Commission Regulation (EU) No 965/2012 of 5 October 2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (c. 965)

ANNEX IIU.K.AUTHORITY REQUIREMENTS FOR AIR OPERATIONS[PART-ARO]

SUBPART GENGENERAL REQUIREMENTSU.K.

SECTION IIU.K.Management

ARO.GEN.200Management systemU.K.

(a)The [F1CAA] shall establish and maintain a management system, including as a minimum:U.K.

(1)

documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules. The procedures shall be kept up to date and serve as the basic working documents within [F2the CAA] for all related tasks;

(2)

a sufficient number of personnel to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all tasks;

(3)

adequate facilities and office accommodation to perform the allocated tasks;

(4)

a function to monitor compliance of the management system with the relevant requirements and adequacy of the procedures including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the [F3CAA] to ensure implementation of corrective actions as necessary; and

(5)

a person or group of persons, ultimately responsible to the senior management of the [F3CAA] for the compliance monitoring function.

Textual Amendments

F2Words in Annex 2 point ARO.GEN.200(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(6)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F3Word in Annex 2 point ARO.GEN.200(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(6)(a)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F1Word in Annex 2 point ARO.GEN.200(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(6)(a)(i) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b)The [F4CAA] shall, for each field of activity, including management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).U.K.
Textual Amendments
F4Word in Annex 2 point ARO.GEN.200(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(6)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F5(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F5Annex 2 point ARO.GEN.200(c)(d) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(6)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F5(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

ARO.GEN.205Allocation of tasks to qualified entitiesU.K.

(a)Tasks related to the initial certification [F6, specialised operation authorisation] or continuing oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules shall be allocated by [F7the CAA] only to qualified entities. When allocating tasks, the [F8CAA] shall ensure that it has:U.K.

(1)

put a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008.

This system and the results of the assessments shall be documented.

(2)

established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:

(i)

the tasks to be performed;

(ii)

the declarations, reports and records to be provided;

(iii)

the technical conditions to be met in performing such tasks;

(iv)

the related liability coverage; and

(v)

the protection given to information acquired in carrying out such tasks.

Textual Amendments

F6Inserted by Commission Regulation (EU) No 379/2014 of 7 April 2014 amending Commission Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council.

F7Words in Annex 2 point ARO.GEN.205(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(7)(a)(i) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F8Word in Annex 2 point ARO.GEN.205(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(7)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b)The [F9CAA] shall ensure that the internal audit process and safety risk management process required by ARO.GEN.200(a)(4) covers all certification [F6, authorisation] or continuing oversight tasks performed on its behalf.U.K.
Textual Amendments
F9Word in Annex 2 point ARO.GEN.205(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(7)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

ARO.GEN.210Changes in the management systemU.K.

(a)The [F10CAA] shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. This system shall enable it to take action as appropriate to ensure that its management system remains adequate and effective.U.K.
Textual Amendments
F10Word in Annex 2 point ARO.GEN.210(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(8)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b)The [F11CAA] shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner, so as to ensure effective implementation.U.K.
Textual Amendments
F11Word in Annex 2 point ARO.GEN.210(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(8)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F12(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F12Annex 2 point ARO.GEN.210(c) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(8)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

ARO.GEN.220Record-keepingU.K.

(a)The [F13CAA] shall establish a system of record-keeping providing for adequate storage, accessibility and reliable traceability of:U.K.

(1)

the management system’s documented policies and procedures;

(2)

training, qualification and authorisation of its personnel;

(3)

the allocation of tasks, covering the elements required by ARO.GEN.205 as well as the details of tasks allocated;

(4)

certification processes and continuing oversight of certified organisations;

(4a)

[F6the process of authorisation of a high risk commercial specialised operation and continuing oversight of an authorisation holder;]

(5)

[F14declaration processes and continuing oversight of declared organisations;]

(6)

details of training courses provided by certified organisations, and if applicable, records relating to FSTDs used for such training;

(7)

F15. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)

[F16oversight of operations of other-than complex motor-powered aircraft by non-commercial operators;]

(9)

the evaluation F17... of alternative means of compliance proposed by organisations subject to certification [F6, or authorisation] and the assessment of alternative means of compliance used by the [F18CAA] itself;

(10)

findings, corrective actions and date of action closure;

(11)

enforcement measures taken;

(12)

safety information and follow-up measures; and

(13)

the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

Textual Amendments

F14Inserted by Commission Regulation (EU) No 800/2013 of 14 August 2013 amending Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (Text with EEA relevance).

F15Annex 2 point ARO.GEN.220(a)(7) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(9)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F16Substituted by Commission Regulation (EU) 2015/140 of 29 January 2015 amending Regulation (EU) No 965/2012 as regards sterile flight crew compartment and correcting that Regulation.