Investigations Manual

Version

3.0
Approval Tier

Four
Owner

Executive Manager, Legal, International and Regulatory Af airs Division
Responsible Area Manager  Manager Investigations
Review Date

July 2021

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© Civil Aviation Safety Authority
Al  material presented in this Guidance document is provided under a Creative Commons
Attribution 4.0 International licence, with the exception of the Commonwealth Coat of Arms
(the terms of use for the Coat of Arms are available from the It's an Honour website). The
details of the relevant licence conditions are available on the Creative Commons website,
as is the full legal code for the CC BY 4.0 license.

Attribution
Material obtained from this document is to be attributed to CASA as:
© Civil Aviation Safety Authority 2018.
.

This document becomes an uncontrolled document when printed.  Refer to
<www.casa.gov.au/scripts/nc.dll?WCMS:STANDARD::pc=PC_91264 > for current version.
This document contains guidance material intended to assist CASA officers, delegates and
the aviation industry in understanding the operation of the aviation legislation. However, you
should not rely on this document as a legal reference. Refer to the civil aviation legislation
including the Civil Aviation Act 1988 (Cth), its related regulations and any other legislative
instruments—to ascertain the requirements of, and the obligations imposed by or under, the
law.

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Preface
As a Commonwealth government authority, CASA must ensure that the decisions we make,
and the processes by which we make them, are effective, efficient, fair, timely, transparent,
properly documented and otherwise comply with the requirements of the law. At the same
time, we are committed to ensuring that all of our actions are consistent with the principles
reflected in our Regulatory Philosophy.
Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures wil  lead to the achievement of these outcomes. Frequently,
however, CASA decision-makers wil  encounter situations in which the strict application of
policy may not be appropriate. In such cases, striking a proper balance between the need for
consistency and a corresponding need for flexibility, the responsible exercise of discretion is
required.
In conjunction with a clear understanding of the considerations mentioned above, and a
thorough knowledge of the relevant provisions of the civil aviation legislation, adherence to the
procedures described in this manual wil  help to guide and inform the decisions you make,
with a view to better ensuring the achievement of optimal outcomes in the interest of safety
and fairness alike.
Shane Carmody
Chief Executive Officer and
Director of Aviation Safety

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link to page 3 link to page 7 link to page 7 link to page 8 link to page 9 link to page 10 link to page 10 link to page 10 link to page 10 link to page 11 link to page 11 link to page 12 link to page 12 link to page 12 link to page 13 link to page 13 link to page 13 link to page 14 link to page 14 link to page 14 link to page 14 link to page 15 link to page 16 link to page 16 link to page 16 link to page 17 link to page 18 link to page 18 link to page 19 link to page 19 link to page 20 link to page 20 link to page 20 link to page 20

link to page 20 link to page 21 link to page 21 link to page 22 link to page 22 link to page 22 link to page 23 link to page 24 link to page 24 link to page 24 link to page 24 link to page 25 link to page 25 link to page 25 link to page 25 link to page 26 link to page 26 link to page 27 link to page 27 link to page 28 link to page 28 link to page 28 link to page 29 link to page 29 link to page 29 link to page 30 link to page 30 link to page 31 link to page 31 link to page 33 link to page 33 link to page 33 link to page 33 link to page 34 link to page 34 link to page 35

link to page 35 link to page 36 link to page 36

5.5.7 Destruction/disposal of exhibits ........................................................................... 356
5.5.8 Audit of exhibits ...................................................................................................... 36
5.6 Human information sources ...................................................................................... 36

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Glossary
Acronyms and abbreviations
Acronym / abbreviation
Description
AFP
Australian Federal Police
AGIS
Australian Government Investigation Standards
CAA
Civil Aviation Act 1988
CAR
Civil Aviation Regulations 1988
CASA
Civil Aviation Safety Authority
CASR
Civil Aviation Safety Regulations 1998
CDPP
Commonwealth Director Public Prosecutions
EICMS
Enforcement and Investigations Case Management System
Investigators
Investigators appointed under Part IIIA of the CAA
Technical Coordinator – Investigations
AOD Tester/Assistant Investigators
PGPA Act
Public Governance, Performance and Accountability Act 2013

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Revision History
Amendments/revisions of this Handbook are recorded below in order of most recent first.
Version No. Date
Parts/Sections
Details
2.1
May 2021
All
Manual amended to reflect
current terminology and CASA
structure
2.0
May 2018
All
Redraft to align the manual
with the applicable AGIS and
remove parts of the manual
that were no longer current
1.0
September 2014
All
First issue – replaced
Investigators Manual

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1.  Introduction
The investigative functions conferred on CASA by Part II A of the CAA are performed by
Investigators employed in CASA’s Investigations Section, which is part of the Litigation,
Investigations and Enforcement Branch within CASA’s Legal, International and Regulatory
Affairs Division (LIRA).  CASA Investigators report through the Manager Investigations to the
Litigation, Investigations and Enforcement Branch Manager and are an integral part of the
process by which CASA discharges its function under paragraph 9(1)(c) of the CAA to secure
compliance with aviation safety standards through the development of effective enforcement
strategies.
The Manager Investigations is responsible for the day-to-day management of the
Investigations Section, including the deployment of its resources and the quality of the work
performed by its staff.
The Investigations Manual provides specific information and guidance to CASA Investigators,
particularly those responsible for the conduct of investigations into suspected breaches of civil
aviation and other associated legislation with a view to the issue of infringement notices, the
conduct of criminal prosecutions and other enforcement actions.
This manual has been developed in compliance with the AGIS package, which requires that
CASA have writ en procedures and guidelines regarding the conduct of its investigations.
The CASA Investigations Manual complements the CASA Enforcement Manual, in
conjunction with which it should be read.
The Investigations Manual contains and details the legislative requirements imposed on CASA
Investigators in the conduct of criminal investigations.  The ‘best practice’ procedures,
described in the Manual are based on the accumulation and application of knowledge and
practical experience in the conduct of criminal investigations.   These procedures reflect the
highest professional standards, recognised and respected by the courts.
This Manual is a living document and it will be amended from time to time, as procedures
change and new methodologies are introduced.  It recognises the importance of Investigators
capturing information in a consistent manner and accurately recoding details of investigations.
This starts from the initial stages of information gathering and planning and goes through to
the conclusion of the mat er.
It is the responsibility of Investigators to develop and maintain their knowledge and
understanding of the general principles and key elements of the Manual as required by AGIS.

Dr Jonathan Aleck
Executive Manager
Legal, International and Regulatory Affairs Division

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2.  Guiding Standards
The Investigations Section follows practices and standards in the AGIS as set out in this
Manual. The AGIS sets the minimum standards for Australian Government agencies
conducting investigations. Where the AGIS conflict with law, the legislative requirement wil
prevail.
An investigation is a process of seeking information relevant to an alleged, apparent or
potential breach of the law, involving possible judicial proceedings.  The primary purpose of an
investigation is to gather admissible evidence for any subsequent action, whether involving
criminal, civil penalty, civil, disciplinary or administrative sanctions.  Investigations can also
result in the prevention or disruption of further criminal activity.
The term investigation can also include intelligence processes which directly support the
gathering of admissible evidence.
Standards
CASA Investigators must comply with the following minimum standards.

