CAMO.B.300 Oversight principles

MANAGEMENT SYSTEM ASSESSMENT As part of the initial certification of an organisation, the competent authority should assess the organisation’s management system and processes to make sure that all the required enablers of a functioning management system are present and suitable. As part of its continuing oversight activities, the competent authority should verify that the required enablers remain present and operational, and assess the effectiveness of the organisation’s management system and processes. When significant changes take place in the organisation, the competent authority should determine whether there is a need to review the existing assessment to ensure that it is still appropriate.

GM1 CAMO.B.300(a);(b);(c) Oversight principles

MANAGEMENT SYSTEM MATURITY LEVELS Regarding the evaluation of the maturity of the management systems, the following definitions apply: ‘present’: there is evidence that the process/feature is documented in the organisation’s management system/safety management system (SMS) documentation; ‘suitable’: the process/feature is suitable based on the size, nature, and complexity of the organisation, and the inherent risk in the activity; ‘operating’: there is evidence that the process/feature is in use and an output is being produced; ‘effective’: there is evidence that the process/feature is achieving the desired outcome and has a positive safety impact.

INFORMATION DEEMED USEFUL FOR OVERSIGHT This information should include, as a minimum:

(a)any occurrence reports received by the competent authority;

(b)the results of the following types of inspections and surveys if they indicate an issue that originates from a Part-CAMO organisation:

(i)ramp inspections performed in accordance with Subpart RAMP of Annex II (Part-ARO) of Commission Regulation (EU) No 965/2012 ‘Air Operations’;

(ii)product surveys of aircraft pursuant to points M.B.303 or ML.B.303;

(iii)results of aircraft sample surveys conducted pursuant to point CAMO.B.305(b)(1); and

(iv)investigations performed by the competent authority in line with point M.B.902.

COOPERATION BETWEEN COMPETENT AUTHORITIES When a contract is concluded between a CAMO and an operator in accordance with point M.A.201(ea), which may occur during an initial CAMO application or an application for a change (requiring prior approval), the competent authorities of the CAMO and of the operator need to cooperate. This cooperation between the different competent authorities may be established through a cooperative oversight agreement. That agreement will focus on the information that is relevant for performing the competent authority’s tasks, and be proportional to the nature and complexity of the organisations’ activities. It will cover at least the following aspects:

(a)General information

(1)Scope of the cooperation and identification of the operator (or operators if the competent authorities agree to include in a single agreement several operators that use the same CAMO) and the CAMO.

(2)Nomination of focal points in each competent authority; changing the focal points does not imply a full revision of the cooperation agreement.

(3)Meetings held between the competent authorities to ensure that all remain informed of significant issues.

(4)Provisions for the resolution of conflicts or disagreements.

(b)Oversight

(1)Sharing of the oversight programme that is implemented by each competent authority (e.g. audit plan and audit programme especially regarding the oversight of the management system), including the competent authorities’ assessment of the complexity of the organisations’ activities.

(2)Sharing of the management system assessment approach that is used by each competent authority (refer also to GM2 CAMO.B.300(g)).

(3)Sharing of the results of the management system assessments.

(4)Performance of oversight tasks on the CAMO by the competent authorities responsible for the operator, on behalf of the competent authority of the CAMO, if such arrangement exists.

(5)Participation of inspectors from one competent authority as observers during the performance of oversight tasks by another competent authority, or joint audits/assessments by different competent authorities.

(6)Specific support, if needed, to assist in the inclusion of an aircraft into the AOC, when transferred from one AOC holder to another within the group.

(7)Sharing of information on how the CAMO and operator manage their tasks, to adapt oversight accordingly, such as, but not limited to, the following:

(i)the selection of aircraft subject to product audits as part of the oversight of the CAMO may consider information that comes from the competent authorities of the operator(s), which is provided to the competent authority of the CAMO;

(ii)information on the use and completion of the aircraft technical log system or on the use of the minimum equipment list (MEL) by the operator, which is reported by the competent authority of the CAMO to the competent authority of the relevant operator, may be considered in the operator’s oversight programme;

(iii)sharing of information on the interfaces between the operator(s) and the CAMO regarding the assessment of non-mandatory modifications and/or inspections and the decision on their application as per point CAMO.A.315(b)(4); and

(iv)sharing of information on the system in place between the operator(s) and the CAMO to ensure that pre-flight inspections are properly accomplished.

(c)Additional cooperation provisions

(1)Sharing of information between competent authorities, as well as methods and timing for that sharing, e.g. the result of the assessment of the management system is shared every time the assessment is conducted by one of the competent authorities.

(2)A cooperation mechanism to ensure prompt reaction if one of the competent authorities shares serious concerns about the organisation with another competent authority.

(3)Information to be provided to the competent authority of the operator before integrating an aircraft to the AOC.

(4)Sharing of information between competent authorities before granting any specific approval (e.g. Part-SPA, AMC 20-6, etc.).

(5)Sharing of the relevant operator’s and CAMO’s occurrence reports as well as of the procedures in place between relevant competent authorities to ensure coordinated follow-up and resolution, where applicable.

(6)Sharing of changes in the exposition and manuals when those changes impact harmonised procedures.

ASSESSMENT OF HARMONISED MANAGEMENT SYSTEMS

(a)One of the core capabilities that are required for supporting the effective implementation of safety management is the ability to monitor the effectiveness of an organisation’s management system. Competent authorities assess that effectiveness as part of their oversight activities. Cooperation between several competent authorities on that assessment is necessary, especially when different organisations have harmonised management systems as required by point M.A.201(ea).

(b)To ensure cooperative oversight and sound decision-making regarding oversight across a single air carrier business grouping, the competent authorities involved are expected to provide for the following:

(1)Use a common approach to the assessment of the management system, including the continuous improvement of the management systems across the operator(s) and the CAMO involved. Different competent authorities may not necessarily use the same tool to assess the maturity of the harmonised management systems. However, they will coordinate on this matter and share with one another to which extent their assessment approach follows the principles that are set out in GM1 CAMO.B.300(a);(b);(c). This way, all competent authorities involved will have an overall understanding of how each competent authority evaluates compliance and effectiveness of the management system(s).

(2)When a finding is raised on a harmonised procedure or, if used, on a group standard, the other competent authority(ies) is/are informed, and the related root cause analysis and corrective action plan that are developed by the operator(s) and CAMO concerned are shared with all competent authorities involved. In addition, the informed competent authority(ies) will assess if such a finding is relevant for the organisation under its/their oversight and, depending on the conclusion of such an assessment, will take appropriate action (e.g. take no action, communicate with the organisation or with the competent authority that raised the finding, or raise a finding itself/themselves).

(c)Regarding the duration of the oversight planning cycle of the organisations whose management systems are harmonised:

(1)even if the management systems of organisations are harmonised with each other, the maturity levels of those management systems may differ; as the oversight planning cycle is mainly driven by the management system’s maturity and the organisation’s compliance records, some organisations may have an oversight planning cycle of 24 months (or less) and others a 36- or 48-month cycle;

(2)the competent authorities involved will inform each other when the duration of the oversight planning cycle of the organisation(s) under their oversight is to be increased or reduced.