Civil Aviation Authority 2018/19 Estimates Vote Transport Supplementary Questions

Transcription

1 Civil Aviation Authority 2018/19 Estimates Vote Transport Supplementary Questions

2 tes This document accompanies the main response to the supplementary questions 2018/19 estimates, which has been provided to Select Committee by the Minister of Transport, Hon Phil Twyford. It contains information relating to the Civil Aviation Authority s business. The numbering in the document refers to the initial set of questions found in the main document. This document provides only the responses to the questions that concern Crown entities. The term Authority is used to describe the entirety of the Civil Aviation Authority s business. The term CAA is used to describe those things undertaken by the regulatory arm of the Authority s business. The term Avsec is used to describe those things undertaken by the Aviation Security Service, the security service delivery arm of the Authority s business. Where practical the Authority has separated out those functions funded by Vote Transport from those functions funded through direct cost recovery or levy mechanisms. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 2

3 TABLE OF CONTENTS: CIVIL AVIATION AUTHORITY SUPPLEMENTARY QUESTIONS ESTIMATES 2018/19 PERFORMANCE MONITORING... 4 RESTRUCTURING/REVIEWS... 5 COST PRESSURES AND SERVICE CHANGES... 6 NEW INITIATIVES/BUDGET BIDS... 8 PROPERTY/CAPITAL WORKS ICT GIFTS AND EXTERNAL RELATIONSHIPS INVOICES AND PROCUREMENT ADVERTISING, POLLING AND PUBLIC RELATIONS OFFICIAL INFORMATION AND PRIVACY PERMANENT STAFF/GENERAL STAFFING BREAKDOWNS CONTRACTORS/TEMPORARY CONTRACTS COLLECTIVE BARGAINING AND EMPLOYMENT ISSUES LEAVE AND EAP STAFF TURNOVER/TERMINATION OF EMPLOYMENT TRAINING, TRAVEL AND OTHER EXPENSES Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 3

4 PERFORMANCE MONITORING 9. What mechanisms do the agencies funded by the Vote have in place in 2018/19 for monitoring its achievement of goals against its stated objectives? The Authority has in place a wide range of performance measures in the Statement of Intent and the Statement of Performance Expectations. These measures are used to monitor achievement of goals against its stated objectives. We report monthly against these measures to the Board, and quarterly to the Minister and in Annual Reports to the Minister and Parliament. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 4

5 RESTRUCTURING/REVIEWS 15. Is any restructuring planned in the near future for agencies funded by the Vote; if so, what restructuring is planned in 2018/19 and when will this occur? How much is budgeted for restructuring costs and what are the estimated savings to be accrued as a result of restructuring in 2018/19? The Civil Aviation Authority (CAA) has no specific plans for restructuring in the 2018/19 financial year for work activities funded by the Vote. However the Authority, continuously reviews its organisational design to ensure it efficiently delivers its functions as specified in the Civil Aviation Act. 18. Is any rebranding planned for agencies funded by the Vote in the next financial year? If so, how much has been budget for this? Was any re-branding done in the past five financial years? If so, how much was spent on it? The Authority does not plan to undertake any re-branding in the next financial year. There has been no rebranding in the last five financial years. 19. Do the agencies funded by the Vote any inquiries or investigations into their performance currently being undertaken into its actions by another Government Department/Ministry/entity or its associated agencies? If so, please provide the following details: - The body conducting the inquiry/investigation - The reason for the inquiry/investigation - The expected completion date How does this compare to each of the past five financial years? The Authority is not aware of any inquiries or investigations into its performance currently being undertaken. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 5

6 COST PRESSURES AND SERVICE CHANGES 21. What cost pressures in this Vote have been identified during the Budget process that have not been addressed in Budget 2018, and what were the reasons for not addressing that pressure? Please provide a description of each, and the estimate of the associated cost over the next four years. The table below outlines the cost pressures that were not fully funded or partially funded. pressures Hazardous Substances and New Organisms Act Implementation Innovative Aviation Certification Description To support the Civil Aviation Authority s widened responsibilities under the Hazardous Substances and New Organisms Amendment Act 2015 to include the discharge of hazardous substances from an aircraft. To enable the Civil Aviation Authority to employ the aviation professionals required to meet the technical and regulatory challenges associated with facilitating innovation within the New Zealand aviation sector. s for 2018/ /21 not funded (est.) ($m) Reasons for not addressing pressure This bid was partially supported with $1.070 million allocated in Budget Additional funding requirements should be considered in the next funding review due to be implemented in 2020/ This bid was partially supported with $0.500 million allocated in Budget Additional funding requirements should be considered in the next funding review due to be implemented in 2020/ How much are the agencies funded by the Vote expecting to cut their overall budget by in 2018/19 and each of the out years as a result of Budget 2018 and what options are being considered about how and where such cuts will be made? There is no reduction in the Authority s Vote allocation for 2018/19 year; the Authority s Vote allocation has increased moderately for 2018/19 and 2019/20. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 6

