in the form of a Notice of Proposed Rule Making, NPRM 0002AS, titled 'Regulatory Standards for Rescue and Fire Fighting Service - Civil Aviation Safety Regulations (CASR) Part 139, Subpart H and Manual of Operational Standards Section 1 to 30' was distributed to aerodrome owners, aviation industry, emergency services, staff associations and other interested groups on the 29 February 2000. Responses to the NPRM closed on 26 April 2000. The NPRM availability was advertised in national newspapers and was also made available on the CASA Website: www.casa.gov.au.

Note: The Notice of Proposed Rule Making process is CASA's method of notifying and seeking comment from industry and the public with respect to proposed changes to rules. All submissions are evaluated and assessed with a view to incorporating any necessary changes to the draft regulations prior to their formal promulgation as law.

An industry briefing on the initial proposals took place in December 1999, followed up by another meeting in March 2000 to discuss the proposals in the NPRM. These briefings afforded interested parties within the aviation industry the opportunity to comment on the regulatory material.

First-draft copies of the proposed Regulation and the MOS have been available on the CASA Website since December 1999, and have invited informal comment. A number of inputs were received through this avenue.

Responses to the NPRM A total of 57 responses to the NPRM were received from private individuals and the following Government Authorities, Industry, Associations, Companies

and individuals:

•       Airservices Australia

•       Ansett Australia

•       Australian Defence Force

•       Australian Federation of Airline Pilots

•       Australian International Pilots' Association

•       Avalon Airport

•       Broome International Airport

•       Brisbane Airport Corporation

•       Cairns Port Authority

•       Department of Defence

•       Department of Immigration and Multicultural Affairs

•       Flight West Airlines

•       International Federation of Airline Pilots Association

•       Individual ARFFS Staff

•       Karratha Shire Council

•       Melbourne Airport

•       Qantas Airways Ltd

•       Qualpro

•       Regional Airlines Association of Australia

•       Rockhampton Airport

•       Town of Port Hedland

•       Transport South Australia

•       United Fire Fighters Union of Australia

•       University of New South Wales

•       West Australia Airports

All responses have been evaluated by CASA, a position was determined, and the draft regulations amended to reflect those comments that were accepted. This analysis was published in a "Summary of Responses". Many of the comments made by respondents have been accepted, and the draft rules modified accordingly.

NPRM support/non support

An analysis of the 57 responses received revealed:

•        3 supported the NPRM with no change,

•       41 sought either an explanation or a change to the document and

•       13 disagreed with the document.

Changes made to the original document

The NPRM process identified two issues of significance and the draft Regulations and MOS have been amended to reflect this feedback, as follows:

•       the removal of one option (level 2 in the NPRM) for criteria for establishment of ARFFS as it did not reflect the ICAO standard, and

•       the placement of the responsibility for the provision of ARFFS on the aerodrome owner/operator. The aerodrome owner/operator will have the responsibility of ensuring that an ARFFS is provided. The service provider will have the responsibility for providing a service at the level required.

Originally the linkage of the ARFFS to the aerodrome owner/ operator was taken with the view that it would be easily placed within the framework of the aerodrome licence and would harmonise with practices adopted around the world. It was also felt that linking the ARFFS to the aerodrome owner/ operator would balance the economies of scale in favour of the aerodrome owner/ operator, based on aerodrome assets protection in addition to aviation responses.

The majority of comment related to minor detail and explanations, which has been addressed in the "Summary of Responses". The Regulation and MOS have been amended, where possible, to address the comments made.

6.       Conclusion and Recommended Option

The recommended regulatory approach (Option 3 - the preferred Australian model) is the establishment of regulatory material in the form of requirements in CASR Part 139 with scheduled technical standards in a Manual of Standards. This structure has been developed by the Attorney-General's Department under instruction from CASA.

A regulatory regime is necessary to:

•       comply with Government direction to establish minimum mandatory safety requirements for ARFFS provision;

•       ensure compliance with international aviation standards of ICAO for International airports and domestic air transport aircraft where 350,000 passengers pass through an aerodrome in any one year;

•       ensure compliance to CASA standards for air transport where through passenger are less than 350,000 in any one year and an ARFFS has been published as a provision of service under the criteria in Level 2 of the Manual of Standards;

•       comply with Australian obligations under the International Convention on Civil Aviation (ICAO); and

•       comply with normal CASA practice in the preparation of aviation regulatory requirements and standards.

The preferred regulatory approach is favoured because it lets providers make their own decisions as to how to meet the standards. It also ensures that an adequate level of safety is maintained; that all potential providers operate on a level playing field; and that Australia meets its international obligations.

7.       Implementation and Review

The approach adopted for the regulatory material is the establishment of principle-based, normative standards for entry control, licensing and on-going operations, which are proposed to be issued as separate Parts of the Civil Aviation Safety Regulations 1998, issued under the Civil Aviation Act.

The principle-based material defines both operational requirements and technical standards to ensure performance, which providers must put into practice. The material in the Parts is basically a mixture of prescriptive and non-prescriptive standards. The mandatory requirements cover application, approval, and the day-to-day operations of service providers. The lower level technical standards, pertaining to the mandatory requirements in the Parts are separately presented in a CASA Manual of Standards (MOS). These are mostly detailed technical or procedural standards necessary as the minimum for safety assurance. They are equivalent to those standards and procedures to which Airservices Australia presently operates its services.

The MOS will be legislative material scheduled by the Regulations. It is the first time that CASA has used this MOS approach, which was recommended by the Attorney-General's Department. The MOS permits relevant, highly technical standards to be presented in non-legal, technical form as a regulatory schedule. The MOS material, as with the regulations themselves, is disallowable by the Parliament.

The individual Parts and the MOS will, in turn, be supported as necessary by non-regulatory guidance material in the form of Advisory Circulars (ACs). This guidance material will be produced after the regulatory material is in place, and will provide one or more ways of complying with the CASR Parts and the associated scheduled technical standards within the MOS.

