Part 13RISK ASSESSMENTS (INCLUDING AWZ-RAs)

CHAPTER 13 RISK ASSESSMENTS (INCLUDING AWZ-RAs) Division 1 Risk — general 13.01 Application 13.02 Risk criteria — all operators For paragraph 138.370 (1) (a), the risk criteria that an operator must meet to conduct an aerial work operation are that: (a) the operation can be conducted without unacceptable safety risk for the crew members and aerial work passengers who may be on board the aircraft; and (b) the operation can be conducted so that it presents no unacceptable risks to persons and property on the ground; and (c) the operation can be conducted so that it is not likely to have an adverse effect of the safety of air navigation. 13.03 Risk assessment and mitigation — all operators For paragraph 138.370 (1) (b), before conducting an aerial work operation, an operator must ensure that risk assessment and mitigation processes have been undertaken in accordance with this Chapter. 13.04 Risk assessment matters — all operators (1) The matters set out in subsection (3) must be considered in assessing the risks of the operation against the risk criteria. (2) For subsection (1), the matters must be considered in the context of the nature, size and complexity of the operation. (3) For subsection (1), the matters are the following: (a) the operation and its particular characteristics; (b) the location of the operation and its particular characteristics; (c) the aircraft to be used in the operation, its particular characteristics, and its performance; (d) the qualifications and experience of the crew members to be used in the operation; (e) the hazards, external to the aircraft, that may be met in the course of the operation. 13.05 Risk assessment and mitigation processes — limited aerial work operators (1) For paragraph 138.370 (1) (b), the risk assessment and mitigation processes to be undertaken by a limited aerial work operator are set out in this section. (2) Before commencing an aerial work operation, the operator must ensure that the pilot in command: (a) reviews the risk criteria set out in section 13.02; and (b) considers the risk assessment matters set out in section 13.04; and (c) applies risk management planning and mitigation for the operation which satisfies the pilot in command that: (i) the risks of the operation can be mitigated; and (ii) the operation can be safely carried out. (3) The operator must ensure that before and during the operation, the pilot in command must take into account any reasonably available information relevant to managing the safety risks of the operation. 13.06 Risk assessment and mitigation processes — aerial work certificate holders only (1) For paragraph 138.370 (1) (b), the risk assessment and mitigation processes to be undertaken by an aerial work certificate holder (the operator) are set out in this section. (2) Before conducting an operation: (a) the operator’s operations manual must contain: (i) pre-operational risk procedures for risk assessments and mitigation processes applicable to the operation; and (ii) procedures for post-flight risk review; and > Note For these procedures see subsections 13.07 (1) and (3). (b) the operator must have a flight risk management plan based on a pre‑operational risk assessment in accordance with the procedures; and (c) the operator must ensure that the operator and each crew member is satisfied, in a pre-flight risk review, that the flight risk management plan will eliminate, reduce or mitigate risks and hazards to the extent that it is safe to conduct, and continue, the operation without unacceptable risk to the crew members, any aerial work passengers, the aircraft or any other person or property. > Note For a pre-flight risk review see subsection 13.07 (2). (3) For an operator with a safety management system (SMS), the risk assessment and mitigation processes in accordance with this section must be integrated into the SMS. 13.07 Procedures for risk assessment and mitigation processes (1) For section 13.06, the operator’s pre-operational risk procedures must include the following: (a) processes for identifying, reporting and recording hazards; (b) processes for analysing identified hazards and assessing the risks they may pose, including for pre-flight, in-flight and post-flight stages of operations; (c) processes to mitigate the risks or control the risks, including processes for the incorporation of risk controls into standard operating procedures; (d) the creation and management of: (i) a risk register; and (ii) records of dedicated risk assessments performed to address each type aerial work operation that is to be conducted, including details of the risk assessors; (e) procedures to ensure that the pilot in command and the other crew members are familiar with the pre-operational risk assessment and the associated standard operating procedures (SOP); (f) in-flight procedures for the pilot in command and the other crew members to consider and manage the risks associated with aerial work operations. > Note The expression risk assessors is defined in subsection 1.04 (6). (2) For section 13.06, the operator’s procedures must require that a pre-flight risk review be carried out that considers the following: (a) the risk criteria; (b) the pre-operational risk assessment; (c) the flight risk management plan; (d) the pre-flight satisfaction check under paragraph 13.06 (2) (c). (3) For section 13.06, the operator’s procedures must require that a post-flight risk review be carried out, including the updating of procedures to incorporate any lessons learnt from the operation. Division 2 AWZ-RA — risk and related requirements 13.08 Application For paragraph 138.370 (1) (b), the risk assessment and mitigation processes to be undertaken by an aerial work certificate holder (the operator) for an AWZ‑RA are set out in this Division. 13.09 Preparation of an AWZ-RA — aerial work operations > Note AWZ is defined in section 1.05. See also section 9.22 and 9.23. (4) This section does not apply to an ESO involving an external load operation, or fireground personnel carriage operation, over an AWZ if: (a) the operator’s operational risk assessment and mitigation process under sections 13.04 and 13.06 have been complied with; and (b) the pilot in command of the aircraft is satisfied that, having considered all foreseeable safety risks, a pilot would reasonably conduct the ESO or fireground personnel carriage operation. (5) Before conducting an operation over an AWZ, the operator for the operation must: (a) prepare and document an AWZ-RA; and (b) hold a CASA approval under regulation 138.025 for the AWZ-RA, unless: (i) subsection (6) applies; or (ii) it is planned that the aircraft will at all times: (A) be at or above 500 ft; and (B) when operating below 1 000 ft above the highest obstacle within 600m, have a suitable forced landing area. (6) An aerial work certificate holder does not require CASA approval under regulation 138.025 of an AWZ‑RA for an external load operation if: (a) the entire operation, including pick-up and set-down points, is planned to occur in an AWZ; and (b) the AWZ is totally under the control of: (i) the operator; or (ii) the person requesting the operation; and (c) access to the AWZ is limited to persons essential for the conduct of the operation. (7) The operation must be conducted: (a) in accordance with the AWZ-RA; and (b) taking into account all matters contained within the AWZ-RA. (8) An AWZ-RA must be retained in safe custody by the operator for at least 3 years after the external load operation has ended. (9) An AWZ-RA prepared by the operator for a Class B external load operation must: (a) include the pick-up and set-down points of the operation; and (b) include the routes between the pick-up and set-down points; and (c) subject to paragraph (d), be for an AWZ that is of a size sufficient for the safe management of all risks and hazards identified in the operators risk management process; and (d) be for an AWZ: (i) that is free of risk of injury to persons who are not associated with the operation; and (ii) that minimises, as far as practicable, risk of injury to the persons: (A) carrying out the operation; or (B) for whom the operation is being carried out; and (iii) in which hazard to property not associated with the operation is not likely to arise.