2.1 Work health and safety (WHS)
Al  CASA workers (including contractors) have legal duties under the WHS legislation. Your
duty as a worker includes taking reasonable care of your own health and safety and ensuring
that nothing you do (or omit) causes harm to others.  You must comply so far as reasonably
practicable with any reasonable instruction given to you by CASA and you must co-operate
with any reasonable WHS policy or procedure. Your duty of care is proportionate to the
control you can exercise over your work activities and work environment.
Different roles in CASA bring different hazards which, if not managed effectively, may create a
safety risk.  For example, working airside, working outdoors, driving long distances, or dealing
with client aggression.
The management of health and safety is integrated into how we conduct our daily work e.g.
use of personal protective equipment, training and our work protocols. The WHS Risk
Register and Safe Work Practices document identifies risks and their management. However,
if you identify something that poses an unacceptable risk, you should not place yourself or
others at risk of injury; ensure that you discuss the risk with your supervisor as soon as
practicable and (if necessary) report the hazard in ESS.  Continuous improvement of our
health and safety management system is essential to keeping everyone safe at work.
For further information go to the WHS Horace page or contact xxx@xxxx.xxx.xx.

2.2 Investigative Activities
Assistant Investigators and the Technical Coordinator – Investigations may be tasked by the
Manager Investigations to conduct general reviews or Preliminary investigations as required to
assist the Investigations Section.
CASA Investigators, appointed pursuant to Part II A of the CAA (Part II A Investigators), are
also responsible for conducting investigations into alleged contraventions of civil aviation
legislation. Investigations wil  be tasked to Investigators by the Manager Investigations in line

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with the requirements of the CASA Enforcement Manual, this Manual and any published
management instructions.
Completion of investigations may involve Investigators in a range of additional activities
including preparing briefs of evidence for the CDPP, participating in criminal prosecutions,
issuing of infringement notices for prescribed offences or provision of support to administrative
action that CASA may choose to take in respect of a civil aviation authorisation. The Manager
Investigations is primarily responsible for ensuring the quality of the investigative activities
conducted by the Investigations Section.
The Investigations Section also has responsibility for the review of passenger related and
other routine offences that involve a contravention of the regulations and which may be
referred to CASA by airlines, the AFP and other law enforcement or regulatory agencies.
Should CASA’s assistance be sought as part of a joint agency investigation team to conduct
any investigation, the Manager Investigations wil  determine the most appropriate resources
available within CASA to assist. Similarly, should it be determined that CASA requires
assistance in the conduct of any investigation, the Manager Investigations wil  be responsible
for identifying and liaising with the external agencies best placed and wil ing to assist.
The Manager Investigations is responsible for conducting investigations into alleged internal
fraud matters.  Any such investigation wil  conform to the standards and practices specified in
this Manual and the requirements of the CASA Fraud Control and Integrity Policy.

2.3 Performance Measures
To ensure consistency in quality and outcomes from investigations, reports completed
because of matters tasked for a general review, preliminary investigation or Part IIIA
investigation are referred back to a Coordinated Enforcement Meeting for discussion and to
determine an appropriate enforcement outcome in line with the CASA Enforcement Manual.
In addition to the conduct of investigations, Investigators are responsible for the drafting of
infringement notices and the preparation of briefs of evidence for the consideration of the
CDPP. The Manager Investigations is responsible for approving the final draft of all
investigation reports, the issuing of infringement notices and the review all briefs of evidence
prior to their submission to the CDPP.
Al  investigative activities must be completed within the timeframes specified by the Executive
Manager, LIRA in the Division’s Business and Risk Management Plan.
As an Australian Government agency, CASA can be subjected to a quality assurance review
conducted in accordance with AGIS.

2.4  Commonwealth Policy Standards
When conducting investigations, CASA has regard to the requirements of the following
Commonwealth policies:
•  Prosecution Policy of the Commonwealth;
•  The Commonwealth Fraud Control Guidelines; and
•  Protective Security Policy Framework.

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2.5 Legal Framework
CASA’s Part IIIA Investigators are appointed under the CAA and derive their primary
investigative powers from that Act. The investigative activities conducted by the Investigations
Section are directed to establishing whether there has been a breach of the provisions of the
civil aviation legislation.
In addition to the civil aviation legislation, the following legislation is relevant to the activities of
the Investigations Section:
•  Public Governance, Performance and Accountability Act 2013;
•  Commonwealth Criminal Code Act 1995;
•  Crimes Act 1914 (Cth); and
•  Legal Services Directions 2017.
CASA Investigators have access to up-to-date versions of legislation through the legislation
link on CASA’s intranet page.
CASA’s policies and manuals and guidance material are also available for use and guidance.
These are also located on the CASA intranet page.

2.6 Investigation qualifications
Al  CASA Investigators must hold a Certificate IV in Government (Investigation), or its
equivalent, as set out in the Public Services Training Package (PSP04).  If this qualification
has not been obtained before an officer is employed as an Investigator, then the officer wil
only perform investigative duties under the supervision of a qualified Investigator.  CASA will
support the obtaining of this qualification for all officers appointed as Investigators, Technical
Coordinator - Investigations or Assistant Investigators within the Investigations Section.
The CASA Manager Investigations must hold a Diploma of Government (Investigation), or its
equivalent, as set out in the Public Services Training Package (PSP04). If the qualification is
not held, the officer occupying this position must obtain the qualification within 6 months of
commencing the role.

2.7 Agency relationships
CASA Investigators must comply with any writ en procedures regarding liaison with other
agencies.  The Manager Investigations is responsible for regularly reviewing these procedures
which are located within the Part IIIA Investigations – Templates and Instructions file
(F18/2145), that is accessible to all members of the Investigations Section.
Investigators are required to record appropriately, in line with CASA record keeping policy,
any contact with other agencies and the reasons for and results of that contact.
Investigators are responsible for ensuring that any interagency correspondence is handled in
compliance with relevant Australian Government and agency standards, particularly in relation
to physical security and security classification. Potentially sensitive or high-profile
communications should be settled by the Manager Investigations or the Branch Manager,
Litigation, Investigations and Enforcement.

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Investigators should be aware of any Memoranda of Understanding (MoU), Service
Agreements or investigation-specific Joint Agency Agreements that may be in place from time
to time. Any such arrangements can be accessed within the Part II A Investigations –
Templates and Instructions file (F18/2145).

2.8 Information Sharing
Sharing information is to be done in accordance with the Privacy Act 1988 and any secrecy
provisions within legislation that may apply.
The Investigations Section is the point of contact for all other government law enforcement
agencies seeking information relating to information and data retained by CASA. Requests
for access to this information must be received in a format that is approved by the Manager
Investigations.
The Manager Investigations is responsible for ensuring a “Request for Information” form or
similar is available for the use of the Investigators and is reviewed periodically to ensure its
continued compliance with the requirements of the Privacy Act 1988. This form is available to
all members of the Investigations Section within the Part II A Investigations – Templates and
Instructions file (F18/2145).
Any requests for information received and copies of information provided wil  be maintained in
accordance with CASA’s record keeping policy.  The Investigations Section maintains a bulk
electronic file onto which this information is to be placed.

2.9 International inquiries and foreign evidence
Investigators may on occasion require information from international aviation regulatory
agencies such as the FAA (USA) or NZ CAA.  Formal requests to these bodies should in the
first instance be made through the International Relations Section in LIRA.
Al  correspondence relating to this contact and any subsequent communications should be
documented and maintained in accordance with CASA’s record keeping policy, including, as
appropriate, in the applicable investigation file on the EICMS.
Occasionally Investigators may be required to obtain evidence from organisations or
individuals based outside of Australia.  Investigators should consider whether the inquiry can
be made utilising the services of the AFP International Division or whether a formal request
needs to be made through the Australian Government At orney General’s Department.  In
such cases the Investigator should discuss the situation with the Manager Investigations so
that an appropriate request can be made.
Any requests for information received from international aviation bodies or foreign law
enforcement agencies should be referred to the Manager Investigations for further action.

2.10 Ethical conduct
CASA Investigators must conduct their investigations in accordance with the following:
•  the CASA Code of Conduct;
•  the CASA Values.

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Any complaints concerning the conduct of CASA investigations wil  be handled in accordance
with the CASA’s official complaint handling procedures.

