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1CAA ANNUAL PERFORMANCE PLAN 2017/18
Contents
1. Abbreviations 2
General Information 3
2. Foreword by Minister 4
1. Foreword by the Chairperson 5
4. DCA Operational Overview 7
5. OfficialSign-off 12
6. LegislativeandOtherMandates 13
6.1 TheAct 13
6.2 ICAOCriticalElements 13
7. StrategyDevelopmentProcess 14
8. SituationalAnalysis 15
8.1 SWOTAnalysis 16
8.2 PESTLEAnalysis 17
Organisational Overview 19
9.1 SouthAfricanAviationLandscape 20
9.2 OrganisationalStructure 21
9.3 EmployeeDemographics 22
9.4 Culture,EthicsandValues 23
10. Risk 24
Strategy 26
11.1 CoreIdeology 27
11.2 SACAARegulatoryPrinciples 28
11.3 StrategyAlignment 30
12. StrategyDeliverableTables 31
MTEF Expenditure 42
Annexure A 45
2 CAA ANNUAL PERFORMANCE PLAN 2017/18
ACSA AirportsCompanySouthAfrica
AEP AviationEnvironmentalProtection
AIID AccidentandIncidentInvestigationDivision
AI AviationInfrastructure
APP AnnualPerformancePlan
ASO AviationSafetyOperations
ATNS AirTraffic&NavigationServices
AvMed AviationMedicine
AvSec AviationSecurity
B-BBEE Broad-BasedBlackEconomicEmpowerment
CAP CorrectiveActionPlan
CA Act CivilAviationAct
C-FARP Cross-FunctionalAccidentReductionPlan
CNS CommunicationNavigationSurveillance
CRM CustomerRelationshipManagement
DCA DirectorofCivilAviation
DOD DepartmentofDefence
DSSL DepartmentofSafety,SecurityandLiaison
DoT DepartmentofTransport
EBS EnterpriseBusinessSystem
ERDMS ElectronicRecordsandDocumentsManagementSystem
EXCO ExecutiveManagementCommittee
FN ForeignNationals
GDP GrossDomesticProduct
HR HumanResources
HRC HumanResourceCommittee
HDI HistoricallyDisadvantagedIndividuals
IASA InternationalAviationSafetyAssessment
ICAO InternationalCivilAviationOrganization
ICCS ICAOCo-ordinationandComplianceSection
ICT InformationandCommunicationTechnology
IT InformationTechnology
MP MemberofParliament
MSP MasterSurveillancePlan
MTEF MediumTermExpenditureFramework
NASP NationalAviationSecurityProgramme
NATS NationalAviationTransformationStrategy
N/A NotApplicable
NDP NationalDevelopmentPlan
NGP NationalGrowthPath
NTCA Non-TypeCertifiedAircraft
OSR OrganisationalStructureReview
PESTLE Political,Economic,Social,Technological,Legal&Environmental
PFMA PublicFinanceManagementAct
PSC PassengerSafetyCharge
RPAS RemotelyPilotedAircraftSystems
SACAA SouthAfricanCivilAviationAuthority
UN UnitedNations
USAP UniversalSecurityAuditProgramme
USOAP UniversalSafetyOversightAuditProgramme
SONA StateoftheNationAddress
SWOT Strengths,Weaknesses,Opportunities,Threats
1. Abbreviations
4 CAA ANNUAL PERFORMANCE PLAN 2017/18
2. Foreword by Minister
AviationisasignificantcontributortotheSouthAfricanGrossDomesticProduct(GDP)withatotalof38.6millionpassengerstransportedthroughACSAairportsinSouthAfricain2015/16.Thissectorisofvitalimportance,since10.6million(2015/16)internationaltravellersprovideaseriousboostforthetourismindustry.
Inadministeringoversight to theaviation industry,national imperatives fromvariousgovernmentplanssuchas theNationalDevelopmentPlan(NDP), theNewGrowthPath,the9PointPlan,theDoTOutcomesandgovernmentprioritiesinformtheSACAAcoreideologyandorganisationalgoals.InotethattherevisedstrategyisalignedtotheabovenationalimperativesandcontinuedDepartmentofTransport(DoT)engagements.
InlinewiththePresident’sStateoftheNationAddressof09February2017,theSACAAisremindedthatasagovernmententity,theRegulatorhasadevelopmentalresponsibilitytopursueandthisdoesnotnecessarilyinvolveaprofitandlossagenda.TheSACAAisthereforeurgedtoensurethatitsprogrammesaregearedtowardsachievingradicaleconomictransformationinsupportofgovernment’spriorities.Thiscanbeachievedbyfocusingattentiononempoweringyouth,womenandpeoplelivingwithdisabilitiesinamorefocuseddrive.ItbecomesnecessarythereforetobuildcapacityinordertomeettheobjectivesofadevelopmentalState.ThePresidenturgedallgovernmententitiestoensurethatasdeliveryarmsoftheState;theypresideoverviableandefficiententities.
Agreaternationalchallenge lies in thependingInternationalCivilAviationOrganization(ICAO)auditscheduledforthefirstsemesterof2017.Allresourcesmustbeappliedtoachieveacleanauditinthiscoremandatearea,andtothisendmydoor remainsopentoensureSouthAfrica’soptimumperformance.TheMinistryalsoviewsthependingauditasanopportunityfortheSACAA,onbehalfoftheSouthAfrica,toachieveitsvision-tobe“Rankedamongthetop10civilaviationauthoritiesgloballyby2020”.Forthisratingtomaterialisetheorganisation’sdirectresponsibilitiesandthecountry’scompliancemustbeaudited,withafavourableoutcome.
Thisrevisedstrategyushersathirdyearofdeliveryontheoriginal2015/16to2019/20strategywhosedeliverableswerefullymet.Itisimportanttomaintainhighperformancestandards in termsofstrategyperformanceasconsistentlydemonstratedinthepastthreeyears.
Italsogivesmegreatpleasuretonotethefollowingmilestonesachievedinthesecondyearofstrategicdelivery,andIwould like tocongratulate theSACAABoardandManagementonthefollowing:
• AvailingtheDirectorofCivilAviationto serve as the Chair of the ICAO SecurityPanelforthesecondtermin2016;
• Forfouryearsinarowacleanauditas pronounced by the Auditor-General;
• Meeting all the performanceobjectives for the2015/16AnnualPerformancePlan;and
• MaintainingtheAuditor-Generalfindingsatfour,amongstothers.
Inconclusion,ItakethisopportunitytoexpressmygratitudetotheBoardandManagementforasterlingperformanceonthesecondyearofstrategydelivery,andurgethatadditionaleffortbeapplied.
As theExecutiveAuthority, Iherewithendorse theSACAA2017/18AnnualPerformancePlan(APP)andcommittosupportingitandensuringitsimplementation.
Minister ED Peters, MPMinister of TransportExecutiveAuthoritySACAA10March2017
5CAA ANNUAL PERFORMANCE PLAN 2017/18
3. Foreword by the Chairperson
ItisapleasureonceagaintopresentthethirdAnnualPerformancePlan2017/18(APP)oftheoriginal2015/16to2019/20strategythatmapsthecivilaviationregulatorytrajectoryasmandatedbytheCivilAviationAct,2009(ActNo.13of2009),andincompliancewiththeChicagoConventiononcivilaviation,whilefactoringthelocalcontext.
Thismandatecanbesummedupasfollows:
TheAuthoritywasestablishedto-
• Controlandregulatecivilaviationsafetyandsecurity• OverseetheimplementationandcompliancewiththeNationalAviation
SecurityProgramme(NASP)• Overseethefunctioninganddevelopmentofthecivilaviationindustry• Promotecivilaviationsafetyandsecurity• DevelopanyregulationsthatarerequiredintermsofthisAct• MonitorandensurecompliancewiththisActandtheChicagoConvention
IncompliancewiththeNationalTreasuryguidelinesonthedevelopmentofStrategiesandAnnualPerformancePlansforSchedule3AentitiestheorganisationcommencedwithasituationalanalysiscomprisingSWOT,PESTLEandstakeholderanalysestoensurerelevance.Theendresultwasaslightadjustmentoforganisationalgoals,andasignificantadjustmentofobjectivesandtargets.Thesechangesaremeanttoescalatethepaceofservicedelivery,andthelatestgoalsarelistedbelow:
1. Regulatetheaviationindustryeffectivelyandefficiently2. Increaseaccessibilityofregulatoryservices3. Securefinancialsustainability4. Acceleratetransformation5. Driveorganisationalefficiencyandeffectiveness6. Improvecommunicationandstakeholdermanagement7. Significantlyimproveclientserviceexperience
WithregardstoregulatingsafetyandsecurityinthecivilaviationindustrythroughtheCivilAviationActandICAOcriticalelements,theInternationalCivilAviationOrganizationwillbeauditingSouthAfricaduringthefirstquarterof2017/18.
Withthis inmind,preparationstowardsthisexercisearereceivinghighpriority.AfavourableoutcomewillimprovetheState’slevelofEffectiveImplementation(EI)score,resultingintheAuthoritybeingastepclosertothevisionwhilepavingawayforlocalandregionalaviationsafetyandsecuritydevelopment.To this end a state of readiness independent peer assessmentwasconductedbyICAO’sEasternandSouthernAfricanofficefromNairobithroughaRegionalOversight Safety Team(ROST)mission.AROSTmission determines aState’srateofcompliancewithICAO’sStandardsandRecommendedPractices(SARPs)andisconducted
It is SACAA’s firm belief that for the strategy to be effectively implemented, a structure
consisting of stakeholders with strong leadership needs to be in place.
6 CAA ANNUAL PERFORMANCE PLAN 2017/18
byqualifiedICAOauditors.AreportwouldthereforegiveaStateagoodideaastohowtheywouldfareinarealaudit.ItwouldpointoutareasofdeficiencythatneedtobeaddressedbytheStatepriortothemainaudit.Finally,acomprehensivereviewofobjectiveswithinthisgoalispoisedtowardsseparatingtheauthorityheadandshouldersabovemany.
ThetransformationgoalhasbeenadjustedtofocusonthoseaspectswithinthejurisdictionandinfluenceoftheAuthority.ThedraftNationalAviationTransformationStrategywassubmittedtotheDoT,andSACAAwillfurtherco-participatewiththeshareholderandotherentitiesinpursuitofsectortransformation.ItisSACAA’sfirmbeliefthatforthestrategytobeeffectivelyimplemented,astructureconsistingofstakeholderswithstrongleadershipneedstobeinplace.ItisworthmentioningthattheSACAA’stransformationprogrammeisadvancinginpursuitofredressingtheimbalancesofthepastwherethissectorremainsuntransformed.EffortstointensifythisprogrammeshallcontinuewithanincreaseintheintakeofbursarystudentsfundedbySACAA.
Thefirsttwoyearsfocusedondeliverablesthatsoughttoimprovethelegislativeenvironment,withparticularemphasisonproposinglegislativeamendmentstotheCivilAviationAct,ActNo.13of2009,totheDepartmentofTransport.Suchinitiativeshavebeencompleted,hencetheabsenceofthisgoalintherevisedstrategy.
Fourgoalsremainedthesame;howeverafinalgoalthatseekstoincreaseaccesstoregulatoryserviceshasbeenintroduced.ThiswilladdressSACAA’snationalfootprint,guidedbythenumberofcustomersandstakeholders,while takingadvantageofthee-commercebenefits.
TheDepartmentofTransportestablishedtheSACAAtoperformcivilaviationsafetyandsecurityoversightfunctionsonbehalfoftheState,andinthisspiritourvisionremainstobe“Ranked among the top 10 civil aviation authorities globally by 2020” andinpursuanceofregulatoryexcellenceandgoodpractice,theSACAA
hasembarkedonaprocessofdevelopingregulatoryprinciplesaspartofitscoreideology.Thevision,mission,valuesandbrandpromiseremainsunchanged.
Iconcludebycongratulatingthemanagementandstaffonanothersuperbyeardemonstratedbymanyaccoladesreceived,includingobtainingtheAuditor-General’scleanauditaward for the fourthyear insuccessionandtheBestPerformingInstitutionawardattheNationalTransportAwardsforthethirdyearinarow.
Thesuperbgovernanceenvironment isonlypossible throughthesignificantcontributionofallstakeholders,withspecialappreciationextendedforthesupportandleadershipoftheHonourableMinister,MsDipuoPetersandtheDeputyMinister,MsSindisiweChikunga.ThecollaborationandassistancefromtheDepartmentofTransportCivilAviationbranchandthewholetransportsectorisinvaluable.TheguidanceandfeedbackconstantlyprovidedbythePortfolioCommitteeonTransportalsoaddsvaluetotheworkoftheAuthority.
Inparticular, Iwould like to recogniseandappreciate thecooperationandcontributionofmyfellowBoardmembers forgivingstrategicdirectionto theAuthority.ManagementhascontinuouslyshownresponsivenessandcommitmentindeliveringonthestrategyandIurgethemtocontinueonthispath.
Mr Smunda MokoenaChairperson:SACAABoard8March2017
7CAA ANNUAL PERFORMANCE PLAN 2017/18
4. DCA Operational Overview
Ascanoftheorganisation’sperformanceduringtheperiodofthefirsttwoAnnualPerformancePlans(APP)emanatingfromtheoriginal2015/16–2019/20Strategyindicatesthattheorganisationhasconsistentlyraisedthebar intermsofthedeliverablesaccomplished.ThecurrentrevisedstrategyandAPPdemonstratestheendlesspursuittowardsexcellencebytheSACAA,andIhavemuchappreciationfortheenablingenvironmentaffordedbytheBoardandtheMinisterofTransport.