Following the making of the proposed legislation, there will be a period of implementation, which is expected to be for a minimum of 12 months. This period will provide the opportunity for refinement of the initial package, and for service providers and CASA to set in place the necessary arrangements to establish and meet the requirements of the CASR Parts. It is anticipated that there will be some amendments required to the regulations and the supporting MOS during this period, and then less frequently later. These amendments will be managed by CASA under normal NPRM and RIS processes.

Civil Aviation Safety Regulations in a number of areas relevant to the administration of approvals - variations, suspension and cancellation of approvals were not included in the NPRM 0002AS, Part 139 H. Such administrative aspects of approvals are generally applicable across all of CASA's regulatory functions, and for that reason it was proposed to include them separately in a discrete CASR Part with the appropriate cross-reference included in Part 139. The necessary provisions have now been fully included in the Part 139 Subpart H final rules.

The final proposed legislation, will be passed as a package to the Secretary of the DoTRS. DoTRS, in conjunction with CASA and the Attorney-General's Department, will arrange for Ministerial approval, submission to EXCO, parliamentary tabling, and the making of the legislation by the Governor-General.

Review of Legislation: CASA will closely monitor the operation of the legislation in the first twelve months. Regardless of whether or not there is any interest by prospective providers in the private sector, it will be necessary for Airservices Australia to gain approvals against Part 139. It is anticipated that fine-tuning of the legislation will result from this early experience, and normal legislative amendment processes will undertake the revision of any unworkable aspects. CASA will maintain close contact with Airservices Australia and any prospective private providers in order to monitor any specific problem areas.

The NPRM included options 1-3 and B as discussed in the RIS. No consultation was undertaken on Option A. This option has been added to the RIS for comparison purposes only.

CIVIL AVIATION SAFETY AUTHORITY AUSTRALIA

Regulation Impact Statement

CASA # 0003

Regulatory Framework

for

Air Traffic Services

and related services and functions

Civil Aviation Safety Regulations

(CASRs) -- Parts 172, 171, 65 and 143

and

Manual of Standards - Parts 172, 171, 65 and 143

APPROVED

Table of Contents

Abbreviations & Explanation of Terminology

1. The Issue

2. Objective

The international and national environment in relation to ATS and supporting services

3. Options

The ICAO standards relevant to ATS and support service provision

Options for regulation of standards

Description of the regulatory framework proposed

Overview of the proposed regulations

4. Impact analysis

5. Consultation undertaken

6. Conclusion and recommended option

7. Implementation and review

Abbreviations

AC        Advisory Circular

ANTA        Australian National Training Authority

ARFFS        Aerodrome Rescue and Fire Fighting Services

ATEL/ANAV Aeronautical Telecommunication and Radio-navigation services

ATS         Air Traffic Services

CAR         Civil Aviation Regulation

DOTRS        Department of Transport and Regional Services

DRAS        Draft Regulatory Arrangements and Standards

CASA        Civil Aviation Safety Authority

CASR        Civil Aviation Safety Regulation

FAA        Federal Aviation Administration of the U.S.A.

JAA        (European) Joint Aviation Administration

ICAO        International Civil Aviation Organisation

MATS         Manual of Air Traffic Services

MOS        CASA Manual of Standards

NPRM         Notice of Proposed Rule Making

PANS        Procedures for Air Navigation Services

RIS        Regulation Impact Statement

SARPS        ICAO Standards and Recommended Practices

Explanation of Terminology

Air Traffic Services (ATS). Based on the definitions of the International Civil Aviation Organisation (ICAO), the functions of ATS are:

•       to facilitate the safe and efficient conduct of aircraft flights;

•       to facilitate the safe movement of aircraft on the maneuvering areas of aerodromes;

•       to facilitate and maintain a safe, orderly and expeditious flow of air traffic;

•       to provide advice and information that is necessary for the safe and efficient conduct of flights; and

•       to notify appropriate organisations about aircraft in need of search and rescue aid, and to assist those organisations.

ATS providers are organisations that operate any aerodrome control service, area control service, approach control service, flight information service, or search and rescue alerting service.

ATS training providers are organisations that provide the initial training of air traffic controllers and flight service officers leading to the award of a CASA issued ATS licence.

The aeronautical telecommunication and radionavigation services (ATEL and ANAV). Consistent with the ICAO definitions, the aeronautical telecommunication services are the following ground based services supporting ATS or aeronautical radio-navigation:

•       Aeronautical broadcasting service. A broadcasting service intended for the transmission of information relating to air navigation.

•       Aeronautical fixed service. A telecommunication service between specified fixed points provided primarily for the safety of air navigation and for the regular, efficient and economical operation of air services.

•       Aeronautical fixed telecommunication network. A world-wide system of aeronautical fixed circuits provided, as part of the aeronautical fixed service, for the exchange of messages and/or digital data between aeronautical fixed stations having the same or compatible communication characteristics.

•       Aeronautical mobile service. A mobile service between aeronautical stations and aircraft stations, used to support an air traffic service in which survival craft stations may participate; emergency position-indicating radio beacon stations may also participate in this service on distress and emergency frequencies.

•       Aeronautical radio-navigation service. A radio navigation service intended for the benefit and for the safe operation of aircraft. Note that radio navigation includes radio determination (radar) services.

•       Aeronautical telecommunication service. A telecommunication service provided for any aeronautical purpose, including any system that processes or displays air traffic control data.

ATEL and ANAV providers provide the facility engineering and technical maintenance involved in installing, operating and maintaining the telecommunication infrastructure which supports ATS, and which provides radio navigation facilities to aircraft.