2.11 Media
Investigators are required to comply with CASA’s media policy as published on its intranet
site. Investigators are not authorised to comment on behalf of CASA in relation to the conduct
of any investigation or associated enforcement process. Al  requests for media comment must
be referred to CASA’s media spokesperson.
Should an Investigator become aware of the media’s interest in a matter either currently under
investigation or before the Courts they should inform the Manager Investigations and CASA’s
media spokesperson of the interest so that an appropriate media statement can be prepared if
required.
The Manager Investigations and Investigators should be mindful of the requirements of the
Privacy Act 1988 and ensure that any information released to the media is done so in
accordance the principals of that Act.
Any information that is released to the media should not prejudice a person’s right to a fair
hearing or any future actions CASA or other agencies may take.
If CASA is involved in a multi-agency operation, a common approach to the media will be
agreed between the agencies prior to any publicity and ministerial correspondence.

3.  Identification of breaches and case selection
Sources of referrals for investigation
Requests for investigation come to the Investigations Section though four avenues:
•  out of the Coordinated Enforcement Process;
•  from external law enforcement agencies such as the AFP;
•  by direct internal approach to the Executive Manager, LIRA, the Branch Manager,
Litigation, Investigations and Enforcement or the Manager Investigations; or
•  through internal fraud control mechanisms.

3.1  Receiving and recording alleged, apparent or potential Breaches
The details of any alleged contraventions of the civil aviation legislation associated with a
request for investigation initiated out of the Coordinated Enforcement Process wil  already be
recorded in the EICMS as part of the initial case referral as required in the CASA Enforcement
Manual.
If the request is received from a Business Unit Manager outside of the Coordinated
Enforcement Process, the Manager Investigations is responsible for arranging for a case in
the EICMS recording the details of the referral.

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Where a referral is received from an external law enforcement agency, the Manager
Investigations is responsible for arranging for a case in the EICMS recording the details of that
referral.
If the investigation relates to allegations of internal fraud, the Manager Investigations wil
create an internal investigation case in the EICMS onto which he/she wil  record the details of
the allegations and any inquiries made.  Access to internal investigation cases are restricted
to the Manager Investigations only.
3.2   Initial Assessment of an Al egation
The Investigations Section is responsible for investigating offences against the civil aviation
legislation. However, the number of offences identified or reported far exceeds its
investigative capacity. The Investigations Section must therefore ensure that its limited
resources are directed to the matters of highest priority and the decision to accept or reject
matters for investigation is guided by this precept. The Manager Investigations is responsible
for making the initial assessment of whether and to what extent a particular complaint or
information wil  be investigated. The following factors wil  be considered in making this
assessment:
(a) the quality of the evidence presently available to substantiate the commission of a
contravention;

(b) the range of sources of further evidence potentially available;

(c)  the safety implications of the alleged contraventions;

(d) the age of the alleged contraventions;

(e) the resources available within the section to conduct any investigation;

(f)  whether another law enforcement agency is already investigating, or is better
placed to investigate, the alleged contravention.
Upon receipt of the initial complaint, the Manager Investigations must also consider whether
there is any evidence that could be compromised or lost, for example due to time constraints
(e.g. ATC Tower tapes, flight strips etc).  The Manager Investigations wil  make arrangements
to secure any such evidence.  This evidence must be collected in accordance with the
requirements of this Manual and any other relevant CASA policy.
Because of this assessment and in consultation with the relevant referring Manager and/or
others at the Coordinated Enforcement Meeting (where applicable), a decision is made as to
what action, if any, is to occur. The assessment could result in:
•  no further action;
•  referral to an Investigator for general review;
•  referral to an Investigator for a preliminary investigation;
•  referral to an Investigator for a Part II A investigation;
•  referral to an Investigator for a general investigation;
•  referral to an Investigator for consideration of issuance of an Aviation Infringement
Notice (AIN); or

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•  referral to an outside law enforcement agency for their consideration.

Decisions following the initial assessment should consider AGIS and where applicable the
Prosecution Policy of the Commonwealth
(http://www.cdpp.gov.au/Publications/ProsecutionPolicy/ProsecutionPolicy.pdf).
3.3  In Case of No Further Action
Where a matter is not accepted for investigation, the Manager Investigations wil  advise the
relevant Branch or Regional Manager of that decision and the reasons why it was made. If the
request for investigation arose out of the Coordinated Enforcement Process, the decision and
reasons for it must be recorded on the relevant case referral in EICMS.
3.4
Referral to an Investigator for Investigation
Where the matter is to be referred to an Investigator for investigation, the Manager
Investigations will:
i.
determine whether the investigation is to be a general review, preliminary
investigation or a formal Part II A investigation;
ii.
task the relevant Investigator with the matter using the EICMS;
iii.
inform the Investigator at the time of tasking if there is any priority or scoping issues
with the investigation. Where an investigation is not given a priority, the timeframe for
completion of an investigation is 60 working days; and
iv.
advise the relevant Branch Unit Manager of the tasking.
3.5
Referral to an Outside Agency for Their Consideration
Where the matter is to be referred to an outside agency for their consideration, the Manager
Investigations must:
i.
confirm whether a formal arrangement with the outside agency is in place for the
referral and, if so, follow the protocols of that arrangement;
ii.
prepare a letter of referral to the agency advising of the reasons for the referral and
attaching a copy of all material considered by CASA;
iii.
advise the complainant in writing that the matter has been referred to another agency
and the reasons for the decision;
iv.
place all documents relating to the request and decision onto a General No Further
Action file or a specific file where appropriate in accordance with Records
Management procedures;
v.
create and update (if necessary) an alert on the CASA general database in respect of
the alleged offender; and
vi.
create and update the case in the EICMS.

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3.6
Referral of matters to the AFP
If a matter is considered by CASA to involve allegations of serious crime or to require a
complex criminal investigation, it must be referred to the AFP in accordance with the AFP
referral process published on the website www.afp.gov.au, except where:
•  CASA considers that it has the capacity and the appropriate skil s and resources
needed to investigate the allegations and meet the requirements of the CDPP in
gathering evidence and preparing briefs of evidence; or
•  the issue involves alleged breaches of the Commonwealth Electoral Act 1918.

The existence of any one of the fol owing factors is an indication that the matter involves
potential commission of a serious crime.
A serious crime is a crime:
•  which involved a significant degree of criminality on the part of the offender;
•  the Commonwealth or the community expects it wil  be dealt with by prosecution which
is conducted in public before a court and usually carries the risk of imprisonment;
•  produced significant real or potential harm to the Commonwealth or the community; or
•  is of such a magnitude prosecution is required to deter potential offenders.

A significant degree of criminality can be evidenced by the crime involving certain factors,
including, but not limited to:
•  criminal behaviour by corrupt Commonwealth officers;
•  bribing of Commonwealth officers;
•  links to international, entities or actions;
•  multiple offenders acting together in an organised way to perpetrate the crime;
•  the use of false names or false documents; or
•  the repeated commission of deliberate offences over a number of years.

A significant harm to the community can be evidenced by the crime involving certain factors,
including, but not limited to:
•  the threatening of the integrity of the Commonwealth, Commonwealth officers or
important Government institutions;
•  impact on the economy, resources, assets, environment or well-being of Australia or
Australians;
•  significant or potentially significant monetary or property loss to the Commonwealth; or
•  bribery, corruption or attempted bribery or corruption of a CASA employee or
contractor to CASA.

