ADR.AR.B.005 Management system
Delegated Regulation (EU) 2020/1234
(a) The Competent Authority shall establish and maintain a management system, including as a minimum:
(1) documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules. The procedures shall be kept up to date and serve as the basic working documents within that Competent Authority for all related tasks;
(2) a sufficient number of personnel, including aerodrome inspectors, to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial, on-the-job and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all related tasks;
(3) adequate facilities and office accommodation to perform the allocated tasks;
(4) a formal process to monitor compliance of the management system with the relevant requirements and adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process.
(b) The Competent Authority shall, for each field of activity included in the management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).
(c) The Competent Authority shall establish procedures for participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned, including information on all findings raised, corrective follow-up actions taken in response to such findings, and enforcement measures taken as a result of oversight of the organisation responsible for the provision of AMS registered in more than one Member State.
AMC1 ADR.AR.B.005(a) Management system
ED Decision 2014/012/R
GENERAL
(a) The following should be considered when deciding upon the required organisational structure:
(1) the number of certificates and approvals to be issued;
(2) the number of declared organisations;
(3) the number and complexity of aerodromes, aerodrome operators, and providers of apron management services within that Member State;
(4) the possible allocation of tasks to third natural or legal persons of resources needed to fulfil the continuing oversight obligations;
(5) the level of civil aviation activity;
(6) the size of the Member State’s aviation industry; and
(7) the potential growth of activities in the field of civil aviation.
(b) The set-up of the organisational structure should ensure that carrying out the various tasks and obligations of the Competent Authority do not rely solely on individuals. A continuous and undisturbed fulfilment of these tasks and obligations of the Competent Authority should also be guaranteed in case of illness, accident, or leave of individual employees.
GM1 ADR.AR.B.005(a) Management system
ED Decision 2014/012/R
GENERAL
(a) The Competent Authority designated by each Member State should be organised in such a way that:
(1) there is specific and effective management authority in the conduct of all relevant activities;
(2) the functions and processes described in the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, and AMCs, CSs, and GM may be properly implemented;
(3) the Competent Authority’s organisation and operating procedures for the implementation of the applicable requirements of the Regulation (EC) No 216/2008 and its Implementing Rules are properly documented and applied;
(4) all Competent Authority personnel involved in the related activities are provided with training where necessary;
(5) specific and effective provision is made for the communication and interface as necessary with the Agency and the competent authorities of other Member States; and
(6) all functions related to implementing the applicable requirements are adequately described.
(b) A general policy, in respect of activities related to the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, including certification specifications, should be developed, promoted, and implemented by the manager at the highest appropriate level; for example the manager at the top of the functional area of the Competent Authority that is responsible for such activities.
(c) Appropriate steps should be taken to ensure that the policy is known and understood by all personnel involved, and all necessary steps should be taken to implement and maintain the policy.
(d) The general policy, whilst also satisfying additional national regulatory responsibilities, should in particular take into account:
(1) the provisions of Regulation (EC) No 216/2008;
(2) the provisions of the applicable Implementing Rules and their Acceptable Means of compliance, certification specifications, and Guidance Material;
(3) the needs of industry; and
(4) the needs of the Agency and of the Competent Authority.
(e) The policy should define specific objectives for key elements of the organisation and processes for implementing related activities, including the corresponding control procedures and the measurement of the achieved standard.
AMC1 ADR.AR.B.005(a)(1) Management system
ED Decision 2014/012/R
DOCUMENTED POLICIES AND PROCEDURES
(a) The various elements of the organisation involved with the activities related to the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules should be documented in order to establish a reference source for the establishment and maintenance of this organisation.
(b) The documented policies and procedures should be established in a way that facilitates their use. They should be clearly identified, kept up to date, and made readily available to all personnel involved in the relevant activities.
(c) The documented policies and procedures should cover, as a minimum, the following aspects:
(1) policy and objectives;
(2) organisation structure;
(3) responsibilities and associated authority;
(4) processes and procedures;
(5) internal and external interfaces;
(6) internal control procedures;
(7) training of personnel;
(8) cross references to associated documents; and
(9) assistance from other competent authorities or the Agency (where required).