The International Civil Aviation Organisation (ICAO). ICAO is a United Nations body established under the Convention on International Civil Aviation (also termed the Chicago Convention 1944), which coordinates the safety and efficiency of international air transport. To achieve its aims, ICAO establishes and promulgates international Standards And Recommended Practices (SARPs) considered necessary for the safety and efficiency of air navigation and for uniform application by contracting States. The SARPs are published as Annexes to the Convention. Australia, as a member of ICAO, is obliged to comply with the ICAO standards unless a difference is notified to ICAO. In practice, Australia normally complies with the standards. Where compliance is not possible, or where Australian practice differs, Australia has notified ICAO of the difference, and has also published such material in the Australian Aeronautical Information Publication (AIP) for purposes of advising operational personnel.

1.       The Issue

CASA is responsible for developing and promulgating aviation safety standards. However, no regulations have been made to regulate services provided by Airservices Australia, such as the provision of air traffic services and aerodrome rescue and firefighting services.

A Memorandum of Understanding was entered into between CASA and Airservices Australia to provide the basis for the surveillance and safety audit of Airservices and as a policy statement of the standards to which Airservices would comply. Even though the MOU envisaged the creation of regulatory requirements by CASA to enable safety oversight of Airservices, no such regulations were made.

CASA's standards and requirements relating to its safety regulation of Airservices are documented in a document titled 'Safety Regulation of Airservices Australia and Aerodrome Rescue and Firefighting Service Providers - Final Draft Regulatory Arrangements and Standards ' dated April 1996. While the document accurately reflects current arrangements, it was never formally endorsed by the two agencies.

The Government recognised this continuing gap in safety regulation and directed CASA to develop appropriate standards governing services currently provided by Airservices Australia.

The regulatory framework will not permit the provision of air traffic control by providers other than Airservices Australia (or where appropriate, the Australian Defence Force). If control tower services were made contestable in the future, however, the framework would apply to other providers. The provision of aeronautical telecommunications and air traffic controller training services by providers other than Airservices Australia is, however, possible.

2.       Objective

The Government's objectives are to ensure that:

•       ATS and related services are provided safely and efficiently;

•       minimum safety standards comply with Australia's international obligations under the Convention on International Civil Aviation.

In addition, the CASA Board seeks 'world best practice' through adoption of proven safe aviation practices, which result in safety resources being most effectively allocated to ensure optimum safety and, to the extent possible, to harmonise Australian practice with that of other leading aviation nations.

The international and national environment in relation to ATS and supporting services

Overseas practices. A number of countries have already adopted a regulatory regime that separates the service provider from the safety regulator. These countries include the United Kingdom, New Zealand and Canada. These countries set high safety standards that establish a similar level of coverage and safety to Australia's.

Current regulatory arrangements in Australia. Under section 9(c) of the Civil Aviation Act 1988, CASA has the responsibility for the establishment of aviation safety standards and the issuing of certificates and licences. Under section 98 of the same Act, regulations may be made relating to the planning, construction, establishment, maintenance, operation and use of ATS and ATEL/ANAV services, and also to the qualifications and competencies of personnel engaged in the provision of those services.

Under section 8 of the Air Services Act 1995, Airservices Australia is currently responsible for, inter-alia, providing facilities to provide for the safe navigation of aircraft within Australian administered airspace, and for the provision of ATS and ATEL/ANAV services for the purpose of giving effect to the Chicago Convention or otherwise for purposes relating to the safety, regularity or efficiency of air navigation. ATS personnel training and licensing is undertaken by Airservices Australia under the authority of regulatory power delegated to it by CASA.

Existing regulations governing Australian ATS. The existing Australian regulations covering ATS are:

CAR 1988 Part 1, CAR 2, Interpretation

CAR 1988 PART IXB Division 1, CARs 99AA to 118 inclusive

Air Services Regulations Part 1, 2, 3 and 4.

These regulations do not establish standards for service provision. They essentially relate to operational requirements on aircraft, the classification of airspace, and the requirement for air traffic controllers and flight service officers to hold a personal licence.

Existing administrative arrangements in place between CASA and Airservices Australia for ATS provision. A Memorandum of Understanding (MOU) signed in July 1995 between CASA and Airservices Australia contains the administrative arrangements and the high level standards presently applicable to the provision of ATS and related services. The standards are included in an attachment to the MOU termed "Draft Regulatory Arrangements and Standards" (DRAS). Airservices Australia, in complying with the DRAS, has in place internal operational standards, procedures and practices which are published in a number of documents, the most significant of which is the Australian Manual of Air Traffic Services (MATS), as well as technical policy directives and other technical and safety assurance instructions and manuals. These documents, together with the relevant ICAO standards, form the baseline of the standards presently applicable to ATS service provision in Australia.

3.       Options

At the outset, consideration was given to the basic approach to be adopted.

The feasible options available in that regard are:

•       Option 1: Non-regulatory arrangements (i.e., guidance material);

•       Option 2: Self regulation by the providers;

•       Option 3: Regulation by CASA.

Options 1 and 2. Adoption of a non-regulatory or self-regulatory approach could not guarantee that Australia would meet its ICAO obligations. Option 1 and 2 were therefore rejected on the basis of this consideration.

Option 3 (the selected option). ATS is one of the central pillars supporting aviation safety; its provision in accordance with specified standards is axiomatic to safety. As a Member State of ICAO, Australia is obligated to ensure that ATS and its supporting ATEL/ANAV services are uniformly provided in accordance with the ICAO standards. For this reason alone, regulation by a national regulatory authority is essential. It is also CASA policy that critical aviation safety requirements have a legislative basis, with appropriate enforcement powers and penalties to encourage compliance and stop unsafe practices from continuing when found to occur.