The existence of any one of the following factors is an indication that the matter will require a
complex investigation:

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•  a serious breach of trust by a CASA employee or contractor of CASA;
•  the use of sophisticated techniques or technology to avoid detection where
investigation of the matter requires specialist skil s and technology;
•  elements of a criminal conspiracy;
•  known or suspected criminal activity against more than one Commonwealth agency;
•  activities which could affect wider aspects of Commonwealth law enforcement (e.g.
money laundering);
•  the possibility of action being taken under the Proceeds of Crime Act 2002; or
•  conflicts of interest and/or politically sensitive matters.
4. Investigation Management
The investigation management process ensures that Investigators follow logical processes,
that evidence is collected and stored in an admissible form and that each stage of the
investigation is appropriately documented and recorded.  It is critical that the intricacies of the
investigation are fully considered, planned and ef ectively communicated throughout the
duration of the investigation.  The investigation management process is a ‘living process’ and
must be updated as necessary throughout the course of any investigation. The process must
be initiated and followed prior to commencing any investigative activity.
Investigation management is a logical process of planning and supervising investigations.
AGIS sets outs standards for Investigation Management and requires agencies to employ
investigation management procedures based on project management principles of managing
resources, processes, work to be undertaken, time and outcomes.
CASA Investigators use the EICMS which is a fully self-contained case management system
for the purposes of documenting all investigative activities including:
•  investigation plans, evidence matrixes, enquiries, records of conversation and other
investigative activity as well as task management;
•  exhibit management;
•  preparation and issue of AINs;
•  completed investigation reports; and
•  preparation of briefs of evidence.
4.1 Investigation Commencement

The Manager Investigations is responsible for the tasking of all investigations carried out by
the Investigations Section.  Tasking is given using an action item on the EICMS and will take
the form of a general review, preliminary investigation or a Part IIIA (formal) investigation.
The Manager Investigations must indicate in the tasking the intended scope of the
investigation, any expected outcomes, available resources and the priority attached to the
investigation.
All documentation relevant to the tasking, or a link to same wil  be available to the tasked
Investigator through the EICMS.

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4.2 Planning Phase
Each formal investigation commences with an overall planning process and with the creation
of a writ en investigation plan by the assigned Investigator.  This plan wil  be attached to the
investigation action on the EICMS and wil  be reviewed and approved by the Manager
Investigations prior to commencement of the investigation. This plan should be referred to
and updated during the investigation.
The planning process should (where appropriate):
•  outline objectives of the investigation, potential contraventions or conduct to be
investigated, scope of investigation, possible outcomes from investigation
•  identify and manage risks
•  consider options for resolution and whether urgent injunctive proceedings or
preventative actions are required
•  identify elements of offence(s)
•  identify possible inquiries, sources and methods to be utilised to obtain relevant
information and/or evidence as appropriate
•  identify available and/or required resources
•  outline work phases, timelines and milestones, and
•  establish the structure of the investigation team including reporting lines,
communication tools, identify need for specialist assistance from internal or external
experts (e.g. IT, FOIs, AWIs, Engineers etc.)
Several investigation plan templates are available for the use of CASA Investigators.  These
are located within the Part IIIA Investigations – Templates and Instructions file (F18/2145).
Investigators should use the appropriate template depending on the complexity of the matter
to be investigated.
4.3 Risk Management
The Manager Investigations and assigned Investigators must ensure risk management is
incorporated in decision making throughout the investigation. This is particularly important in
the following areas:

•  initial evaluation (Chapter 3);
•  investigation planning;
•  critical decisions; and
•  activity involving occupational health and safety risk.
Risk management procedures must comply with Australian and New Zealand Risk
Management Standard (AS/NZ ISO 31000:2018).  This standard looks at reducing,
anticipating and managing risk during any investigation conducted by CASA.

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4.4 Implementation Phase
During the investigation it is necessary to ensure that all work is conducted in accordance with
the governance and practices defined in this Manual and any investigation plan created for the
task.
The following practices should be employed (as necessary) during an investigation:
4.4.1 Activity recording and file management
It is essential that the recording of activity in relation to an investigation (interviews, contact
with witnesses, meetings, records of conversation, preparation of briefing papers, obtaining
documents and other relevant evidence, use of regulatory powers, decisions, etc.) occurs
during the investigation.  Records of investigative activity conducted during investigations
must be recorded on the EICMS in the activity log or uploaded into the document pane within
the relevant investigation action. Al  documents and other evidence created or obtained during
the investigation must (unless it is impractical to do so) be uploaded to the EICMS.
Generally only staff employed in the Litigation, Investigations and Enforcement Branch will
have access to the investigation file on the EICMS.
Al  exhibits should be managed in accordance with the requirements set out in Chapter 5 of
this manual.
4.4.2 Situation reporting
The progress of an investigation must be reported to the Manager Investigations on a regular
basis.  The reporting process should be considered and defined at the investigation planning
phase.  The Manager Investigations attends regular Coordinated Enforcement Meetings with
internal stakeholders and the Manager Investigations should be appraised prior to these
meetings of any progress achieved, deviations from initial plans, problems/risks and future
actions.
For investigations which are over 60 working days old, increased reporting may be requested
by the Manager Investigations.
4.4.3 Manager Investigations review of investigations
The Manager Investigations will review investigations at appropriate intervals to ensure
adherence to the AGIS, this Manual and investigation plans.
4.4.4 Critical decisions
Critical decisions are those decisions made during an investigation that lead to a significant
change in direction or scope of the investigation, resources involved in the investigation or any
decision that may impact on the investigation achieving the intended outcomes for the
investigation. These can arise because of external developments, evidence that has or has
not been obtained or a change of investigative strategy.
Al  critical decisions made during the investigation should be documented in the investigation
file on EICMS. This documentation must include:
•  the decision itself, including the reason for the decision;
•  the material relied on to make that decision; and

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•  any expected or potential significant impact of the decision.
Investigations plans must be updated as necessary to reflect any changes required to
implement the requirements of any critical decisions.
4.5 Investigation Reports
Investigations can have several outcomes, including taking no further action, the
commencement of administrative action, the issuance of AINs or the preparation of a brief of
evidence.
At the end of all investigations, the Investigator is required to prepare a written investigation
report that must be reviewed and approved in the EICMS by the Manager Investigations
before being considered at the relevant Coordinated Enforcement Meeting.  The participants
at that meeting wil  determine the appropriate enforcement outcome based on the contents
and recommendations contained within the investigation report.
Investigators must use the approved templates for a general review, preliminary and Part II A
investigation reports which are available within the Part II A Investigations – Templates and
Instructions file (F18/2145).
4.5.1 Evidence matrix
Complex investigation reports must also be accompanied by an evidence matrix which is to
set out in tabular form:
•  the elements of each relevant offence; and
•  the evidence and the source of the evidence available to prove each element.
An investigation report wil  be regarded as complex if it:
•  involves consideration of a significant number of offences;
•  involves multiple persons of interest;
•  involves a significant number of witnesses;
•  involves large amounts of documentary evidence; or
•  runs to more than 15 pages
The matrix is intended to provide a simplified overview of the outcome of the investigation
which can be used as a quick reference by the CDPP in the event the mat er is referred for
prosecution or by CASA’s lawyers in any administrative action flowing from the investigation.
The Manager Investigations may require the Investigator to complete an evidence matrix prior
to approving the investigation report or following the relevant Coordinated Enforcement
Meeting at which the investigation report is considered.
Investigators must use the approved templates for evidence matrix which is available within
the Part IIIA Investigations – Templates and Instructions file (F18/2145).

