ARO.GEN.305 Oversight programme

AMC1 ARO.GEN.305(b);(d);(d1) Oversight programme SPECIFIC NATURE AND COMPLEXITY OF THE ORGANISATION, RESULTS OF PAST OVERSIGHT

(a)When determining the oversight programme for an organisation, the competent authority should consider in particular the following elements, as applicable:

(1)the implementation by the organisation of industry standards, directly relevant to the organisation’s activity subject to this Regulation;

(2)the procedure applied for and scope of changes not requiring prior approval;

(3)specific approvals held by the organisation;

(4)specific procedures implemented by the organisation related to any alternative means of compliance used; and

(5)number of subcontractors.

(b)For the purpose of assessing the complexity of an organisation’s management system, AMC1 ORO.GEN.200(b) should be used.

(c)Regarding results of past oversight, the competent authority should also take into account relevant results of ramp inspections of organisations it has certified or authorised, persons and other organisation having declared their activity or persons performing operations with other-than-complex motor-powered aircraft that were performed in other Member States in accordance with ARO.RAMP.

PROCEDURES FOR OVERSIGHT OF OPERATIONS

(a)Each organisation to which a certificate has been issued should have an inspector specifically assigned to it. Several inspectors should be required for the larger companies with widespread or varied types of operation. This does not prevent a single inspector being assigned to several companies. Where more than one inspector is assigned to an organisation, one of them should be nominated as having overall responsibility for supervision of, and liaison with, the organisation’s management, and be responsible for reporting on compliance with the requirements for its operations as a whole.

(b)Audits and inspections, on a scale and frequency appropriate to the operation, should cover at least:

(1)infrastructure,

(2)manuals,

(3)training,

(4)crew records,

(5)equipment,

(6)release of flight/dispatch,

(7)dangerous goods,

(8)organisation’s management system.

(c)The following types of inspections should be included, as part of the oversight programme:

(1)flight inspection,

(2)ground inspection (e.g. documents and records),

(3)training inspection (e.g. ground, aircraft/FSTD),

(4)ramp inspection. The inspection should be a ‘deep cut’ through the items selected, and all findings should be recorded. Inspectors should review the root cause(s) identified by the organisation for each confirmed finding. The competent authority should be satisfied that the root cause(s) identified and the corrective actions taken are adequate to correct the non-compliance and to prevent re-occurrence.

(d)Audits and inspections may be conducted separately or in combination. Audits and inspections may, at the discretion of the competent authority, be conducted with or without prior notice to the organisation.

(e)Where it is apparent to an inspector that an organisation has permitted a breach of the applicable requirements, with the result that air safety has, or might have, been compromised, the inspector should ensure that the responsible person within the competent authority is informed without delay.

(f)In the first few months of a new operation, inspectors should carry out oversight activities with a particular focus on the operator’s procedures, facilities, equipment, operational control and management system. They should also carefully examine any conditions that may indicate a significant deterioration in the organisation's financial management. When any financial difficulties are identified, inspectors should increase technical surveillance of the operation with particular emphasis on the upholding of safety standards.

(g)The number or the magnitude of the non-compliances identified by the competent authority will serve to support the competent authority's continuing confidence in the organisation's competence or, alternatively, may lead to an erosion of that confidence. In the latter case, the competent authority should review any identifiable shortcomings of the management system.

FINANCIAL MANAGEMENT Examples of trends that may indicate problems in a new organisation's financial management are:

(a)significant lay-offs or turnover of personnel;

(b)delays in meeting payroll;

(c)reduction of safe operating standards;

(d)decreasing standards of training;

(e)withdrawal of credit by suppliers;

(f)inadequate maintenance of aircraft;

(g)shortage of supplies and spare parts;

(h)curtailment or reduced frequency of revenue flights; and

(i)sale or repossession of aircraft or other major equipment items.

STORAGE PERIODS OF RECORDS If the organisation’s oversight cycle has been extended, the minimum storage periods for records should be aligned with the extended oversight cycle to ensure that the competent authority has access to all relevant records.

AUDIT

(a)The oversight programme should indicate which aspects of the approval will be covered with each audit.

(b)Part of an audit should concentrate on the organisation’s compliance monitoring reports produced by the compliance monitoring personnel to determine if the organisation is identifying and correcting its problems.

(c)At the conclusion of the audit, an audit report should be completed by the auditing inspector, including all findings raised.

RAMP INSPECTIONS

(a)When conducting a ramp inspection of aircraft used by organisations under its regulatory oversight, the competent authority should, as far as possible, comply with the requirements defined in ARO.RAMP.

(b)When conducting ramp inspections on other-than-suspected aircraft, the competent authority should take into account the following elements:

(1)repeated inspections should be avoided of those organisations for which previous inspections have not revealed safety deficiencies;

(2)the oversight programme should enable the widest possible sampling rate of aircraft flying into their territory; and

(3)there should be no discrimination on the basis of the organisation’s nationality, the type of operation or type of aircraft, unless such criteria can be linked to an increased risk.

(c)For aircraft other than those used by organisations under its regulatory oversight, when conducting a risk assessment, the competent authority should consider aircraft that have not been ramp inspected for more than 6 months.

AMC1 ARO.GEN.305(b);(c);(d);(d1) Oversight programme

INDUSTRY STANDARDS

(a)For organisations having demonstrated compliance with industry standards, the competent authority may adapt its oversight programme, in order to avoid duplication of specific audit items.

(b)Demonstrated compliance with industry standards should not be considered in isolation from the other elements to be considered for the competent authority’s risk-based oversight.