The ICAO standards relevant to ATS and support service provision

The ICAO Standards and Recommended Practices (SARPS) primarily relevant to ATS service provision are contained in:

•       Annex 1: 'Personnel Licensing';

•       Annex 10: 'Aeronautical Telecommunications';

•       Annex 11: 'Air Traffic Services';

•       ICAO Doc 4444-RAC/501 'Procedures for Air Navigation Services - Rules of the Air and Air Traffic Services'; (Note: Doc 4444 is an ICAO PANS, not an Annex. It contains "recommendations", not SARPs as contained in the Annexes. However, CASA effectively treats the "PANs recommendations" as "recommended practices".

•       ICAO Doc 9426-AN/924 'Air Traffic Service Planning Manual'; (guidance material).

The Annexes contain the ICAO SARPs adopted by the Council of ICAO. As a signatory to the Convention, Australia is obliged to comply or notify a difference between its standards or practices and the ICAO standards.

The ICAO SARPs and related material apply to the airspace under the jurisdiction of Australia (ie the Australian territory and territorial waters) and also wherever Australia has accepted the responsibility of providing air traffic services over the high seas and in airspace of undetermined sovereignty. Accordingly, the ICAO standards apply equally to international and domestic aviation.

•       Standard is defined by ICAO as any specification for physical characteristics, configuration, materiel, performance, personnel or procedure, the uniform application of which is recognised as necessary for the safety or regularity of international air navigation and to which contracting states will conform in accordance with the Convention; in the event of impossibility of compliance, notification to the Council is compulsory under Article 38.

Differences between Australia and ICAO. Australia has notified ICAO of the differences (i.e. non-compliance or a different approach) which exist between the Australian standards and procedures and the SARPs in Annex 1 and Annex 11. The Australian differences are, in the main, minor in nature and generally relate to different procedures which have been adopted rather than the absence of any form of compliance. No differences have been filed in relation to Annex 10. Those differences filed by Australia are also published by CASA in the Australian Aeronautical Information Publication (AIP GEN 1.7) so that users in the aviation industry are made aware of the differences. The recommendations in DOC 4444 complement the provisions in the Annexes, but do not have the status of standards, and differences are not published.

Content of the ICAO Annexes.

•       Annex 1 contains SARPs relevant to aviation personnel licensing. The licensing requirements cover air traffic controllers (as well as other non-ATS personnel - aircrew, flight operations officers, aeronautical station operators, and aircraft maintenance personnel).

•       Annex 11 pertains to the establishment of airspace, air traffic units and services necessary to promote a safe, orderly and expeditious flow of air traffic. Distinction is made between an air traffic control service, a flight information service, and an alerting service. Its purpose is to ensure that flying on international routes is carried out under uniform conditions designed for the safety and efficiency of air operations.

•       Annex 10 includes SARPs relevant to aeronautical telecommunications, including the design and operation of radio navigation aids, radio communication systems, surveillance radar and collision avoidance systems, communication procedures, and aeronautical radio frequency spectrum utilisation.

•       DOC 4444 includes the procedures to be used for air traffic control and flight information service.

The material in the above ICAO documents ranges from principle based, non-prescriptive general requirements, to highly prescriptive detailed requirements and specifications (e.g. in certain areas of Annex 10 where air traffic control equipment and communication/coordination radiotelephony protocols are specified).

Australian ATS related standards, rules and procedures which are additional to ICAO. The following are the salient areas where the existing Australian standards (as presently contained in the DRAS, or MATS or other Airservices Australia internal technical documentation) are additional to the ICAO standards:

•       ATS and ATEL/ANAV service providers

a)       requirement for operations manuals (equivalent to the Airservices MATS);

b)       facilities and equipment specifications;

c)       personnel;

d)       training and checking;

e)       safety management system;

f)       contingency plans;

g)       security programs;

h)       facility operations and maintenance plans;

i)       fault and defect reporting;

j)       documents and records.

•       ATS training providers

a)        establishment of a regime for ATS Training Providers, involving:

(i)        approval and certification by the regulator;

(ii)        standards for training;

(iii)        requirements for and qualifications of personnel;

(iv)        reference materials; and

(v)        records system;

b)        extension of the system appropriating "authority to act" for individual personnel providing air traffic services, involving:

(i)        a licence and various annotations upon the licence: ratings; endorsements and qualifications

(ii)        extensive requirements for currency and recency of ratings and endorsements comprising periodic written examinations and performance assessments; and

(iii)        flexible standards for ATS-specific qualifications to be determined by ATS providers on a case-by-case basis.

Underlying these Australian standards is a comprehensive training regime comprising both theory and practical components leading to the issue of an ATS licence. These are based on high level competencies and extensive Learning Objectives and Skills Objectives that derive from them.

Discussion of the Australian standards and practices. With exceptions such as some items of facilities and equipment, ICAO has not issued SARPS for the items listed above. DOC 9426 contains guidance material and in many cases CASA has specified guidance material as the standard.

For instance, in relation to control towers, ICAO specifies a standard in Annex 11 Chapter 6 for communications equipment for aerodrome control services, but does not have a standard for design, siting, construction, equipping and maintenance of control towers. Australian ATS requirements call up this Annex 11 standard, but add to the guidance material by setting standards to ensure that an aerodrome controller will have adequate visibility of the maneuvering area of the aerodrome under control. Similarly, the need for a contingency plan is referred to in the guidance material, however, CASA believes it is in the interests of the safety of air navigation for an ATS provider to have such a plan to provide for a systematic and fast response in emergency situations.

•       Standards for the provision of ATS. Annex 10 Volume II, Annex 11 and Doc 4444 are the relevant ICAO standards and recommended practices. Section 9 of the MOS (extracted from the MATS) contains the technical standards that ensure the separation of aircraft. Many of these standards are additional to those contained in Doc 4444 and provide for more flexibility (and therefore more efficiency) in the operation of the air traffic system, while maintaining the required level of safety. These 'separation standards' are not onerous on the provider, rather, they provide more options.