WhiletheSACAAisaSchedule3Aorganisation,integratedthinking,atleastintheapproachtowardsdoingbusiness, isbeginningto influencehowbusiness
isdone,albeitstillatanembryoniclevel.Aspartofcontinuousimprovement,particularlyingovernance,SACAAhasrecognisedthebenefitofanintegratedthinkingapproach.Althoughitisnotarequirementatthisstage,SACAAhas takenadecision to implement thisapproachaspartof itsstrategicthinkingprocessandreporting.TheIntegratedThinkingapproach led theorganisationtoclassify itsgoalsandactivitieswithinthefollowingsixintegratedcapitals:
SACAA’s organisational goals – alignment to Integrated Framework
Intergrated Framework SACAA organisational goals
Intellectualcapital Safetyandsecurity
Manufacturedcapital Accesstoregulatoryservices
Financialcapital Organisationalsustainability
Socialandrelationshipcapital Socialandrelationship
Humancapital Humancapital
Naturalcapital Aviationenvironmentalprotection
Thesevenstrategicgoalsarethereforecategorisedwithintheabovebroadclassificationstailor-madeaccordingtoSACAA’sneeds,withgame-changingoperationsdiscussedinthesubsequentparagraphsandthesymmetrybetweenthevariousstrategypillarsanddeliverablesdisplayed:
8 CAA ANNUAL PERFORMANCE PLAN 2017/18
OrganisationalGoal7:Acceleratetransformation
OrganisationalGoal1:Regulateaviationindustryeffectivelyandefficiently
OrganisationalGoal2:Increaseaccesstoregulatoryservices
OrganisationalGoal3:Securefinancialsustainability
OrganisationalGoal5:Significantlyimproveclientserviceexperience
OrganisationalGoal6:Driveorganisationalefficiencyandeffectiveness
OrganisationalGoal4:Improvecommunicationandstakeholdermanagement
SACAA Strategy2017/18–2021/22
Outcome:Smartapproachinmaintaininghighperformance
levelsinatransformedorganisation
Outcome:Effective,efficientandtechnologicallysoundoversightsystems
Outcome:Nationalfootprintthatbestservicesstakeholdersand
customers
Outcome:Sustainableorganisation
Outcome:AEPRegulationsforinternationalaircarrierssubmittedtothe
DepartmentofTransport(DoT)
Outcome:Improvedcustomerandstakeholderengagement
Objective:EnsurecompliancewithTransportSectorCodes
Objective:Achieveastep-changeinregulatingAviation
SafetyandSecurity
Objective:Establishanoptimumdistributionofofficepresence
nationwide
Objective:Diversifyandexpandsourcesofrevenue
Objective:Intensifyenvironmentaloversightthroughthe
MasterSurveillancePlan(MSP)
Objective:ReviseandimplementCFARPandalignwith
internationalbestpractice
Objective:Establishaplatformtomanagesecurityrisk
Objective:Establishaplatformtomanagesafetyrisk
Objective:Ensureeffectiveindustryoversight
Objective:EnsurecompliancewithTransportSectorCodes
Objective:Driveaperformanceculture
Objective:OptimiseICTtechnicalsystem
SafetyandSecurity(IntellectualCapital)
HumanCapital
SocialandRelationship(SocialandRelationship
Capital)
AccesstoRegulatoryServices
(ManufacturedCapital)
OrganisationalSustainability
(FinancialCapital)
NaturalCapital(AviationEnvironmentalProtection)
9CAA ANNUAL PERFORMANCE PLAN 2017/18
Safety and Security AviationSafetyandSecurityistheorganisation’scoreresponsibility,andtothisendtherevisedstrategyhasimplementedgame-changinginterventionsintroducedunderthefollowingheadings:
• Internationalobligations• Improvingthequalityofthelicencee• Managingsafetyrisk• ReducingtheAccidentRate(C-FARP)• IntegratedSystems(EBS).
AsamemberofICAOandsignatorytotheChicagoConvention,SouthAfricaisobligatedtoregulateaviationsafetyandsecurity in linewithsetcriteria foundinvariousAnnexes issuedbyICAO.Fromasafetyperspective,SouthAfricahasbeenconsistentlyseekingtoimproveitscompliancelevelsassetoutintheICAOComplianceChecklists(CCs)andProtocolQuestions(PQs).PursuanttoitsContinuousMonitoringApproach(CMA),ICAOwillbeconductingasafetyauditfromthe8th to the 18thofMayin2017.Tothisend,preparationsareunderwaytoensureafavourableoutcomefromtheanticipatedUniversalSafetyOversightAuditProgramme(USOAP).EveryeffortisbeingmadetoensurethatSouthAfricaperformsexcellently intheauditandthatnoSignificantSafetyConcern(SSC)orMandatoryInformationRequest(MIR) isattracted.SACAAmaintainsthattocontinuouslyimprovecompliancelevels,internalreviewsthrough“internalsafetycomplianceauditors”totesttheveracityoftheCorrectiveActionPlan(CAP)progressisimportant,ifitistoachieveitstarget.Whilethereisnoauditdatesetforthesecurity-relatedUniversalSecurityAuditProgramme(USAP),aUSAPreadinessplanwillbeimplementedin2017/18andimplementedgoingforward.
ImprovingthecompetenceandqualityoftheLicenceholder isanotherareaoffocusfortherevisedStrategyandAPP,andshouldhavepositivespin-offsonsafetystatistics.Firstly,theorganisationwillseektoextendexaminationstotherestoftheAnnex1licences;thisisintendedtoimprovequalityassuranceintheinterestofaviationsafety.Secondly,theorganisationissettodevelopastrategyin2017/18toevaluateandintroducepracticalcompetencyassessmentsoftargetedpersonnelwithinthelicensingvaluechain.Anexampleofintendedresults,amongstmany,couldbetheprocurementofasimulatorbytheregulatortocheck instrumentflightproceduresandthepracticalityofairspaceconstructionandboundaries.Thissimulatorcouldbeloadedwithactualweatherconditionsprevalentduringan
aircraftaccidentandtheflightcouldberecreatedtogainabetterunderstandingoftheHumanFactorconditionsthatthepilotfacedatthetime.HumanfactorsarelistedasthesinglebiggestcausalfactorforaccidentsinSA.Suchatoolcouldalsobeusedinenforcementcasestore-assesspilots,incaseswherecertainPart141schoolsdeliveraquestionableproductandtheneedmayarisetosamplesomeofthestudentsfromsuchaschool.
The2015/16to2019/20revisedstrategyseekstoimproveindustrysafetyandsecurityriskmanagementbyimprovingthequalityandstructureofinputdata,andwherepossibleconsolidatingitinsteadofusingdisparatesystems.Partoftheequationwouldbetointroducesmartreportingmethodologiesthataremeanttopredictandpreventoccurrences,pivotingfromimproveddataquality.Allthisispossibleifa“dataminingportal”isusedthatdrawsfromvariousreportingtoolsinexistence,includingtheACSAPalladiumsystemforhazardreportingandtheATNSMORdatabaseforairspaceviolations,includinginfringements.TheEBSsystemisanopportunitytocreatesuchatoolandcanevenaffordaccessbyotherstateentitiessuchasACSAandATNSinordertoexpandtheirSMSsystemstobemorecomprehensive.
Reducingaircraftaccidentshasalwaysbeenanorganisational focus;howeverthishasheightenedsincethedevelopmentofthefirstCross-FunctionalAccidentReductionPlan(CFARP)threeyearsago.Arevisionofthesamestrategyin2015/16ledtothedevelopmentofathree-yearaccidentreductioncoursethatisbasedonactualaccidentdata.Amajoralignment,goingintothefuture,willbethereportingofaccidentsaccordingtoindustryactivity,sinceanumericalincreaseordecreaseismute,untilitisreportedagainstthevolumeoflocalairtraffic.
Effectiveoversightmustbesupportedbysmartsystems;tothisendanumberofElectronicBusinessSystem(EBS)moduleshavebeenrolledout,anditisanticipatedthattheprojectwillbecompleted in2018/19.Fromthispoint integrationwithexternalsystemswillbepossible,withreal-timedataflowingbetweenSACAAanditsstakeholders,usheringinthepossibilityofviewingthesafetyandsecuritystateoftheindustryattheclickofabutton,ofcoursewithintheambitofmajorroleplayers.Acentraliseddatabaseisamustinorderforchallengesinoneareatobepickedupfromanotheroversightarea,enablingrisk-basedauditsthatarepreventativeandnotreactionary.
There isnodoubtthattherehasbeenacontinuous improvementwithintheoversightinfrastructure,andthiswascomplimentedbytheimplementationoftheorganisationalredesigninthepreviousyear.Surveillanceauditswillbeconducted
10 CAA ANNUAL PERFORMANCE PLAN 2017/18
in linewiththeapprovedSafetyandSecurityOversightPolicyandthe impactwillbevisible intheschedulingoftheMasterSurveillancePlan.ThisalignmentdemonstratesevenmorethecommitmentoftheAuthoritytocontinuouslyimproveitssafetyandsecuritysystemandICAOcompliancestatus.
Access to Regulatory Services TheSACAA’sregulatoryenvironmentdictatesaconstantreviewofitsaccessibilitytoendusersspreadaroundthecountry,havinghadCapeTownasanextensionoftheMidrandheadofficeformorethanfiveyearsnow.ThependingleaseexpiryhasnecessitatedtheheadofficetoconsideritsstrategicpositioninginimprovingaccesstotheGautengresidentsandthosethatuseair travel inpursuitof itsservices.Afurtherreviewofphysicalofficeexpansionwithinthenationalfootprintisnecessary,andwillbedeterminedbyadecentralisationmodeltobefinalisedin2017/18.ThemodelwillconsiderservicedemandsalongwithamatrixforimprovingITinfrastructureandservicestofacilitateE-Commerce,reducingtheneedtotravelfromremoteplacesforsimpletransactions.
ThefootprintoftheAuthoritynationallytakesintoaccountthefactthatthemainaimofthisprojectistoincreaseaccessibilityoftheSACAAservicestothestakeholdersasopposedtosavingcostsandthisisinlinewiththeprinciplesoftheNationalDevelopmentPlanandtheDoToutcomes.
Organisational SustainabilityMuchofthecriticalworkforachievingorganisationalsustainabilitywillbeachievedduring2016/17throughtheestablishmentofafinancialmodel that issettointroducenewincomestreamsbyimplementingthe‘userpays’principleforSACAAservices.Highontheagendawillbereviewingtariffsleviedtothesecurityindustryingeneral,giventheriseofoversightdemandsinthisarea,particularlyincargosecurity.Chiefamongthesedeliverablesisreviewingthefundingmodelprinciples,withspecific interest in levelsofPassengerSafetyCharge(PSC)subsidisation.Effectiverevenuecollection,possiblyatpassengertransactionpoint,wouldbeideal,andthismayprovideopportunitiesforthejointcollectionoflevieswithotherindustrypartners.Intenseconsultationswithvariousstakeholderswill follow in2017/18goingforward,andwillhavetonavigatethroughvariouschallengessuchasthestateoftheeconomyandahighlyprescriptiveenvironmentwithregardtotheaccumulationanduseofsurplusfunds.
AspartofitsMediumTermExpenditureFrameworkbudgetandEstimateofNationalExpenditure,theSACAAhasimplementedanumberofcostcontainmentmeasuresinlinewithNationalTreasurycostcontainmentobjectives.Acostcontainmentplanwillalsobedevelopedforthe2017/18financialyear,whichwillspecificallyidentifysomeofthecostcontainmentmeasurestobetakentoimprovecost-efficiencies,theeffectivenessofsupplychainmanagementprocessesandprocedures,theeliminationofwastefulexpenditureaswellastoensurethatvalueformoneyisachievedinthedeliveryofprogrammesandservices.Thesewillbeincludedintheoperationalplansoftheorganisation.
Social and RelationshipImproved stakeholder engagementand client services still remainamajororganisationalpriority,stemmingfromvariousindustrystakeholderengagements.Fromacustomerperspective,processeswerereviewedduring2015/16andculminatedinthefullimplementationoftheOrganisationalDesignReviewproject.Unlesstheseeffortsarecoupledwithacustomer-centricattitudebyemployees,theyremaininvain.Thisisthereasonwhyachangemanagementprogrammedesignedto inculcateacustomer-centricculture, isplannedfor2017/18goingforward.Thiseffortisdesignedtocontinuouslytraintheemployeeonhowtodealwithcustomers,complimentedbyimprovedsystemsandprocesses.Thiswillhavetobecoupledwithanintegratedapproachindoingbusinessandreporting,inordertomaximisestakeholdervalue.
Fromastakeholdermanagementperspective,SACAAdevelopedarevisedstrategyinthe2016/17financialyearthatwillbeimplementedduringthenextthreeyears.Thestrategywill,amongstothers,befocusedanddedicatedtoourmostcriticalandvulnerablestakeholders.Demystifyingaviationthroughincreasedawarenessfromaservicesandbrandingpointofview,aresomeoutcomesthatareforeseen.TheRegulatorhasmadeprogress in increasing itscapacitytoensureamoreconcertedefforttowardsimprovingstakeholderrelationswithallitsstakeholdersintheshortterm.
Human CapitalTheBoardhasapprovedathree-yearHumanResourcesstrategywhichhasbeendevelopedtoensurethealignmentofHumanResourceinitiativeswiththeorganisationalobjectivesandthelong-termvisionandmandateoftheorganisation.
11CAA ANNUAL PERFORMANCE PLAN 2017/18
TheHumanResourcesstrategywillensurethedevelopmentandimplementationofpolicies,processesandsystemsthatarenotonlyimportanttotheachievementofthecompanyvision,butalsotooptimisetheabilitytorecruit,develop,retainandrewardtalentcommensuratewiththeSACAA’scomplexenvironment.
TheSACAAdependsonitsemployeestoexecuteitsmandate,andtodeliveronitsobjectives.TheHumanResourcesstrategyseekstocreateanenvironmentwhereinitsemployeeswillhaveanexcitingandfulfillingexperience,toenabletheachievementof thisobjective.TheSACAA’sHumanResourcesstrategy isunderpinnedbythefollowingkeystrategicthemes:
• EstablishSACAA’sorganisationalculture• Formaliseleadershipdevelopmentagenda• Enhanceskillscapacity• Improveemployeecommunicationandengagement• Enhancetalentmanagement• Implementcompetitivedifferentiatedrewardphilosophy• ImproveHRservicedelivery• Transformation• Improveemployeehealthandwellness.
Natural CapitalTheInternationalCivilAviationOrganizations(ICAO)hassetanaspirationalgoalofkeepingnetcarbonemissionsfrominternationalaviationatthesamelevelfrom2020(CarbonNeutralGrowth2020orCNG2020).TheStatethroughtheDepartmentofTransportsupportsICAO’sworkandhasestablishedastrategicoutcomeforitssectorof‘increasingthecontributionoftransporttoenvironmentalprotection’.ICAOalsomandatesitsmemberStatestosubmitStateActionPlans(SAPs),aplanningandreportingtoolthatcommunicatesinformationtoICAOonthemeasuresthatStatesareusingtoaddresscarbondioxide(CO2)emissionsfrominternationalaviation.SouthAfricarecentlysubmitteditsfirstStateActionPlan(SAP)toICAOandisexpectedtoreviewitevery3years.Insupportofthe
DoTenvironmentaloutcome,theSACAAwillensurethatregulatorymeasuresaretakentoaddressCO2emissions.TheAuthority isreviewingitsregulatoryenvironmentinthisregardandwillensurethatsufficientoversightisconductedonallrelevantsectorsoftheindustry.Continuingfromthe2016/17financialyeartarget,theAuthoritywillcontinuetoconductAviationEnvironmentalProtectionoversightthroughachievingthetargetssetforthe2017/18financialyearintheMasterSurveillancePlan.
ConclusionMayI take thisopportunity toextendmyheart-feltgratitudeto theSACAAExecutiveandemployeesfortheprioryear’sperformance,andIimploreallofustocontinueontheprogressmadeinordertoattainthe2020vision,tobe“Rankedamongstthetop10civilaviationauthoritiesgloballyby2020”.
