Risk-Based Oversight and Surveillance
2-day course | Virtual, Classroom & In-company Delivery
- Classroom course in London Gatwick
- 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.
This course can be delivered virtually or face-to-face in classroom at our London Gatwick training centre.
Browse the table below to select your preferred date, delivery method and location (classroom only). If you can not find your preferred form of delivery and date, please contact us.
- Web = Virtual online delivery using WebEx video conferencing. We have applied a 5% discount to all our virtual course deliveries. Unless stated otherwise, our virtual courses are streamed live, starting at 09:00 am (UK time).
- Class = A face-to-face classroom course delivered in the location listed in the “venue” column. In light of COVID-19, please check your eligibility and our COVID-19 measures.
Review of course
Risk-Based Oversight and Surveillance Instructors
Karolina is working for the UK CAA as a Performance Based Regulation (PBR) Principal within the Safety and Business Delivery division. She is responsible for driving continuous improvement and delivery of the cultural, process and procedural changes to advance the CAA’s performance-based regulation system. She brings an energetic, dynamic and enthusiastic approach to understanding the aviation industry’s safety picture and subsequently enhancing safety related systems. Whilst collaborating and seeking out the viewpoint of relevant stakeholders, Karolina has been involved in the design and development of the RBO course, its delivery internally and to external organisations. She holds a BSc in Aviation Management and is currently pursuing the MSc in Aviation Safety Management, Risk and Regulation at Cranfield University.
Ray is the Safety Risk Management Lead for the Safety and Airspace Regulation Group of the UK CAA. He is responsible for the development and application of the systems and processes used for oversight of how the UK aviation industry manages the safety risks. Before joining the UK CAA, Ray was a military Air Traffic Controller and manager for 30 years. Ray has a Post-Graduate Diploma in Air Safety Management and is a member of the City & Guilds Institute for Leadership and Management.
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.