(d) Except for smaller competent authorities, it is likely that the information is held in more than one document, or series of documents, and suitable cross-referencing should be provided. For example, organisational structure and job descriptions are not usually in the same documentation as the policies and the detailed working procedures. In such cases, it is recommended that the documented procedures include an index of cross references to all such other related information, and the related documentation should be readily available when required.
AMC2 ADR.AR.B.005(a)(1) Management system
ED Decision 2014/012/R
DOCUMENTED POLICIES AND PROCEDURES
(a) The procedures in the Competent Authority’s management system should provide, at least, the following information:
(1) regarding continuing oversight functions undertaken by the Competent Authority, the Competent Authority’s organisational structure with description of the main processes. This information should demonstrate the allocation of responsibilities within the Competent Authority, and that the Competent Authority is capable of carrying out the full range of tasks regarding the size and complexity of the Member State’s aerodrome industry. It should, also, consider overall proficiency and authorisation scope of Competent Authority personnel;
(2) changes which significantly affect the Competent Authority’s oversight capabilities;
(3) for personnel involved in oversight activities, the minimum professional qualification requirements and experience, and principles guiding appointment (e.g. assessment);
(4) how the following are carried out: assessing applications and evaluating compliance, issuance of certificates, performance of continuing oversight, follow-up of findings and observations, enforcement measures, and resolution of safety concerns;
(5) principles of managing exemptions, derogations, cases of equivalent level of safety, and special conditions;
(6) systems used to disseminate applicable safety information for timely reaction to a safety problem;
(7) criteria for planning continuing oversight (oversight programme), including adequate management of interfaces when conducting continuing oversight (aerodrome operations and ATS operations for example); and
(8) outline of the initial training of newly recruited oversight personnel (taking future activities into account), and the basic framework for continuation training of oversight personnel.
(b) The procedures in the Competent Authority’s management system should include any amendments to these procedures
AMC1 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
TRAINING PROGRAMME AND RECURRENT TRAINING
(a) The Competent Authority should establish a training programme for its personnel, including its aerodrome inspectors, and a plan for its implementation.
(b) The training programme should cover the specific needs of the personnel and the Competent Authority.
(c) The training programme should include, as appropriate to the role, current knowledge, experience and skills of the personnel, at least the following:
(1) aviation legislation, organisation, and structure;
(2) the Chicago Convention, relevant ICAO Annexes and documents, the applicable requirements of Regulation (EC) No 216/2008, its Implementing Rules and related Acceptable Means of Compliance, certification specifications and Guidance Material, as well as assessment methodology of the alternative means of compliance, and the applicable national legislation;
(3) the applicable requirements and procedures;
(4) areas of particular interest that include, but are not limited to:
(i) management systems, including safety management systems, safety assurance principles, and quality and security management systems as applied to aeronautical data and aeronautical information;
(ii) acceptability and auditing of safety managements systems;
(iii) change management;
(iv) aeronautical studies, safety assessments, and reporting techniques;
(v) human factors principles;
(vi) aerodrome design;
(vii) signs, markings, and lighting;
(viii) aerodrome maintenance;
(ix) aerodrome operations, including:
(A) aerodrome safeguarding, including obstacle assessment;
(B) rescue and firefighting;
(C) emergency planning;
(D) disabled aircraft removal;
(E) low visibility operations;
(F) adverse weather operations;
(G) wildlife management;
(H) apron management and apron safety management;
(I) handling of dangerous goods; and
(J) fuel, facilities, storage and handling;
(x) evaluation, approval, and review of aerodrome manuals;
(xi) other suitable technical training appropriate to the role and tasks of the personnel; and
(xii) enforcement measures.
(5) The training programme and plan should be updated, as needed, to reflect, at least, changes in aviation legislation, and industry.
(6) The Competent Authority should ensure that its personnel, including its aerodrome inspectors, undergo recurrent training at regular intervals defined by the Competent Authority or whenever deemed necessary, in order to be kept up to date.
