6.5.1.1 To promote flexibility and efficiency in the DASP, DASA recognises other aviation authorities and the independent safety assurance they apply to the platforms, organisations and people within their remit. The concept of recognition in aviation safety has its origins in the Chicago Convention and is applied by CAAs and MAAs worldwide.
6.5.1.2 Recognition is a formal acknowledgement by DASA that another aviation authority applies a credible and defensible aviation safety framework. Recognition is established through recognition certificates issued by DG DASA and available on the DASA recognition web page.
6.5.1.3 The interoperability and capability needs of the Defence aviation community are what drives DASA’s recognition program and provisions. DASA applies a ‘top-down’ approach to recognition, involving the analysis of an authority, its aviation safety policy or regulations and corresponding oversight.
6.5.1.4 Recognition assessments do not consider specific aircraft platforms, operating organisations or service providers. A key responsibility of the Defence aviation community is therefore to ensure the suitability of specific arrangements that leverage recognition provisions.
6.5.1.5 The remainder of this section describes the core concepts underpinning aviation authority recognition in the DASP and provides an overview of practical applications.
Benefits
6.5.2.1 Recognition promotes interoperability between the DASP and other aviation safety frameworks through increased flexibility and efficiency.
6.5.2.2 Flexibility. Recognition effectively extends DASA’s safety assurance across the people, processes and products that are subject to the recognised authority’s safety oversight. This expands the opportunities available to the Defence aviation community to interoperate with partner forces, or to exchange products and services across regulatory boundaries, while remaining compliant with the requirements of the DASP.
6.5.2.3 Efficiency. Recognition enables Defence to avoid the repetition of credible independent safety assurance that’s already applied by a recognised authority. This enables Defence to focus resources on areas of greater need; eg elements that are unique to the Australian context.
Recognition tiers
6.5.2.4 DASA uses three ‘tiers’ to clearly identify the scope of recognition and the applicable responsibilities. DASA is responsible for establishing Tier 1 and Tier 2 recognition, while Tier 3 is a Defence aviation community ensure responsibility carried out as a means to comply with applicable DASR. Table 1 below provides a summary.
6.5.2.5 Tier 1 – Competent authority. An authority recognised by DASA at Tier 1 has been assessed to be appropriately empowered and resourced to credibly carry out its mandate. Tier 1 recognition is established through the issuance of a recognition certificate. Tier 1 recognition considers the recognised authority’s competence within the context of its respective nation or military service and does not enable the exchange of products and services between aviation safety frameworks. Tier 1 recognition may support safety risk management decisions by Defence aviation commanders and managers regarding matters such as:
the carriage of Defence personnel aboard non-Defence aircraft
Defence participation in exercises involving foreign military aircraft.
6.5.2.6 Tier 2 – Interoperability provisions. Once Tier 1 recognition is in place, DASA may recognise an authority at Tier 2 to enable specific interoperability provisions between the DASP and the recognised authority’s aviation safety framework. Tier 2 recognition is established through annexes to individual recognition certificates. The interoperability provisions established through Tier 2 recognition are aligned to the following areas:
flight operations
design and certification of aircraft
maintenance of aircraft and components
production of aircraft and components.
6.5.2.7 Tier 2 recognition provisions are underpinned by a detailed assessment of the recognised authority’s aviation safety policy (including regulations) and the independent assurance processes the authority applies within specific areas of interest. Where the assessment identifies any differences between the DASP and the recognised framework that may impact aviation safety, these are treated through scope limitations, conditions and caveats applicable to the Tier 2 recognition as identified in certificate annexes.
6.5.2.8 Tier 3 – Ensuring suitability. Tier 3 recognition is an ensure activity carried out by the Defence aviation community. At Tier 3, regulated entities leverage the recognition provisions established by DASA at Tiers 1 and 2 in order to achieve compliance with applicable DASR. The section below titled ‘Leveraging recognition’ provides further detail.
Table 1 Recognition tiers
|
|
Responsibility of … |
Established through … |
|
Tier 1 – Competent authority |
DASA (assure) |
Recognition certificate |
|
Tier 2 – Interoperability provisions |
DASA (assure) |
Annexes to recognition certificate |
|
Tier 3 – Ensuring suitability |
Regulated community (ensure) |
Compliance with applicable DASR and relevant recognition certificate annex |
Recognition certificates
6.5.2.9 Where DASA’s assessment of an authority supports Tier 1 recognition, a certificate is issued to formally establish the outcomes of the assessment. Each certificate states the name of the recognised authority, the scope of recognition and the applicable terms.
6.5.2.10 Tier 2 recognition provisions are identified within annexes to recognition certificates. Each annex specifies:
Scope. The scope defines the personnel, process and product integrity controls that are acceptable within the DASP, for example, specific types of organisation approvals or airworthiness authorisations.
Conditions. The conditions may place specific limitations on the scope. For example, where the recognised authority applies more than one regulation set, DASA may only accept products or services that are subject to one specific regulation set.
Caveats. The caveats define the minimum checks to be carried out, and measures to be put in place where appropriate, to ensure the suitability of recognition arrangements from an Aviation Safety perspective.
