GM1 Article 18(h) Tasks of the competent authority

GUIDELINES FOR RISK-BASED OVERSIGHT (RBO) NOTE: The guidelines below are based on the document ‘Practices for risk-based oversight’, which may be found at the address below, and where further information may also be found: https://www.easa.europa.eu/document-library/general-publications/practices-risk-based-oversight That document: highlights the relationship between RBO and the (safety) management system, the management of change, the overall performance of the organisation and the oversight cycle; describes the interconnection, availability and exchange of data, which will significantly change the relationship between the authority and their regulated entities, as well as their ongoing management of safety; does not constitute regulatory material nor means of compliance nor guidance material. It reflects the RBO state of play to date, in an effort to gain a common understanding and to look ahead; and can be used as guidelines for competent authorities who have to implement RBO.

(a)General Definitions:

(1)Oversight: the function by means of which a competent authority ensures that the applicable requirements are met by regulated entities.

(2)Risk profile: the element of risks that are inherent to the nature and operations of the regulated entity, this includes the: — specific nature of the organisation; complexity of its activities; and risks stemming from the activities carried out.

(3)Safety performance: the demonstration of how effectively a regulated entity can mitigate its risks, substantiated through the proven ability to: comply with the applicable requirements; implement and maintain effective safety management; identify and manage safety risks; and achieve and maintain safe operations. The results of past certification or oversight also need to be taken into account.

(4)RBO: a way of performing oversight, in which: planning is driven by the combination of the risk profile and safety performance; and execution focuses on the management of risk, besides ensuring compliance.

(b)The RBO scheme is summed-up by the drawing below: [Figure or form omitted from this preview — available in the Avioverse workspace library.]

(1)the risk profile and oversight are described in paragraph 3 of the ‘Practices for risk-based oversight’;

(2)the management of safety information and information sharing with other authorities are described in paragraph 4 of ‘Practices for risk-based oversight’;

(3)the training and qualification of inspectors are described in paragraph 4.3 of ‘Practices for risk-based oversight’;

(4)conducting risk-based audits is described in paragraph 5 of ‘Practices for risk-based oversight’.