ARA.GEN.305 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.

(b)For the purpose of assessing the complexity of an organisation’s management system, AMC1 ORA.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 that were performed in other Member States in accordance with ARO.RAMP.

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

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 VII (Part-ORA) 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 Part-ORA;

(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. 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 organisation’s activity 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 and each FSTD qualification certificate holder 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 reason to believe 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.

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.

(a)When determining the oversight programme for organisations that have declared their activities, the competent authority should make a selection of the DTOs to be inspected based on the elements specified in point ARA.GEN.305(f).

(b)For each selected DTO, an inspection is a sample inspection of the predefined inspection criteria on the basis of key risk elements and the applicable requirements.

(c)The results of past oversight activities should include information from the DTO’s annual internal review and the DTO’s annual activity reports as well as information from the verification of the DTO’s training programme for Part-FCL compliance and occurrence reports linked to the activity of the DTO, if applicable.

(d)The oversight programme should follow a risk-based approach and should be developed on a yearly basis. At least one inspection should be performed for each DTO not later than 72 months starting from the date on which the declaration was received or, subsequently, the last inspection, as applicable.

(e)Additional inspections or unannounced inspections to specific DTOs may be included in the oversight programme on the basis of the elements specified in point ARA.GEN.305(f).

An inspection of a DTO should at least focus on:

(a)the existence of a safety policy statement and its adequacy regarding the DTO activities;

(b)the existence of appropriate measures aiming to achieve the objectives of the safety policy including risk mitigation measures, results of annual reviews and respective corrective actions, if applicable;

(c)flight training in accordance with the DTO training programme, its conduct and standards as well as training records;

(d)training aircraft in use, including their registration, associated documents and maintenance records;

(e)use of FSTDs;

(f)operating sites and associated facilities as appropriate; and

(g)information on flight instructors and on the validity of their licences, certificates, ratings and logbooks.