7 28. Have any cuts or reprioritised savings to the budgets of the agencies funded by the Vote for 2018/19 come from frontline services; if so, for each what is the name of the service, how much has been reprioritised and what was the reason for the reprioritisation? The majority of the Authority s functions and frontline services are funded by cost recovery, not by appropriation. The Authority is not reprioritising its frontline services as a consequence of Budget Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 7

8 NEW INITIATIVES/BUDGET BIDS 30. What new services, functions or outputs do the agencies funded by the Vote intend to introduce in the forthcoming financial year? Describe these and estimate their cost. The Authority does not intend to introduce any new services, functions or outputs in the forthcoming financial year. 32. For each new spending or savings initiative in Budget 2018, how have the estimated costs or savings been estimated? Please outline the formulae and assumptions used. Civil Aviation Authority - Hazardous Substances and New Organisms Act New legislation requires additional activity from the agency. The costs for this bid were based on the estimate of two additional full time equivalent staff to effectively deliver the agencies new enforcement obligations. Civil Aviation Authority - Innovative Aviation Certification This bid sought funding to enable the Civil Aviation Authority to employ additional employees to meet the technical and regulatory challenges associated with facilitating innovation within the New Zealand aviation sector. The costs for the original bid were based on the estimate of 2-3 full time equivalent staff, which the Civil Aviation Authority thought was necessary to meet the demand. 38. What user charges will be collected by the agencies funded by the Vote in the forthcoming year? Please break this down by existing user charges, extended user charges and new user charges. The Authority recovers the costs of its safety oversight and security service delivery functions from a range of specified fees, charges and levies. These are detailed in the Civil Aviation Charges Regulations ( 2) 1991, and Civil Aviation (Safety) Levies Order Please refer to the regulations for more detail. The table below outlines the breakdown of the existing user charges. Specified User Charges 2018/19 Budget ($000) CAA International passenger levies 11,212 Domestic passenger levies 22,137 Other levies 2,097 Aviation regulatory and safety services 6,117 Total User Charges 41,623 Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 8

9 Aviation Security International passenger levies 60,966 Domestic passenger levies 38,664 Other contracted aviation security services 3,464 Total User Charges 103,094 Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 9

10 PROPERTY/CAPITAL WORKS 39. How much funding has been allocated to capital works by the agencies funded by the Vote in the forthcoming financial year? How does this figure compare to that allocated and that spent in the past five financial years? te: the majority of Capital expenditure is funded from fees, charges and levies for the CAA. CAA Year Budget ($000) Expenditure ($000) 2018/19 (budget) 4,243 N/A 2017/18 (estimated) 848 1, / / /15 4, /14 1, Aviation Security Year Budget ($000) Expenditure ($000) 2018/19 (budget) 7,347 N/A 2017/18 (estimated) 6,567 5, /17 2,850 6, /16 6,433 3, /15 6,552 3, /14 8,278 7, What assets are planned to be sold by the agencies funded by the Vote in 2018/19, and how does that compare to the past five financial years? The Authority continues to dispose of motor vehicles, computer equipment and plant and equipment through a standard refresh programme which is consistent with previous years. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 10

11 41. How much floor space do the agencies funded by the Vote lease, what is the annual cost per square metre in each specific building, and how does this compare with each of the past five financial years? Building Name Asteron Centre, Wellington Skycare Bldg, Auckland Leased area (m²) Civil Aviation Authority ($/m 2 ) ($/m 2 ) ($/m 2 ) ($/m 2 ) ($/m 2 ) , N/A N/A N/A N/A N/A CAA Auckland * CAA Christchurch ** * CAA co-located with Avsec Auckland in May 2013 leased area reduced from 152m2 to 60m². ** CAA co-located with Avsec Christchurch in December 2013 leased area reduced from 52.57m2 to approximately 20m². Aviation Security Service Locations National Office Wellington Auckland base building Auckland Airport regulatory space (domestic & International); Hamilton Airport (decommissioning pending) Rotorua Airport (decommissioning pending) Palmerston rth Airport (decommissioned) Leased area (m²) ($/m 2 ) ($/m 2 ) ($/m 2 ) ($/m 2 ) ($/m 2 ) , , , Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 11