(c)In order to be able to credit any audits performed as part of certification in accordance with industry standards, the following should be considered:

(1)the demonstration of compliance is based on certification auditing schemes providing for independent and systematic verification;

(2)the existence of an accreditation scheme and accreditation body for certification in accordance with the industry standards has been verified;

(3)certification audits are relevant to the requirements defined in Annex III (Part-ORO) and other Annexes to this Regulation as applicable;

(4)the scope of such certification audits can easily be mapped against the scope of oversight in accordance with Annex III (Part-ORO);

(5)audit results are accessible to the competent authority and open to exchange of information in accordance with Article 15(1) of Regulation (EC) No 216/2008; and

(6)the audit planning intervals of certification audits i.a.w. industry standards are compatible with the oversight planning cycle.

OVERSIGHT PLANNING CYCLE

(a)When determining the oversight planning cycle and defining the oversight programme, the competent authority should assess the risks related to the activity of each organisation and adapt the oversight to the level of risk identified and to the organisation’s ability to effectively manage safety risks.

(b)The competent authority should establish a schedule of audits and inspections appropriate to each organisation's business. The planning of audits and inspections should take into account the results of the hazard identification and risk assessment conducted and maintained by the organisation as part of the organisation’s management system. Inspectors should work in accordance with the schedule provided to them.

(c)When the competent authority, having regard to an organisation's safety performance, varies the frequency of an audit or inspection, it should ensure that all aspects of the operation are audited and inspected within the applicable oversight planning cycle.

(d)The section(s) of the oversight programme dealing with ramp inspections should be developed based on geographical locations, taking into account aerodrome activity, and focusing on key issues that can be inspected in the time available without unnecessarily delaying the operations.

OVERSIGHT PLANNING CYCLE

(a)For each organisation certified by the competent authority all processes should be completely audited at periods not exceeding the applicable oversight planning cycle. The beginning of the first oversight planning cycle is normally determined by the date of issue of the first certificate. If the competent authority wishes to align the oversight planning cycle with the calendar year, it should shorten the first oversight planning cycle accordingly.

(b)The interval between two audits for a particular process should not exceed the interval of the applicable oversight planning cycle.

(c)Audits should include at least one on-site audit within each oversight planning cycle. For organisations exercising their regular activity at more than one site, the determination of the sites to be audited should consider the results of past oversight, the volume of activity at each site, as well as main risk areas identified.

(d)For organisations holding more than one certificate, the competent authority may define an integrated oversight schedule to include all applicable audit items. In order to avoid duplication of audits, credit may be granted for specific audit items already completed during the current oversight planning cycle, subject to four conditions:

(1)the specific audit item should be the same for all certificates under consideration;

(2)there should be satisfactory evidence on record that such specific audit items were carried out and that all corrective actions have been implemented to the satisfaction of the competent authority;

(3)the competent authority should be satisfied that there is no evidence that standards have deteriorated in respect of those specific audit items being granted a credit;

(4)the interval between two audits for the specific item being granted a credit should not exceed the applicable oversight planning cycle.

OVERSIGHT DECLARED ORGANISATIONS

(a)When determining the oversight programme of organisations having declared their activity, the competent authority should make a selection of operators to be inspected/audited based on the elements specified in ARO.GEN.305(d).

(b)For each selected operator an inspection is a sample inspection of the pre-defined inspection criteria on the basis of key risk elements and the applicable requirements.

(c)The results of past oversight activities should include information from approval activities, e.g. SPA or from other survey programmes such as ACAM.

(d)The oversight programme should also include a certain percentage of unannounced inspections.

(e)The oversight programme should be developed on a yearly basis. All operators should be considered for inclusion into the programme not later than 12 months after the date of the first declaration received. At least one inspection should be performed within each 48-month cycle starting with the date of the first declaration received.

(f)Additional audit/inspections to specific operators may be included in the oversight programme on the basis of the assessment of associated risks carried out within the occurrences reporting scheme(s).

OVERSIGHT OF AUTHORISATION HOLDERS

(a)When determining the oversight programme of high risk commercial specialised operators holding an authorisation specialised operations authorisation holders, the competent authority should assess the risks related to the type of activity carried out by each organisation and adapt the oversight to the level of risk identified and to the organisation’s ability to effectively manage safety risks.

(b)An oversight cycle not exceeding 24 months should be applied. The oversight planning cycle may be extended to a maximum of 48 months if the competent authority has established that during the previous 24 months the organisation has been able to effectively manage safety risks.

(c)The competent authority should establish a schedule of audits and/or inspections, including unannounced inspections, appropriate to each organisation's business. The planning of audits and inspections should take into account the results of the hazard identification and risk assessment conducted and maintained by the organisation as part of the organisation’s management system. Inspectors should work in accordance with the schedule provided to them.

(d)If the specialised operations authorisation is time limited, the competent authority should adapt the schedule of audits and inspections to the duration of the specialised operation authorisation. Audits or inspections may not be necessary if an authorisation is issued for a single flight or event.

(e)When scheduling audits and inspections, the competent authority should also take into account the activity conducted by authorised organisations in other Member States. In this case the competent authority should coordinate the audit and inspection schedule with the authority of the Member State in which territory the activity is taking place.

(f)Additional audits or inspections to specific operators may be included in the oversight programme on the basis of the assessment of associated risks carried out within the occurrences reporting scheme(s).

OVERSIGHT OF AUTHORISATION HOLDERS Past and current authorisation process refers to relevant results of past and current authorisation and oversight activities.

PERSONS HOLDING A LICENCE, CERTIFICATE, RATING OR ATTESTATION The oversight of persons holding a licence, certificate, rating or attestation should normally be ensured as part of the oversight of organisations. Additionally, the competent authority should verify compliance with applicable requirements when endorsing or renewing ratings. To properly discharge its oversight responsibilities, the competent authority should perform a certain number of unannounced verifications.