Theconsistentsupportandresponsive leadershipprovidedbytheBoard, theMinistry,inparticulartheMinisterofTransport,MsDipuoPetersMPandtheDeputyMinister,MsSindisiweChikungaMP,duringthepasttwoAPPdeliverableperiodsisevidentintheexcellentperformanceoftheAuthority.TheDepartmentofTransport’sCivilAviationbranchisesteemedfortheirconsistentcooperationandsupportintheexecutionofourmandate.ForthistheSACAAfamilyisimmenselygrateful.
P.P.
Ms Poppy KhozaDirectorofCivilAviation8March2017
12 CAA ANNUAL PERFORMANCE PLAN 2017/18
5. Official Sign-off
ItisherebycertifiedthatthisAnnualPerformancePlan:
• WasdevelopedbytheExecutiveandstaffoftheSouthAfricanCivilAviationAuthorityundertheguidanceoftheBoardandinconsultationwiththeDepartmentof Transport.
• Takesintoaccountalltherelevantpolicies,legislationandothermandatesforwhichSACAAisresponsible.• Accuratelyreflectsthestrategicoutcome-orientedgoalsandobjectiveswhichtheSACAAwillendeavourtoachieveovertheperiod2015/16to2019/20.• Has been approved by the Board.
Ms Phindiwe Gwebu Mr Asruf SeedatExecutive:CorporateServices Executive:Finance8March2017 8March2017
P.P.
Ms Poppy Khoza Mr Smunda Mokoena DirectorofCivilAviation ChairpersonoftheBoard8March2017 8March2017
Ms Dipuo Peters, MPExecutiveAuthority10March2017
13CAA ANNUAL PERFORMANCE PLAN 2017/18
6. Legislative and Other Mandates
6.1 The ActTheSouthAfricanCivilAviationAuthority(SACAA)isanagencyoftheDepartmentofTransport(DoT),establishedon01October1998,followingtheenactmentofthenowrepealedSouthAfricanCivilAviationAuthorityAct,1998(ActNo.40of1998).ThisActwasreplacedbytheCivilAviationAct,2009(ActNo.13of2009),whichcameintoeffecton31March2010.
AsoutlinedinthePublicFinanceManagementAct(PFMA),1999(ActNo.1of1999)(asamendedbyActNo.29of1999),theSACAAisaSchedule3Apublicentity.ThePFMAandtheCivilAviationActdesignatetheSACAABoardastheorganisation’sAccountingAuthority,whilsttheMinisterofTransportistheExecutiveAuthority.
TheCivilAviationActprovidesfortheestablishmentofastand-aloneauthority,mandatedwithcontrolling,promoting,regulating,supporting,developing,enforcingandcontinuouslyimprovinglevelsofsafetyandsecuritythroughoutthecivilaviationindustry.TheaboveisachievedbycomplyingwiththeStandardsandRecommendedPractices(SARPs)oftheInternationalCivilAviationOrganization(ICAO),whilstconsideringthelocalcontext.
6.2 ICAO Critical ElementsICAOContractingStates, intheirefforttoestablishandimplementaneffectivesafetyandsecurityoversightsystem,needtoconsiderthecriticalelementsforsafetyandsecurityoversight(CE).Criticalelementsareessentiallythesafetyandsecuritydefencetoolsofasafetyandsecurityoversightsystemandarerequiredfortheeffectiveimplementationofsafetyandsecurityrelatedpolicyandassociatedprocedures.StatesareexpectedtoimplementthesafetyandsecurityoversightcriticalelementsinawaythatassumesthesharedresponsibilityoftheStateandtheaviationcommunity.
Criticalelementsofasafetyandsecurityoversightsystemencompassthewholespectrumofcivilaviationactivities.TheeffectiveimplementationoftheCEsisanindicationofaState’scapabilityregardingsafetyandsecurityoversight.
Thefollowingdiagramdemonstratestheregulatoryareasdepictedunderthedifferentcriticalelements.CriticalElements(CE)1to5pertaintotheestablishmentofthesafetyandsecuritysystems,whileCE6to8addresstheeffectiveimplementationofsuchsystemsbytheindustry.
EightCriticalSecurityElements EightCriticalSafetyElements
AviationSecurityLegislation
Appropriate Authority
Programmes andRegulations
PersonnelQualifications
and Training
Certificationand Approval Obligations
ResolutionofSecurityConcerns
QualityControlObligations
ResolutionofSafetyConcerns
Certificationand Approval Obligations
TechnicalPersonnel
QualificationsandTraining
SpecificOperatingRegulations
PrimaryAviation Legislation StateCivil
AviationSystem andSafetyOversight
Functions
TechnicalGuidance,
Tools and the ProvisionofSafetyCriticalInformation
SurveillanceObligations
ESTABLISH
IMPLEMENT
CE 1CE 3
CE 5
CE 7
CE 8
CE 6
CE
4
CE 2
Guidance, Tools and
Info
Diagram 3: ICAO Safety and Security Critical Elements
14 CAA ANNUAL PERFORMANCE PLAN 2017/18
7. Strategy Development Process
TheSACAA2017/18to2021/22RevisedStrategytookintoaccounthistoricaldatafromtheoriginalstrategyalongwiththeNationalDevelopmentPlan(NDP)andthe9PointPlaninconsideringitsrevisedoutcomes.TheendresultwasthegoaladjustmentarticulatedintheChairman’soverview,andup-scaledinterventions
highlightedintheDCAOperationalOverview.ItcanbeconcludedthattheSACAAStrategyprocessisinformedbyandadherestogovernancerequirementsstipulatedinthePublicFinanceandManagementAct(PFMA).
SituationalanalysisBoardandManagement
strategysessionIndustryandstaffengagement
Strategydevelopment
DoTOutcomes• NationalGrowthPath
(NGP)• InputsSONAspeech
outcomes
NationalDevelopmentPlan(NDP)inputs
Webbasedsurvey(IndustryandStaff)
FocusgroupDiscussion(IndustryandStaff) PESTLEanalysis
SACAAStrategyDevelopmentProcess
Diagram 4 – Strategy Development Process
15CAA ANNUAL PERFORMANCE PLAN 2017/18
8. Situational Analysis
The2017/18to2021/22strategicreviewincludedaSWOTandPESTLEAnalysisdemonstratedbythetablesbelow.Theoutcomeofthisexerciseensuredthatthe2017/18activitiesaddressthefactorsunearthedthroughthisprocesse.g.
thecontinued implementationoftherevenuemodeltoreducerelianceonthePassengerSafetyChargeandincreasingaccessibilityoftheSACAAservicetoallstakeholders,amongstothers.
SACAA 2017/18 to 2021/22 SWOT Analysis TableOrganisationalGoals
SWOTElements
Strengths Weaknesses Opportunities Threats1 Securefinancial
sustainabilityInternationalbenchmarkedmodelunderdevelopment
Over-relianceonthePassengerSafetyCharge
Includediversifiedrevenuestreams Legislativerestrictiononbudgetingforsurpluswithinvolatileenvironment
Strongfinancialposition Noproperlegalframeworkforcollectingchargedrevenue
Couldfactorcargotariffcharge SACAAmaydemiseifnotsustainable
In-depthhistoricaldatatoinformanewmodel
Financialmodelnotoptimisedtocontinuousoversight(CE-7)
Considerchargingforcurrentservicesrendered for free
Financialmodelhighlysusceptibletoendemics,terrorandnaturaldisastersthataffectpassengertravel
2 IncreaseaccesstoSACAAservices
Willingnessofstafftorelocate Lackofregionalofficerepresentation DecentralisationcouldImprovecontactwithindustry
Possiblecollusionwithcustomerswithemployeessituatedundervarioussatelliteoffices
Lessonsfromcurrentdecentralisationpilotprojectmayinformwayforward
Historicpilotprojectestablishedwithoutanindepthstudy
CouldintroduceE-commercetobenefitthosefromremoteplaces
CurrenteconomicandlabourconditionsandstateagenciesmaydelaydecentralisationMinister'ssupportfordecentralisation Mayrequirestrongmanagersatsatellite
offices,needtobestilldevelopedAdecentralisationstudycoulddisclosetheappropriatemixbetweentechnologyimprovementandspreadofoffices
EBSrolloutmayfacilitatetradingthroughtheinternet
Inaccessibleofficescouldcontributetolackofindustrystimulation
Valuablelessonscouldbelearntfromother CAAs
Table1: The following is a SWOT Analysis for the organisation, juxtaposed to relevant goals that address them
8.1 SWOT Analysis
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SACAA 2017/18 to 2021/22 SWOT Analysis TableOrganisationalGoals
SWOTElements
Strengths Weaknesses Opportunities Threats3 Regulate
aviationindustryeffectivelyandefficiently
TheStrategytoincludeindustryactivityinaccidentsreportsisbeingrolledout
Accidentreportingisnotlinkedtoindustryactivity
Scopetoimprovethestandardofthelicencee
ICAOcontinuousmonitoringapproachmayissueaSSCatanytime
EBSrolloutisimprovingITinfrastructureanddatacleansing
Disparatedatabasesystemsusedtoreportandmonitorindustrysafety&securityinput
IntegrationofsafetyandsecuritydatabasethroughEBS
DeficienciesinthequalitycontrolsystembySACAAmayresultinissuinglicencestoundeservingrecipients
Qualifiedandexperiencedinspectorate Someareasindicatesub-optimalinspectorconduct
Couldintegratesystemswithimportantendusersinordertoobtainreal-timedata
Cyber-crimecouldhamperexternalEBSintegration
Maturingtriedandtestedoversightmethodologies
Failuretorolloutpreventativeinterventionsduetolackofcredibleindustrydata
Significantamountofdocumentsstoredinhardcopy
GoodinternationalreputationInsufficientaviationsecurityoversightonforeignoperators
CommercialisationofNTCAenvironment
4 Acceleratetransformation
SACAAisatransformedorganisation Uncertaintyintheimplementationofnewtransportcodes
Coulddevelopacomprehensivestrategyalignedtonewsectorcodes
IndustryluringSACAAemployeesresultinginstaffattrition
StrongpresenceofHDIwomanintopmanagement
Lackofapropersupplierdevelopmentprogramme
UnclearleadershipontheNationalAviationTransformationStrategy
Inadequatebusinessresourcestosupporttheindustry.
5 Drive organisationalefficiencyandeffectiveness
Strongperformanceprocess WeakperformanceITsystem ProcureaneffectiveperformancemanagementITsystem
Possiblelabourdisputesatcriticaltimesfortheorganisation
HRPoliciesrecentlyreviewedforeffectivenessandapplicability
HRProceduresneedtobedevelopedorupdated
EnsuringthatallHRpoliciesareaccompaniedbyeffectiveprocedures
Skilledandknowledgeablestaff LackofastructuredprogrammetodeveloptechnicalpersonneltoManagers
Establishaleadershipdevelopmentprogramme
Ahigh-performinginstitution Sub-optimalretentionstrategy EstablisheffectiveemployeeretentioninterventionsScopeforimprovingtalentmanagement
6 Improvecommunicationandstakeholdermanagement
Organisationalcommunicationabilitiesadmiredbypeers
Budgetaryconstraintsincommunicatingtogeneralpublic
Developmentofaneffectivestrategythatappropriatelysegmentsstakeholderswiththeappropriatemessagesandfrequencyidentified
FraudulentactivitiesbyindustrymayaffectRSAsafetyreputation
Employeessecretlyprovidingsensitiveinformationtothemedia
Increasedhumancapacitytomanagestakeholders
Lackoftargetedstrategiesforkeystakeholders
Greatercollaborationwithstakeholdersonsafetyinterventions
Falsereports/claimsabouttheAuthorityescalatedtointernationalstructuresbycertainindustrystakeholderscancausereputationaldamagetotheAuthority
7 Significantlyimproveclientserviceexperience
Customerprocessesoptimised Lackofcustomer-centricemployeebehaviour
Engageinchangemanagementtoimprovecustomer-centricity
CollusionbetweenindustryandtheinspectorateNewstructurepoisedforservicedelivery
EffectiveWhistle-blowingpolicy
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8.2 PESTLE AnalysisPESTLEAnalysistabulatedbelowservesasanadditionalsourceforstrategyinput.AreasmarkedingreenhaveapositiveimpactonSACAA,whereasthoseshadedinredarenegative.
Table 2: PESTLE Analysis
Possible impact on SACAA’s businessImpact – positive +, negative -, neutral 0 Impact Action/performance
Political factorsImplementationoftheNationalImperatives SACAAPerformancetobealignedwithnationaldevelopment
goalsSACAAobjectiveswerealignedtoNDP,DoTOutcomes,and9PointPlan
A call byNational Treasury to keepaviation chargeseconomicalandmonitortariffescalation
ConstraintsareplacedonSACAAtomaintaincost-to-revenueratios
TheRevisedrevenuemodel,developedin2016/17,thatindicatesfuturetariffadjustmentsinlinewithorganisationalneeds
ThepossibilityofterroristattacksinSouthAfrica ThismayreduceaviationactivityandaffectPSCrevenue SACAAhasnodirectcontroloverpossibleterrorattacks
Economic factorsThefluctuatingoilpricesmaycausevariationtothecostoftravelandthereforeaffectPSCstability
Revenuesecurity isaseriousfactoras74%ofSACAAincomeisdependentonPSC,thatmaybeaffectedbyoilpricevolatility
Newdiversifiedfinancialmodelisduetobeapprovedin2016/17
Zero%GDPforecastmayaffectpassengeractivity SACAArevenuemaydecreaseasaconsequence
Increasinggovernmentbudgetdeficit Apossiblecreditratingdowngradeislikelytoaffectflightaffordability
Discountedairtravelisincreasingpassengeractivitybutmaynotbesustainableinthelongrun
Morerevenuecollected,thoughnotsustainable
Stabilityofthenationalcarrier Short-tomedium-termpotentialreductioninPSC SACAAhasnocontroloveranotherexternalbusiness
InabilitytoresolveaSignificantSafetyConcernaftertheICAOaudit
Reputationaldamageandeconomiclossduetopotentialairlinesfailingtoflytointernationaldestinationsduetoresultantembargo
ICAOpreparationgroupsandexpeditingtheclosureofprotocolquestionsandcompliancechecklists
18 CAA ANNUAL PERFORMANCE PLAN 2017/18
Possible impact on SACAA’s businessImpact – positive +, negative -, neutral 0 Impact Action/performance
Social factorsIndustrialaction Thesehaveanegativeimpactonaviationindustry
activity2016/17HumanResourcesstrategymitigatestherisk
Highunemployment,inequalityandpovertylevels CostlyaviationentrancebarriersinhibitrapidindustrytransformationandlimitHDIemploymentopportunities
Industry-widetransformationstrategythatmitigatesagainstcostbarriersisbeingimplemented
Slowindustrytransformation ThiscausesaninabilitytomeettheTransportCharterrequirements
Growingmiddleclassandtheirdemandforairtravel Therewillbeanincreaseinrecreationalaviationanddemandforbetterregulationsandsafetyreporting 0 MonitorthegrowthofNTCAanditsrespectiveimpacton
aviation safety
Technological factors
Rapidadvanceinaircraft,airportandoverallaerospacetechnology
NewdevelopmentsandtechnologieswillrequiredifferentskillsetswithinSACAA
RPASregulationsarefullyimplemented
Thereislikelytobecannibalisationwithintheindustryasunmannedsystemsreplaceaircraft,particularlyintheaerialsurveillancespace.