•       Authority for individuals to act as ATS personnel. ICAO has not issued SARPS for the authorisation to act in the number of functions required for the safe and orderly provision of air traffic services in the sophisticated Australian aviation environment. Neither has ICAO developed standards for the maintenance of proficiency necessary for the continuation of those services at an appropriate level. Matters of suspension, cancellation and reinstatement of authorities to act have not been developed to the extent necessary for an efficient level of provision. Neither do the ICAO SARPs sufficiently address the generic Australian industrial culture.

•       Standards for ATS training providers. The standards additional to those contained in ICAO Annex 1 are confined to personnel licensing and the rudimentary training requirements that underlie it. Their purpose is to serve as a high level "head of power" for the certification of entities intending to provide training appropriate to the highly developed standard of the Australian ATS system. This approach is consistent with procedures already established for the licensing of Australian flying schools and other support services, (e.g. Rescue and Fire Fighting Service and aircraft maintenance organisations). The strategy stands alongside a process to involve recognition by the Australian National Training Authority (ANTA) of ATC competency standards and includes a requirement for ATS training providers providing training to these competencies to qualify as Registered Training Organisations in accordance with the Australian Recognition Framework. This conforms to broad, contemporary Australian government policy and ensures that while the necessary level of safety is maintained, the opportunity is presented for any suitable organisations, both government and those commercially owned and operated, to provide services.

In summary, the CASA standards that are additional to ICAO are considered the minimum necessary for the continued safe provision of air traffic services in Australia.

Options for the regulation of standards

Taking into account the considerations of the discussion in section 5, the options for a feasible Australian regulatory approach are limited. Any selected option needs to regulate at least to the level of the international standards in order to comply with Australian treaty obligations. Accordingly, there are only two feasible options, these being:

Option A. Legislate to meet only the international standards of ICAO with no additional Australian requirements beyond those essential to make the standards operational.

Option B: Legislate to meet the level of the international standards of ICAO and for those Australian standards and procedures presently applicable to Airservices Australia. This effectively involves the conversion of the existing administratively based standards to regulatory standards that will become applicable to all Australian providers. This option effectively maintains the existing safety standards for service provision.

Option B is the preferred option. Its adoption does not create any noticeable change to ATS users in the aviation industry, or the travelling public, as ATS will continue to be provided to the same standards. On the other hand, Option A could lead to differences in local practices with resultant problems in inter-unit practices and co-ordination, and reduction in safety levels, with possible occurrences of aircraft separation breakdowns and related incidents or accidents.

Discussion of option A. In the provision of air traffic services, Australia has always complied essentially with the ICAO SARPS and recommendations. Section 9(3) of the Air Services Act specifically requires that Airservices Australia must perform its functions to give effect to the Chicago Convention. The new regulations must, at a minimum, ensure that other service providers will also similarly comply with the ICAO standards.

The weaknesses with option A are:

•       The ICAO standards are general in some areas and prescriptive in others depending upon the context. Where the standards are general, member states will always adopt procedures or practices which are most suited to local requirements. This is recognised by ICAO in specifically giving the responsibility for the implementation of procedures to states. States accordingly have some flexibility to adopt procedures which best satisfy their actual operations. In addition, many of the existing Australian procedures developed by Airservices Australia go beyond the ICAO standards.

•       ICAO caters for all member states, and while many use recommended practices and guidance material as the 'standard', it would create an unacceptable burden on some states to impose such matters as mandatory 'standards'. The corollary of this is that there are some States whose systems are necessarily so complex or whose level of institutional sophistication is so much greater than the median that the ICAO SARPs do not extend sufficiently far to meet their desired level of standardisation and safety. And, as a matter of generality, the technology and procedures integral to air traffic services have developed at such a pace over recent years that ICAO, reliant as it is upon a consensus of contracting States, has been unable to broaden the scope of its SARPs sufficiently to keep pace.

•       As Airservices Australia will remain the predominant Australian ATS provider, (the government has stated that all national en-route and approach services will remain the province of Airservices Australia), any new provider will necessarily have to interface operationally with Airservices Australia. Entry of other providers to ATS provision can only operate successfully if ATS continues to be delivered seamlessly throughout Australia. A seamless system needs to prevail because of the necessity for inter-unit aircraft control coordination and hand-offs, for consistency of separation standards and communication protocols, etc. At the aircrew end, continuation of the existing standards will ensure that pilot procedures and responses to ATS continue unchanged. Any other approach would lead to significant confusion to pilots, with obvious safety ramifications. This means that any change must occur gradually and be applied across-the-board.

•       The Department of Defence is a major user of the civil ATS system, and conversely, the civil ATS system uses the Department of Defence system at a number of joint-user aerodromes. Both the civil and Defence ATS systems are presently completely compatible. However, any change to the existing civil standards would have an impact on the Defence ATS system. The Department of Defence has been involved with the development of the proposed regulatory framework and agrees with the framework developed.

•       Under option A, Australia-wide standardisation of ATS, and maintenance of existing safety levels, would not be mandated or guaranteed.

Discussion of option B. Option B represents continuation of the existing Australian standards, and safety levels. Over the years that ATS has been provided in Australia, the Australian standards and practices have remained in compliance with the ICAO standards, while being constantly developed and adapted as technology advances and as necessary to suit Australian requirements.

•       Option B will ensure that ATS and related services continue to be provided to the same standards as provided currently by Airservices Australia.

•       The existing Australian system is world leading; in 1999 the International Air Transport Association named Airservices Australia as the world's best ATS provider. The Australian Advanced Air Traffic System (TAAATS), which provides the operating platform for most of the Australian air traffic control system integrates processors, radar and communication systems and is the most advanced air traffic control system in the world. It has been designed to satisfy both ICAO and Australian standards.

Option B recognises Australia's world-leading standards and capability, and regulates for its continuance.

•       Considering that the safety record of new organisations entering the market has yet to be established, it would be prudent to maintain similar standards to that currently applicable to Airservices Australia.