12 Wellington Airport 1,134.80* Christchurch Airport 1, Dunedin Airport ** Queenstown Airport Auckland training centre (Aintree) 1, * Wellington Airport Footprint increased from m² to 1,134.80m². ** Dunedin Airport Footprint increased from m² to m². For both CAA and Avsec the majority of costs associated with leases are paid for from fees, charges and levies. 42. How much floor space do the agencies funded by the Vote lease for their head office in Wellington, what is the annual cost per square metre in each specific building, and how does this compare with each of the past five financial years? For both CAA and Avsec the majority of costs associated with leases are paid for from fees, charges and levies. Location Building Name Area (m 2 ) 2017/18 ($) 2016/17 ($) 2015/16 ($) 2014/15 ($) 2013/14 ($) CAA Wellington Petone Avsec Asteron Centre Aviation House N/A N/A N/A N/A N/A Wellington Asteron Centre Wellington 109 Featherston N/A N/A N/A N/A N/A 43. Have the agencies funded by the Vote cancelled any renovations, refurbishments or redecoration projects as a result of Budget 2018? If so, please provide the following details: - Details of the project - Location of the project - Estimated cost of the project - Estimation completion date Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 12

13 renovations or refurbishments have been cancelled as a consequence of Budget 2018 as the majority of the Authority s funds for these activities are derived from fees, charges and levies. 44. Have the agencies funded by the Vote cancelled any other capital projects as a result of Budget 2018? If so, please provide the following details: - Details of the project - Location of the project - Estimated cost of the project - Estimation completion date capital projects have been cancelled as a consequence of Budget 2018 as the majority of the Authority s funds for these activities are derived from fees, charges and levies. 45. What is the budgeted amount for each renovation, refurbishment or redecoration project in offices or buildings of the agencies funded by the Vote that is expected to cost more than $5,000 in the 2018/19 financial year? For each, please provide the following details: - Details of the project - Location of the project - Name of provider(s) or manufacturer(s) - Type of product or service generally provided by the above - Estimated cost of the project - Estimation completion date - Whether tenders were invited, if so, how many were received - List separately any single item of furniture worth more than $5000 and its cost. Project Details Location of project Name of provider(s) or manufacturer(s) Type of product or service generally provided by the above Office Refurbishment (Avsec) Christchurch Airport Office Refurbishment t yet appointed Hard fit-out Estimated cost ($) 275, ,000 Office Refurbishment (Avsec) Christchurch Airport Office Refurbishment t yet appointed Soft fit-out (furniture) Estimated completion date 30 June June 2019 Tenders N/A N/A Any furniture over $5000 Nil Nil Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 13

14 Project Details Location of project Name of provider(s) or manufacturer(s) Type of product or service generally provided by the above Smart Lockers (Avsec) Auckland, Wellington, Christchurch, Queenstown and Dunedin - replacing allocated lockers with shared smart lockers t yet appointed Smart Lockers Estimated cost ($) 322,500 80,000 Office Refurbishment (Avsec) Wellington Airport Furniture replacement t yet appointed Soft fit-out (furniture) Estimated completion date 30 June June 2019 Tenders N/A N/A Any furniture over $5000 Yes Nil Project Details Location of project Name of provider(s) or manufacturer(s) Type of product or service generally provided by the above Estimated cost ($) 43,000 Office Refurbishment (Avsec) 60 Aintree Avenue, Auckland (Avsec Training Centre) t yet appointed Soft fit-out (furniture) Estimated completion date 30 June 2019 Tenders Any furniture over $5000 N/A Nil For both CAA and Avsec the majority of costs associated with leases are paid for from fees, charges and levies. 46. What offices of the agencies funded by the Vote are planned to be closed in the 2018/19 financial year and for each what is the location of the office, how many staff are employed there and what is the annual budget of the office? If it is for a relocation please indicate where it will be relocated to. offices are planned to be closed in the 2018/19 year. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 14

15 47. What offices of the agencies funded by the Vote were closed in 2017/18 and how much is the closure of each office expected to save the Department/Ministry/entity in 2018/19 financial year? If it was for a relocation please indicate where it was relocated to. offices funded by the Vote were closed in 2017/ Do the agencies funded by the vote intend to reduce the opening hours of any of their regional offices or offices other than the head office the 2018/19? If so, for each, please provide the new and previous opening hours, date of change, and location. The Authority does not intend to reduce opening hours for any of its regional offices in the 2018/19 financial year. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 15

16 ICT 50. How much expenditure is planned in this vote for software licensing fees in the 2018/19 financial year and how does this compare with spending in each of the past five financial years? 2018/2019 (budget) ($000) 2017/2018 (budget) ($000) 2016/17 ($000) 2015/16 ($000) 2014/15 ($000) 2013/14 ($000) 2012/13 ($000) CAA 1,653 1, Avsec For both CAA and Avsec the majority of costs associated with leases are paid for from fees, charges and levies. 51. How many websites do the agencies funded by the Vote plan to run in 2018/19 and for each, what is it called, what is its URL, when was it established, what is its purpose and what is the annual cost of operating it? Website name Civil Aviation Authority URL When established Purpose Late 1996 The purpose of the website is to provide participants in the civil aviation system, and the general public with readily accessible information about the requirements of civil aviation AIP New Zealand December 2003 The purpose of the website is to provide participants in the civil aviation system with a digital Annual cost of operating ($000) 19 per annum to host and maintain The cost of the website is not specifically budgeted for, and is