0
Legal (and regulatory) factors
RegulationreviewsandRevisionofpermissionsgranted. Adversereactionsfromaffectedparties 0 ConductjointSACAAandindustryregulationreviewsandengagements
TheamendmentoftheCAAct Regulatorychanges,revisionstosomebusinessoperations
ExpediteamendmentprocessthroughtheShareholder
Environmental factors
Emissionsregulations SACAAenvironmentalregulationswererevisedin2015/16andaredeemedadequate 0 Nofurtheraction
20 CAA ANNUAL PERFORMANCE PLAN 2017/18
9. Organisational Overview
9.1 South African Aviation LandscapeTheSouthAfricanCivilAviationAuthority(SACAA)isagovernmentSchedule3Aentityestablishedtoprovideoversightofcivilaviation,andismanagedinaccordancewiththeInternationalCivilAviationOrganization(ICAO)prescripts,aUnitedNationsspecialisedagency.
ThetablebelowhighlightsvariousaviationassociationsinSouthAfrica,supportedbyICAOwhichstandardisescivilaviationfunctions,providingguidancetotheDepartmentofTransport,responsiblefortheenablinglegislationandpolicydirection.TheSACAAfurtherdevelopsregulationsalignedtotheenablingActandimplementsthem.
ThereareareasofcollaborationbetweentheSACAA,theDepartmentofDefence(DOD)andtheDepartmentofPoliceandthismakesthemstakeholdersintheSACAAstrategy.Eventhoughthetwodepartmentsdonothavejurisdictionovercivilaviationmatters,theycontributeinjointcommitteesthatseektofostersafetyandsecurityoftheskies.Therearemanyothergovernmentdepartmentswithvaryingdegreesofimpactorcollaborationinthecivilaviationsafetyandsecuritysystem,howevertheyarenotelevatedinthisdiagrammaticrepresentationbelowe.g.theDepartmentofCommunications,theDepartmentofEnvironmentalAffairs,etc.
PilotLicences(About32,000)
• AirlineTransportPilotLicence(ATPL)1,500hours–(FixedWing/Helicopters)
• CommercialPilotLicence(CPL)200hours(FixedWing/Helicopters)
• PrivatePilotsLicence(PPL)–(FixedWing/Helicopters)
• NationalPilotLicence(NPL)25to35hoursdependingontype
• ScheduledAirlinesAssociation• AirlinePilotAssociation• Non-ScheduledAirlines• AirlineMaintenance
Organisations• VintageAirlines
• AssociationofAviationTrainingOrganisation
• AirportsandAerodromesAssociationofSA
• AssociationofAviationMaintenanceOrganisation
• TheHelicopterAssociationofSA• Airside Operators• SAAerospaceTradersandAllied
Industries• AssociationofNon-Scheduled
Operators
• AirshowSouthAfrica• BalloonandAirshipFederationofSA• ExperimentaalAircraftAssociation• HomebuildersAssociationofSA• MicrolightabdLightSportAeroplane
AssociationofSA• ParachutingAssociationofSA• SAGyroplaneAssociation• SAHangandParaglidingAssociation• SAModelAircraftAssociation• SAPowerFlyingAssociation• SoaringSocietyofSA• SportAerobaticClubofSA• TransformationandDevelopment
Airlines(About200) CommercialAviation(About5,800Aircraft)
CommercialAviationAssociation(CAASA)
TypeCertifiedAircraftOwners
Sportsandrecreation(About6,500Aircraft)
RecreationAviationAdministration–SA(RAASA)
InternationalCivilAviationOrganisation(ICAO)
DepartmentofSafetyandSecurityLiaison
LocalContext
Int.
DepartmentofDefence
SAPoliceService SAAirforce
DepartmentofTransport
SouthAfricanCivilAviationAuthority
SouthAfricaisasignatorytotheChicagoconventionandasaresultSACAAsubscribestotheICAO*CriticalSafetyandSecurityElements
Diagram 5: The South African Aviation Landscape
Aviation Landscape
21CAA ANNUAL PERFORMANCE PLAN 2017/18
9.2 Organisational StructureThediagrambelowistheSACAAapprovedorganisationalstructure,anendresultofadetailedOrganisationalStructureReview(OSR)processconcludedduringthe2015/16financialyear.Theprocesstookintoaccountindustryinputandcompounded
itwithdepartmentalprocessreviews inordertooptimiseservicedelivery.Thestaffingprocessisanongoingprocesswhichisgainingmomentum,especiallyinthelightoftheupcomingaudit.
Aviation Safety
OperationsFinance Human
ResourcesAviation
InfrastructureAviation Security
LegalandAviation
Compliance
Corporate Services
BoardofDirectors
Minister of Transport
AuditandRiskCommittee
CompanySecretary
DirectorofCivilAviation
AccidentandIncidentInvestigations
ChiefAuditExecutive
FlightInspectionUnit
Minister of Transport DivisionstaskedwithIndependentMandates
BoardandBoardCommitteePositionsperformaGovernanceandBoardsupportrole
MembersoftheSACAA’sExecutiveManagementCommittee
Directfunctionalreporting Administrativereporting
SACAA High level structure
22 CAA ANNUAL PERFORMANCE PLAN 2017/18
9.3 Employee Demographics
Table 3: SACAA employment demographics that indicate a transformed entity.
EMPLOYMENT EQUITY REPORT AS AT END DECEMBER 2016Occupational
levelMale Female ForeignNationals Total Comments
African Coloured Indian White African Coloured Indian White Male FemaleTarget
Current
Target
Current
Target
Current
Target
Current
Target
Current
Target
Current
Target
Current
Target
Current
Target
Current
Target
Current
Targets
Current
Variance
Topmanagement 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0
Seniormanagement 4 4 0 0 1 1 1 1 3 3 0 0 1 1 0 0 0 0 0 0 10 10 0
Professionallyqualifiedandexperiencedspecialistsandmid-management
41 27 6 2 4 3 12 11 34 25 3 2 2 1 6 4 0 2 1 2 109 79 30 VarianceisduetotheManagementandSpecialistsvacanciesthatneedtobefilled
Skilledtechnicalandacademicallyqualifiedworkers,juniormanagement,supervisors,foremenandsuperintendents
111 105 21 7 12 13 35 34 101 81 17 9 5 5 19 20 0 1 0 0 321 275 46 VarianceisduetoInspectoratelevelvacanciesthatareintheprocessofbeingfilled.
Semi-skilledanddiscretionarydecisionmaking
13 9 0 0 0 0 0 0 43 38 3 1 2 3 2 2 0 0 0 0 63 53 10 ThevarianceisduetovacanciesinthesupportdivisionssuchasAdministrationOfficers,Clerks
Unskilledanddefineddecisionmaking
0 0 0 0 0 0 0 0 2 2 0 0 0 0 0 0 0 0 0 0 2 2 0
TOTAL 169 145 27 9 17 17 48 46 184 150 23 12 10 10 27 26 0 3 1 2 506 420 86
23CAA ANNUAL PERFORMANCE PLAN 2017/18
9.4 Culture, Ethics and ValuesResearchshowsthatculturedistinguishesorganisations.Moreandmoreemployeeslookfororganisationswithaculturethatwillfittheirownbeliefsandpreferences.SACAAalreadyhasagoodreputationfortheexecutionofitsstrategyandmandatetoensurethatSACAAcontinuestoattracttalentthatwillaligntoitsvaluesandbeliefsystem;itsculturemustbeclearlydefinedandunderstoodbyallemployees.
TheHumanResourcesStrategy,whichisacoredeliverableoftheOrganisationalStrategyandAnnualPerformancePlan,outlinesthetabulatedstepstobeachievedintheadjacentdiagram.Withinthethreeyearsofdeliverytheorganisationwilldefineitsculture,reviewthecurrentoneandanalysegaps.ThisgapwillbeaddressedbyaCultureManagementPlan(CMP)thatwillincludecommunicatingthenewculture.ContinuousreviewofthecultureplanwilltakeplaceandtheCMPamendedaccordingly.
Theethical thermometerdisclosesaneedtoworkshopemployees,particularlyinspectors,withaviewofinculcatinggoodconductcommensuratewithafitandproperperson.Tothisendannualworkshopswillbeheldinpursuitoftheaboveobject,withthe2017/18financialyearearmarkedforthepreparationofahandbookasthebasisofengagement.
Throughouttheyearsvalueshavebeendisplayedinstrategicplansandcorporatematerialwithverylittleactiontakentocontinuouslyengagetheemployeesinthismatter.Alongwiththeabovecultureandethicalengagements,valueswillalsofeatureprominently.
DevelopCultureManagementPlan
IdentifytheCurrentCulture
MonitorImplementationofDesiredCultureandUpdate/RefinetheCultureManagementPlan
IdentifyandAnalyseSignificantGapsBetweenDesiredandCurrentCulture
DefinetheCultureNeededtoSupportLong-TermSuccess(“DesiredCulture”)
Communicatethe“New”CultureandtheStepsBeingTakentoManageit
24 CAA ANNUAL PERFORMANCE PLAN 2017/18
10. Risk
ThetablebelowhighlightsthecurrentSACAARiskRegisteranddemonstratesthatresidualriskismaintainedmoreorlessatamoderatelevel.
SACAA STRATEGIC RISK REGISTER – DECEMBER 2016
Risk No.
Risk Description Strategic Objective Evaluation before Considering Current Control
Strategies
Key Management Controls in Place Evaluation after Considering Current Control Strategies
Impact Likeli-hood
Inherent Risk Level
Impact Likeli-hood
Residual Risk
Level1 Inadequate
andineffectiveaviationsafety&securitymeasures
Achieveastep-changeinRegulatingAviationSafetyandSecurity
5 5 25 InternalAudits,Continuousmonitoringandvalidationsystems,ISOaccredited,Participationininternationalforums,Enforcement,ESAFTechassistancemissions(ROSTs),EstablishedICAOComplianceSection(ICS),Fullytrained/experiencedICAOCompliancespecialists,trainedtoICAOauditorlevel,ImplementMasterSurveillancePlan(MSP),EstablishmentofseparatesafetyandsecurityBoardcommittees,PerformanceAgreementbetweentheMinister,BoardandDCA,BoardTechnicalTraining
5 4 20
2 CatastrophicICTsystemsfailure
OptimiseICTtechnicalsystem
4 5 20 ICTGovernanceFramework,ProjectManagementFramework,ITProgrammanagerappointed(CIO),ICTSteeringCommittee,InternalAudit,Assurance,DisasterRecoveryPlanandBusinessContinuityManagement(BCM),MonthlyEXCOreporting,QuarterlyreportingtoARC,SLAwithserviceproviders,EXCOapprovalonscopechanges,EBSImplementationaccordingtoProjectPlan,ICTStrategy,Implementautomationandmonitoringtools,SecurityMonitoring(dataintegrity),BusinessContinuityTestingandmonitoring
4 5 20
3 Limitedandineffectiveaviationsafety&securityoversight(dualreportingoftheDCA)
Achieveastep-changeinRegulatingAviationSafetyandSecurity
5 5 25 Twoseparatefunctionalsafetyandsecuritycommittees,PerformanceAgreementbetweentheMinister,BoardandDCA,BoardTechnicalTraining
5 3 15
4 UnethicalBehaviour
Achieveastep-changeinRegulatingAviationSafetyandSecurity
5 5 25 HRadministrationofdeclarationsprocess,CAActSection98,DeclarationofInterestPolicy,DeclarationofInterestCommittee,AnnualDeclarationsconducted,Hotline(WhistleBlowers),InternalAudits,:ConflictofInterestPolicy(approvedbyBoard)
5 3 15
ExtremeRisk 17 to 25
HighRisk 10to16
ModerateRisk 5 to 9
LowRisk 1 to 4
25CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA STRATEGIC RISK REGISTER – DECEMBER 2016
Risk No.
Risk Description Strategic Objective Evaluation before Considering Current Control
Strategies
Key Management Controls in Place Evaluation after Considering Current Control Strategies
Impact Likeli-hood
Inherent Risk Level
Impact Likeli-hood
Residual Risk
Level5 DecreasedICAO
EItobelowICAO2017targetscoreof60%
Achieveastep-changeinRegulatingAviationSafetyandSecurity
5 5 25 Preparationfor2017ICAOAudit,ICAOTaskTeam,ICAOActivitySchedule,Legislation/Regulation,Policies/Procedures,RegulatoryAudit,TechnicalGuidanceProcedure,ASECCommittee,MonthlyICAOReadinessEXCOReports,ComplianceSectionfullyoperationaltomonitorcompliancetoICAOSARPs,ImplementMasterSurveillancePlan(MSP)
5 3 15
6 InadequateskillsinsomeTechnicalDivisions
Achieveastep-changeinRegulatingAviationSafetyandSecurity
5 5 20 ScareSkillsallowance,TalentManagementFramework/SuccessionPlanning,SalaryandGradingBenchmarking,StaffEngagementSurvey,ApprovedSkillsPlan,RemunerationStrategyandPolicy
5 3 15
7 Misalignedsafetyandsecurityinterventions causingacceleratedaccidentrates
ReviseandimplementtheC-FARPandalignto international best practice
5 5 25 ApprovedrevisedCFARPStrategy,Regulations,CFARPquarterlyreportsreconciledwithprevailingsafetydata,MonthlyEXCO&QuarterlyASECreports,ConsultationswithindustryonthedevelopmentofCFARP,IndustryinputsincorporatedintoCFARPasapprovedbyBoard,CompareAircraftaccidentstoactiveaircraftsontheAircraftRegister.CFARPwasrevisedandaquarterlyreportofactionstakenwasreportedtoEXCO.BytheendofQuarter1about20%ofthedeliverablesonCFARPwereachieved,TwoEMPICmoduleswentliveduringthequarteri.e.AvMedandFLC.ImplementtheMSP,SafetySeminarandSafetyCampaign’s,CFARPquarterlydeliverables,ASOCFARPreportsaresubmittedonamonthlyandquarterlybasis
5 3 15
8 LackofasustainablefundingModel
Diversifyandexpandsourcesofrevenue
4 5 20 Revenuemodelusedasaguidelinefortariffincreases,Keypoliciesandproceduresinplace,MinimumcashreservesapprovedbyBoard&NationalTreasury,AnnualTariffIncreases,CostContainmentmeasuresinplace,ActualExpendituremanagedagainstbudgetandvariancesinvestigatedmonthly,:Regularrevenuestreamaudits
4 3 12
9 LackofadequateoversightcoverageandlimitedaccessibilitytoSACAAoffices
Establishanoptimumdistributionofofficepresencenationwide
3 4 12 CapeTownRegionalOffice 3 4 12
10 Lackofbuy-in by internal andexternalstakeholders
Increasestakeholderengagement
4 4 16 2016to2019:StakeholderManagementStrategicPlanimplemented,Periodicinternal&externalstakeholderengagement,BoardparticipationindevelopmentandapprovalofAPP,PeriodicShareholdermeetings(CAAStrategy),RegularmeetingswithDoTOversightDepartment,ExistingIndustryForums(Quarterly),On-goingCommunicationwithinCAAemployees,EmployeeandLabourEngagementPlan(standingmeeting),RecognitionAgreementwithLabour
3 3 9
11 LackofcompliancetotheBBBEENewCodes
EnsurecompliancetoTransportSectorCodes
3 5 15 BBEECommitteeinplace(monitorContracts),IdentifiedthegapsbetweentheOldandNewCodes,Internshipprogram,BursaryProgram,EmploymentEquityPlanandPolicy,Employmentequitycommittee,CSIProgram,SkillsPlan
3 3 9
27CAA ANNUAL PERFORMANCE PLAN 2017/18
11. Strategy
11.1 Core Ideology
Mission
Toregulatecivilaviationsafetyandsecurityinsupportofthesustainabledevelopmentoftheaviationindustry.
