The CAA is responsible for
oversight of UK civil aviation activities. This includes the certification, surveillance
and investigation of UK based organisations and licensed individuals.
The competency of CAA staff
involved in oversight activities is established and maintained through initial
and continuation training and supported by regular competence assessments.
As an EU member, the UK’s safety management
system (SMS) requirements are defined in EU regulations. The CAA has set up SMS evaluation tools for
the assessment of SMS, which can be found at www.caa.co.uk/sms.
The oversight of SMS is carried
out using a phased approach. For an
initial assessment of an SMS for a new organisation a phase 1 SMS assessment is
conducted to ensure that all the required elements of an SMS are present and
suitable for the organisation. Once the
organisation has been issued with its approval certificate a phase 2 SMS
assessment is carried out within a year of operation to ensure that the SMS is
operating and effective. SMS assessments
will then be carried out at least every two years as part of the continued
oversight of the organisation.
The SMS evaluation includes an
assessment of the way organisations develop safety objectives and safety
performance indicators. It also assesses
the overall safety performance of the organisation and its management of risk
to ensure it is effective.
uses a performance based oversight process to deliver oversight in a
proportionate manner. This process
brings together CAA staff from across the CAA in order to gather collective intelligence
supported by relevant safety data analysis. Through internal review meetings the CAA is able to capture and agree
its view of safety risks in these organisations (called entities). This enables decisions to be made to vary
planned oversight according to compliance, performance and risk.
output of the Performance Based Oversight process, and supporting evidence, is
then discussed with the Accountable Manager of the entity to agree the
organisation’s safety outcomes and action plan.
is supported by an entity performance tool that records the gathered
intelligence, risk information and actions taken.
The CAA has a management system
that details its policies, processes and procedures for its oversight
activities. It uses commercially available
quality management software as a means for planning and tracking of audits and
Oversight of the Crown
Dependencies and Overseas Territories aviation industries is covered in their
state safety programmes, links to these can be found in the SSP stakeholders section.
The MAA oversees the defence aviation community
through its Oversight and Approvals Division. Oversight is a combination of formal audit, informal stakeholder
engagement and desk level surveillance; supported by the MAA’s Analysis
Division’s assessment of Air Safety information.
MAA staff competence is assured
by defining the required skills in terms of reference for each post and
ensuring the necessary training is provided to achieve these skills.
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