Notes. Notes provide contextual information to assist, advise and inform organisations seeking to leverage recognition.
Establishing recognition
6.5.2.11 To establish recognition of other MAAs, DASA applies a process based closely on European Defence Agency and Five Eyes standards11. Central to this are the candidate authority’s responses, and supporting evidence, against approximately 200 questions based on ICAO Standards and Recommended Practices.
6.5.2.12 To recognise CAAs, DASA leverages results from the ICAO Universal Safety Oversight Audit Programme and assesses relevant legislation and regulations.
Limitations
6.5.2.13 Scope limited to Aviation Safety. Recognition is not applicable to areas that are outside DASA’s remit, or outside the typical remit of an aviation authority. For example, the design, production and maintenance of explosive ordnance, to the extent that these do not concern Aviation Safety, are outside the scope of DASA’s recognition framework.
6.5.2.14 Responsibility to ensure suitability. Recognition provides flexible means by which the Defence aviation community can achieve compliance with applicable DASR. In all cases, this places a responsibility on regulated entities to ensure the suitability of their specific arrangements that leverage recognition provisions. Put another way, recognition does not provide ‘carte-blanche’ permission to interoperate with other aviation frameworks in a way that’s contrary to the requirements of applicable policy or legislation, eg the DASR or the WHS Act.
6.5.2.15 One of the reasons for this limitation is that DASA recognition assessments do not assess the suitability of individual aviation platforms, operating organisations or service providers. This is a Tier 3 recognition activity carried out by the Defence aviation community. Further, Recognition provisions are only applicable where the relevant people, processes or products are subject to the safety oversight of a recognised aviation authority.
Leveraging recognition
6.5.2.16 Recognition provides a flexible and efficient means by which regulated entities can achieve compliance with applicable DASR. The applicability of recognition in a particular area may be identified within regulation text, Acceptable Means of Compliance and/or Guidance Material. Readers should then refer to the relevant CAA or MAA recognition certificate, where available, for specific Tier 2 provisions.
6.5.2.17 The Tier 2 recognition provisions within annexes to recognition certificates should regarded in the same way as DASR AMC in the sense that they provide an acceptable means to comply with the DASR. Similarly, regulated entities seeking to leverage recognition must be able to show, to DASA’s satisfaction, how the relevant Tier 3 responsibilities are being fulfilled. In most cases, this will involve an application to DASA to issue an authorisation or amend an existing authorisation. As with AMC, a regulated entity may seek a variation to applicable requirements; this variation may be considered by DASA as an Alternative Means of Compliance (AltMoC). See Section 5.2 Aviation safety policy for further information about the concept of AltMoC.
Flight operations
6.5.2.18 Recognition underpins the responsibilities of Military Air Operators and Sponsors in relation to the operation of Non-Defence Registered Aircraft by Defence organisations22 and Defence personnel33. Recognition also supports safety risk management decisions made by Sponsors of foreign military air operations in Australia44.
Initial and Continued Airworthiness
6.5.2.19 Type-certification and ‘major’ modifications. See Section 7.2 Product Certification.
6.5.2.20 Airworthiness Directives. Other authorities’ Airworthiness Directives (ADs) are not automatically applicable to Defence aircraft. Instead, it is up to each MTC holder to ensure that relevant ADs or equivalent are monitored as part of its system for collection, investigation and analysis of data related to failures, malfunctions and defects55.
6.5.2.21 Certificates of Airworthiness. Recognition certificates may enable an applicant for a DASA Certificate of Airworthiness to use evidence originating from a recognised authority66. The types of evidence, the organisations suitable to provide it and the associated terms are described in the ‘aircraft production’ annex of recognition certificates.
6.5.2.22 Military Permits to Fly. Recognition certificates may enable an applicant for an MPTF to use relevant documents acceptable through recognition to support the application77. As the reasons for requiring an MPTF vary significantly, the recognition annexes generally do not identify which particular documents are acceptable.
Continuing Airworthiness
6.5.2.23 Alternate Artefacts. The DASR and recognition certificate annexes identify several airworthiness authorisations and artefacts by name, eg US Navy Flight Clearance for aircraft or EASA Form 1 for components. In the event that the named authorisation or artefact is not able to be provided to Defence, DASA may agree to the acceptance of an Alternate Artefact via a DASR Form 155. Additional detail on the acceptance of Alternate Artefacts for components may be found in Section 8.2.3.
6.5.2.24 Repairs and ‘minor’ modifications. A CAMO may consume data for repairs and ‘minor’ modifications when the data is produced by an organisation acceptable through recognition88. For further information, see:
Section 8.2.1 Continuing Airworthiness Management
AMC and GM to DASR M.A.304(d) Data for modifications and repairs.
6.5.2.25 Maintenance of aircraft and components. A CAMO may have maintenance of aircraft and components carried out by an organisation acceptable to DASA through recognition99. See the following references for further information:
Section 8.2.1 Continuing Airworthiness Management
AMC to DASR M.A.201(g) Responsibilities
DASR M.A.801 Aircraft certificate of release to service (AUS)
DASR M.A.802 Component certificate of release to service (AUS).