Vision
There-confirmedvision isasfollows–RankedamongtheTop10civilaviationauthoritiesgloballyby2020.
Brand Promise
Thefollowingbrandpromiseismaintained–keepingyousafeinthesky.ThisiswhatemployeesmusthaveinmindinconductingSACAAbusiness,thatis,thattheyarecontributingtokeepingpeoplesafeinthesky.Theoutcomeofemployeeconductthroughexemplifiedvaluesmustgiveasenseofsafety intheskiestoconsumersofSACAAservices.
Values
SACAAvaluesremainedthesameandareexplainedbelow:
SACAA Values
Good is never good enough
Integrity Service Excellence
Teamwork and Partnering
Alwaysgivingyourbest effort and
seekingtoimprovethequalityoftheserviceoffering
Maintainhighethicalstandards and approachissues
professionally with integrity,withoutany bias and in a transparentmannerthatengenders
trsustaongstallourstakeholders
Servicedeliveryaheadofcustomerexpectation,
strivingtoalwaysexceedcustomerexpectation
Workingwithothersandtakingjointaccountabilityfortheendresult
28 CAA ANNUAL PERFORMANCE PLAN 2017/18
11.2 SACAA Regulatory PrinciplesTheSouthAfricanaviationsystem isan importantandstrategicassetof thegovernmentofSouthAfricadueto itsability toprovidesafe,coordinatedairtransportconnectivitytotradepartners,andtotheglobalcommunity.Asuccessfulaviationregulatorymodelisthereforeahighprioritytowardssecuringthedeliveryofsafetyandsecuritystandardsandrecommendedpractices(SARPS)asdefinedbytheInternationalCivilAviationOrganisation(ICAO).TheSACAAisapublicentitydeliveringaviationregulationandcontinuouslystrivingtoreview,assessandenhanceitsoversightmandateinordertoachievegovernmentaloutcomesandaddvaluetotheaviationcommunityglobally.Inimplementingbestpracticeregulatory responsibilities, theSACAAhasrecentlyadopted theRegulatoryPrinciplesbelowtoguideitswork,andlivebywhenmakinganyregulatoryoradministrativedecisions.
Regulationsmaywidelybedefinedasanygovernmentmeasureorinterventionthatseekstochangethebehaviourof individualsorgroups. Itseekstogivepeoplerightsorrestricttheirbehaviour.TheSACAAhasaresponsibilitytoensurethatregulationsarenecessary,fair,effective,andaffordableandenjoyabroaddegreeofpublicconfidence.Toachieve this, theSACAAwillensure thatanypolicyinterventionanditsadministrativedecisionsmeetthefollowingprinciples:
• Consistency• Transparency• Accountability• Proportionality• TargetedRegulations• AdherencetotheRuleofLaw.
Theseprinciplesshallbeused formeasuringand improving thequalityofSACAA’Sregulations,administrativedecisionsandenforcementactionandtheyareelaborateduponbelow:
ConsistencyRulesandstandardsmustbealignedandimplemented
fairly.TheSACAAwillensurethat:Consistency
• ItsregulationsareconsistentwiththoseofotherstateentitiesandwithICAOStandardsandRecommendedpractices.
• Newregulations takeaccountofotherexistingorproposedregulations,
whetherofdomesticorinternationalorigin.• Regulationsarepredictableinordertogivereasonablestabilityandcertainty
tothosebeingregulated.• Enforcementagenciesworktogethertoapplyregulationsconsistentlyacross
thecountry.• Theapplicableregulationsareappliedconsistentlyandfairlywhentaking
administrativedecision.
Transparency Regulationsshouldbeopen,simpleanduser-friendly
• Policyobjectives,includingtheneedforregulation,shouldbeclearlydefinedandeffectivelycommunicatedtoallinterestedparties.
• Effectiveconsultationmust takeplacebeforeproposalsareapproved, toensurethatstakeholders’viewsandexpertisearetakenintoaccount.
• Stakeholdersshouldbegivensufficientinformationandtimetorespondtoconsultations.
• Regulationsshouldbeclearandsimple.• Thosebeingregulatedshouldbemadeawareoftheirobligations,withlaw
andbestpracticeclearlydistinguished.• Thosebeingregulatedshouldbegiventhetimeandsupporttocomply.Our
TechnicalStandardsshouldsupplyexamplesofmethodsofcompliance.• Theconsequencesofnon-complianceshouldbemadeclear.
AccountabilityBeabletojustifydecisionsandbesubjecttopublic
scrutiny
• Regulatoryproposalswillbepublishedandallthosethatareaffectedwillbeconsultedbeforedecisionsaretaken.
• Alladministrativeactionswillbecommunicatedclearly.
• Beforemakingdecisions that could adversely affect the rights of anystakeholder, theaffectedpersonwillbeaffordedanopportunity tomakerepresentations.Theaffectedpartywillbegivenreasonsonhowandwhyfinaldecisionshavebeenreached.
29CAA ANNUAL PERFORMANCE PLAN 2017/18
• TheSACAAwillestablishclearstandardsandcriteriaagainstwhichtheycanbejudged.
• Onceanadministrativedecisionhasbeentaken,theaffectedpersonwillbeadvisedofinternalappealprocesses.
• TheSACAAwillhaveawell-publicised,accessible,fairandeffectivecomplaintsandappealsprocedure,underpinnedbyclearlinesofaccountability.
ProportionalityIntervenewhennecessary.Remediesshouldbeappropriatetotheriskposedandcostsidentifiedandminimised.
• TheSACAApolicysolutionswillbeproportionatetotheperceivedproblemorriskandjustifythecompliancecostsimposed.
• Alltheoptionsforachievingpolicyobjectiveswillbeconsidered–notjustprescriptiveregulation.TheSACAAwillconsiderotheralternativeswhichmaybemoreeffectiveandcheapertoapply.
• Regulationcanhaveadisproportionateimpactonsmallbusinesses,whichaccountformostbusinesses.Theimpactonsmallandbigorganisationsshallbetakenintoaccountwhendevelopingregulations.
• ICAOstandardsshallbetransposedinlinewithICAOrequirementsunlesswehavefiledthedifference.
• Enforcementactionswillbeproportionate to theriskposed;andwewillconsiderremedialeducationalandnon-punitiveapproaches,ratherthanapunitiveapproachwherepossible.
• Whentakingadministrativedecisionswewillendeavourtofindsolutionsthatarelesscostlyandquickwithoutcompromisingaviationsafetyandsecurity.
TargetedRegulations
Regulationandadministrativedecisionswill focusontheproblemandminimiseside-effects.
• TheSACAAregulationswillfocusontheproblemandwewillavoidascattergunapproach.
• Whereappropriate,ourregulationswilladoptanoutcomes-basedapproach,withthosebeingregulated,givenflexibilityindecidinghowtomeetclear,unambiguoustargets.
• Whenimplementingregulationsandtakingadministrativedecisions,guidanceandsupportwillbeadaptedtotheneedsofdifferentaffectedgroups.
• Regulationsandadministrativedecisionswillbesystematically reviewedtotestwhethertheyarestillnecessaryandeffective.Ifnot, theywillbemodifiedoreliminated.
AdherencetotheRuleofLaw
Inlinewiththeruleoflawouradministrativedecisionswillbeunderpinnedbyuniversalprinciplesoffairness,moralityandjusticethattranscendshumanlegalsystems.
• TheSACAAisacreatureofstatuteandassuchitsofficialsareaccountableunderthelawwhenconductingtheiradministrativefunctions.
• Wewillensurethatourlegislationandlegalprinciplesareclear,publicised,stableandjust.
• Inapplyingthe legislationweadministerwewillprotect the fundamentalindividualrights,aviationsafetyandsecurityandhumanrights.
• Wewillensurethattheprocessbywhichthelegislationisenacted,administeredandenforcedwillbeaccessible,fairandefficient.
• Wewillensure thatouradministrativedecisionsaredelivered timelybycompetent,ethicalandobjectiveindividuals.
30 CAA ANNUAL PERFORMANCE PLAN 2017/18
Alignment of Organisational Goals to National Imperatives
National Development Plan DoT Outcomes Organisational Goals1 BuildingSaferCommunities Anefficientandintegratedtransportinfrastructurenetwork
forsocialandeconomicdevelopmentRegulatetheaviationindustryeffectivelyandefficiently.
2 TransitiontoLowCarbonEconomy Increasedcontributionoftransporttoenvironmentalprotection
3 TransformingSocietyandUnitingtheCountry Increasedcontributiontojobcreation Acceleratetransformation
4 ReformingthePublicService Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
Increaseaccessibilitytoregulatoryservices
Securefinancialsustainability
Driveorganisationalefficiencyandeffectiveness
Improvecommunicationandstakeholdermanagement
Significantlyimproveclientservices’experience
11.3 Strategy Alignment Inrevisingthestrategyanddevelopingthe2017/18AnnualPerformancePlan,theSACAAensuredalignmenttoandsupportoftheNationalDevelopmentPlanandDoTOutcomes.CognisancewasalsogiveninrelationtothenationalprioritiesasarticulatedinvariousgovernmentplatformssuchastheStateoftheNation
AddressbythePresidentoftheRepublicandthe9-PointPlan.EventhoughnotalltheaspectsoftheseinterventionsapplytotheSACAAenvironment,ongoingprogressreportsaresharedwiththeshareholderwhereapplicable.
Adopted Strategic Objectives
Aftersatisfyingtheaboveprocesses,theAuthorityarrivedatthebelowStrategicObjectives,whicharepositioningtheorganisationtoachievethegame-changingtargetsassetoutinthesubsequentannualandquarterlytables.
1. Achieveastep-changeinregulatingAviationSafetyandSecurity
2. AchievetheMasterSurveillancePlan(MSP)Targets
3. ReviseandimplementC-FARPandaligntointernationalbestpractice
4. Establishaplatformtomanagesafetyrisk
5. Establishaplatformtomanagesecurityrisk
6. Establishanoptimumdistributionofofficepresencenationwide
7. Diversifyandexpandsourcesofrevenue
8. Establishacultureofprudentfinancialmanagement
9. Increasestakeholderengagement
10. Improvecustomers’experience
11. Driveaperformanceculture
12. OptimiseICTtechnicalsystem
13. EnsurecompliancetoTransportSectorCodes.
Table 4: Alignment of Organisational Goals to National Imperatives
31CAA ANNUAL PERFORMANCE PLAN 2017/18
12. Strategy Deliverable TablesSACAA revised strategy – annual targets Table A
Integrated category
Outcome Strategic objective
Performance indicators
Annual target 2016/17
Annual target 2017/18
Annual target 2018/19
Annual target 2019/20
Annual target 2020/21
OrganisationalGoal1:Regulateaviationindustryeffectivelyandefficiently
NDP:BuildingSaferCommunities DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
SafetyandSecurity
Effective,efficientandtechnologicallysoundoversightsystems
Achieveastep-changeinregulatingAviationSafetyandSecurity
ICAOAuditwithnosafetysignificantconcern
DevelopandimplementCAPtoclosefindingsintimeforthePre-ICAOAssessmentAuditin2016/17financialyear,andfinalauditin2017/18
AuditoutcomewithnoSignificantSafetyConcern
ImplementSACAAspecificCAPaccordingtomilestones
ImplementSACAAspecificCAPaccordingtomilestones
ImplementSACAAspecificCAPaccordingtomilestones
CorrectiveActionPlan(CAP)approvedbyEXCO
DevelopCorrectiveActionPlan(CAP)
EXCOapprovedICAOUSAP-CMAReadinessandimplementationplan
N/A DevelopandimplementanICAOUSAP-CMAreadiness plan
ConductapeerassessmentonthestateofICAOUSAP-CMAstateof readiness
Develop and implementSACAAspecificICAOUSAP-CMACAP
Develop and implementSACAAspecificICAOUSAP-CMACAP
AllexaminationsforissuingAnnex1licencesconductedbySACAAasperEXCOapprovedplan
N/A DevelopandimplementprojectplantoextendexaminationstoallAnnex1licences
ImplementapprovedprojectplantoextendAnnex1examinationsaccordingtomilestones
CompleteprojecttoextendexaminationstoallAnnex1licencesbyMarch2020
N/A
EXCOapprovedBenchmarkingReport
N/A Conductbenchmarkingfortheintroductionofpracticalcompetencyassessmentsoftargetedpersonnel in the licensingvaluechain
Developastrategytointroducepracticalcompetencyassessmentsoftargetedpersonnelinthelicensingvaluechain
Implementpracticalcompetencyassessmentstrategyaccordingtomilestones
Implementpracticalcompetencyassessmentstrategyaccordingtomilestones
ReviseandimplementC-FARPandalignto international bestpractice
Cross-FunctionalAccidentReductionPlan(C-FARP)implementedaccordingtomilestonesandreportedquarterly
Achieveaminimumof33%ofC-FARPdeliverables and report quarterly
ReviseC-FARPandachieve90%ofannualdeliverables.
ReviseC-FARPandachieve90%ofannualdeliverables.
