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

SUBPART GENGENERAL REQUIREMENTSU.K.

SECTION IIIU.K.Oversight, certification and enforcement

ARO.GEN.300OversightU.K.
[F1(a) The [F2CAA] shall verify: U.K.
(1)

[F3compliance with the requirements applicable to organisations or type of operations prior to the issue of a certificate, approval or authorisation, as applicable;

(2)

[F4continued compliance with the applicable requirements of organisations it has certified, specialised operations it has authorised and organisations from which it received a declaration;]]

(3)

[F5continued 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 [F2CAA] as defined in ARO.GEN.135(c) and (d).]

Textual Amendments

Textual Amendments

(b)This verification shall:U.K.
(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 [F6CAA] with the evidence needed in case further action is required, including the measures foreseen by ARO.GEN.350 and ARO.GEN.355.

Textual Amendments

(c)The scope of oversight defined in (a) and (b) shall take into account the results of past oversight activities and the safety priorities.U.K.
F7(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F7(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.
(f)The [F8CAA] shall collect and process any information deemed useful for oversight, including for ramp and unannounced inspections.U.K.

Textual Amendments

ARO.GEN.305Oversight programmeU.K.
(a)The [F9CAA] shall establish and maintain an oversight programme covering the oversight activities required by ARO.GEN.300 and by ARO.RAMP.U.K.

Textual Amendments

(b)For organisations certified by the [F9CAA], the oversight programme shall be developed taking into account the specific nature of the organisation, the complexity of its activities, the results of past certification and/or oversight activities required by ARO.GEN and ARO.RAMP and shall be based on the assessment of associated risks. It shall include within each oversight planning cycle:U.K.
(1)

audits and inspections, including ramp and unannounced inspections as appropriate; and

(2)

meetings convened between the accountable manager and the [F9CAA] to ensure both remain informed of significant issues.

(c)For organisations certified by the [F9CAA] an oversight planning cycle not exceeding 24 months shall be applied.U.K.

The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased.

The oversight planning cycle may be extended to a maximum of 36 months if the [F9CAA] has established that, during the previous 24 months:

(1)

the organisation has demonstrated an effective identification of aviation safety hazards and management of associated risks;

(2)

the organisation has continuously demonstrated under ORO.GEN.130 that it has full control over all changes;

(3)

no level 1 findings have been issued; and

(4)

all corrective actions have been implemented within the time period accepted or extended by the [F9CAA] as defined in ARO.GEN.350(d)(2).

The oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the above, the organisation has established, and the [F9CAA] has approved, an effective continuous reporting system to the [F9CAA] on the safety performance and regulatory compliance of the organisation itself.

[F3(d) For organisations declaring their activity to the [F9CAA], the oversight programme shall be based on the specific nature of the organisation, the complexity of its activities and the data of past oversight activities and the assessment of risks associated with the type of activity carried out. It shall include audits and inspections, including ramp and unannounced inspections, as appropriate.] U.K.
[F10(d1) For organisations holding a specialised operations authorisation, the oversight programme shall be established in accordance with (d) and shall also take into account the past and current authorisation process and the validity period of the authorisation.] U.K.

Textual Amendments

[F1(e)] For persons holding a licence, certificate, rating, or attestation issued by the [F9CAA] the oversight programme shall include inspections, including unannounced inspections, as appropriate.U.K.
[F1(f)] The oversight programme shall include records of the dates when audits, inspections and meetings are due and when such audits, inspections and meetings have been carried out.U.K.
ARO.GEN.310Initial certification procedure — organisationsU.K.
(a)Upon receiving an application for the initial issue of a certificate for an organisation, the [F11CAA] shall verify the organisation’s compliance with the applicable requirements. This verification may take into account the statement referred to in ORO.AOC.100(b).U.K.

Textual Amendments

(b)When satisfied that the organisation is in compliance with the applicable requirements, the [F11CAA] shall issue the certificate(s), as established in Appendices I and II. The certificate(s) shall be issued for an unlimited duration. The privileges and scope of the activities that the organisation is approved to conduct shall be specified in the terms of approval attached to the certificate(s).U.K.
(c)To enable an organisation to implement changes without prior [F11CAA] approval in accordance with ORO.GEN.130, the [F11CAA] shall approve the procedure submitted by the organisation defining the scope of such changes and describing how such changes will be managed and notified.U.K.
ARO.GEN.330Changes — organisationsU.K.
(a)Upon receiving an application for a change that requires prior approval, the [F12CAA] shall verify the organisation’s compliance with the applicable requirements before issuing the approval.U.K.

The [F12CAA] shall prescribe the conditions under which the organisation may operate during the change, unless the [F12CAA] determines that the organisation’s certificate needs to be suspended.

When satisfied that the organisation is in compliance with the applicable requirements, the [F12CAA] shall approve the change.