Description of the regulatory framework proposed

Separate CASR Parts are proposed for each separate service/function. As there is an absence of corresponding FAA or JAA rules for these Parts, and as Canada and the UK use different numbering systems to the FAR Parts, the CASR Parts proposed for the Australian regulations in the table below are the same as those part numbers that NZ has put in place, thereby providing for trans-Tasman harmonisation.

CASR Part No.	CASR Part Title
CASR Part 65	Training and Licensing of Air Traffic Service Personnel
CASR Part 71 (not included in this RIS)	Airspace
CASR Part No.	CASR Part Title
CASR Part 143	Air Traffic Service Training Providers
CASR Part 171	Aeronautical Telecommunication and Radio Navigation Service Providers
CASR Part 172	Air Traffic Service Providers

The approach proposed for the regulatory material is the establishment of principle-based, normative standards for entry control, licensing and on-going operations, which are proposed to be issued as separate Parts of the Civil Aviation Safety Regulations 1998, issued under the Civil Aviation Act. The principle-based material defines both required processes and technical standards which providers must put into practice. The material in the Parts is basically non-prescriptive, the mandatory requirements covering application, approval, and the day-to-day operations of service providers. The lower level technical standards pertaining to the mandatory requirements in the Parts are separately presented in a CASA Manual of Standards (MOS). These are mostly detailed technical or procedural standards necessary as the minimum for safety assurance. They are equivalent to those standards and procedures to which Airservices Australia presently operates its services.

The MOS will be incorporated by reference in the Regulations. The MOS permits relevant, highly technical standards to be presented in non-legal, technical form as a regulatory schedule. The types of standards included are air traffic separation standards, facility specifications, tower siting and visibility requirements, safety management standards and training competency standards.

The individual Parts and the MOS are, in turn, supported as necessary by non-regulatory guidance material in the form of Advisory Circulars (ACs).

This guidance material will be produced after the regulatory material is in place, and will provide one or more ways of complying with the CASR Parts and the associated scheduled technical standards within the MOS.

Other forms for establishing the regulatory material were initially considered but quickly discarded. These included outcome based standards and the publication of the MOS material as guidance rather than regulatory material. The reasons for not selecting these as the basis of the legislation were:

•       The ICAO standards are mainly principle based, rather than outcome or output based.

•       The existing Airservices Australia standards on which the MOS material is based must be complied with by Airservices Australia ATS personnel. Similar mandatory compliance by any other service providers is therefore also necessary.

•       It is CASA policy to regulate aviation by principle based standards.

(Note that for the ATS training function, the approach taken in Parts 65 and 143 leads to the attainment of competence and is thus outcome oriented. This is an exception to the general approach of principle based regulation).

Regulatory approach proposed for adoption of the ICAO standards. It is proposed that within Parts 171 and 172 the ICAO standards are scheduled by reference within the regulations. The approach proposed in Parts 65 and 143 differs in that the intent of the ICAO material has been included within the regulations rather than scheduled. This is because Part 65 is based on the Australian ATS personnel licensing practices.

This approach will ensure that the ICAO standards have appropriate regulatory authority in each of the Parts.

Overview of the Proposed Regulations

Overview of Part 172 ATS Providers. The purpose of Part 172 is to prescribe how an entity becomes an ATS service provider, and includes:

•       the functions of ATS providers;

•       who can provide these services;

•       what is required to accompany an application for an ATS Provider's Certificate;

•       the requirements and standards for compliance, including:

a)       the Operations Manual,

b)       aircraft separation,

c)       the provider's organisation, facilities and equipment, personnel, and check and training system, interface arrangements, safety management system and records, and

d)       discontinuance of the service.

•       Overview of Part 171 ATEL/ANAV Providers The purpose of Part 171 is to prescribe how an entity becomes an ATEL and/or ANAV service provider to the aviation industry. If a person or organisation is an ATEL service provider, the service will normally be in support of an ATS provided under Part 172.

If a person or organisation is an ANAV provider only, the service provided will normally be a radio- navigation service provided directly to aircraft. Part 171 includes entry control processes which a person or organisation is required to undertake in order to gain CASA approval to be a provider, and standards and procedures required of service providers' day-to-day operations.

Overview of Part 65 ATS Licensing. The purpose of Part 65 is to establish and define a firm hierarchy of "authority to act" for individual personnel providing air traffic services. This comprises a licence and various annotations upon the licence: ratings, endorsements and qualifications. Ratings define the generic functions in terms of the operational categories designated by ICAO. Endorsements describe discrete functional activities authorised within specific portions of airspace or at designated operating positions. This arrangement is aligned with ICAO Standards and Recommended Practices and is designed to meet contemporary operational requirements in an environment that will accommodate multiple providers. In particular, the new Part establishes unambiguous requirements for currency and recency of ratings and endorsements and provides for flexible standards for ATS-specific qualifications to be determined by providers on a case-by-case basis.

Part 65 prescribes both theory and practical training components leading to the issue of an ATS licence. These are based on high-level competencies and comprehensive learning objectives and skills objectives that underlie them.

Overview of Part 143 ATS Training Providers. The purpose of Part 143 is to serve as a high level "head of power" and to incorporate standards for the certification of entities intending to provide training, either in part or complete, for the attainment of qualifications leading to the issue of an ATS licence.

The proposed approach is consistent with the procedures that have been established for, among other things:

•       The licensing of Australian flying schools (ANO 80.1);

•       CASA accreditation of training establishments of other civil aviation support services (ARFFS and aircraft maintenance);

•       ANTA's Australian Recognition Framework;

•       Overseas practice for ATS training providers (UK, USA, Canada & NZ).

This strategy stands alongside a process to involve recognition by the Australian National Training Authority (ANTA) of ATC competency standards and includes a requirement for entities providing training to these competencies to qualify as registered training providers under the auspices of ANTA.