ConductC-FARPimpactassessmentandreviseplan for approval by EXCOandimplement
ImplementrevisedC-FARPaccordingtoEXCOapprovedroll-outPlan
Establishaplatformtomanagesafetyrisk
Industrysafetydatagathered,analysed,andreportedinaccordancetoEXCOapprovedframework
N/A Developaframeworkforindustryinputanddata analysis on safety managementsystems
Implementapprovedframeworkaccordingtomilestonesforindustryinputand data analysis on safety managementsystems
Reviewframeworkaccordingtomilestonesforindustryinputanddataanalysisonsafetymanagementsystems
Implementapprovedframeworkaccordingtomilestonesforindustryinputand data analysis on safety managementsystems
Establishaplatformtomanagesecurityrisk
Industrysecuritydatagathered,analysed,andreportedinaccordancetoEXCOapprovedframework
N/A Developaframeworkforindustryinputanddataanalysisonsecurityinformationsystems
Implementapprovedframeworkaccordingtomilestonesforindustryinput&dataanalysisonsecurityinformationsystems
Reviewframeworkaccordingtomilestonesforindustryinput&dataanalysisonsecurityinformationsystems
Implementapprovedframeworkaccordingtomilestonesforindustryinput&dataanalysisonsecurityinformationsystems
32 CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – annual targets Table AOrganisationalGoal1:Regulateaviationindustryeffectivelyandefficiently
NDP:BuildingSaferCommunities DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
Surveillance and audits conducted according to plan
Budgeted 2016/17 financial year
Annual planned departmental surveillance activities
Annual target 2017/18
Annual target 2018/19
Annual target 2019/20
Annual target 2020/21
Annual target 2021/22
Aviation Infrastructure(AI)
AirTrafficServices 55 58 57 60 60 60
AerodromeLicenceInspections 130 131 130 130 130 130
AerodromeSurveillance 19 14 20 21 21 21
CNS 51 53 53 55 55 55
AviationEnvironmentalProtection
8 12 12 12 12 12
Total (Achieve a minimum 95% of AI targets) 255(8) 268 264 270 270 266
Aviation Security(AS)
Airports and Airlines 213 249 255 261 267 273
RegulatedAgentsandKnownConsignors
362 377 377 392 392 392
DangerousGoodsSafetyOversight
404 420 420 437 437 437
TrainingOrganisations 123 130 131 132 132 133
Total (Achieve a minimum 95% of AvSec targets) 1,102 1,176 1,183 1,222 1,228 1,235
Aviation SafetyOperations (ASO)
AirMaintenanceOrganisation 454 416 416 416 416 416
ManufacturingOrganisation 46 23 23 23 23 23
AirOperatorCertificateHolders 697 342 342 342 342 342
AviationTrainingOrganisations 458 315 315 315 315 315
Total (Achieve a minimum 95% of ASO targets) 1,655 1,096 1,096 1,096 1,096 1,096
Integrated Category
Outcome Strategic Objective
Performance Indicators
Annual Target 2016/17
Annual target 2017/18
Annual target 2018/19
Annual target 2019/20
Annual target 2020/21
OrganisationalGoal2:Increaseaccesstoregulatoryservices
NDP:Reformingthepublicservice DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
AccesstoRegulatoryServices
Nationalfootprint that bestservicesstakeholdersandcustomers
Establishanoptimumdistributionofofficepresencenationwide
SACAAdecentralisationinaccordancetoBoardapproved plan
N/A DevelopabusinesscasefordecentralisationofSACAAservices
Implementdecentralisationplanaccordingtomilestones
Implementdecentralisationplanaccordingtomilestones
Implementdecentralisationplanaccordingtomilestones
33CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – annual targets Table A
Integrated Category
Outcome Strategic Objective
Performance Indicators
Annual Target 2016/17
Annual target 2017/18
Annual target 2018/19
Annual target 2019/20
Annual target 2020/21
OrganisationalGoal3:Securefinancialsustainability
NDP:Reformingthepublicservice DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
OrganisationalSustainability
Sustainableorganisation
Diversify andexpandsourcesofrevenue
Progressreportonimplementationoffundingmodel
Board approval of revisedfundingmodelandcommenceimplementation
ImplementBoardapprovedFundingmodelprojectplanandreportprogressquarterlytoEXCO
ImplementBoardapprovedFundingmodelprojectplanandreportprogressquarterlytoEXCO
ImplementBoardapprovedFundingmodelprojectplanandreportprogressquarterlytoEXCO
Fundingmodelfullyimplemented
Sustainableorganisation
Establishacultureofprudentfinancialmanagement
EXCOapprovedCostContainmentPlan
N/A Develop and implementanannualCostContainmentPlanasperNationalTreasuryInstruction
ReviseandimplementanannualCostContainmentPlanasperNationalTreasuryInstruction
ReviseandimplementanannualCostContainmentPlanasperNationalTreasuryInstruction
DevelopandimplementanannualCostContainmentPlanasperNationalTreasuryInstruction
OrganisationalGoal4:Improvecommunicationandstakeholdermanagement
NDP:Reformingthepublicservice DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
SocialandRelationship
Demystifyaviation to the public
Increasestakeholderengagement
Achieveaminimum85%ofStakeholderManagementannualdeliverables
ReviseandimplementBoard-approvedStakeholderManagementPlan
ImplementStakeholderManagementPlanandachieve90%ofannualtargets
ImplementStakeholderManagementPlanandachieve90%ofannualtargets
RevisetheStakeholderManagementPlanandimplementaccordingtosetmilestones
ImplementrevisedStakeholderManagementPlanaccordingtosetmilestones
OrganisationalGoal5:Significantlyimproveclientserviceexperience
NDP:Reformingthepublicservice DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
SocialandRelationship
Improvedstakeholderengagement
Improvecustomerexperience
Changemanagementprogrammetoinculcateacustomer-centricculturerolledoutintermsofEXCOapprovedprogramme
N/A Develop and implementachangemanagementprogrammetoinculcateacustomer-centricculture
Embedcustomer-centriccultureasperchangemanagementprogram.ProduceAnnualIndependentAssessmentReport
Embedcustomer-centriccultureasperchangemanagementprogramme.ProduceAnnualIndependentAssessmentReport
Reviewandimplementannualprogrammetoinculcateacustomer-centricculture
34 CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – annual targets Table AOrganisationalGoal6:Driveorganisationalefficiencyandeffectiveness
NDP:Reformingthepublicservice DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
HumanCapital
Smartapproachinmaintaininghighperformancelevels in a transformedorganisation
Drive a performanceculture
Achieveaminimum85%ofHRstrategyannualdeliverables
Developa3-yearcomprehensiveHRstrategyalignedtoHRcompetenciestoenhancetalentmanagementforapprovalbyHRCandimplement.
ImplementBoard-approvedHRstrategyinaccordancewithroll-outplanmilestones
ImplementBoard-approvedHRstrategyinaccordancewithroll-outplanmilestones
ReviseHRStrategyforapprovalbyHRCandimplement
ImplementBoard-approvedHRstrategyinaccordancewithroll-outplanmilestones
OptimiseICTtechnicalsystem
MigrationfromdisparatesystemstointegratedsafetyandsecuritysystemthroughtherolloutoftheElectronicBusinessSystem(EBS)project
Achieveaminimumof80%ofSACAAFitICTplan deliverables
Achieveaminimumof80%ofplannedEBStechnicalsystemimplementationforEXCOreportingandapprovalquarterly
Achieve80%ofEBSProjectplanandreporttoEXCOquarterly
Achievefullsign-offforEBSproject
DevelopandimplementanERDMSprojectplan
OrganisationalGoal4:Acceleratetransformation
NDP:Transformingsocietyandunitingthecountry DoT:IncreasedcontributiontoJobCreationHumanCapital
Smartapproachinmaintaininghighperformancelevels in a transformedorganisation
Ensurecomplianceto Transport SectorCodes
B-BBEEcertificationlevelprogressioninline with approved B-BBEEPlan.ReadinessplanfornewTransportsectorcodes
MaintainB-BBEELevel2basedonexistingcodesorLevel6based on the new sectorcodes
DevelopaB-BBEEplanalignedtothenewTransportPublicSectorcodesforapprovalbyEXCO
ImplementEXCOapprovedB-BBEEplanalignedtonewsectorcodes
ImplementapprovedB-BBEEplanandachieveLevel6ratingbasedonnewsectorcodes
ReviewB-BBEEtransformationplan
35CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – quarterly targets Table B
Strategic objective
Audited actual performance Annual targets 2016/17
Annual targets 2017/18
Indicator 2017/18 Quarterly targets
Year 3 Year 2 Year 1 Quarter 1 Quarter 2 Quarter 3 Quarter 4OrganisationalGoal1:Regulateaviationindustryeffectivelyandefficiently
OrganisationalGoalEstimatedCost:R345m
NDP:BuildingSaferCommunities DoTOutcome:Anefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopment
Achieveastep-changeinregulatingAviationSafetyandSecurity
N/A 2013ICAOICVMAuditwith no significantfindings
Performanceaccordingto ICAO CorrectiveActionPlan(CAP)
Develop and implementCAPtoclosefindingsintimeforthePre-ICAOAssessmentAuditin2016/17financialyear,andfinalauditin2017/18
AuditoutcomewithnoSignificantSafetyConcern(SSC)
NosignificantSafetyConcern(SSC)asanauditoutcome
UniversalSafetyOversightAuditProgramme(USOAP)-CMAauditconductedby ICAO
Submitcommentson draft ICAO AuditReportforEXCOapprovalandsubmissiontoDoT
FinalReportfromICAOwithnoSSC
N/A
DevelopCorrectiveActionPlan(CAP)to be approved by EXCOandsubmittedto DoT
ApprovedCAPbyEXCOandsubmissiontoDoT
N/A DevelopUSOAP-CMACAPandpresenttoEXCOforapprovalandsubmitto DoT
N/A FinalCAPapprovedbyEXCO
N/A N/A N/A N/A Develop and implementanICAOUSAP-CMAreadiness plan
EXCO-approvedICAOUSAP-CMAReadinessandimplementationplan
DevelopaUSAP-CMAreadiness plan to be approvedbyEXCO
ImplementUSAP-CMA readiness planaccordingtomilestonesandreporttoEXCO
ImplementUSAP-CMA readiness planaccordingtomilestonesandreporttoEXCO
USAP-CMAstateof readiness report approvedbyEXCO
N/A N/A N/A N/A Develop and implementprojectplantoextendexaminationstoallAnnex1licences
EXCOapprovedprojectplan
N/A ScopeofoutstandingAnnex1examinationsapprovedbyEXCO
EXCOapprovedprojectplantoextendexaminationstoallAnnex1licences
ImplementprojectaccordingtomilestonesandreporttoEXCO
N/A N/A N/A N/A Conductbenchmarkingfortheintroductionofpracticalcompetencyassessmentsoftargetedpersonnelinthelicensingvaluechain
EXCOapprovedBenchmarkingReport
N/A EXCOapprovedbenchmarkingTORforintroducingpracticalcompetencyassessments
CommencebenchmarkingandprovideprogressreporttoEXCO
EXCOapprovalofthefinalisedbenchmarkingreport
ReviseandimplementCFARPandaligntointernational bestpractice
N/A N/A Approved Cross-FunctionalAccidentReductionPlan(CFARP)implemented
Achieveaminimumof33%ofCFARPdeliverables and reportquarterly
ReviseCFARPandachieveaminimumof90%ofCFARPannualdeliverablesandreportquarterlytoEXCO
90%oftheannualCFARPdeliverablesachievedandreportedtoEXCOquarterly
ReviseCFARPandsolicitapprovalfromEXCO
ImplementrevisedCFARPaccordingtoEXCOapprovedroll-outmilestonesandreporttoEXCO
ImplementrevisedCFARPaccordingtoEXCOapprovedroll-outmilestonesandreporttoEXCO
ImplementrevisedCFARPaccordingtoEXCOapprovedroll-outmilestonesandreporttoEXCO
Establishaplatformtomanagesafetyrisk
N/A N/A N/A N/A Developaframeworkforindustryinputand data analysis on safetymanagementsystems
FrameworkapprovedbyEXCO
Developdraftframeworkforindustryinputanddata analysis on safety managementsystems.PresenttoEXCO.
ConductindustryinputworkshopsonDraftFramework.ReporttoEXCO
ReviseinitialdraftwithindustryinputsanddevelopfinalframeworkforEXCOapproval
FrameworkapprovalbyEXCO
36 CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – quarterly targets Table BEstablishaplatformtomanagesecurityrisk
N/A N/A N/A N/A Develop a frameworkforindustryinputanddata analysis on securityinformationsystems
FrameworkapprovedbyEXCO
Develop draft frameworkforindustryinputanddata analysis on securityinformationsystems
Conductindustryworkshopsondraftframework
Reviseinitialdraft with industryinputsanddevelopfinalframeworkforEXCOapproval
FrameworkapprovalbyEXCO
Aviation Security Master Surveillance And Audit Plan
Reporting period
Annual target 2017/18 2017/18 quarterly targets
Quarter 1 Quarter 2 Quarter 3 Quarter 4Airports and Airlines Quarterly 249 63 65 60 61
RegulatedAgentsandKnownConsignors 377 94 94 94 95
DangerousGoodsSafetyOversight 420 103 103 103 111
TrainingOrganisations 130 33 32 33 32
Total - Minimum 95% of annual target 1,176 293 294 290 299
Aviation Infrastructure Master Surveillance And Audit Plan
Reporting period
Annual target 2017/18 2017/18 quarterly targets
Quarter 1 Quarter 2 Quarter 3 Quarter 4AirTrafficServices Quarterly 58 18 13 15 12
AerodromeLicenceInspections 131 30 45 30 26
AerodromeSurveillance 14 4 0 5 5
CNS 53 15 15 10 13
AviationEnvironmentalProtection 12 3 4 2 3
Total - Minimum 95% of annual target 268 70 77 62 59
Aviation Safety Operation Master Surveillance And Audit Plan
Reporting period
Annual target 2017/18 2017/18 Quarterly targets
Quarter 1 Quarter 2 Quarter 3 Quarter 4AirMaintenanceOrganisation Quarterly 416 104 104 104 104
ManufacturingOrganisation 23 5 6 6 6
AirOperatorCertificateHolders 342 84 86 86 86
AviationTrainingOrganisation 315 78 79 79 79
Total - Minimum 95% of annual target 1,096 271 275 275 275
37CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – quarterly targets Table B
Strategic objective
Audited actual performance Annual targets 2016/17
Annual targets 2017/18
Indicator 2017/18 Quarterly targets
Year 3 Year 2 Year 1 Quarter 1 Quarter 2 Quarter 3 Quarter 4OrganisationalGoal2:Increaseaccesstoregulatoryservices
OrganisationalgoalestimatedcostR8.9m
NDP:Reformingthepublicservice DoT:AnefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopmentEstablishanoptimumdistributionofofficepresencenationwide
N/A N/A N/A N/A Develop a businesscasefordecentralisationofSACAAservicesforapprovalbyEXCO
EXCOapproveddecentralisationbusinesscase
N/A DevelopbusinesscaseandsubmitprogressreporttoEXCO
DraftBusinessCasesubmittedtoEXCOforcomments.