17 Website name New Zealand Dangerous Goods Air Transport Council Aviation Security Service URL When established Purpose version of the paper Aeronautical Information Publication (AIP), in a PDF format. The AIP is a manual containing comprehensive details of rules, regulations, procedures and other information pertinent to flying aircraft in New Zealand. Early 2005 The purpose of the website is to provide participants in the civil aviation system, and the general public with information that promotes the safe transport of dangerous goods by air. Early 2001 The purpose of the website is to provide a public portal for information about Avsec. New Southern Sky Mid-June 2014 To promote and manage the implementation of the CAA led National Air Space and Air Navigation Plan, a multi-agency programme to modernise New Zealand s aviation infrastructure over a period of ten years Annual cost of operating ($000) supported as a general overhead. The cost of the website is not specifically budgeted for, and is supported as a general overhead. 19 per annum to host and maintain. 9 per annum to host and maintain AvKiwi Personal pre-flight The purpose of the website is to promote aviation safety by raising awareness of personal fitness and wellbeing in the General Aviation sector 9 per annum to host and maintain Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 17

18 Website name URL When established Purpose Weather Matters The purpose of the website is to promote aviation safety by raising awareness of meteorological conditions and its impact in the General Aviation sector What happened here? The purpose of the website is to promote aviation safety by looking at the lessons that can be learnt from past incidents and accidents. Annual cost of operating ($000) 9 per annum to host and maintain 9 per annum to host and maintain For both CAA and Avsec the majority of costs associated with leases are paid for from fees, charges and levies. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 18

19 52. What new ICT projects do the agencies funded by the Vote plan to work on in 2018/19? For each what is the budget for the project, the key milestones, the expected completion date, and the risks and benefits associated with it? Project Budget ($000) Milestones Expected Completion Date Risks and Benefits ASMS (Aviation Safety Management System) Replacement 8,260 Business case High level design Phase 1 6 Post Implementation Review Project Closed July 2017 October 2017 v June 2019 June 2019 June 2019 Risks - Critical requirements (functional and technical) not met - Solution affordability (Funding OPEX) Benefits - Promotion of digital interaction with the Authority - Improve interactions between CAA and Aviation Participants - Provide effective tools, information and processes for staff - Improve the effectiveness of the information system to meet current and future needs - Validation of the capability of OpenText to manage structured workflows and update the aircraft register Relocation of Core and DR Infrastructure at Auckland Airport 230 Initial Risk Assessment Business case (subject to Risk Assessment) Detailed design complete Implementation Project Closed August 2018 vember 2018 December 2018 April 2019 June 2019 Risks - Critical requirements (functional and technical) not met - Impact on or from the HBS Server upgrade - Impact from the implementation of the Domestic Aviation Security review at Auckland Benefits Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 19

20 Project Budget ($000) Milestones AICIS replacement 750 Procurement / Business Case / Design /Implementation / Project Close HR Information Management System 390 Procurement / Design stage 1 (Employee Central, Recruitment) / Implement Stage 1 / Design stage 2 (Performance and Goals, Learning, Succession and Development, On boarding) / Implement Stage 2 / Design Expected Completion Date October 2018 July 2019 Risks and Benefits - Critical IT assets for corporate, security and radio technologies can be protected by VESDA and Gas Fire Suppression system, UPS and generator backup power supply. Risks - Current technology platform is nearing end of life, solution no longer capable of meeting business needs. - n-authorised personnel gain access to airside areas and pose aviation security risk. - Legitimate personnel are unable to access airside areas to perform roles. Benefits - Reduce the time taken to produce permanent AICs - Free up Aviation Security Officers from time taken to produce temporary Airport Identity Cards Customer satisfaction for issue of cards to groups Risks - Employees and their managers have limited view of performance related information. - Leadership team are unable to assess capability and capacity across the organisation and cannot resource adequately Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 20

21 Project Budget ($000) Milestones Expected Completion Date Risks and Benefits stage 3 (Remuneration, Workforce planning and analytics, Collaboration platform, System interfaces) / Implement Stage 3 / Project Close - centralised system to effectively manage, engage and drive improved performance across Authority staff - Inaccurate and unreliable reporting exposes the Authority to poor investment decisions Benefits - Financial benefits $900k per annum (efficiencies/ time-savings - 7.1K hours). - Efficient HR organisation. Better HR services and analytics. Reduced exposure to risk, increased retention, effective on boarding, collaborative and engaged workforce. Health and Safety Information Management System 140 Review of interdependencies / Business case/ Procurement / Design / Implementation / Project Close June 2019 Risks - no standard approach to identifying and managing health and safety risks - no central capture of health & Safety risks - no method of accurate reporting of H&S issues - no Authority wide technology tools to ensure we are compliant with all H&S legislation - no Authority wide technology solution to ensure all employees are informed about, can access information on, and are able to contribute to, the Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 21

