Surveillance

The Risk Indicators

In 1998 a Ministerial Inquiry found a need for better sharing of client information between the various elements of the CAA.

One answer was the development of a Client Risk Profiling system to assemble information about clients that was not readily available at audit, and then present that as a single document - a risk profile. The prototype was implemented in 2000 and by late 2006, 3000 risk profiles had been raised.

A major re-evaluation of the system was begun in 2005. This resulted in the adoption of several new risk indicators, the development of a system to assess as many risk indicators as possible automatically, and the development of word pictures to help assess those indicators that are not suitable for automation.

The risk profile is designed to highlight aspects of an operation that may involve increased risks to safe operation. It requires the CAA to assess a client's organisational culture and internal functioning in many areas and rate performance against a standard scale.

Risk profiles may be generated and changed by any staff member having interaction with a client during routine and non-routine surveillance and certification. In addition to this direct human assessment, routine automatic evaluation of client information is carried out.

The risk profile assesses an organisation in about 30 areas. Tailored risk indicators are developed for each certificate type and therefore their number varies according to the certificate type held. About half of the indicators are assessed by CAA staff during interactions with clients, and the remainder are assessed automatically by the monitoring of changes to the CAA database.

A client will have a risk profile for each organisational document held. Each risk profile will cover only those aspects relevant to the appropriate aviation document or activity.

Risk Indicators by Certificate Type

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