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Associated enforcement related activity
4.5.2 Commencement of administrative action
When, following consideration of a finalised investigation report, it is determined in the
Coordinated Enforcement Meeting that the most appropriate enforcement action is to take
some form of administrative action against a civil aviation authorisation (i.e.variation,
suspension or cancellation of the authorisation) the assigned Investigator is required to assist
the assigned lawyer in the drafting of the necessary notices.
At a minimum, a copy of the investigation report as well as any statements and exhibits are to
be made available in a timely manner to the assigned CASA lawyer. The assigned lawyer
may require the Investigator to provide further information for and to proof read any
documents prepared during the administrative process. The assigned Investigator may also
be required to assist in the conduct of any administrative proceedings before the
Administrative Appeals Tribunal, including by appearing as a witness, assisting in locating and
arranging the attendance of witnesses and attending at hearings to aid in relation to the
factual history of the relevant investigation.
Where the administrative action in question is a formal counselling, the Manager
Investigations wil  task the assigned Investigator to draft the counselling notice.
4.5.3 Issuing of infringement notices
A tasking to prepare and issue an infringement notice will occur in two separate
circumstances:
•  Where sufficient evidence is available to participants at the Coordinated Enforcement
Meeting, to decide to issue an infringement notice without the need for a general
review, preliminary or Part IIIA investigation;
•  Following consideration in the Coordinated Enforcement Meeting, of a general review,
preliminary or Part IIIA investigation report.
Where it has been determined that an infringement notice is to be issued, the Manager
Investigations will:
i.
task an Investigator with drafting the appropriate infringement notice/s using the
EICMS.
The Investigator must then:
i.
review the available evidence to ensure that there is a sufficient basis for referral of
the matter to the CDPP in the event of non-payment of the notice;
ii.  draft the infringement notice on the EICMS for the Manager Investigations to
approve;
iii.  once approved, the infringement notice is generated in the EICMS, checked and
printed out before being posted to the recipient by registered post;
iv.  create or update an alert on CASA’s general database e.g. EAP EMPIC;
v.  notify the referring business unit/agency that an infringement notice has been issued;
vi.  where a request for extension of time to pay the infringement notice is received, the
Manager Investigations must be advised and the EICMS updated accordingly; and

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vii.  when an infringement notice is paid, the Manager Investigations and referring
office/agency are advised and the action relevant to the AIN is updated and finalised
in the EICMS.
Where an infringement notice is not paid, the Manager Investigations must be advised. The
Manager Investigations wil  then take the matter back to the relevant Coordinated
Enforcement Meeting.
Investigators have 5 working days to draft any such infringement notices.  It should be noted
that when the infringement notice is to be issued in conjunction with a counselling letter, the
infringement notice should not be issued until the counselling notice is ready for posting after it
has been reviewed by the Legal Manager, Litigation, Investigations and Enforcement Branch.
4.5.4 Referring briefs of evidence to the CDPP
When it is determined in the Coordinated Enforcement Meeting, that a brief of evidence
should be referred for the consideration of the CDPP, the Manager Investigations wil  task the
assigned Investigator to prepare the brief using the EICMS.
The brief must be prepared to a standard that wil  maximise the possibility of success in
criminal proceedings.
Investigators must consider the variations that exist between jurisdictions as to the
requirements for the preparation and presentation of the brief of evidence.  CASA briefs are
currently submit ed to the CDPP Specialist Agencies section in Canberra for assessment,
irrespective of the jurisdiction of the offending.
Al  briefs of evidence must comply with the following:
•  applicable laws of evidence;
•  rules of court applicable to the jurisdiction where the litigation wil  take place;
•  Prosecution policy of the Commonwealth;
•  CDPP Guidelines on Brief Preparation;
•  Legal Services Directions 2017
•  Guidelines on Disclosure to the CDPP by Investigative Agencies; and
•  applicable disclosure requirements in the jurisdiction.
The Investigator must ensure the brief of evidence is well organised to assist the prosecution.
Briefs must include an evidence matrix assist with both the brief preparation and the
prosecution.
Briefs should normally be completed and forwarded for review and approval by the Manager
Investigations within 30 working days of the tasking.
Once reviewed and approved by the Manager Investigations, the Investigator is responsible
for forwarding the brief to the CDPP, informing the relevant business area that the brief has
been submitted to the CDPP and ensuring the required milestones are recorded and
completed on the EICMS.

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4.5.5 Finalising investigations
The Manager Investigations is responsible for the closure of all investigations on the EICMS.
However, before he/she can do so the assigned Investigator is required to ensure all
investigation inquiries are closed, exhibits disposed of, infringement notices finalised, and
prosecution results recorded.
In the event administrative action is being taken, the case on the EICMS wil  remain open until
the completion of the relevant action, at which time the Litigation, Investigations and
Enforcement Branch Manager or representative wil  close the case on the system.
4.6 Reviews of Investigations
4.6.1 Internal review
Wherever Investigators from more than one location or agency are involved in any single
investigation, it wil  be the responsibility of the nominated Investigator or the Manager
Investigations to conduct a debriefing of the Investigators involved in the investigation. The
debriefing wil  take place at a suitable time to all parties, preferably by way of telephone hook-
up arranged by the Manager Investigations.

Debriefing provides the basis for improving systems, procedures and methodology.  It is also
an opportunity to acknowledge the work completed and the contributions made to the
investigation by individual team members.

The scope of the debriefing and report wil  depend on the size and complexity of the
investigation.
The debriefing should involve the whole team and, if possible, management and others
(including those from other agencies) that have performed a significant role.  In this way, a
balanced overview of an investigation and its results may be gained.
The team should consider whether the investigation achieved the desired results, why the
investigation succeeded or failed and what aspects of the process should be used or avoided
in the future.
The Manager Investigations is responsible for preparing a report detailing the findings and any
recommendations of the review.  This report should then be circulated to both the team and
other Investigators. A copy of the report must be placed on the investigation file.

Note:  There wil  be very few occasions where this type of formal debriefing wil  need to be
undertaken by CASA Investigators.

4.6.2 External review – Quality Assurance Review (QAR)
The purpose of a QAR is to establish whether an investigation was conducted in a way that
complied with AGIS.
A QAR can be done following a request by CASA or as requested by the Attorney General’s
Department, in the following manner:
•  the AFP is responsible for conducting QAR’s of criminal investigations;
•  where a QAR considers issues that are relevant to the CDPP or external counsel, such
as the adequacy of the preparation of a brief, the AFP should consult with the
prosecuting authority;

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•  CASA should be given an opportunity to comment on any draft QAR report, with any
comments incorporated into the final report;
•  finalised QAR reports wil  be sent to the CASA CEO; and
•  results of the QAR process, together with an analysis of best practice and deficiencies
identified should be provided to the Australian Institute of Criminology.
5.  Investigation Practices
Introduction
This chapter outlines the standards and practices in accordance with which CASA
Investigators are expected to conduct criminal investigations. CASA requires its Investigators
to be aware of their obligations in relation to criminal investigations. Al  evidence collected
must be reliable and relevant to the aims of the investigation.
This Manual reinforces the AGIS recommended minimum standards regarding:
•  procedures and methodologies for obtaining, recording and storing relevant and
admissible evidence; and
•  the exercise of legislated powers and authority to conduct investigations.
5.1 Witnesses
5.1.1 Obtaining information
Obtaining information from witnesses should be conducted in accordance with the following
principles.
•  Witnesses or potential witnesses should be identified and prioritised during the
investigation planning;
•  Witnesses should be interviewed as soon as is appropriate, in accordance with the
investigation plan, to ensure the best recall of events;
•  A witness statement or affidavit should be obtained and signed at the time of the
interview or as soon as possible after the interview. Witness statements or affidavits
should include all relevant and exculpatory information;
•  The Investigator taking the statement should apply the rules concerning admissibility of
evidence pursuant to the Evidence Act 1995 or other laws relevant to the jurisdiction in
which the matter may proceed to court. If the Investigator is uncertain regarding the
admissibility of information, it should be included and highlighted for attention of CDPP
or prosecuting agency;
•  A parent/guardian or a responsible adult must be present during an interview of
persons under 18 years of age.  The parent/guardian should co-sign any statement or
affidavit obtained;
•  Witnesses who have a limited understanding of English should be offered the services
of an accredited interpreter. The witness statement or affidavit should be prepared in
the language spoken by the witness.  A copy of this statement should then be
translated into English; and
•  Where a witness wishes to change part of his/her statement or affidavit after signing,
or wishes to add further information, a supplementary statement/affidavit must be