22 Project Budget ($000) Milestones Expected Completion Date Risks and Benefits identification and management of our risks Benefits - Manage H&S risks and investigations - Manage mitigation plans Enterprise Voice, Skype for Business (Resiliency) 100 Voice migration complete, DD voice decommissioned TaaS Skype operational. CAA Skype decommissioned. August 18 Risks - interruptions to voice services impacts business Benefits - uptake of Skype calling improves business outcomes voice All You Can Eat improves communications for business, offers possible AvSec radio replacement option Development of an equipment register (Avsec TechOne Asset Module Implementation) 75 Data collected / Module installation and configuration (TechOne) / Data migration / testing / Project close September 2018 Risks - Resources not available to support work planned. - Dependencies on other project work may affect delivery Benefits - All assets are recorded and managed Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 22

23 GIFTS AND EXTERNAL RELATIONSHIPS 53. What policies do the agencies funded by the Vote have on accepting corporate gifts or hospitality? How does this compare to the past financial year? Please list all corporate gifts or hospitality accepted by staff in the previous financial year with the following details: - Gift or hospitality accepted - Position of staff member who accepted - Estimated value - Date received - Name of the organisation or individual who paid for/gave the gift or hospitality. The Authority has a policy, approved in January 2014 and subject to regular periodic review, that sets expectations and provides guidance to employees, including where appropriate members of the Authority, on how to declare and manage: fees, rewards and gifts that may be received in the course of their employment from civil aviation system participants or other third parties. The policy is administered by the Chief Legal Counsel. The Authority maintains a register of gifts irrespective of value. Two additional gifts have been received by staff in 2017/18: Gift Men s cashmere Scarf Men s cashmere Scarf Staff position Est. value ($) Date received Organisation GM Avsec 50 21/02/18 Nutech Security Technology Group Manager Strategic Development 50 21/02/18 Nutech Security Technology 54. What policies do the agencies funded by the Vote have on giving gifts to external organisations or individuals? How does this compare to the past financial year? Please list all gifts given to external organisations or individuals in the previous financial year with the following details: - Gift given - Name of external organisation or individual - Reason given - Estimated value - Date given. The Authority has a policy that provides guidance to Authority employees about when, in the course of their duties, it is appropriate to give a reward, gift or gratuity to a third party (non-authority employee), and the nature of that reward, gratuity or gift. Gifts given in 2017/18 are as follows:

24 CAA Book Gift Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Wine/chocolates Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) Assorted Kiwiana (bookmarks, business card holders, coasters) External organisation/ individual M. Groome (Aviation Community Advisory Group) DGCA conference, Mongolia CATSA, Canada Kiribati delegation CASA Samdog Design Limited Rolls-Royce, UK CASA Boeing and FAA NSS seminar organiser (Massey Uni) CAAS Personnel Licensing Division (2 x Sn Mgrs) Reason given Est. value ($) Date Retiring gift 133 Jul-2017 Goodwill and relationship building Goodwill and relationship building Goodwill and relationship building Goodwill and relationship building Appreciation for work on annual report Goodwill and relationship building Goodwill and relationship building Goodwill and relationship building Goodwill and relationship building Goodwill and relationship building 292 Jul Sep Sep Oct Oct Oct v v Dec Feb-2018 Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 24

25 Gift Assorted Kiwiana (bookmarks, business card holders, coasters) Aviation Security Service Gift hamper External organisation/ individual Philippine Airlines Customs, Auckland Reason given Goodwill and relationship building Immediate help with technical issue Chocolates Dublin Airport Appreciation for airport meeting Plaque M. Nassab Services to Aviation Security, Auckland Est. value ($) Date 198 May Jul v Apr What policies do the agencies funded by the Vote have on the organisation giving gifts to staff? How did this compare to the past financial year? Please list all gifts given to staff exceeding $100 in value in the previous financial year with the following details: - Gift given - Position of staff member - Reason given - Estimated value - Date given. The Authority has a policy setting out expectations and providing guidance on how employees, including where appropriate members of the Authority, declare and manage fees, rewards and gifts that may be received in the course of their employment from civil aviation system participants or other third parties. The Authority also has a non-monetary rewards policy which facilitates the recognition of significant achievements, extra effort of staff and outstanding work by delivering an instant one-off non-monetary reward. These non-monetary rewards are not considered gifts under this policy. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 25

