You are responsible for your own compliance with the European Regulation (EU) 139/2014.
You need to establish an internal auditing process (Compliance Monitoring) that mirrors our oversight process as described in ADR.OR.D.005 Management system, paragraph (b)(11) and the supporting AMCs – this will help you prepare.
A number of elements are needed for effective compliance monitoring. They relate to how you set up your organisation structure to manage the process. They should include:
- the nomination of a person responsible for compliance monitoring;
- the compliance monitoring documentation required to support the process including a compliance monitoring programme reflecting the audit schedule, audit procedures, reporting procedures, follow-up and corrective action procedures and a recording system;
- the training required to ensure personnel are able to carry out their compliance monitoring duties;
- what the audit scheduling process should look like, timescales and coordination with the Competent Authority.
From the moment you have transitioned to an EASA certificate you are responsible for your compliance.
6-9 months later
- We will visit you for a transition audit (what you need to do to get ready is in CAP1240)
12 months later
- We will conduct an annual review internally and build a risk picture.
- We will visit you for an accountable manager meeting and tell your key areas of risk based on your last year's performance.
- We will also plan any action with you for the next year.
- We will tell you the areas we are going to cover in your annual audit.
In the next 6-9 months
- you need to audit the subjects that we gave you as this will help you in your annual audit.
- In your annual audit we will come to you and audit the subjects as mentioned above.
The whole process starts again and we conduct an annual review.
You might have other themes on top of your audit in response to events throughout the year.
Six weeks prior to the planned audit, we will issue a questionnaire on the agreed subjects asking questions related to the aerodrome's compliance with the aerodrome regulation. Completion of the questionnaire is taken to be the aerodrome operator demonstrating compliance. We will then verify a selection of the questions by asking for evidence to support their answer.
During the audit we will also be asking relevant questions related to the safety performance of the aerodrome operator. The combination of both elements will ensure we meet our oversight obligations (to verify continuing compliance with the regulations and to assess performance).
This approach and change in responsibilities give both parties clear advantages. The aerodrome operator is better able to show how it is meeting its obligations and allows it to manage its compliance requirements. By so doing it allows us to develop oversight processes that focus more on the safety performance of the aerodrome operator and provides us with the ability to identify possible risks the aerodrome is exposed to. Therefore both parties benefit from the change.
To support your compliance monitoring process, we have included a list below of the compliance question banks that we will use during regular audits.
Before a scheduled CAA audit, we will notify you which question banks will need to be completed and returned to us as part of the audit preparation.
Each of the question banks is given a reference number (e.g. QB16 Operation of Vehicles).
Clicking the subject will open the question bank relevant to that subject.
You are asked to complete the notified question banks, save the completed question banks and forward them to firstname.lastname@example.org.
- QB 01 Management of Change
- QB 02 Use of Alcohol
- QB 03 Compliance Monitoring
- QB 04 Contracted Activities
- QB 05 Coordination With Other Organisations
- QB 06 Personnel Requirements
- QB 07 Prevention Of Fire
- QB 08 Record Keeping
- QB 09 Training And Proficiency
- QB 10 Aerodrome Monitoring And Inspection
- QB 11 Aerodrome Maintenance
- QB 12 Low Visibility Operations
- QB 13 Wildlife Management
- QB 14 Obstacles And Flight Procedures
- QB 15 Occurrence Reporting
- QB 16 Operation Of Vehicles
- QB 17 Rescue And Fire Fighting Services
- QB 18 Safety Directives
- QB 19 Safety Programmes And Committees
- QB 20 Safety Reporting System
- QB 21 Surface Movement Guidance And Control Systems
- QB 22 Winter And Adverse Weather
- QB 23 Apron Management
- QB 24 Aerodrome Manual
- QB 25 Aerodrome Safeguarding
- QB 26 Demonstration Of Compliance
- QB 27 Findings And Corrective Actions
- QB 28 Fuel Quality
- QB 29 Management System
- QB 30 Emergency Planning
- QB31 Aerodrome Data Data Quality Requirements
About the Oversight Planning Cycle (OPC)
The list above is intended to inform the aerodrome operator of the order that subjects will be audited by us during the first 36 month Oversight Planning Cycle (OPC). The list may be subject to minor change in response to safety data.
Following the first OPC; all operators should have completed the internal oversight of the subjects and it is expected that they will continue to maintain their compliance. Therefore, from the beginning of the second OPC we may choose which subjects we wish to include at any subsequent audits.
|Management of changes||1|
|Safety culture - Use of alcohol, psychoactive substances and medicines||2|
|Management system - Compliance monitoring||3|
|Oversight of third parties - Contracted activities||4|
|Oversight of third parties - Co-ordination with other organisations||5|
|Manpower resources - personnel requirements||6|
|Safety culture - Prevention of fire||7|
|Demonstration of compliance - Record keeping||8|
|Training and proficiency check programmes||9|
|Aerodrome monitoring and inspection||10|
|Low visibility operations||12|
|Demonstration of compliance - obstacles and flight procedures||14|
|Safety culture - occurrence reporting||15|
|Operation of vehicles - operation and marking of vehicles||16|
|Rescue and firefighting services||17|
|Safety culture - safety directives||18|
|Safety culture - safety programmes / committees||19|
|Safety culture - safety reporting system||20|
|Surface movement guidance and control systems||21|
|Winter conditions and adverse weather||22|
|Aerodrome manual - apron management||23|
|Safety culture - aerodrome manual||24|
|Aerodrome safeguarding - safeguarding of aerodromes||25|
|Demonstration of compliance||26|
|Safety culture - findings and corrective actions||27|
|Fuel management - fuel quality||28|
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