DecentralisationbusinesscasesubmittedtoEXCOfor approval
OrganisationalGoal3:Securefinancialsustainability
Organisationalgoalestimatedcost:R72m
NDP:Reformingthepublicservice DoT:AnefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopmentDiversify andexpandsourcesofrevenue
N/A Updated fundingmodelapproved by Board
Approved financialmodeldevelopmentprojectplan
Board approval of revised fundingmodelandcommenceimplementation
ImplementBoard-approvedFundingmodelprojectplan and report progressquarterlytoEXCO
ProgressReportonimplementationofFundingModel
ProgressreporttoEXCOontheFundingmodelimplementation
ProgressreporttoEXCOontheFundingmodelimplementation
ProgressreporttoEXCOontheFundingmodelimplementation
ProgressreporttoEXCOontheFundingmodelimplementation
Establishacultureofprudentfinancialmanagement
N/A N/A N/A N/A Develop and implementanannualCost-ContainmentPlanasperNationalTreasuryInstruction
EXCOapprovedCost-ContainmentPlan
DevelopaCost-Containmentplanfor approval by EXCO
ImplementCost-ContainmentPlanandreportquarterlytoEXCO
ImplementCost-ContainmentPlanandreportquarterlytoEXCO
ImplementCost-ContainmentPlanandreportquarterlytoEXCO
OrganisationalGoal4:Improvecommunicationandstakeholdermanagement
Organisationalgoalestimatedcost:R21m
NDP:Reformingthepublicservice DoT:AnefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopmentIncreasestakeholderengagement
N/A Board approved StakeholderManagementPlan
OrganisationDesign–diagnosticcustomerconcernsmapped
ReviseandimplementBoard approved StakeholderManagementPlan
ImplementStakeholderManagementPlanandachieve90%ofannualtargetsset
Achieve90%ofannualsettargets
ImplementStakeholderManagementPlanaccordingtosetmilestonesandreporttoEXCO
ImplementStakeholderManagementPlanaccordingtosetmilestonesandreporttoEXCO
ImplementStakeholderManagementPlanaccordingtosetmilestonesandreporttoEXCO
ImplementStakeholderManagementPlanaccordingtosetmilestonesandreporttoEXCO
38 CAA ANNUAL PERFORMANCE PLAN 2017/18
SACAA revised strategy – quarterly targets Table B
Strategic objective
Audited actual performance Estimated performance
2016/17
Annual target 2017/18
Indicator 2017/18 Quarterly targets
Year 3 Year 2 Year 1 Quarter 1 Quarter 2 Quarter 3 Quarter 4
OrganisationalGoal5:Significantlyimproveclientserviceexperience
Organisationalgoalestimatedcost:R1m
NDP:Reformingthepublicservice DoT:AnefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopmentImprovecustomerexperience
N/A N/A N/A N/A Develop and implementachangemanagementprogrammetoinculcateacustomer-centricculture
ChangemanagementprogrammetobeapprovedbyEXCO
DevelopchangemanagementprogrammeandsubmitprogressreporttoEXCO
ImplementapprovedchangemanagementprogrammemilestonesandreportprogresstoEXCO
ImplementapprovedchangemanagementprogrammemilestonesandreportprogresstoEXCO
ImplementapprovedchangemanagementprogrammemilestonesandreportprogresstoEXCO
OrganisationalGoal6:Driveorganisationalefficiencyandeffectiveness
Organisationalgoalestimatedcost:R180m
NDP:Reformingthepublicservice DoT:AnefficientandintegratedtransportinfrastructurenetworkforsocialandeconomicdevelopmentDrive a performanceculture
N/A N/A N/A Developa3-yearcomprehensiveHRstrategyalignedtoHRcompetenciestoenhancetalentmanagementforapprovalbyHRCandimplement.
ImplementBoard-approvedHRstrategyinaccordancetoroll-outplanmilestones
Achieve85%ofHRstrategydeliverables
ImplementHRstrategyaccordingto approved milestonesandreporttoHRC
ImplementHRstrategyaccordingto approved milestonesandreporttoHRC
ImplementHRstrategyaccordingto approved milestonesandreporttoHRC
ImplementHRstrategyaccordingto approved milestonesandreporttoHRC
OptimiseICTtechnicalsystem
N/A Approved EnterpriseBusinessSystemTender
ImplementITSystemsstrategy
Achieveaminimumof80%ofSACAAFitICTplan deliverables
Achieveaminimumof80%ofplannedICTEBStechnicalsystemimplementation
Board-approvedEBSprojectplan
ImplementEBSrolloutaccordingto approved milestonesandreportprogresstoEXCO
ImplementEBSrolloutaccordingto approved milestonesandreportprogresstoEXCO
ImplementEBSrolloutaccordingto approved milestonesandreportprogresstoEXCO
ImplementEBSrolloutaccordingto approved milestonesandreportprogresstoEXCO
OrganisationalGoal7:Acceleratetransformation
Organisationalgoalestimatedcost:R24m
NDP:Transformingsocietyandunitingthecountry DoT:IncreasedcontributiontoJobCreationEnsurecomplianceto Transport SectorCodes
AchievedBBBEELevel3
AchievedBBBEELevel 2 Certification
AchievedBBBEELevel 2 Certification
MaintainBBBEELevel 2 based on existingcodesorLevel 6 based on thenewsectorcodes
DevelopaB-BBEEplanalignedtothe new Transport PublicSectorcodesforapprovalbyEXCO.
B-BBEEplanapprovedbyEXCO
BBBEECommitteetrainingonnewTransportSectorCodes
DevelopaB-BBEEplan approved by EXCO
ImplementapprovedB-BBEEplanaccordingtomilestonesandreporttoEXCO
ImplementapprovedB-BBEEplanaccordingtomilestonesandreporttoEXCO
39CAA ANNUAL PERFORMANCE PLAN 2017/18
Technical indicators Table C
Indicator Indicator title
Short definition
Purpose/ Importance
Source collection
data
Method of calculation
Data limitation
Type of indicator
Calculation type
Reporting cycle
New indicator
Desired Purpose
1. RegulateaviationindustryeffectivelyandefficientlyNoSignificantSafetyConcern(SSC)asanauditoutcomeoftheICAOAudit
ICAO safety Audit
SafetyassessmentauditconductedbyICAO
Haseconomicimportancetoairlineindustryasitmaycauselimitationoftrade
ICAOauditreport
N/A None Qualitative N/A Annual No Improvementofeffectiveimplementation
ApprovedCAPbyEXCO
USOAPAuditCAP
SafetyAssessmentauditanddevelopmentofrelevantCAP
Haseconomicimportanceto airline industryasitmaycauselimitationoftrade
EXCOApprovedCAP
N/A None Qualitative N/A Annual No Improvementofeffectiveimplementation
ReportingagainstEXCOapprovedICAOUSAP-CMACAPtobeapproved by EXCO
USAPAudit Securityreadiness for externalaudit
ContinuousclosureofICAO safety compliancegap
ICCSCAPReport
N/A None Qualitative N/A Quarterly No Growth in effectiveimplementation
EXCOapprovedprojectplantoextendexaminationsonAnnex1licences
Licensingassurance
SACAAexaminingallAnnex1licences
ContinuousclosureofICAOsecuritycompliancegap
ICCSCAPReport
None None Qualitative N/A Quarterly No Growth in effectiveimplementation
EXCOapprovedBenchmarkingReport
Practicalcompetencyassessment
QualityassuranceprocessthatallowsSACAAtorandomlytestlicenceespractically
Improvequalityassurancelicencees
EXCOresolution
None None Qualitative N/A Quarterly Yes SACAAtodirectlytestlicenceespracticallyonselectbasis
CFARPdeliverables achievedaccordingtoannualplan
CFARPimplementation
%ImplementationofCFARPdeliverables
Address the accidentrate
EXCOreportandresolution
None None Qualitative N/A Quarterly Yes Safetyinterventions alignedtoaccidentstatistics
2016 /17 Technical Indicator Per Division – Table C
40 CAA ANNUAL PERFORMANCE PLAN 2017/18
Technical indicators Table C
Indicator Indicator title
Short definition
Purpose/ Importance
Source collection
data
Method of calculation
Data limitation
Type of indicator
Calculation type
Reporting cycle
New indicator
Desired Purpose
Frameworkorindustryinputanddata analysis on safetyinformationsystemsapprovedby Board
Safetydatainputand report Framework
Frameworkthatspecifiessafety data inputandreportingprotocols
Determinesetstandards for safety data collectionandreporting
Board resolution
None None Qualitative N/A Quarterly Yes Qualitysafetydata available instantly and usedtopredicttrends
Frameworkorindustryinputanddata analysis on securityinformationsystemsapprovedby Board
Safetydatainputand report Framework
Frameworkthatspecifiessafety data inputandreportingprotocols
Determinesetstandards for securitydatacollectionandreporting
Board resolution
None None Qualitative N/A Quarterly Yes Qualitysecuritydata available instantly and usedtopredicttrends
AreaofOversight 2017/18AnnualTarget
Sourcecollectiondata
Method of calculation
Data limitation
Type of indicator
Calculationtype
Reportingcycle
Newindicator
Desired Purpose
AvSec Airports and Airlines 249 DCAQuarterlyReport
Addition Applications Quantitative Cumulative Quarterly No Oversight
RegulatedAgentsandKnownConsignors
377
DangerousGoodsSafetyOversight
420
TrainingOrganisations 130
AI AirTrafficServices 57
AerodromeLicenceInspections 130
AerodromeSurveillance 20
CNS 53
ASO AviationEnvironmentalProtection 12
AircraftMaintenanceOrganisation 416
ManufacturingOrganisation 23
AirOperatorCertificateHolders 342
AviationTrainingOrganisation 315
2. IncreaseaccesstoregulatoryservicesExcoapproveddecentralisationbusinesscase
Decentralisationmodel
Definingfuturedecentralisationlandscape
Informsofficedecentralisation
Boardresolution N/A None Qualitative N/A Quarterly Yes Improvedaccesstoregulatoryservices
41CAA ANNUAL PERFORMANCE PLAN 2017/18
Technical indicators Table C
Indicator Indicator title
Short definition
Purpose/ Importance
Source collection
data
Method of calculation
Data limitation
Type of indicator
Calculation type
Reporting cycle
New indicator
Desired Purpose
3. SecurefinancialsustainabilityProgressreportonimplementationoffundingmodel
Fundingmodelimplementation
Implementationoffundingmodel
Reducesrelianceonsingleincomestream
Board resolution
N/A None Qualitative N/A Quarterly No Balancedincomestreams
EXCOapprovedCost-ContainmentPlan
Cost-Containmentplan implementation
Roll-outofapproved plan
Ensuresexpensesremainwithinbudget
NTInstruction Addition None Quantitative Cumulative Quarterly Yes Increasedsavings
4. ImprovecommunicationandstakeholdermanagementAchieve90%ofBoard-approvedStakeholderManagementPlanannualsettargets
StakeholderManagementPlan
Improvestakeholdermanagement
Businessthatmeetsstakeholderneeds
Board resolution
None None Qualitative N/A Quarterly Yes Improvedstakeholdersatisfaction
5. Significantlyimproveclientserviceexperience
Changemanagementprogrammetoinculcateacustomer-centriccultureto be approved by EXCO
ChangeManagementProgrammeimplementation
Embeddingcustomercentric-culture
Improveorganisationalcustomer-centricity
EXCOresolution None None Qualitative N/A Quarterly Yes Improvedcustomersatisfaction
6. DriveorganisationalefficiencyandeffectivenessAchieve85%ofHRstrategydeliverables
HRStrategyImplementation
Delivery of the HRStrategy
Improveorganisationaleffectiveness
HRCresolution None None Qualitative N/A Quarterly Yes Maintaineffectivetalent pipeline
Board-approvedEBSprojectplan
EBSImplementation
ExpeditingintegrationofITSystems
EnsuretimeousEBSimplementation
Boardresolution None None Qualitative N/A Quarterly Yes Expeditesystemsintegration
7. AcceleratetransformationB-BBEEplanapprovedbyEXCO
BBBEEPlan Strategyto adhere to revised transport codes
Adherenceandalignmentto proposed transport codes
EXCOresolution
Prescribedbysectorcodes
Codes not promulgatedyet
Qualitative N/A Quarterly Yes Transformation
43CAA ANNUAL PERFORMANCE PLAN 2017/18
Actual 2014/15 %
Actual 2015/16 %
ENE budget 2016/17 %
FCST 2016/17 %
MTEF budget
2017/18 %
MTEF budget
2018/19 %
MTEF budget
2019/20 %
Total revenue
463,007,845 100.0%
538,377,249 100.0%
573,330,631 100.0%
599,447,221 100.0%
650,765,304 100.0%
703,363,875 100.0%
758,039,643 100.0%User fees 74,332,529 16.1% 83,895,315 15.6% 95,376,357 16.6% 94,900,916 15.8% 101,539,371 15.6% 109,599,821 15.6% 118,097,989 15.6%Safetycharges 333,818,523 72.1% 401,011,281 74.5% 423,929,353 73.9% 447,133,176 74.6% 492,478,508 75.7% 534,683,850 76.0% 578,691,660 76.3%Fuellevy 23,494,139 5.1% 21,107,971 3.9% 25,624,397 4.5% 25,319,418 4.2% 27,283,408 4.2% 29,300,619 4.2% 31,526,752 4.2%NDoT 17,916,000 3.9% 18,740,000 3.5% 19,733,619 3.4% 19,733,619 3.3% 20,720,719 3.2% 21,824,222 3.1% 23,046,378 3.0%Otherincome 13,446,654 2.9% 13,622,683 2.5% 8,666,905 1.5% 12,360,091 2.1% 8,743,298 1.3% 7,955,363 1.1% 6,676,863 0.9%
Less: Staff-related costs (318,243,638) 71.4% (341,278,497) 72.3% (411,185,930) 73.0% (407,242,808) 73.0% (476,390,377) 72.9% (513,277,873) 71.5% (547,981,662) 71.5%Grossremuneration (293,160,681) 65.7% (313,355,867) 66.4% (372,988,526) 66.2% (371,090,808) 66.6% (434,697,433) 66.5% (468,748,861) 65.3% (500,616,467) 65.3%Training (10,618,583) 2.4% (11,099,740) 2.4% (19,272,635) 3.4% (18,874,540) 3.4% (21,220,281) 3.2% (22,848,462) 3.2% (24,470,535) 3.2%Otherstaffcost (9,282,857) 2.1% (9,781,306) 2.1% (11,635,564) 2.1% (11,149,424) 2.0% (12,902,688) 2.0% (13,663,947) 1.9% (14,429,128) 1.9%Temporarystaff (3,368,189) 0.8% (4,086,339) 0.9% (4,532,191) 0.8% (3,148,536) 0.6% (4,405,745) 0.7% (4,665,684) 0.6% (4,926,963) 0.6%Boardrenumeration (1,813,328) 0.4% (2,955,246) 0.6% (2,757,014) 0.5% (2,979,500) 0.5% (3,164,229) 0.5% (3,350,919) 0.5% (3,538,570) 0.5%