Textual Amendments

(b)Without prejudice to any additional enforcement measures, when the organisation implements changes requiring prior approval without having received [F12CAA] approval as defined in (a), the [F12CAA] shall suspend, limit or revoke the organisation’s certificate.U.K.
(c)For changes not requiring prior approval, the [F12CAA] shall assess the information provided in the notification sent by the organisation in accordance with ORO.GEN.130 to verify compliance with the applicable requirements. In case of any non-compliance, the [F12CAA] shall:U.K.
(1)

notify the organisation about the non-compliance and request further changes;

(2)

in case of level 1 or level 2 findings, act in accordance with ARO.GEN.350.

[F13ARO.GEN.345 Declaration — organisations U.K.
[F14(a) Upon receiving a declaration from an organisation carrying out or intending to carry out activities for which a declaration is required, the [F15CAA] shall verify that the declaration contains all the information required: U.K.
(1)

pursuant to ORO.DEC.100 of Annex III (Part-ORO) to this Regulation;

(2)

for balloon operators pursuant to BOP.ADD.100 of Annex II (Part-BOP) to Regulation (EU) 2018/395; or

(3)

for sailplane operators pursuant to SAO.DEC.100 of Annex II (Part-SAO) to Implementing Regulation (EU) 2018/1976.

After having verified the required information, the [F15CAA] shall acknowledge receipt of the declaration to the organisation.]

Textual Amendments

(b) If the declaration does not contain the required information, or contains information that indicates non-compliance with applicable requirements, the [F15CAA] shall notify the organisation about the non-compliance and request further information. If deemed necessary the [F15CAA] shall carry out an inspection of the organisation. If the non-compliance is confirmed, the [F15CAA] shall take action as defined in ARO.GEN.350.] U.K.

Textual Amendments

ARO.GEN.350Findings and corrective actions — organisationsU.K.
(a)The [F16CAA] shall have a system to analyse findings for their safety significance.U.K.

Textual Amendments

[F3(b) A level 1 finding shall be issued by the [F17CAA] when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which lowers safety or seriously hazards flight safety.] U.K.

The level 1 findings shall include:

(1)

[F18failure to give the [F17CAA] access to the facilities of the organisation in accordance with point ORO.GEN.140 of Annex III (Part-ORO) to this Regulation, or for balloons operators in accordance with points BOP.ADD.015 and BOP.ADD.035 of Annex II (Part-BOP) to Regulation (EU) 2018/395, during normal operating hours and after two written requests;]

(2)

obtaining or maintaining the validity of the organisation certificate [F10or specialised operations authorisation] by falsification of submitted documentary evidence;

(3)

evidence of malpractice or fraudulent use of the organisation certificate [F10or specialised operations authorisation]; and

(4)

the lack of an accountable manager.

Textual Amendments

Textual Amendments

[F3(c) A level 2 finding shall be issued by the [F19CAA] when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which could lower safety or hazard flight safety.] U.K.

Textual Amendments

(d)When a finding is detected during oversight or by any other means, the [F20CAA] shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, communicate the finding to the organisation in writing and request corrective action to address the non-compliance(s) identified. Where relevant, the [F20CAA] shall inform the State in which the aircraft is registered.U.K.
(1)

In the case of level 1 findings the [F20CAA] shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate [F10, specialised operations authorisation] or specific approval or to limit or suspend it in whole or in part, depending upon the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

(2)

In the case of level 2 findings, the [F20CAA] shall:

(i)

grant the organisation a corrective action implementation period appropriate to the nature of the finding that in any case initially shall not be more than three months. At the end of this period, and subject to the nature of the finding, the [F20CAA] may extend the three-month period subject to a satisfactory corrective action plan agreed by the [F20CAA]; and

(ii)

assess the corrective action and implementation plan proposed by the organisation and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

(3)

Where an organisation fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the [F20CAA], the finding shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4)

[F4The [F20CAA] shall record all findings it has raised or that have been communicated to it in accordance with point (e) and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings.]

Textual Amendments

F21(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.GEN.355Findings and enforcement measures — personsU.K.
(a)If, during oversight or by any other means, evidence is found by the [F22CAA] that shows a non-compliance with the applicable requirements by a person holding a licence, certificate, rating or attestation issued in accordance with Regulation (EC) No 216/2008 and its Implementing Rules, the [F23CAA] shall act in accordance with ARA.GEN.355(a) [F24to (c)] of Annex VI (Part-ARA) to Commission [F3Regulation (EU) No 1178/2011] (1).U.K.

Textual Amendments

(b)If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by a person subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules and not holding a licence, certificate, rating or attestation issued in accordance with that Regulation and its Implementing Rules, the [F25CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance.U.K.

Textual Amendments

[F10ARO.GEN.360 Findings and enforcement measures — all operators U.K.

If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by an operator subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules, the [F26CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance.]

Textual Amendments