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
- Part 19F Supply Organisation
- Part 92 Dangerous Goods Packaging Approval Holder
- Part 108 Security Programme
- Part 109 Regulated Air Cargo Agent
- Part 115 Adventure Aviation Operator
- Part 119 Air Operator Certificate - Pacific
- Part 119 Transition Certificate - ASC
- Part 121 Air Operator Large Aeroplanes
- Part 125 Air Operator Medium Aeroplanes
- Part 129 Foreign Air Transport Operator
- Part 135 Air Operator Helicopters and Small Aeroplanes
- Part 137 Agricultural Aircraft Operator
- Part 139 Aerodrome Operator
- Part 140 Aviation Security Service Organisation
- Part 141 Aviation Training Organisation
- Part 145 Maintenance Organisation
- Part 146 Aircraft Design Organisation
- Design Delegation Holder
- Part 148 Aircraft Manufacturing Organisation
- Part 149 Aviation Recreation Organisation
- Part 171 Telecom Service Organisation
- Part 172 Air Traffic Service Organisation
- Part 174 Meteorological Service Organisation
- Part 175 Aeronautical Info Service Organisation