Less: Non-staff costs (127,676,427) 28.6% (130,640,708) 27.7% (152,072,495) 27.0% (150,303,924) 27.0% (176,922,443) 27.1% (204,674,528) 28.5% (218,816,272) 28.5%Premises (25,346,612) 5.7% (29,022,320) 6.1% (30,631,983) 5.4% (30,596,085) 5.5% (33,489,066) 5.1% (42,714,173) 5.9% (46,339,034) 6.0%Communication (8,227,548) 1.8% (6,479,524) 1.4% (9,186,325) 1.6% (8,460,950) 1.5% (8,985,529) 1.4% (9,515,675) 1.3% (10,048,553) 1.3%Otheroperatingcosts (16,080,421) 3.6% (18,154,974) 3.8% (18,870,509) 3.4% (19,620,506) 3.5% (29,100,860) 4.5% (34,486,705) 4.8% (37,306,715) 4.9%Publicrelations (7,809,492) 1.8% (9,821,910) 2.1% (10,945,053) 1.9% (12,446,004) 2.2% (13,217,656) 2.0% (13,997,498) 1.9% (14,781,358) 1.9%Travelcosts–international (8,020,183) 1.8% (9,710,395) 2.1% (10,849,286) 1.9% (10,206,746) 1.8% (10,839,564) 1.7% (11,479,098) 1.6% (12,121,928) 1.6%Travelcosts–domestic (9,816,365) 2.2% (12,289,515) 2.6% (13,998,854) 2.5% (14,519,114) 2.6% (15,419,299) 2.4% (16,329,038) 2.3% (17,243,464) 2.2%Travelcosts–land (3,488,014) 0.8% (2,997,813) 0.6% (3,964,104) 0.7% (3,346,878) 0.6% (3,554,384) 0.5% (3,764,093) 0.5% (3,974,882) 0.5%Repairsandmaintenance (8,129,751) 1.8% (9,705,396) 2.1% (10,237,726) 1.8% (16,364,204) 2.9% (11,776,785) 1.8% (7,656,895) 1.1% (8,083,737) 1.1%Professionalfees (23,160,490) 5.2% (21,168,726) 4.5% (25,697,906) 4.6% (21,608,531) 3.9% (24,706,255) 3.8% (26,163,924) 3.6% (27,629,104) 3.6%Financecosts (8,630,255) 1.9% (1,688,724) 0.4% (4,022,202) 0.7% (812,737) 0.1% (6,704,127) 1.0% (12,457,051) 1.7% (12,307,238) 1.6%Depreciation (8,967,296) 2.0% (9,601,411) 2.0% (13,668,547) 2.4% (12,322,171) 2.2% (19,128,919) 2.9% (26,110,378) 3.6% (28,980,260) 3.8%
Total expenses (445,920,065) 100.0% (471,919,205) 100.0% (563,258,426) 100.0% (557,546,732) 100.0% (653,312,820) 100.0% (717,952,401) 100.0% (766,797,934) 100.0%
Surplus/(Deficit) 17,087,780 66,458,044 10,072,205 41,900,489 (2,547,516) (14,588,526) (8,758,291)
9. Medium-Term Expenditure FrameworkFinancial performance
44 CAA ANNUAL PERFORMANCE PLAN 2017/18
Budget on accrual basis
2017/18 Annual Performance
Plan
MTEF budget amount aligned to goals Total Five-year Strategy cost budget
aligned to MTEF2018/19 2019/20 2020/21 2021/22
Regulate aviation industry effectively and efficiently 345,188,016 374,184,365 396,514,591 418,719,408 442,167,695 1,976,774,076
Directorate 47,799,764 52,224,135 55,167,205 58,256,568 61,518,936 274,966,608
AviationSecurity 34,324,307 36,740,489 39,217,965 41,414,171 43,733,365 195,430,297
FlightOperations 166,619,149 179,453,400 191,024,636 201,722,016 213,018,449 951,837,651
AviationInfrastructure 35,304,140 37,802,648 40,365,912 42,626,403 45,013,482 201,112,586
LegalandCompliance 32,994,759 35,183,412 37,413,550 39,508,709 41,721,197 186,821,627
AccidentandIncidentInvestigations 18,501,192 19,819,082 21,172,018 22,357,651 23,609,680 105,459,623
FlightInspection 30,864,986 35,809,660 36,623,840 38,674,775 40,840,562 182,813,822
TrainingAdjustment (21,220,281) (22,848,462) (24,470,535) (25,840,885) (27,287,975) (121,668,139)
Increase access to regulatory services 8,928,699 9,602,218 10,303,088 10,880,061 11,489,344 51,203,410
DecentralisedAccess 8,928,699 9,602,218 10,303,088 10,880,061 11,489,344 51,203,410
Financial sustainability 72,244,997 85,186,206 92,463,943 97,641,924 103,109,871 450,646,941
NetFinance 72,244,997 85,186,206 92,463,943 97,641,924 103,109,871 450,646,941
Improve communication and stakeholder management 21,010,528 22,490,130 24,007,316 25,351,726 26,771,422 119,631,122
Communication 21,010,528 22,490,130 24,007,316 25,351,726 26,771,422 119,631,122
Significantly improve client service experience 910,000 963,690 1,017,657 1,074,645 1,134,826 5,100,818
Improvementofcustomerexperience 910,000 963,690 1,017,657 1,074,645 1,134,826 5,100,818
Drive organisational efficiency and effectiveness 180,723,677 199,045,473 213,857,617 225,833,644 238,480,328 1,057,940,739
ICT 42,724,671 51,317,317 56,152,022 59,296,535 62,617,141 272,107,686
HumanResources 93,175,794 99,891,016 106,792,884 112,773,286 119,088,590 531,721,570
Governance 7,608,125 8,105,821 8,612,177 9,094,459 9,603,749 43,024,330
Assurance 8,506,805 9,113,656 9,736,736 10,281,994 10,857,785 48,496,975
AviationDevelopmentandInternationalRelations 18,301,442 19,487,849 20,693,681 21,852,527 23,076,269 103,411,768
QualityAssuranceandSafetyRisk(QR) 10,406,841 11,129,813 11,870,117 12,534,843 13,236,794 59,178,408
Transformation 24,306,903 26,480,319 28,633,722 30,237,210 31,930,494 141,588,648
TransformationVerification 100,000 110,000 120,000 126,720 133,816 590,536
Bursaries 2,986,622 3,521,857 4,043,187 4,269,605 4,508,703 19,329,973
OrganisationalTraining 21,220,281 22,848,462 24,470,535 25,840,885 27,287,975 121,668,139
Total MTEF budget 653,312,820 717,952,401 766,797,934 809,738,618 855,083,981 3,802,885,753
MTEF strategy reconciliation
ThetablehighlightsorganisationalgoalsreconciledwiththefiveyearMTEFestimates.Forthe2017/18financialyearitwillcosttheSACAAR646milliontofunditsoperationsincludingthestrategicAPPelements,withR3.7billionbeingforecastedoverafiveyearperiod.Thefirsttwogoalsspeakdirectlytotheorganisationalmandatethatwillconstitute54%oftotalexpenditureoverthenextfiveyears.
46 CAA ANNUAL PERFORMANCE PLAN 2017/18
Annexure A: Second Draft App 2017/18 Amendments
Description Amendment RationaleOrganisationalOverview CriticalElementsintroductoryparagraph ToprovidecontextanddescriptionofCriticalElements
SWOTAnalysisIncreaseaccesstoRegulatory services
Old:IncreaseaccesstoRegulatoryservices
New:IncreaseaccesstoSACAAservices
Regulatoryservicesarealreadyavailableandaccessibleintheindustry.ThegoalistoincreasetheSACAAsatelliteofficetoachieveanationalfootprint.
Regulateaviationindustryeffectivelyandefficiently.
(Threats)Old:ICAOcontinuousmonitoringapproachmayissueaMIRatanytimeNew: ICAOcontinuousmonitoringapproachmayissueaSSCatanytime
TheMIRisalowerlevel,andhasnoconsequencesfortheorganisation.Itrequiresactionwithinspecifiedtimelinesandcanberectified.AnSSCissignificantandhasgraveconcernfortheorganisationadverselyaffectingtheentireindustry.SSCsmaybeidentifiedbyaUSOAPCMAactivityteamduringtheconductofaUSOAPCMAon-siteactivityorbyICAOatanystagethroughoutthecontinuousmonitoringprocess.
Regulateaviationindustryeffectivelyandefficiently.
(Threats)Old:AbsenceofaqualityassurancesystembySACAAmayresultinissuinglicencestoundeservingrecipients
New:AbsenceofaqualitycontrolsystembySACAAmayresultinissuinglicencestoundeservingrecipients
Thechallengesfacedresultfrominadequatequalitycontrol.Qualityassuranceevaluateswhetherqualitycontrolisworking.Inthiscase,thequalitycontrolisinadequate.
PESTLEAnalysisEconomicFactors Old:Zero%GDPforecast
New:LowGDPforecastTheGDPforecasthasbeenrevisedandSACAAiscurrentlybudgetingusingthe1.0%GDPforecast.
SocialFactors:
Growingmiddleclassandtheirdemandforairtravel
Old:therewillbeanincreaseinrecreationalaviationanddemandformoreregulations
New:Anticipatedincreaseintravelastheeconomicactivityisimproved
Recreationalaviationrequiressignificantinvestmentandfunds.Agrowingmiddleclasshaveotherpriorities.Agrowingmiddleclassstimulatetheeconomicactivitythroughspendingandsincethisisaparallelincreasewithurbanization,itimprovesthepopulation’spropensitytotravelandincreaseairtravelingeneral.
STRATEGYRegulatoryPrinciples None included before NewlydevelopedandBoardapprovedRegulatoryprinciples.Regulatoryprinciplestoguide
SACAAinitsworkandtolivebywhenmakingregulatoryoradministrativedecisions.
47CAA ANNUAL PERFORMANCE PLAN 2017/18
Description Amendment RationaleAPP2017/18TargetsStrategic Objective: Achieve a step-change in regulating Aviation Safety and Security
Additional annual target:
Develop Corrective Action Plan (CAP)
TheimportantaspectoftheauditforSouthAfricaisfortheStatetomaintainhighlevelsofcomplianceandensurethataSignificantSafetyConcern(SSC)isavoided.Additionally,oncethefinalreporthasbeenissued,theStateisrequiretodevelopaCAPtocloseallgaps.
ReviseandimplementCFARPandaligntointernationalbestpractice
2017/18 Annual target Old: Achieveaminimumof33%ofC-FARPdeliverablesandreportquarterly
New:Achieveaminimumcumulative90%ofCFARPannualdeliverablesandreportquarterly
Theannualtargetandindicatormeasurementswereamendedfrom33%to90%annualdeliverablestobeachieved.
SurveillanceandauditsconductedaccordingtoPlan
All2017/18MSPtargetsrevised TheMSPtargetsarerevisedasaresultofthenewSafetyOversightPolicyeffective01January2017
Organisationalsustainability New Strategic Objective:
Establishacultureofprudentfinancialmanagement
2017/18 Target: DevelopandimplementanannualCostContainmentPlanasperNationalTreasuryInstruction
NewtargetasperNationalTreasuryinstructiontohavecostcontainmenttargetsintheAPP.
SocialandRelationship Old:ImplementStakeholderManagementPlanandachieve85%ofannualtargets
New:ImplementStakeholderManagementPlanandachieve90%ofannualtargets
Increasedthe(%)percentageofsuccessfulimplementationfrom85%to90%
Improvecustomerservices Old:Reviewandimplementannualprogramtoinculcateacustomercentricculture
New:Embedcustomer-centriccultureasperchangemanagementprogram.ProduceAnnualIndependentAssessmentReport
Thechangemanagementprogrammustbeaffordedtimetobeembeddedintheorganisationasnewbehaviourtakestimetoform.Inthelastquarteranindependentassessmentwillbeconductedtoascertaincustomerservicelevelprogressintheorganisationfrompreviousbaselinewhichwillbesetbeforethebeginningofchangemanagementprogramme.
HumanCapital Old:DevelopaBBBEEstrategytoalignwithnewTransportSectorcodes
New:DevelopBBBEEPlanalignedtothenewTransportPublicSectorcodesforapprovalbyEXCO
SACAAcurrentlyhasBBBEEplanwhichmustberevisedtoaligntonewsectorcodes.
48 CAA ANNUAL PERFORMANCE PLAN 2017/18
2017/18 Quarterly Target Amendments
Description Amendment RationaleAchieveastep-changeinregulatingAviationSafetyandSecurity
NewAnnualtargetDevelopCorrectiveActionPlan(CAP)
Quarterlytargetsbeginin3rdquarterwhenfinalreportwillbepublished.CAPwillbedevelopedinthirdquarterandimplementedfrom4thquarter.
ReviseandimplementCFARPandaligntointernationalbestpractice
1st quarter target:Old:Achieve25%ofC-FARPPlandeliverables.ReportprogressatEXCO
New:ReviseCFARPandsolicitEXCOapproval
TheCFARPrequiresrevisiontoalignwithinternationalbestpractice.
Establishaplatformtomanagesafetyrisk
3rd quarter target:Old:ImplementapprovedframeworkaccordingtomilestonesandreporttoEXCO.
New:ReviseinitialdraftwithindustryinputsanddevelopfinalframeworkforEXCOapproval
EXCOisapprovingtheframeworkinorderfortheteamtogatherindustryinput.Toperformconsultationsandgatherindustryinputwilltakeatleastthreemonths(bestpractices).Itisnotrealistictoimplementtheapprovedframeworkuntilconsultationhasbeenconcluded.Theimplementationcancommencein2018/19.
Establishaplatformtomanagesafetyrisk
4th quarter target:Old: Implement approved framework according to milestones and report to EXCO.
New: Revise initial draft with industry inputs and develop final framework for EXCO approval
EXCO is approving the framework in order for the team to gather industry input. To perform consultations and gather industry input will take at least three months (best practices). It is not realistic to implement the approved framework until consultation has been concluded. The implementation can commence in 2018/19.
MasterSurveillancePlan All quarterly targets revised AllquarterlytargetsrevisedinalignmentwithnewapprovedSafetyOversightPolicy
Establishanoptimumdistributionofofficepresencenationwide
All quarter targets revised Revisionbasedonthesourcingofaserviceprovidertodevelopabusinesscasefordecentralizationproject.
FinancialSustainability Old:DevelopandimplementEXCOapprovedfinancialmodelrolloutplan
New:Implementrevisedfundingmodelandachieve95%ofdeliverables
ThetargetwasrevisedtoensureSMARTtargetsetting
Physical Address: Ikhaya Lokundiza 1, 16 Treur Close,
Waterfall Park, Bekker Street, Midrand, Johannesburg
Postal Address: Private Bag X 73, Halfway House, 1685
Telephone No.: +27 11 545 1000
Fax No.: +27 11 545 1465
Email Address: [email protected]
Website Address: www.caa.co.za