Risk Based Surveillance

In support of the International Civil Aviation Organisation (ICAO), the UK Civil Aviation Authority (UK CAA), through CAAi, can provide ICAO Member States with technical support to encourage the adoption of a Risk-Based Surveillance to aviation regulation.

The UK CAA advocates all aviation Regulators can start adopting RBS principles, regardless of their maturity as a Regulator, industry size or level of Effective Implementation with ICAO Standards and Recommended Practices (SARPs).

Establishing Readiness for Risk-Based Surveillance

Regulators adopting a Risk-Based Approach almost always ask, “Where do I begin?” The answer is with a Gap Analysis.

In the experience of the UK CAA, Regulators need to know where they need to focus their efforts to prepare for a RBS implementation programme. Regulators will benefit from identifying potential challenges from the start.

RBS Maturity Assessment Tool

The UK CAA has developed a bespoke, RBS Gap Analysis Maturity Assessment Tool that provides Regulators with an independent, in-depth assessment of their readiness to adopt RBS. The tool provides Regulators with a baseline to work from, identifying their current RBS readiness and next-step priorities.

Working in collaboration, the assessment involves a comprehensive 2-week, on-site “health-check”. Conducted by specially trained UK CAA RBS Assessors, the assessment focuses on 16-core areas via a series of interviews, focus groups, surveys and questionnaires with various, pre-selected personnel at all seniority levels.

Utilising the UK CAA’s hindsight, lessons learnt, successes and challenges, the Tool allows Regulators to establish their baseline for readiness in a matter of weeks – Something that without guidance, took the UK CAA almost two years to achieve.  Other benefits include:

  • From start to completion in less than four weeks
  • Provides NAAs with a baseline to establish RBS starting point
  • Provides an effective diagnosis of the NAAs’ functions and culture fundamental for RBS
  • Allows NAAs to identify the elements of RBS that are important to them and their remit
  • Offers intelligence that allows NAAs to only focus on the areas of priority
  • Helps NAAs implement the RBS “Entity Concept” – RBS across all regulatory functions
  • Shows NAAs how best to form the overall risk picture to influence good regulatory decisions
  • Supports ICAO and EASA best practice and the future of aviation regulation
  • Allows NAAs to modernise their organisation and the way they regulate
Practical Assessment Outputs

The UK CAA RBS Team will prepare a high-level report, presenting our findings across all 16 assessment areas. For data protection purposes, all gathered intelligence remains completely anonymous.

The analysis will highlight strengths and areas that require further attention to support a Risk-Based Approach. These areas could include “essential elements ”that will need to be addressed and/or resolved in order  to commence the  RBS transformation.

RBS Development & Implementation Support

If required, the UK CAA can provide dedicated support in the development and implementation of Risk-Based Surveillance. Working together, the UK CAA can tailor RBS advice to a State’s specific aviation system. This support can include:

  • Development of RBS transformation plans
  • Creation of Safety Performance Indicators (SPIs) and risk management
  • Software development to support RBS
  • Industry engagement strategies
  • Professional training/cultural considerations

For more information or to discuss your requirements, please contact Liam Byrne

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