ARO.GEN.300 Oversight

AMC1 ARO.GEN.300(a);(b);(c) Oversight

GENERAL The competent authority should assess the organisation and monitor its continued competence to conduct safe operations in compliance with the applicable requirements. The competent authority should ensure that accountability for assessing organisations is clearly defined. This accountability may be delegated or shared, in whole or in part. Where more than one competent authority is involved, a responsible person should be appointed under whose personal authority organisations are assessed.

AMC2 ARO.GEN.300(a);(b);(c) Oversight

EVALUATION OF OPERATIONAL SAFETY RISK ASSESSMENT As part of the initial certification or the continuing oversight of an operator, the competent authority should normally evaluate the operator’s safety risk assessment processes related to hazards identified by the operator as having an interface with its operations. These safety risk assessments should be identifiable processes of the operator’s management system. As part of its continuing oversight, the competent authority should also remain satisfied as to the effectiveness of these safety risk assessments.

(a)General methodology for operational hazards The competent authority should establish a methodology for evaluating the safety risk assessment processes of the operator’s management system. When related to operational hazards, the competent authority’s evaluation under its normal oversight process should be considered satisfactory if the operator demonstrates its competence and capability to:

(1)understand the hazards and their consequences on its operations;

(2)be clear on where these hazards may exceed acceptable safety risk limits;

(3)identify and implement mitigations, including suspension of operations where mitigation cannot reduce the risk to within safety risk limits;

(4)develop and execute effectively robust procedures for the preparation and the safe operation of the flights subject to the hazards identified;

(5)assess the competence and currency of its staff in relation to the duties necessary for the intended operations and implement any necessary training; and

(6)ensure sufficient numbers of qualified and competent staff for such duties. The competent authority should take into account that:

(1)the operator’s recorded mitigations for each unacceptable risk identified are in place;

(2)the operational procedures specified by the operator with the most significance to safety appear to be robust; and

(3)the staff on which the operator depends in respect of those duties necessary for the intended operations are trained and assessed as competent in the relevant procedures. EVALUATION OF OPERATORS’ VOLCANIC ASH SAFETY RISK ASSESSMENT In addition to the general methodology for operational hazards, the competent authority’s evaluation under its normal oversight process should also assess the operator’s competence and capability to:

(a)choose the correct information sources to use to interpret the information related to volcanic ash contamination forecast and to resolve correctly any conflicts among such sources; and

(b)take account of all information from its type certificate holders (TCHs) concerning volcanic ash-related airworthiness aspects of the aircraft it operates, and the related pre-flight, in-flight and post flight precautions to be observed.

GM1 ARO.GEN.300(a);(b);(c) Oversight

GENERAL

(a)Responsibility for the conduct of safe operations lies with the organisation. Under these provisions a positive move is made towards devolving upon the organisation a share of the responsibility for monitoring the safety of operations. The objective cannot be attained unless organisations are prepared to accept the implications of this policy, including that of committing the necessary resources to its implementation. Crucial to the success of the policy is the content of Part-ORO, which requires the establishment of a management system by the organisation.

(b)The competent authority should continue to assess the organisation's compliance with the applicable requirements, including the effectiveness of the management system. If the management system is judged to have failed in its effectiveness, then this in itself is a breach of the requirements which may, among others, call into question the validity of a certificate, if applicable.

(c)The accountable manager is accountable to the competent authority as well as to those who may appoint him/her. It follows that the competent authority cannot accept a situation in which the accountable manager is denied sufficient funds, manpower or influence to rectify deficiencies identified by the management system.

(d)Oversight of the organisation includes a review and assessment of the qualifications of nominated persons.

GM2 ARO.GEN.300(a);(b);(c) Oversight VOLCANIC ASH SAFETY RISK ASSESSMENT — ADDITIONAL GUIDANCE Further guidance on the assessment of an operator’s volcanic ash safety risk assessment is given in ICAO Doc 9974 (Flight safety and volcanic ash — Risk management of flight operations with known or forecast volcanic ash contamination).

GM3 ARO.GEN.300(a);(b);(c) Oversight

CHECKLIST FOR CRM TRAINING OVERSIGHT The following list includes the major elements for the monitoring of the operator’s CRM training:

(a)development of CRM training considering the operator’s management system;

(b)content of the CRM training syllabus;

(c)qualification of CRM trainer;

(d)training facilities:

(1)classroom;

(2)flight simulation training device (FSTD);

(3)aircraft; and

(4)cabin training device;

(e)training methods:

(1)classroom training (instructions, presentations and behavioural exercises);

(2)computer-based training (CBT);

(3)line-oriented flight training (LOFT); and

(4)check or test;

(f)training analysis:

(1)pre-course reading and study;

(2)integration of the different training methods;

(3)competence and performance of the trainer or instructor;

(4)assessment of flight crew members; and

(5)effectiveness of training.

GM4 ARO.GEN.300(a);(b);(c) Oversight OVERSIGHT OF AN OPERATOR CONVERSION COURSE (OCC) FOR MULTI-CREW PILOT LICENCE (MPL) HOLDERS As part of the initial certification or the continuing oversight of an operator, the competent authority should include the assessment of the OCC provided to MPL holders, who undertake their first conversion course on a new type or at an operator other than the one that was involved in their training for the MPL. The assessment of the OCC should evaluate whether the operator, in the process of development of the OCC, took the following aspects into account: the time elapsed after completion of the initial training, between base training and hiring, and the Line Flying Under Supervision (LIFUS); the necessary feedback loop between the Approved Training Organisation (ATO) and the operator involved in the licence training.

OPERATIONAL APPROVALS ISSUED BY NON-EU STATE OF REGISTRY When verifying continued compliance of non-commercial operators using an aircraft registered in a third country holding operational approvals for operations in PBN, MNPS and RVSM airspace issued by a non-EU State of Registry, the competent authority should at least assess if:

(a)the State of registry has established an equivalent level of safety, considering any differences notified to the ICAO Standards for RVSM, RNP, MNPS and MEL; or

(b)there are reservations on the safety oversight capabilities and records of the State of registry; or

(c)operators of the State of registry are subject to an operating ban pursuant Regulation (EC) No 2111/2005; or

(d)relevant findings on the State of registry from audits carried out under international conventions exist; or

(e)relevant findings on the State of registry from other safety assessment programmes of States exist.

ACTIVITIES WITHIN THE TERRITORY OF THE MEMBER STATE

(a)Activities performed in the territory of the Member State by persons or organisations established or residing in another Member State include:

(1)activities of:

(i)organisations certified or authorised by or declaring their activity to the competent authority of any other Member State or the Agency; or

(ii)persons performing operations with other-than-complex motor-powered aircraft; and

(2)activities of persons holding a licence, certificate, rating, or attestation issued by the competent authority of any other Member State.

(b)Audits and inspections of such activities, including ramp and unannounced inspections, should be prioritised towards those areas of greater safety concern, as identified through the analysis of data on safety hazards and their consequences in operations.