This Part, together with Part 65, prescribes the requirements for the issue of an ATS Training Provider's Certificate and the operating rules under which an ATS Training Provider:

•       conducts training for ATS personnel;

•       examines ATS personnel;

•       conducts competency assessment of ATS personnel; and

•       grants education qualifications.

4. Impact analysis

Aerodrome operators. Under Option A or B, aerodrome operators' responsibilities in relation to future ATS service provision have not been affected by the proposed regulatory framework and standards for ATS or ATEL/ANAV service provision. In the future aerodrome operators may be better placed to decide on service levels that best suit the aerodrome, its users and local community requirements, consistent with CASA's minimum service level criteria (to be published under CASR Part 71). If the provision of control tower services is opened to competition, aerodrome operators may decide to become ATS and related service providers, or may contract to specialist providers. Under option A, there may be more flexibility for aerodrome operators as the standards are not as strictly applied as under the preferred option.

The major airlines. Services to major airlines should not be directly affected by the preferred regulatory framework as the current safety standards and practices are being maintained. However, the major airlines have advised CASA that they will not give full support to the proposal until the economic arrangements under which the system of private service provision will operate are made known. (This is a DOTRS responsibility).

The aviation industry. Services to the aviation industry should not be directly affected by the new regulatory framework as current safety standards and practices are being maintained under the preferred option. Some in the industry have concerns that safety levels will be eroded as a result of commercial pressures. However, CASA's preferred approach was designed to maintain existing safety standards, regardless of the service provider. Operators of flying schools, charter services, and other commercial aviation organisations may, in conjunction with the aerodrome operator, co-operatively decide to provide an air traffic service at the aerodrome at which they are based.

The travelling public. Services to the travelling public should not be directly affected by the new regulatory framework as current safety standards and practices are being maintained under the preferred option. Over time the public travelling by air may benefit by way of reduced ticket prices if there is a reduction in the costs of service provision. However, such effects are not likely to be significant, as the existing ATS cost component in passenger ticket prices is less than 5% of the total price.

The general public. There will be no significant impact on the general public.

Airservices Australia. Airservices Australia will be required to meet the CASA regulations by becoming an approved service provider under the new regulations. Option B will not create any significant impact on Airservices Australia (other than the necessity to gain CASA approval as a provider) as it is anticipated that Airservices Australia will continue to provide its services to those existing standards of service provision, as represented by Option B. Option A would allow Airservices Australia to vary service standards to the level allowed under that option. As discussed earlier, if it resulted in differing safety practices across Australia this could affect the ability of service providers to inter-face with Airservices, which would have adverse safety consequences.

Prospective Australian service providers. Subject to the Government deciding to introduce contestability into the provision of air traffic control tower services, it is anticipated that a number of organisations will establish themselves in the market to provide ATS, ATEL/ANAV, and training services leading to personnel licences for air traffic controllers, thus providing commercial and employment opportunities. There are a few organisations within Australia that have the appropriate qualifications and could meet the proposed standards (which are currently practised by Airservices Australia) and become an approved service provider. Any potential entrant would need to make a significant commitment to prepare their operational procedures and related documentation (i.e. operations manual) to meet the standards. The requirements would be more stringent under Option B than Option A. However, the requirements of Option B are no more onerous than the requirements and regulatory approach applied to other sectors of the aviation sector in Australia and in other leading aviation nations.

Similarly, it would be possible for foreign ATS operators to enter the Australian market. However, there are differences between Australian and overseas air traffic controller personnel licensing (eg operational and endorsement systems). For example, the ratings system establishes a licensed controller's competency for the different operational functions of air traffic control as practised in Australia (these are termed ATC streams) and includes aerodrome control, approach control, and area control. The endorsements are given in relation to demonstrated competencies within a stream for operations at a particular geographic unit taking account of the local procedures. Whether under Option A or B, this means it is unlikely that Australia could ever fully accept overseas ATS personnel qualifications. Overseas service providers would need to retrain some staff or employ some Australian qualified personnel. This may make it more difficult for foreign ATS providers to compete in the market, but it does not create an insurmountable barrier to entry. Greater use of mutual recognition may reduce this barrier over time. Closer trans-Tasman mutual recognition of aviation approvals generally, including personnel licences, is an on-going project.

CASA. CASA's role will be to ensure that any entity wishing to provide ATS and related services does so according to the regulations, regardless of which option is selected (some of these functions are presently administered by Airservices Australia). Entry control processes for prospective operators will ensure that only those who are capable of providing safe services are approved to do so. Newly-approved service providers will be subject to close surveillance by CASA safety auditors to ensure compliance with standards, both before actual services are commissioned and thereafter.

Option A would be more difficult for CASA to monitor and enforce as that option does not include across-the-board standards which cover all aspects of service provision.

Department of Defence. There will be no noticeable impact on Department of Defence aviation operations from the adoption of Option B, as compatibility between the civil and Defence ATS systems is being maintained. If Option A were adopted, any ensuing change to the standards practised by any civil unit would create a possible safety impact as a result of the inevitable loss of compatibility of the two systems.

Effect on the environment by implementing this proposal. The changes to the current legislation will not create any discernible change to, or impact on, the environment.

Effect on existing Acts and Regulations. The extent to which any changes to existing higher level statutory legislation, in particular to the Air Services Act and the Civil Aviation Act, together with the consequent need to amend the Air Services Regulations and the Civil Aviation Regulations 1998 is presently being examined and coordinated by DoTRS, in conjunction with CASA and the Attorney-General's Department. Consequential regulatory revisions are not covered within this RIS. Such revisions will have to be separately progressed following the receipt of the government's directions on its intention and timing in relation to transitional arrangements.

5.       Consultation undertaken

The CASR Parts were developed under the auspices of an ATS Working Group which had representation from the Department of Transport and Regional Services, Airservices Australia, the Department of Defence, and CASA. The Office of Legislative Drafting (OLD) within the Attorney General's Department provided the legal drafting service.