AMC2 ADR.AR.B.005(a)(2) Management system
ED Decision 2020/021/R
QUALIFICATION AND TRAINING — AERODROME INSPECTORS
(a) Initial training should encompass:
(1) Initial theoretical training
The objective of the initial theoretical training is to familiarise the trainee aerodrome inspectors with the finding categorisation, reporting, follow-up procedures, and enforcement. The primary objective of the theoretical training is not the transfer of technical knowledge as the trainees should possess such knowledge, either from previous work experience or through specialised training, prior to attending the theoretical course (for the areas to be covered in the training programme, see AMC1 ADR.AR.B.005(a)(2)). Amongst others, the theoretical training should cover theory of audits and inspections, as well as quality/safety assurance.
(2) Practical training
The objective of the practical training is to instruct on audit/inspection techniques and specific areas of attention without interference with the operation of the aerodrome activities.
The Competent Authority should ensure that trainees have successfully completed the initial theoretical and practical training above by passing a relevant assessment.
(3) On-the-job training
The objective of the on-the-job training is to familiarise trainees with the particularities of performing an aerodrome audit/inspection in a real, operational environment.
(a) Duration and conduct of the on-the-job training
The duration of the on-the-job training should be customised to the particular training needs of every trainee and cover, as much as possible, the audit/inspection items which the inspector will be authorized to inspect. The on-the-job training should include at least four aerodrome audits/ inspections.
(b) The scope and elements to be covered during the on-the-job training
(i) Preparation of an audit/inspection:
(A) sources of information for the preparation of an audit/inspection;
(B) areas of concern and/or open findings;
(C) selection of aerodrome operator(s) or organisation(s) responsible for the provision of AMS to be audited/inspected; and
(D) task allocation among the members of the audit/inspection team.
(ii) Administrative issues of the inspection:
(A) aerodrome inspector credentials, rights, and obligations;
(B) aerodrome access procedures;
(C) safety and security airside procedures; and
(D) aerodrome inspector toolkit (fluorescent vest, checklists, clinometer, distance-measurement devices, digital camera, GPS, etc.).
(iii) Audit/Inspection:
(A) introduction — opening meeting;
(B) on-site activities (audit/inspection according to the area of expertise of the trainee);
(C) findings (identification, categorisation, evidencing, reporting); and
(D) corrective actions — enforcement.
(iv) Closing meeting — debriefing on the audit/inspection conclusions.
(v) Preparation, completion, and delivery of the audit/inspection report.
(vi) Human factors elements:
(A) cultural aspects;
(B) resolution of disagreements and/or conflicts; and
(C) auditee stress.
(vii) Team leading, if required.
(viii) Post-audit/-inspection procedures, such as monitoring the status of open audit findings, follow-up audits/inspections, and closing the findings after appropriate action has been taken by the aerodrome operator or by the organisation responsible for the provision of AMS.
(b) Assessment of trainee aerodrome inspectors
The assessment of the trainee aerodrome inspectors should be done by the aerodrome inspector that provides the training. A trainee aerodrome inspector should be considered to have successfully completed the on-the-job training only after demonstrating to the aerodrome inspector that provides the training that they possess the professional competence, knowledge, judgement, and ability to perform aerodrome inspections and audits in a real, operational environment, in accordance with the applicable requirements.
(c) Aerodrome inspectors appointed to provide training and assess trainees
The aerodrome inspectors that provide the training, and that assess trainee aerodrome inspectors, should be appointed by the Competent Authority and should meet the qualification criteria established by that Competent Authority. These criteria should require that the appointee has been a qualified aerodrome inspector (see GM6 ADR.AR.B.005(a)(2)) for the last 3 years prior to their appointment. Additional factors to be considered when appointing aerodrome inspectors to provide training, and to assess trainee aerodrome inspectors, include: knowledge of training techniques, professionalism, maturity, judgment, integrity, safety awareness, communication skills, and personal performance standards.
AMC3 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
QUALIFICATION OF AERODROME INSPECTORS AFTER SUCCESSFUL COMPLETION OF TRAINING
(a) Upon the successful completion of the initial training (initial theoretical training, practical training, and on-the-job training) the Competent Authority should issue a formal qualification statement for each qualified aerodrome inspector listing their privileges. Credentials should also be issued for the aerodrome inspectors, to facilitate their work.
