Surveillance

The Risk Profile Ratings

Participants will be rated using a scale of 1 to 5, in each assessed area, where 1 is an exemplary rating. It is a qualitative rating and relates solely to the interaction the CAA staff member is having with the client at that time, or to changes in the organisation recorded in the CAA database.

Ratings of 2 to 5 will be used to record higher levels of risk. Risk items are weighted according to the CAA's assessment of their likely effect on an participant's overall risk.

Indicator Word Pictures

CAA staff use word pictures to rate participants. There are a number of categories that the participant will be rated against and each category has its own set of risk indicators, ranging from 1-5.  For example, the word pictures used to indicate Attitude to safety and compliance by management would have one of the following ratings.  Find a complete list of indicators relevant to your certificate type - Risk Indicators

Rating 1

An excellent attitude to all aspects of safety within the organisation. Safety culture is well embedded and obvious (such as safety teams across organisational lines). 'Just Culture' is actively promoted.

Rating 2

Management is proactive in safety matters and there are only minor / occasional lapses. Safety culture is accepted and understood through the organisation. A just culture ethos is in place.

Rating 3

Management takes the initiative in safety and has safety procedures in place. Safety culture is generally understood but there are minor individual lapses. Operational risk assessment does take place.

Rating 4

Management is reactive. Does on occasion take some initiatives towards implementing policy and procedures to enhance organisational safety, but generally ongoing monitoring is spasmodic. Safety culture is confined to individual initiatives. No operational risk assessment apparent.

Rating 5

Management is either inactive or actively fosters the development of poor safety culture within the wider organisation. No evidence of a positive safety culture in either management or in individuals within the organisation. Individual responsibilities are not recognised and there does not appear to be any grasp of the big picture. There is no operational risk assessment mechanism.

Overall Risk Profile

When the ratings in each of the assessed areas are combined, a comparative risk profile can be derived, where the risk profile rating (expressed as a percentage of the possible) of an individual participant can be shown as a diagram, compared to the ratings of all other participants with the same document. Ratings are confidential between each participant and the CAA.

In the example below, Acme Helicopters (fictitious) is compared with all other Part 119 / 135 operators.

Diagram of a fictitious overal risk profile

Acme Helicopters Ltd's (fictitious) risk as compared with the risk posed by other organisations that hold a Part 119 / 135 certificate.