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prepared.  The original document must be retained and included in any brief of
evidence.
5.1.2 Content of witness statements/affidavit
A witness statement/affidavit is an account of the events that have occurred. The format of all
witness statement/affidavits is to be consistent throughout CASA and should comply with the
applicable requirements of the jurisdiction where any court proceedings wil  occur. Templates
for appropriate statements/affidavits to use in the different jurisdictions throughout Australia
can be found in the Part II A Investigations – Templates and Instructions file (F18/2145).
Witness statements/affidavits should contain the following:
•  Date: The statement must be dated. The date under the signature on the last page is
the date the statement is signed by the witness.
•   Heading: “Statement in the matter of …”
•   Personal Details of Witness: The personal details of a witness should be provided to
comply with the requirements of the jurisdiction where any court proceeding wil  occur.
•   Format: If practicable a witness statement/affidavit should be typed. Each paragraph
should be numbered.
•   Jurat or declaration: A witness statement or affidavit must include a jurat or declaration
which is required by the jurisdiction where court proceeding is likely to occur.
•   Body: Include al  relevant observations and conversations relevant to the elements of
the offence being investigated.
•   Conversations: Relevant conversations should be recorded in the first person, i.e. “I
said… He said …” If a witness is unable to recall the exact conversation, the phrase
“Words to the effect” or “I can’t recall the exact words however…” may be utilised prior
to setting out the witness’s recollection of the conversation in the first person.
•   Exhibits: Where relevant, a witness statement/affidavit must ful y describe physical
exhibits and ensure that all handling of these is ful y described to ensure evidence
continuity is presented.
•  Signature of the person making the statement: Signing of a witness statement/affidavit
must be done in accordance with the requirements of the jurisdiction where any court
proceeding is likely to occur.
•  Witness to the Signature: The signing of the statement/affidavit by the person making it
should be witnessed by another person. This person should also sign the statement/
affidavit.
•  Statements/affidavits of Investigators should be prepared in accordance with the above
principles. Content of Investigator statements must also include all relevant information
including interaction with suspects, handling of exhibits, participation on search
warrants and any other information relevant to the elements of the offence.
5.1.3 Expert Witnesses
It may be necessary at times during an investigation to use an independent expert witness.
The selection of an expert should be made following consideration of the person’s standing,
qualifications, capabilities and relevant experience. The following should be considered when
using expert witnesses:

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•  It is important that expert witnesses are quarantined from the investigation to ensure
that their expert opinion is impartial;
•  If experts are to examine material that has a security classification, consideration of
requiring a non-disclosure agreement prior to commencing work on the investigation
should be given;
•  The expert witness’ statement/affidavit should provide a full list of their formal
qualifications and a summary of their relevant experience;
•  Any relevant legal advice obtained regarding using an expert should be recorded on
the investigation file on the EICMS; and
•  Court practice notes or case law relating to expert witnesses should be consulted.
5.2 Formal Interviews
Records of interview with suspected offenders must be conducted in accordance with the
following:
•  it is to be recorded and a copy provided to the interview subject following the
conclusion of the interview or as soon as practical thereafter;
•  Investigators conducting a record of interview must have satisfied the AGIS minimum
training requirements;
•  Part 1C of the Crimes Act 1914 or relevant legislative requirement;
•  an interview guide including all legislative requirements should be used; and
•  an interview plan must be prepared, where possible, before any suspect interview. The
plan should cover the elements of the offence/s or civil contravention and any
anticipated or known defences.
5.3 Search Warrants
Al  activity relating to search warrants must be conducted:
•  in accordance with the section in the CAA, under which the warrant was obtained; and
•  in consultation with the CDPP Search Warrant Manual.
When a CASA Investigator believes the use of a warrant is required, they must discuss the
matter with the Manager Investigations. If the use of a warrant is agreed, the Investigator is
responsible for preparing the required documentation for the review of both the Manager
Investigations and the Manager Litigation, Investigations and Enforcement prior to seeking an
appointment with an appropriate Magistrate.
When an Investigator is considering or has been approved to execute a warrant under the
relevant section of the CAA, the Investigator is required to prepare an operational order to
ensure the safety of all persons involved and achievement of outcomes.
A template for operational orders is located within the Part II A Investigations – Templates and
Instructions file (F18/2145).
Other than in the case of warrants by appointment, the assigned Investigator must ensure that
a draft of the operational order is prepared for approval by the Manager Investigations, setting
out who wil  be involved in the execution of the warrant (including any external agency parties)

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and setting out the responsibilities of each person during the search and seizure process.
Responsibilities to be expressly assigned include:
•  Maintenance of exhibit register;
•  Exhibit handling – to be conducted in accordance with the procedures set out further
below;
•  Control of the scene (generally to be the responsibility of the AFP or local police);
•  Making a record of the scene marking locations where exhibits were found;
•  Forensic and technical assistance if required (see paragraph 5.5.3 below);
•  Scene photography showing exhibits in situ; and
•  Video recording.
The Manager Investigations must ensure that a work health and safety risk assessment is
undertaken before deploying any Investigators for execution of a search warrant.
5.4 Delegated Powers
Al  CASA Investigators are appointed under Part I IA of the CAA.
5.4.1 Monitoring Powers – with consent
Investigators may, under section 32AC of the CAA, with the consent of, and after producing
their identity card for inspection by, the occupier of ‘prescribed premises’, enter and exercise
‘inspection powers’ on the premises for the purpose of finding out whether the ‘relevant
legislation’ is being complied with.
Inspection powers is defined in section 3 of the CAA:
"inspection powers", in relation to prescribed premises, means the following powers:
         (a)  power to search the premises;
         (b)  power to inspect, examine, and take samples of, any substance or thing on or in the
premises;
         (c)  power to photograph, or make sketches of, the premises and any substance or thing
on or in the premises;
          (d)  power to take extracts from, or make copies of, any books, records or documents
relating to an aircraft or required to be kept under this Act or the regulations.
5.4.2 Monitoring Powers – with warrant
Investigators may, under section 32AD of the CAA, apply to a magistrate for a warrant in
relation to particular prescribed premises.  The magistrate may issue the warrant if satisfied,
by information on oath, that it is reasonably necessary that the Investigator should have
access to the premises for finding out whether the relevant legislation is being complied with.
The magistrate must not issue the warrant unless the Investigator or someone else has given
the magistrate, either oral y or by affidavit, any further information the magistrate may require
about the grounds on which the issue of the warrant is being sought.