26 56. What potential conflicts of interest have been identified by the agencies funded by the Vote regarding the board, management or senior staff in 2018/19? For each, please provide the following details: - Conflict identified. - Whether or not any contract, policy, consent or other consideration has been entered into with any entity identified in any conflict in the past five financial years. - Value of any contract, policy, consent or other consideration has been entered into with any entity identified in any conflict in each of the past five financial years. - Steps take to mitigate any possible conflict in granting any contract, policy, consent or other consideration which has been entered into with any entity identified in any conflict in each of the past five financial years. The CAA has a policy in place that requires board members and all staff to declare interests. The reference to senior staff has been interpreted to mean tier 1, 2 and 3 managers within the Authority. Tier 1 and 2 Board Members and Senior CAA managers Interest identified Mayor of Queenstown; Virgin Blue Holdings (Australia) Shareholder; Brother of Manager Aeronautical s with Air NZ Infratil, who partially own Wellington Airport, shareholding Entered into contract, policy, consent or other consideration Value of any contract, policy, consent or other consideration N/A N/A N/A N/A N/A N/A Steps taken to mitigate N/A N/A t to be singular decision making on any matters relating to NZ in which brother is involved; Will ensure all present are aware of familial relationship in any meeting where brother attends; if giving evidence in any tribunal where AirNZ may be party or have interest, make tribunal aware of familial relationship. N/A N/A Managed independently with no direct investment

27 Tier 3 CAA managers Interest identified Member of the Royal Aeronautical Society Active Reserve connection with NZDF Stepson employed with Jetconnect; Son employed as Logistics Team Leader with Airwork Father works in the AIRNZ, wife works for CAA SAC member, Director of Jackson Curry Ltd Entered into contract, policy, consent or other consideration Value of any contract, policy, consent or other consideration N/A N/A N/A N/A N/A N/A Steps taken to mitigate N/A N/A Agreements with both parties that he will not pass on any information regarding the organisations he has obtained through his employment with CAA N/A N/A Will delegate management of AirNZ related matters N/A N/A N/A Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 27

28 57. What non-government organisations, associations, or bodies, if any, do the agencies funded by the Vote intend to be a member of during 2018/19? For each, what is the cost for each of its memberships and how does this compare to each of the past five financial years? n-government organisation membership 2018/19 ($) (budget) 2017/18 ($) (estimate) 2016/17 ($) 2015/16 ($) 2014/15 ($) 2013/14 ($) CAA Association of Administrative Professionals NZ Australasian Aviation Ground Safety Council Aviation Law Association of Australia & New Zealand Diversity Works NZ (previously EEO Trust) Employers Chamber of Commerce , ,000 2,000 4,000-2,000 1, ,937 Flight Safety Foundation USA 3,548 3,548 3,555 3,839 3,443 3,040 Hay Group Limited ,300 Human Resources Institute NZ Institute Of Public Administration Leadership Development Centre ,575 1,575 1,500 1,500 1,500-10,459 10,459 10,917 9,543 7,351 5,103

29 Library and Information Association of NZ New Zealand Payroll Practitioners Association RiskNZ ,180 - Telecommunications User Association of NZ 1,750 1,750 1,750 1,670 1,670 1,590 Total 20,909 20,909 23,299 19,019 18,461 19,525 Aviation Security Institute Of Public Administration 1,575 1,575 1,500 1,500 1,500 - Total 1,575 1,575 1,500 1,500 1,500 - Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 29

30 INVOICES AND PROCUREMENT 58. How many penalties for late payment of an invoice do the agencies funded by the Vote expect to incur in the 2018/19 year, and how does this compare to the past five financial years? The Authority does not expect to incur any penalties for the late payment of invoices in 2018/19 and this is the same for the previous five years. 59. What is the total value of penalty interest payments incurred by the agencies funded by the Vote over each of the past five financial years due to late payment of invoices to small and medium sized businesses which the agencies funded by the Vote hold contracts with? What is it expected to be in the 2018/19 financial year? The Authority has not incurred any penalties for the late payment of invoices. 60. How many contracts are expected to be awarded by the agencies funded by the Vote with a value of $1 million or more in the 2018/19 financial year, where known listed by name of company contracted and total value of contract? How does that compare with each of the past five financial years? Contracts Awarded >$1.0m ($000) 2018/ / / / / /14 Budget, Life of contract value Estimate, Life of contract value Life of contract value Life of contract value Life of contract value Life of contract value CAA Airways Corporation of New Zealand Limited ,574 Aviation Security Smiths Detection New Zealand Airport Security Equipment - 2,299 3,773 3, , te: the values in the table above are for the total value of the contracts over the life of those contracts (i.e. they are not the annual value).