(b) The background knowledge and/or working experience of the aerodrome inspectors determines their privileges (the scope of their inspection; what they are entitled to inspect). The Competent Authority should determine what the inspector is entitled to inspect taking into account the following considerations:
(1) background knowledge; and
(2) working experience.
(c) The inspecting authority should put in place a system that will ensure that their aerodrome inspectors meet at all times the qualification criteria with regard to the eligibility, training, and recent experience.
GM1 ADR.AR.B.005(a)(2) Management system
ED Decision 2020/021/R
SUFFICIENT PERSONNEL
(a) This Guidance Material for the determination of the required personnel is limited to the performance of certification and oversight tasks, excluding personnel required to perform tasks subject to any national regulatory requirements.
(b) The elements to be considered when determining the required personnel and planning their availability may be divided into quantitative and qualitative elements:
(1) Quantitative elements:
(i) the number of initial certificates to be issued;
(ii) the number of aerodromes and aerodrome operators certified by the Competent Authority;
(iii) the number of organisations responsible for the provision of AMS;
(iv) the number of planned audits and inspections to aerodromes and organisations responsible for the provision of AMS; and
(v) the number of expected changes to the aerodrome infrastructure.
(2) Qualitative elements:
(i) the size, nature, and complexity of the activities of aerodromes and aerodrome operators, as well as of organisations responsible for the provision of AMS:
(A) privileges of the aerodrome operator or of the organisation responsible for the provision of AMS;
(B) type and scope of the approval;
(C) possible certification to industry standards;
(D) types of aerodromes operated;
(E) number of personnel; and
(F) organisational structure, existence of subsidiaries.
(ii) results of past oversight activities, including audits, inspections, and reviews, in terms of risks and regulatory compliance:
(A) number and level of findings; and
(B) implementation of corrective actions.
(iii) the size of the Member State’s aviation industry, and the potential growth of the activities in the field of civil aviation, which may be an indication of the number of new applications and changes to existing certificates to be expected.
(c) Based on existing data from previous oversight planning cycles, and taking into account the situation within the Member State’s aviation industry, the Competent Authority may estimate:
(1) the standard working time required for processing applications for certificates;
(2) the standard working time required for processing declarations;
(3) the number of new declarations, or changes to declarations;
(4) the number of new certificates to be issued for each planning period; and
(5) the number of changes to existing certificates to be processed for each planning period.
(d) In line with the Competent Authority’s oversight policy, the following planning data is determined specifically for each aerodrome and aerodrome operator, as well as for organisations responsible for the provision of AMS:
(1) standard number of audits/inspections to be performed per oversight planning cycle;
(2) standard duration of each audit/inspection;
(3) standard working time for audit/inspection preparation, on-site audit/inspection, reporting and follow-up, per aerodrome inspector; and
(4) minimum number and required qualification of aerodrome inspectors for each audit/inspection.
(e) Standard working time may be expressed either in working hours per aerodrome inspector, or in working days per aerodrome inspector. All planning calculations should, then, be based on the same unit (hours or working days).
(f) It is recommended to use a spread sheet application to process data defined under (c) and (d) above, to assist in determining the total number of working hours/days per oversight planning cycle required for certification, oversight, and enforcement activities. This application could also serve as a basis for implementing a system for planning the availability of personnel.
(g) For each aerodrome, aerodrome operator, and organisation responsible for the provision of AMS, the number of working hours/days per planning period for each qualified aerodrome inspector that may be allocated for certification, oversight and enforcement activities is determined, taking into account:
(1) purely administrative tasks not directly related to oversight and certification;
(2) training;
(3) participation in other projects;
(4) planned absence; and
(5) the need to include a reserve for unplanned tasks or unforeseeable events.
(h) The determination of the working time available for certification, oversight, and enforcement activities may also consider the possible use of qualified entities.
(i) Based on the elements listed above, the Competent Authority will be able to:
(1) monitor the dates when audits and inspections are due, and when they have been carried out;
(2) implement a system to plan the availability of its personnel; and
(3) identify possible gaps between the number and qualification of its personnel and the required volume of certification and oversight.
Care should be taken to keep planning data up to date, in line with changes in the underlying planning assumptions, with particular focus on risk-based oversight principles.