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5.4.3 Offence Powers – with warrant
Investigators may, under section 32AF of the CAA, apply to a magistrate for a warrant in
relation to particular premises. The magistrate may issue the warrant if satisfied by
information on oath that there are reasonable grounds for suspecting that there is, or there
may be, within the next 72 hours, on the premises, a particular thing that may afford evidence
of the commission of an offence against the Act or the Regulations.  The magistrate must not
issue the warrant unless the Investigator or someone else has given the magistrate, either
orally or by affidavit, any further information the magistrate may require about the grounds on
which the issue of the warrant is being sought.
5.4.4 Offence Powers – warrants granted by telephone
Investigators may, under section 32AG of the CAA, apply for a warrant under section 32AF by
telephone.  Investigators should only use this power when absolutely necessary.  Before
making such an application, an Investigator must prepare an information brief of the kind
mentioned in subsection 32AF (2) of the CAA but may, if it is necessary to do so, make the
application before the information has been sworn.
5.4.5 Offence Powers – discovery of evidence
When an Investigator, who enters premises under a warrant under sections 32AF or 32AG of
the CAA, finds the thing (evidence) which the Investigator entered the premises to find, they
may under section 32AH of the CAA:
i.  seize the thing;
ii.  keep the evidence for 60 days or, if a prosecution for an offence against the Act or the
regulations, in the commission of which the evidence may have been used or otherwise
involved, is started within that period, until the completion of the proceedings for the
offence and of any appeal in relation to the proceedings (section 32AHN);
iii.  if the evidence is a book, record or document—while the Investigator has possession of
the evidence, the Investigator must allow it to be inspected at any reasonable time by
anyone who would be entitled to inspect it if it were not in the Investigator’s possession
(section 32AHL).
If, in the course of searching premises entered under a warrant under sections 32AF or 32AG
of the CAA, the Investigator finds a thing that he or she believes on reasonable grounds to be
a thing (other than the evidence mentioned in subsection (1)) that would afford evidence of the
commission of the offence mentioned in that subsection; or a thing that would afford evidence
of the commission of another offence against the CAA or the regulations, and the Investigator
believes, on reasonable grounds that it is necessary to seize the thing to prevent its
concealment, loss or destruction, subsection (1) applies to the thing as if it were the evidence
mentioned in that subsection.
5.4.6 Offence Powers – retention of evidence
Investigators may, under section 32AHO of the CAA, apply to a magistrate, prior to the expiry
of the 60-day period, to make an order under this section in respect of a thing seized under
section 32AH of the CAA if proceedings in respect of which the thing may afford evidence
have not commenced, or there is a reasonable likelihood that such proceedings wil  not
commence, by the later of:
i.
the end of 60 days after the seizure; or

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ii.
if a previous order has been made under this section in respect of the thing, and a total
period of 90 days has not been reached under that previous order, the end of the period
specified in that order.
Before making the application, the Investigator must:
i.
take reasonable steps to discover who has an interest in the retention of the thing; and
ii.
if it is practicable to do so, notify each such person of the proposed application.
The magistrate may order that the Investigator retain the thing for a period not exceeding 90
days from and including the date specified in the order.
5.4.7 Offence Powers – requiring person to answer questions
Section 32AJ of the CAA provides that an Investigator who is on or in premises that he or she
has entered under a warrant under Part IIIA of the CAA may require anyone on or in the
premises to:
•  answer any questions put by the Investigator; and
•  produce any books, records or documents requested by the Investigator.
It is an of ence for a person to fail to comply with a requirement under this section, unless the
person has a reasonable excuse, which the person bears the evidential burden to prove (see
subsection 13.3(3) of the Criminal Code Act 1995).
It is not a reasonable excuse for a person to refuse or fail to answer a question or produce a
book, record or document on the ground that to do so would tend to incriminate the person,
but the answer to any question, or any book, record or document produced, or any information
or thing obtained as a direct or indirect consequence of answering the question or producing
the book, record or document is not admissible in evidence against the person in any criminal
proceedings, other than proceedings for an offence against subsection (2) i.e. a breach of
complying with a requirement under section 32AJ(1) of the CAA.
Note:  Investigators must be aware of the provisions of this section and the implications in
respect of admissibility of evidence.
5.4.8 Offence Powers – detention of aircraft
Section 32AK of the CAA provides that an Investigator may, for the purpose of performing the
functions or exercising the powers of an Investigator under Part IIIA of the CAA in relation to
an aircraft, vessel or vehicle, require the person apparently in control of the aircraft, vessel or
vehicle to do either or both of the following:
i.
to stop and detain the aircraft, vehicle or vessel for such reasonable period as the
Investigator specifies;
ii.
to take all reasonable steps to ensure that the aircraft, vehicle or vessel, or a specified
part of it, is left undisturbed for such reasonable period as the Investigator specifies.
Investigators must not perform any act that requires technical expertise or a specific licence.
Investigators should consider utilising either an appropriately qualified person or CASA
Technical Of icer when contemplating using this power.  Except in urgent circumstances, the
Investigator must notify the Manager Investigations prior to acting under this section.  If used
in urgent circumstances, the Investigator must notify the Manager Investigations as soon as
possible after the action has been taken.

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5.4.9 Offence Powers – destruction/disposal of goods
An Investigator may, under section 32AL of the CAA, apply to a magistrate to make an order
authorising CASA to destroy, or otherwise dispose of, specified goods seized under section
32AH of the CAA. The magistrate needs to be satisfied that an Investigator is required to
return the goods to a person; and the Investigator cannot, despite making reasonable efforts,
locate the person; or the person has refused to take possession of the goods.
Investigators must use the document proformas stored electronically in the Part IIIA
Investigations – Templates and Instructions file (F18/2145), when making application under
this section.
The Manager Investigations shall be consulted prior to making an application for the
destruction or disposal of goods.
Note:  Investigators are responsible for ensuring they know and understand the operation of
these provisions.
5.4.10 Delegated Powers and Authorisations
CASA Investigators are also CASA delegates and authorised persons for various regulations
within the CAR and CASR which allow notices to be served requiring the production of
documents or information. These provisions include, but are not limited to:
•
regulation 301 of the CAR which relates to the surrender of documents:
(1)   The holder of a licence, certificate or other document issued, or required to be kept,
under these Regulations, or a person having the custody of a licence, certificate or
other document issued, or required to be kept, under these Regulations, shall, if
CASA by notice in writing so requires, surrender the licence, certificate or document
to CASA within such time as is specified in the notice.
Penalty:  5 penalty units.
(1A)  In sub-regulation (1), a reference to a document that is required to be kept under
these Regulations includes a document that is required to be kept under:
            (a)  a Civil Aviation Order; or
            (b)  a Manual of Standards; or
            (c)  another document that is required to be kept under these Regulations.
(2)    A person must not engage in conduct that results in the destruction, mutilation or
defacement of a document that the person is required to surrender to CASA.
Penalty:  10 penalty units.
•
regulation 61.365 of the CASR which relates to the production of personal logbooks:
         (1)    CASA may direct the holder of a flight crew licence or certificate of validation to
produce the holder's personal logbook for inspection by CASA.
         (2)  The holder of a flight crew licence or certificate of validation commits an offence if:

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                     (a)  CASA directs the holder to produce his or her personal logbook under sub-
regulation (1); and
                     (b)  the holder does not produce an up to date version of the personal logbook
within 7 days after the day the direction is given.
Penalty:  50 penalty units.
         (3)  If the holder's personal logbook is kept in electronic form, a requirement to
produce the logbook is met if:
                     (a)  the holder produces a printed copy of the logbook; and
                     (b)  each page is certified by the holder as a true copy of the logbook records set
out on the page.
(4)    An offence against this regulation is an offence of strict liability.
•
regulation 11.075 of the CASR which relates to the provision of information by the
holder of an authorisation:
         (1)    CASA may, by written notice, require the holder of an authorisation to give CASA
specified information, or a specified document, that relates to the activity,
document or thing to which the authorisation relates.
         (2)    It is a condition of an authorisation that its holder must comply with a notice given
under sub-regulation (1):
                     (a)  within 14 days after receiving the notice; or
                     (b)  if a different period is specified in the notice--within that period.
         (3)    A person commits an of ence if:
                     (a)  the person is the holder of an authorisation; and
                   (b)  CASA requires the person, under sub-regulation (1), to give CASA
information or a document; and
                     (c)  the person does not give CASA the information or document:
                              (i)  within 14 days after receiving the notice; or
                             (ii)  if a different period is specified in the notice--within that period.