The Notice of Proposed Rule Making (NPRM) process is CASA's method of notifying and seeking comment from industry and the public with respect to proposed changes to rules. All submissions are evaluated and assessed with a view to incorporating any necessary changes to the draft regulations prior to their formal promulgation as law.

NPRM 0001AS, titled 'Regulatory Standards for Airspace, Air Traffic Services and Aeronautical Telecommunications - CASR Parts 171 and 172 and Manual of Operational Standards - Parts 171 and 172' was published to invite public and aviation community comment on 28 February 2000. NPRM 0003AS titled 'Regulatory Standards for Training and Licensing of Air Traffic Service Personnel, CASR Part 65 and MOS Part 65' was published on 10 March 2000. NPRM 0004AS titled 'Regulatory Standards for Approval of Air Traffic Service Training Providers, CASR Part 143 and MOS Part 143' was published on 24 March 2000. Responses to these three NPRMs closed on 26 April 2000.

These NPRMs are on the CASA internet website: www.casa.gov.au

An industry briefing on the initial proposals took place in December 1999, followed up by another meeting in March 2000 to discuss the proposals in the NPRM. These briefings afforded interested parties within the aviation industry the opportunity to comment on the regulatory material.

First-draft copies of the proposed Regulation and the MOS have been available on the CASA Website since December 1999, and have invited informal comment. A number of inputs were received through this avenue.

A total of 47 responses to the NPRMs were received from private individuals and the following Government Authorities, Industry Associations and Companies:

Adtronica Australia

Airservices Australia

Ansett Australia

Australian Federation of Airline Pilots

Australian International Pilots' Association

Cairns Port Authority

Civil Air Operations Officers' Association of Australia

Civil Aviation Authority of New Zealand

Community and Public Sector Union, Communications Division

Department of Defence

PCR Australasia Pty Ltd

Qantas Airways Ltd

The Ambidji Group Pty Ltd

Qualpro

Strategic Air Services (Australia) Pty Ltd

All responses have been evaluated by CASA. The comments were wide-ranging and were of considerable assistance to CASA in refining the technical requirements. The majority of respondents indicated that the rules would be acceptable if changes were made. Several stated that the rules were acceptable without change. No respondent stated that the proposed rules were not acceptable under any circumstances. The draft regulations have been amended to reflect those comments that were accepted. This analysis has been published in a 'Summary of Responses' for each NPRM.

A number of respondents noted the absence of any explanation of the economic model under which the regulatory framework was intended to operate. CASA has developed the regulatory material (i.e. technical standards) in accordance with Government direction and timing.

The absence of any firm knowledge of the proposed economic model relative to future ownership or leasing of existing on-airport ATS, ATEL/ANAV facilities and training facilities, and the Government's intentions in relation to Airservices Australia's future role in aerodrome control tower service provision has not affected the development of the standards, they being equally applicable to any public or private sector provider, regardless of the economic framework. However, the lack of such knowledge has been a barrier to CASA in not being able to explain the complete picture. This has resulted in a number of aviation industry organisations declaring that they will not consult on the detail of the technical standards until the over-arching economic framework is made known.

6. Conclusion and recommended option

It is concluded that a regulatory regime based on standards which schedule the relevant ICAO standards and adopt the existing Australian standards where the Australian standards extend beyond the ICAO standards is necessary to ensure the continuation of existing levels of safety and efficiency of ATS and related services and functions. The recommended regulatory approach is option 3; the recommended approach to the regulation of the standards is option B.

A regulatory regime is necessary to:

•       comply with Government direction;

•       establish mandatory requirements for ATS provision;

•       ensure compliance with international aviation standards of ICAO;

•       ensure that ATS, as one of the pillars of aviation safety, is safely and seamlessly provided throughout Australia, whether it is provided by the public sector or the private sector;

•       harmonise with other leading aviation nations, and

•       meet normal CASA practices in the preparation of aviation regulatory requirements and standards.

Continuation of the existing Australian standards presently applicable to Airservices Australia will ensure continuity of the existing levels of safety, efficiency, and will provide a seamless ATS system operating to the same high standards throughout Australia. The proposed regulatory framework is competitively neutral and may be applied equally to regulate public or private sector providers.

7.       Implementation and review

Implementation. Following the making of the proposed legislation, there will be a period of implementation that is expected to be for a minimum of 12 months. This period will provide the opportunity for refinement of the initial package, and for service providers and CASA to set in place the necessary arrangements to establish and meet the requirements of the CASR Parts.

It is anticipated that there will be some amendments required to the regulations and the supporting MOS during this period, and then less frequently later. These amendments will be handled by CASA under normal NPRM and RIS processes.

The draft regulations as proposed in the NPRM made reference to Part 11 of the Civil Aviation Safety Regulations in a number of areas relevant to the administration of approvals - variations, suspension and cancellation of approvals, etc. Such administrative aspects of approvals are generally applicable across all of CASA's regulatory functions not only ATS, and for that reason it was proposed to include them separately in a discrete CASR Part (i.e. CASR Part 11) with the appropriate cross-reference included in Parts 171 and 172. It is now evident that Part 11 will not be available within the required timeframe for completion of Parts 171 and 172, so the necessary provisions have now been fully included in the Part 171 and 172 final rules. At the time that Part 11 is issued, the corresponding sub-regulations in Parts 171 and 172 will be removed.

Review of Legislation. CASA will closely monitor the operation of the legislation in its first twelve months. Regardless of whether or not there is any interest by prospective providers in the private sector, it will be necessary for Airservices Australia to gain approvals against Parts 171, 172, and 143 and for prospective ATS personnel under Part 65. It is anticipated that fine-tuning of the legislation will result from this early experience and the revision of any unworkable aspects would be undertaken by normal legislative amendment action. CASA will maintain close contact with Airservices Australia and any prospective private providers in order to monitor any specific problem areas.