GM2 ADR.AR.B.005(a)(2) Management system
ED Decision 2020/021/R
AERODROME INSPECTORS — DUTIES
(a) An aerodrome inspector is considered any person to whom the Competent Authority has formally assigned tasks related to the safety oversight of aerodromes, of aerodrome operators and of organisations responsible for the provision of AMS.
(b) Apart from the aerodrome oversight tasks, an aerodrome inspector may also undertake other tasks that the Competent Authority finds necessary.
GM3 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
QUALIFICATION OF PERSONNEL
The term ‘qualified’ denotes fitness for the purpose. This may be achieved through fulfilment of the necessary conditions, such as completion of required training, or acquisition of a diploma or degree, or through the gaining of suitable experience. It also includes the ability, capacity, knowledge, or skill that matches or suits an occasion, or makes someone eligible for a duty, office, position, privilege, or status.
Certain posts may by nature be associated with the possession of certain qualifications in a specific field (e.g. rescue and firefighting, civil, mechanical, or electrical engineering, wildlife biology etc.). In such cases, the person occupying such a post is expected to possess the necessary qualifications at a level that is in accordance with the applicable national or European Union legislation.
GM4 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
QUALIFICATION AND TRAINING — GENERAL
(a) To ensure personnel remain competent, arrangements should be made for initial and recurrent training as required.
(b) With regard to sequence of particular components of initial training, the Competent Authority should ensure that on-the-job training is undertaken only by trainees that have successfully completed the initial theoretical and practical training.
(c) The basic capability of the Competent Authority’s personnel is a matter of recruitment, and normal management functions in selection of personnel for particular duties. Moreover, the Competent Authority should provide training in the basic skills, as required for those duties. However, to avoid differences in understanding and interpretation, it is considered important that all personnel be provided with further training specifically related to the applicable requirements of Regulation (EC) No 216/2008, its Implementing Rules and related AMC, CS and GM, as well as related to the assessment of alternative means of compliance.
(d) The Competent Authority may provide training through its own training organisation with qualified trainers or through another qualified training source (e.g. training provided by other competent authorities or the Agency).
(e) When training is not provided through an internal training organisation, adequately experienced and qualified persons may act as trainers, provided their training skills have been assessed. If required, an individual training plan should be established covering specific training skills. Records should be kept of such training and of the assessment, as appropriate.
GM5 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
TRAINING PROGRAMME AND RECURRENT TRAINING
When preparing the training programme, the Competent Authority should determine the areas for which the training may include realistic training elements.
As an example, the RFFS training could include parts of, or be the same with that of an aerodrome operator’s RFFS personnel. If an aerodrome operator provides such training, care should be taken to avoid any possible conflict of interest.
GM6 ADR.AR.B.005(a)(2) Management system
ED Decision 2014/012/R
RECENT EXPERIENCE REQUIREMENTS FOR AERODROME INSPECTORS
(a) An aerodrome inspector will remain qualified if he/she performs a minimum number of two aerodrome audits/inspections during the previous 12 months. In case the minimum number of audits/inspections are not achieved due to the number of aerodromes in a Member State, audits/inspections conducted on other aerodromes which are open to public use, but do not fall within the scope of Regulation (EC) No 216/2008, may also be taken into account.
(b) If an aerodrome inspector loses his/her qualification as a result of not reaching the minimum number of inspections mentioned in paragraph (a), he/she may be re-qualified by the Competent Authority by performing the number of the missed audits/inspections under the supervision of a qualified aerodrome inspector. The missed audits/inspections should take place within a maximum period of three months following the end of the period within which he/she should have reached the minimum number of audits/inspections.
(c) If an aerodrome inspector loses his/her qualification because he/she has not been engaged in performing audits/inspections for a period longer than that established in paragraph (a) but less than 24 months, he/she should be re-qualified by the Competent Authority only after successfully completing the on-the-job-training, and any recurrent training required.
(d) If an aerodrome inspector loses his/her qualification because he/she has not been engaged in performing audits/inspections for more than 24 months, he/she should be fully re-qualified by the Competent Authority only after successfully completing initial theoretical, practical, and on-the-job training.