Penalty:  50 penalty units.
Templates of writ en notices are available to all members of the Investigations Section within
the Part IIIA Investigations – Templates and Instructions file (F18/2145).
To ensure that no question arises as to the legal basis upon which information or
documentation has been obtained by CASA, Investigators are required to utilise these
delegated powers whenever obtaining such evidence. Where available, these powers are to
be used in preference to obtaining a warrant.  It is important all Investigators acquaint
themselves with these delegated powers as they are amended from time to time.

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5.5 Physical evidence/exhibits
CASA Investigators wil  obtain evidence either through consent, the use of delegated powers
or through the execution of a search warrant.  More than 80% of the evidence obtained by
Investigators wil  be documentary evidence.  Accordingly, Investigators must consider whether
the original document should be obtained and retained until the completion of the investigation
and any subsequent enforcement action or whether either a scanned copy or certified true
copy of the document is sufficient.
On occasions, it is not practical to take the original document; e.g. current maintenance
releases for aircraft and therefore the Investigator can be satisfied with a certified true copy of
the document.
5.5.1 Exhibit handling procedures
Whenever an Investigator either obtains or disposes of an item or document they should
ensure an appropriate receipt is issued and that the exhibit is then stored in a manner which
ensures that chain of custody can be established.
When an Investigator decides that material held by CASA is relevant to the investigation this
material should be treated as evidence until no longer required for the investigation and/or
prosecution. The security and continuity must be maintained from seizure to disposal.
CASA Investigators are to use the EICMS to track the receipt, movement and disposal of all
exhibits.  This provides CASA with an auditable record of the exhibits which must be
maintained always.
5.5.2 Obtaining physical evidence
When collecting evidence, Investigators should consider:
•  preserving forensic evidence – such as fingerprints, DNA, drug analysis, health and
safety of themselves and others; and
•  protecting themselves from allegations of impropriety. Video or voice recording of
seizure processes should be considered in relevant circumstances (e.g., counting of
money).

5.5.3 Computer or digital evidence
The obtaining of evidence from a computer or a digital device should be conducted by a
person with sufficient training or qualifications to ensure preservation and admissibility in
court.
There are several other Government agencies such as the AFP and Australian Taxation
Office who are wil ing to provide forensic assistance to smaller agencies such as CASA during
the execution of search warrants or in other cases requiring specific technical expertise.

Where an Investigator believes such assistance wil  be required they should discuss the
matter with the Manager Investigations to determine how such an approach should be made.

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5.5.4 Property seizure record (or property receipt record)
At any time when property is taken by CASA relevant to an investigation, a document
acknowledging receipt of the property must be prepared by the Investigator involved and a
signed copy provided to the person responsible for the property. Details of property seized
should be recorded contemporaneously. This record should include the following:
•  date, time, place of seizure (or possession);
•  name of person providing the item;
•  name of owner or responsible person;
•  name of person taking possession of the item;
•  full description of the item, including any identifying marks and recording damage; and
•  full description of the location from where it was taken.

The property owner or responsible person should be given a copy of the receipt regardless of
whether they sign the receipt/record. Receipts (signed and dated) should be maintained on
the investigation file.
It is the responsibility of Investigators handling property to ensure continuity of the evidence.
This continuity must be appropriately documented within Investigator and witness
statements/affidavits.
5.5.5 Exhibit storage and record
Investigators are responsible for exhibit storage, recording, monitoring and reporting of
property obtained during their investigations. The following procedures should be followed:
•  Al  exhibits, where practical, must be stored within the locked cabinets provided to the
CASA Investigator.  The exhibit should be clearly marked with the relevant case
number and exhibit number;
•  If exhibits are too large to be stored within the locked cabinet, then the Investigator is
responsible for locating a suitable secure location where the exhibit can safely be
stored. The Investigator must obtain the approval of the Manager Investigations for the
use of the identified secure storage location. Investigators must be mindful of the
applicable workplace health and safety standards when handling or storing exhibits;
•  Appropriate packaging must be used to protect any item of property and this packaging
should be sealed using tamper evident packaging to protect the integrity of the exhibit;
•  A systematic and reliable procedure must be used for labelling and sealing exhibits.
Such a system must be robust enough to reduce the opportunity for, or to rebut any
allegations of mishandling or inappropriate behaviour by Investigators. Labels must
include the following details:
o  exhibit number;
o  seal number or bar-coded identifier;
o  time, date and place of seizure;
o  name of the officer who originally obtained the exhibit; and
o  full description of the exhibit.

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•  The details of the exhibit and its storage must be recorded in the relevant case on the
EICMS. The information on the system should include the full details as recorded on
the property seizure record; and

•  Any subsequent movements of the exhibit must be recorded in EICMS. This must
include the date, the name and signature of the person taking the exhibit, the reason
and the destination.
Wherever possible, a perishable exhibit must be photographed and returned to the owner as
soon as practicable, unless legal requirements prevent this from occurring. It may be
necessary to take a representative sample for testing and for later use in evidence.
Original exhibits must not be attached to witness statements/affidavits or provided to the
CDPP. Once obtained, it is the responsibility of the Investigator to maintain these exhibits until
required at court, returned to the owner, or lawfully destroyed.

5.5.6 Disposal of exhibits/return of evidence

Return to CASA file - In many cases, documentary evidence obtained during an investigation
wil  have been provided by CASA itself. The original documents should, where possible, be
returned to the files of origin following the conclusion of the investigation/prosecution period.
Where this is not possible, documents must be maintained in accordance with the Archives
Act 1983.
Return to owner - Subject to any contrary order of a court, an exhibit should be returned to its
lawful owner if the reason for its seizure no longer exists or the exhibit is not going to be used
in evidence or the retention period specified in relevant legislation has expired. This section
does not apply to those things forfeitable to the Australian Government or subject to a dispute
of ownership.
Where an exhibit is returned, a receipt should be obtained containing the following:
•  name and signature of the person returning the property;
•  name, address and signature of the person to whom the property is being returned;
•  time, date and place of the return of property;
•  a full description of the property being returned; and
•  the appropriate seizure and exhibit number.
Three copies of the receipt should be produced – one to the owner, one to be placed onto the
EICMS and one retained in the receipt book.
5.5.7 Destruction/disposal of exhibits
On completion of court proceedings, where an owner requests that an exhibit be destroyed,
the Investigator should take a signed statement authorising the destruction which should
include a full description of the item to be destroyed. A copy of that statement should be
placed on the case in the EICMS.
Where an item has no owner, or it would be unlawful to return an exhibit to the owner, or the
exhibit is subject to a condemnation order by the court, the Investigator must forward written
recommendations to the Manager Investigations regarding appropriate disposal of the exhibit.

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Al  exhibits seized by the AFP must be returned to the AFP for destruction.
5.5.8 Audit of exhibits
The EICMS requires that all exhibits are disposed of prior to the Manager Investigations being
able to close off a case.
The Manager Investigations wil , as part of his duties, conduct a regular review of open
investigation cases, in respect to exhibits, to ensure:
•  the accuracy of the records on the EICMS;
•  the security of the exhibits is appropriate; and
•  continuity of evidence has been maintained.

5.6 Human information sources
CASA does not have a process in place to deal with human information sources. However,
on occasions Investigators may need to obtain an induced statement from a witness as part of
a larger investigation.
Where consideration is being given for such a statement to be obtained, the Investigator must
speak to the Manager Investigations about the matter to determine if there are other means by
which the information can be obtained.  If the Manager Investigations agrees it may be
appropriate for an induced statement to be taken, the Investigator wil  be responsible for
contacting and liaising with the CDPP about the process required and/or other options, e.g.
reduction in sentence for assistance, etc.
The Director of the CDPP is the only person who can grant an individual an indemnity from
prosecution.  CASA Investigators are reminded they must not offer any indemnity until they
have the agreement of the CDPP. Even then, Investigators must liaise with the CDPP in
relation to any communications with the relevant individual about the nature and extent of the
proposed indemnity.

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