31 ADVERTISING, POLLING AND PUBLIC RELATIONS 61. What polls, surveys or market research do the agencies funded by the Vote intend to undertake in the following financial year and what is the total estimated costs of the polls, survey and market research that is proposed? Please provide the following details: - Who is to conduct the work - Date the work is to commence - Estimated completion date - Estimated total cost - Whether tenders were or are to be invited; if so, how many were received. Who is to conduct the work Date the work is to commence Estimated completion date Passenger Perceptions Survey Colmar-Brunton March 2019 April 2019 Estimated total cost ($) 50,000 Whether tenders were or are to be invited We have scheduled a l Safe passenger survey for March 2019 as part of a series of biennial surveys to establish traveller confidence in safety and security of the Civil Aviation system. This survey is estimated to cost approximately $50,000. other surveys are planned at this stage. 63. For each advertising or public relations campaign or publication to be conducted or commissioned or planned by the agencies funded by the Vote in or for the 2018/19 financial year, please provide the following: - Details of the project including all communication plans or proposals, any reports prepared for Ministers in relation to the campaign and a breakdown of costs - Who is to conduct project - Type of product or service generally provided by the above - Date the work is to commence - Estimation completion date - Estimated total cost - Whether it is intended that the campaign will be shown to the Controller and Auditor-General - Whether tenders were or are to be invited; if so, how many were or will be received. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 31

32 The 2017/2018 educational campaign to raise awareness of Civil Aviation rules and the safe operation of Remotely Piloted Aircraft Systems (RPAS) will continue into 2018/2019 and approximately $50,000 will be allocated to digital media placement. An All of Government will be used. The Authority publishes a bi-monthly magazine that provides information on aviation safety and is targeted at the civil aviation sector. It is distributed free to all aviation document holders, such as pilots, engineers, air traffic controllers, and certificated organisations. The estimated cost of Vector publication for 2018/2019 is $210,000. (Please note that the Authority does advertise consultation processes for rule making via The Gazette and newspaper notices, but does not consider those to be campaigns.) 64. How many public relations and/or communications staff and contractors/consultants do the agencies funded by the Vote employ; what is the total salary budget for these staff and how does that compare with each of the past five financial years? For the Authority in 2018/19, the budgeted salaries for three fulltime equivalent staff in the Corporate Communications team equates to $333, /19 (budget) ($) 2017/18 (budget) ($) 2016/17 ($) 2015/16 ($) 2014/15 ($) 2013/14 ($) 333, , , , , ,234 Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 32

33 OFFICIAL INFORMATION AND PRIVACY 65. Will the agencies funded by the Vote have an internal group of staff whose primary role is to support the Minister or their office by processing information requests such as Parliamentary questions, Official Information Act requests, and ministerial correspondence in 2018/19; if so, what is the name of that group, how many staff will be in the group and where will they be located? How do the numbers of staff and their locations compare to each of the past five financial years The Authority does not have a group or staff whose primary role is provision of support to the Ministers or their offices. The Authority coordinates responses to Parliamentary questions and ministerial correspondence through the International and Regulatory Strategy unit (based at National Office, Wellington) which has a pool of up to ten FTEs that it can draw on to coordinate any information required for the Ministers offices. Typically no more than one individual would be engaged on this work at any one point in time. A comparison to previous years is provided in the table below. 2018/19 (FTE) (est.) 2017/18 (FTE) 2016/17 (FTE) 2015/16 (FTE) 2014/2015 (FTE) 2013/2014 (FTE) The Authority s responses to Official Information Act (OIA) requests are coordinated by the Legal Services Unit based at National Office in Wellington. There is one staff member employed on a full-time basis whose primary role is the coordination of OIA responses. A comparison to previous years is provided in the table below. 2018/19 (FTE) (est.) 2017/18 (FTE) 2016/17 (FTE) 2015/16 (FTE) 2014/2015 (FTE) 2013/2014 (FTE) Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 33

34 66. How many Official Information requests do the agencies funded by the Vote expect to receive in 2018/19, and how many were replied to in the past five financial years broken down by whether they were answered or declined? How many complaints to the Ombudsman were made in respect of the handling of Official Information Requests over the past five financial years? For the 2017/18 financial year provide the following information: - Number of OIA requests received; - Number of OIA requests answered within 20 working days; - Number of OIA requests answered in excess of 20 working days without an extension; - Number of OIA requests answered in excess of 20 working days with an extension and - Number of OIA requests transferred within 10 working days; and - Number of OIA requests transferred outside the 10 working days. The CAA estimates it will receive approximately 227 requests for official information in 2018/2019. Data on official information requests received in the past five financial years is as follows: Year OIA requests Within 20 Days Outside 20 days without extension Outside 20 days with extension OIA requests within 10 days OIA requests outside 10 working days OIA requests refused/ declined 2017/ / / / / Do the agencies funded by the Vote have targets or performance measures for the timeliness of response to Official Information Requests? If so, what are those targets or performance measures for 2018/19? What were the target or performance results for the past five financial years for agencies funded by the Vote? The Authority s target is to respond to all requests within the statutory timeframe and endeavours to extend the 20 working days period only in exceptional circumstances.

