Risk-Based Oversight and Surveillance
2-day course | London Gatwick & In-company
- Designed and delivered by UK CAA regulators
- Examine the principles of regulatory risk and performance based oversight
- Identify the key components of a Risk Based Oversight audit cycle
What is Risk Based Oversight?
Risk Based Oversight, or Performance Based Regulation as it is commonly known in the UK, is a system which compliments compliance based auditing to fully identify and understand risks, allowing for a better allocation of resource to directly influence and mitigate those conditions that threaten aviation safety the most.
Compliance based oversight is a good starting point for a regulator to understand an Entity or organisation, however, with more demands being placed on the aviation industry, compliance based oversight may no longer be enough to fully understand the aviation safety threats and risks that exist.
This Risk Based Oversight course will give delegates a foundation of the principles of a regulatory risk and performance based oversight system.
This course is suitable for anyone who requires a generic overview of risk based surveillance principles.
- Business rules
- Baseline oversight
- Site visits
- Desktop Audits
- Internal Review Meetings
- Accountable Manager Meetings
Future Oversight Planning
- Risk recording
- Risk Elevation
- Resource to risk
- Regulatory Safety Management System
Roles and Responsibilities
- Sector Manager
- Capability Heads
By the end of this course, delegates will demonstrate knowledge of the following through group discussion and syndicate exercises:
- How to measure an Entity to determine baseline oversight levels.
- Identification of the key components of a risk based oversight audit cycle.
- The importance of the collaboration between the Entity oversight team members to fully determine the risk picture.
- Analytical techniques used to produce safety performance indicators to monitor trends and identify risks
- The fundamental principles of risk measuring and the importance it plays in RBO.
- The concept of varying future oversight based on risk and performance profiles.
Delegates should have a basic knowledge of Safety Management Systems and risk management principles.
Articles: The UK CAA’s journey to adopt risk-based surveillance
We have published some short articles that explore four important elements that the UK CAA believes are necessary to become an effective risk-based regulator.
CAP1184: The transformation to Performance-Based Regulation
In 2014, the UK CAA published CAP1184, detailing how the UK was transitioning to become a performance/risk-based regulator. The UK industry fed back how it believed PBR would make the CAA more proportionate and targeted, and have a greater degree of commercial awareness and be more transparent about how money is spent.
Presentation: Opportunities of Risk-Based Surveillance (2018)
Download our presentation on risk-based surveillance that was presented at the ICAO Risk-Based Surveillance workshop in Lima, Peru.
Review of course
Risk-Based Oversight and Surveillance Instructors
Carey-Ann has been working in the aviation and motor industry for over 20 years. She is part of the UK CAA's Safety, Performance and Risk team where she is working closely with Flight Operations and Airworthiness, delivering solutions to support the UK CAAs programme of Performance Based Oversight. Before joining the UK CAA, Carry-Ann worked at two of the busiest UK airports with a variety of management roles in airfield, terminal and security operations, most recently at senior management level contributing to a complex airspace change programme. She applied continuous improvement skills gained in the motor industry, when leading aviation frontline customer facing teams (largest team over 600 members) and was able to develop some very powerful initiatives to deliver cultural change within the workplace. Carey-Ann is passionate about using her technical and operational skills to support the delivery of improvements to aviation safety performance across the industry.
Mark has been working for the UK CAA since Oct 2017. Following a role of a Performance Based Oversight (PBO) Principal, Mark is now working as the Performance Based Regulation (PBR) Manager. Within the UK CAA's PBR team, he is responsible for managing Performance Based Oversight and the Regulatory Safety Management System. Prior to joining the UK CAA he spent over 22 years in the Royal Air Force in a variety of roles in aviation delivery, including operating as an Air Traffic Controller and then as an Aviation Safety Management Specialist.