GM1 ARO.GEN.200(a)(2) Management System    

CAA ORS9 Decision No. 1

SUFFICIENT PERSONNEL

(a) This GM on the determination of the required personnel is limited to the performance of certification, authorisation and oversight tasks, excluding personnel required to perform tasks subject to any national regulatory requirements.

(b) The elements to be considered when determining required personnel and planning their availability may be divided into quantitative and qualitative elements:

(1) Quantitative elements:

    (i) the estimated number of initial certificates to be issued;

    (ii) the number of organisations certified by the CAA;

    (iii) the number of persons to whom the CAA has issued a licence, certificate, rating, authorisation or attestation;

    (iv) the estimated number of persons and organisations, as well as the estimated number of subcontracted organisations used by those persons and organisations, exercising their activity within the UK;

    (v) the number of organisations having declared their activity to the CAA;

    (vi) the number of organisations holding a specialised operations authorisation issued by the CAA.

(2) Qualitative elements:

    (i) the size, nature and complexity of activities of certified, authorised and declared organisations (cf. AMC1 ORO.GEN.200(b)),taking into account:

    (A) privileges of the organisation;

    (B) type of approval, scope of approval, multiple certification, authorisation and declared activities;

    (C) possible certification to industry standards;

    (D) types of aircraft/flight simulation training devices (FSTDs) operated;

    (E) number of personnel; and

    (F) organisational structure, existence of subsidiaries;

    (ii) the safety priorities identified;

    (iii) the results of past oversight activities, including audits, inspections and reviews, in terms of risks and regulatory compliance, taking into account:

    (A) number and level of findings;

    (B) timeframe for implementation of corrective actions; and

    (C) maturity of management systems implemented by organisations and their ability to effectively manage safety risks, taking into account also information provided by other aviation authorities related to activities in the territory of the States concerned; and

    (iv) the size and complexity of the UK’s aviation industry and the potential growth of activities in the field of civil aviation, which may be an indication of the number of new applications and changes to existing certificates and authorisations to be expected.

(c) Based on existing data from previous oversight planning cycles and taking into account the situation within the UK’s aviation industry, the CAA may estimate:

    (1) the standard working time required for processing applications for new certificates (for persons and organisations) and authorisations;

    (2) the number of new declarations or changed declarations;

    (3) the number of new certificates and authorisations to be issued for each planning period; and

    (4) the number of changes to existing certificates and authorisations to be processed for each planning period.

(d) In line with the CAA’s oversight policy, the following planning data should be determined specifically for each type of organisation certified by the CAA as well as for declared organisations, including those being authorised:

    (1) standard number of audits to be performed per oversight planning cycle;

    (2) standard duration of each audit;

    (3) standard working time for audit preparation, on-site audit, reporting and follow-up, per inspector;

    (4) standard number of ramp and unannounced inspections to be performed;

    (5) standard duration of inspections, including preparation, reporting and follow-up, per inspector;

    (6) minimum number and required qualification of inspectors for each audit/inspection.

(e) Standard working time could be expressed either in working hours per inspector or in working days per inspector. All planning calculations should then be based on the same unit (hours or working days).

(f) It is recommended to use a spreadsheet application to process data defined under (c) and (d), to assist in determining the total number of working hours/days per oversight planning cycle required for certification, authorisation, oversight and enforcement activities. This application could also serve as a basis for implementing a system for planning the availability of personnel.

(g) For each type of organisation certified or high risk commercial specialised operation authorised by the CAA, the number of working hours/days per planning period for each qualified inspector that may be allocated for certification, authorisation, oversight and enforcement activities should be determined, taking into account:

(1) purely administrative tasks not directly related to oversight and certification/authorisation;

(2) training;

(3) participation in other projects;

(4) planned absence; and

(5) the need to include a reserve for unplanned tasks or unforeseeable events.

(h) The determination of working time available for certification, authorisation, oversight and enforcement activities should also consider:

    (1) the possible use of qualified entities; and

    (2) possible cooperation with other aviation authorities for approvals or authorisations involving more than one State.

(i) Based on the elements listed above, the CAA should be able to:

    (1) monitor dates when audits and inspections are due and when they have been carried out;

    (2) implement a system to plan the availability of personnel; and

    (3) identify possible gaps between the number and qualification of personnel and the required volume of certification/authorisation and oversight.

    Care should be taken to keep planning data up-to-date in line with changes in the underlying planning assumptions, with particular focus on risk-based oversight principles.