35 68. How many complaints have been received by the agencies funded by the Vote and how many investigations into complaints (i.e. through Ombudsmen, Privacy Commissioner etc) were undertaken in the 2017/18 financial year? How many complaints do the agencies funded by the Vote expect in the 2018/19 financial year, and how many investigations into complaints (i.e. through ombudsmen, privacy commissioner etc) do the agencies funded by the Vote expect in the 2018/19 financial year? The list of complaints received in the 2017/18 financial year are as follows: Complaints Body Ombudsman Office Privacy Commissioner Human Rights Commission Number of complaints Number of complaints investigated Status open open 1 0 closed The Authority expects to receive a similar number of complaints as it has done in previous years. 69. What policies do the agencies funded by the Vote have in place for Official Information requests to be cleared or considered by the Minister s office? What no surprises policies are in place to inform Ministerial offices about OIA responses? The Authority routinely briefs the Ministers via its weekly report to the Ministers of all Official Information Act requests on a no surprises basis. The Authority will provide draft responses to the Minister s office on a no surprises basis before the response is sent to the requestor. Occasionally the Authority will receive comments from the Minister s office during this process. 70. Do the agencies funded by the Vote have specific policies or procedures that apply to requests for information from media, bloggers, or political parties which differ to those for regular requests, if so, please provide full details of those policies? The Authority treats all Official Information Act requests equally and its systems do not distinguish by the type of requestor. The Authority does not have specific policies in place for dealing with requests from journalists and media organisations.

36 PERMANENT STAFF/GENERAL STAFFING BREAKDOWNS 71. How many unfilled positions are there currently within the agencies funded by the Vote and how many unfilled positions are expected in the 2018/19 financial year? How does this compare with each of the past five financial years? How do these positions breakdown by policy area? How are the agencies funded by the Vote continuing to carry out work in the absence of staff in these positions? The Authority has two primary functions funded by the Vote: - Regulatory Health & Safety (oversight of aircraft in operation); and - The Policy team within the International Policy & Regulatory Strategy unit s work is partly funded by the Vote (approximately 30 percent). In the Health & Safety regulatory unit there is one unfilled position but none are expected for the 2018/19 year. In the Authority s International and Regulatory Strategy unit there are no unfilled positions as at 1 May Depending on turnover and recruitment, it is possible that up to 1 position (in the Policy area) could become unfilled in the 2018/19 year. The Authority continues work in these areas by reprioritisation of work. 2018/19 (est.) Funded by the Vote 2017/ / / / / For the Authority as a whole there were 16 unfilled positions as at 1 May It is estimated that a similar number may be unfilled in the 2018/19 financial year. 2018/19 (est.) The Authority as a whole 2017/ / / / / Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 36

37 72. How many permanent staff will be employed within the agency funded by the Vote during 2018/19 financial year? How does this compare to the past five financial years? Please breakdown by: - Role (e.g. policy/admin/operational) - Classification (full and part-time) - Office (e.g. geographical location) Please provide detailed explanations for any fluctuations in staff numbers of plus or minus 10%. The Authority has two primary functions funded by the Vote: - Regulatory Health & Safety (oversight of aircraft in operation); and - The Policy team within the International Policy & Regulatory Strategy unit s work is partly funded by the Vote (approximately 30 percent). 2018/19 (est.) Staff funded by the Vote 2017/18 (as at 1 May 2018) 2016/ / / /14 Total Role Policy Operational Administration Management* Classification Full-time Part-time Location Auckland Hamilton

38 Rotorua Wellington Christchurch Queenstown Dunedin Other /19 (est.) All permanent Authority staff 2017/18 (as at 1 May 2018) 2016/ / / /14 Total Role Policy Operational Administration Management* Classification Full-time Part-time Location Auckland Hamilton Rotorua Wellington Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 38

39 Christchurch Queenstown Dunedin Other * Where an employee has one or more direct reports they have been recorded in the management category, even if the management component makes up a small portion of their overall responsibilities. Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 39

40 73. Provide a breakdown by role (e.g. policy/administration/operational) and location of the agencies funded by the Vote staff numbers in comparison to each of the past five financial years, by gender. The Authority has two primary functions funded by the Vote: - Regulatory Health & Safety (oversight of aircraft in operation); and - The Policy team within the International Policy & Regulatory Strategy unit s work is partly funded by the Vote (approximately 30 percent). Functions funded by the Vote 2018/19 (est.) 2017/18 (as at 1 May) 2016/ / / /14 Gender M F M F M F M F M F M F Total Role Policy Operational Administration Management Location Auckland Hamilton Rotorua Wellington Christchurch Queenstown

41 Dunedin Other The Authority as a whole 2018/19 (est.) 2017/18 (as at 1 May 2018) 2016/ / / /14 Gender M F M F M F M F M F M F Total Role Policy Operational Administration Management Location Auckland Hamilton Rotorua Wellington Christchurch Queenstown Dunedin Other Civil Aviation Authority: Supplementary Questions to the Estimates 2018/19 41