Page 46 - UK Air Operations Regulations (Consolidated) 201121

Part ARO - ANNEX II - Authority Requirements for Air Operations

ACTIVITIES PERFORMED IN THE TERRITORY OF A MEMBER STATE BY PERSONS OR
ORGANISATIONS ESTABLISHED OR RESIDING IN ANOTHER MEMBER STATE
(a) Records related to the oversight of activities performed in the territory of a Member State
by persons or organisations established or residing in another Member State should
include, as a minimum:
(1) oversight records, including all audit and inspection records and related
correspondence;
(2) copies of all relevant correspondence to exchange information with other
competent authorities relating to the oversight of such persons/organisations;
(3) details of any enforcement measures and penalties; and
(4) any report from other competent authorities relating to the oversight of these
persons/organisations, including any notification of evidence showing non-
compliance with the applicable requirements.
(b) Records should be kept by the competent authority having performed the audit or
inspection and should be made available to other competent authorities at least in the
following cases:
(1) serious incidents or accidents;
(2) findings through the oversight programme where organisations certified or
authorised by another competent authority are involved, to determine the root
cause;
(3) an organisation being certified, authorised or having approvals in several Member
States.
(c) When records are requested by another competent authority, the reason for the request
should be clearly stated.
(d) The records can be made available by sending a copy or by allowing access to them for
consultation.
ARO.GEN.300 Oversight
(a) The CAA shall verify:
(1) compliance with the requirements applicable to organisations or type of operations
prior to the issue of a certificate, approval or authorisation, as applicable;
(2) continued compliance with the applicable requirements of organisations it has
certified, specialised operations it has authorised and organisations from which it
received a declaration;
(3) continued compliance with the applicable requirements of non-commercial
operators of other-than complex motor-powered aircraft; and
(4) implementation of appropriate safety measures mandated by the CAA as defined in
ARO.GEN.135(c) and (d).
(b) This verification shall:
(1) be supported by documentation specifically intended to provide personnel
responsible for safety oversight with guidance to perform their functions;
(2) provide the persons and organisations concerned with the results of safety
oversight activity;
(3) be based on audits and inspections, including ramp and unannounced inspections;
and
(4) provide the CAA with the evidence needed in case further action is required,
including the measures foreseen by ARO.GEN.350 and ARO.GEN.355.
(c) The scope of oversight defined in (a) and (b) shall take into account the results of past
oversight activities and the safety priorities.
(f) The CAA shall collect and process any information deemed useful for oversight, including
for ramp and unannounced inspections.
ARO.GEN.300(a)(2) AMC1 Oversight
OPERATIONAL APPROVALS ISSUED BY NON-EU STATE OF REGISTRY
When verifying continued compliance of non-commercial operators using an aircraft registered in a
third country holding operational approvals for operations in PBN, MNPS and RVSM airspace issued
by a non- UK State of Registry, the CAA should at least assess if:
(a) the State of registry has established an equivalent level of safety, considering any
differences notified to the ICAO Standards for RVSM, RNP, MNPS and MEL; or
(b) there are reservations on the safety oversight capabilities and records of the State of
registry; or
(c) operators of the State of registry are subject to an operating ban pursuant Regulation
(EC) No 2111/2005; or
(d) relevant findings on the State of registry from audits carried out under international
conventions exist; or
(e) relevant findings on the State of registry from other safety assessment programmes of
States exist.
ARO.GEN.300(a);(b);(c) AMC1 Oversight
GENERAL
The CAA should assess the organisation and monitor its continued competence to conduct safe
operations in compliance with the applicable requirements. The CAA should ensure that
accountability for assessing organisations is clearly defined. This accountability may be delegated or
shared, in whole or in part. Where more than one aviation authority is involved, a responsible person
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