GM1 ADR.AR.B.005(a)(3) Management system
ED Decision 2014/012/R
FACILITIES AND OFFICE ACCOMODATION
Facilities and office accommodation include but are not limited to:
(a) adequate offices;
(b) a technical library available for the Competent Authority personnel, or another method to ensure receipt, control, and distribution of necessary technical documentation;
(c) office equipment, including computers and communication means;
(d) transportation means;
(e) personnel protective equipment; and
(f) equipment necessary for auditing/inspecting the aerodrome and its facilities, such as cameras, clinometers, distance measurement devices, GPS etc.
AMC1 ADR.AR.B.005(a)(4) Management system
ED Decision 2014/012/R
COMPLIANCE MONITORING PROCESS
The formal process to monitor compliance of the management system with the relevant requirements, and the adequacy of the procedures should:
(a) include a feedback system of audit findings to ensure implementation of corrective actions as necessary; and
(b) be the responsibility of a person, or group of persons who should be responsible to the senior management of the Competent Authority and who perform compliance monitoring activities with functional independence from the units/ departments they oversee and with direct access to the senior management of the Competent Authority and to appropriate management for safety matters.
AMC1 ADR.AR.B.005(c) Management system
ED Decision 2014/012/R
COORDINATION WITH OTHER AUTHORITIES OF THE MEMBER STATE
The Competent Authority should establish coordination arrangements with other authorities of the Member State. Such coordination arrangements should, in particular, include the following authorities:
(a) security agencies, in order to ensure:
(1) international civil aviation security measures are integrated into the design and construction of aerodromes, and their facilities; and
(2) the optimisation of civil aviation security measures.
(b) environmental protection authorities, for the management of conflicts between safety and environmental requirements;
(c) local planning and land use authorities.
ADR.AR.B.010 Allocation of tasks to qualified entities
Regulation (EU) No 139/2014
(a) Tasks related to the initial certification or continuing oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules shall be allocated by Member States only to qualified entities. When allocating tasks, the Competent Authority shall ensure that it has:
(1) a system in place to initially and continuously asses that the qualified entity complies with Annex V to Regulation (EC) No 216/2008;
this system and the results of the assessments shall be documented;
(2) established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:
(i) the tasks to be performed;
(ii) the declarations, reports and records to be provided;
(iii) the technical conditions to be met in performing such tasks;
(iv) the related liability coverage; and
(v) the protection given to information acquired in carrying out such tasks.
(b) The Competent Authority shall ensure that the internal audit process and safety risk management process required by ADR.AR.B.005(a)(4) covers all certification or continuing oversight tasks performed on its behalf.
AMC1 ADR.AR.B.010(a)(1) Allocation of tasks to qualified entities
ED Decision 2014/012/R
QUALIFICATIONS OF PERSONNEL
(a) A qualified entity, to which tasks related to the initial certification or continuing oversight tasks are to be allocated, should have an adequate number of qualified technical personnel to conduct aerodrome inspections and audits, and to perform any other task needed during the certification and oversight process, as required by the Competent Authority.
(b) The personnel of a qualified entity, to whom such tasks are allocated, should meet the qualification criteria applicable for competent authorities’ aerodrome inspectors prescribed in AMC1 ADR.AR.B.005(a)(2), AMC2 ADR.AR.B.005(a)(2), and AMC3 ADR.AR.B.005(a)(2), (see also GM6 ADR.AR.B.005(a)(2)).
GM1 ADR.AR.B.010 Allocation of tasks to qualified entities
ED Decision 2020/021/R
CERTIFICATION TASKS
The tasks that may be performed by qualified entities on behalf of the Competent Authority may include any tasks related to the initial certification and continuing oversight of aerodromes and aerodrome operators, as well as of organisations responsible for the provision of AMS, with the exclusion of the issuance of certificates or approvals.
ADR.AR.B.015 Changes to the management system
Regulation (EU) No 139/2014
(a) The Competent Authority shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. This system shall enable it to take action, as appropriate, to ensure that the management system remains adequate and effective.
(b) The Competent Authority shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner, so as to ensure effective implementation.
(c) The Competent Authority shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules.
Delegated Regulation (EU) 2020/1234
(a) The Competent Authority shall establish a system of record keeping providing for adequate storage, accessibility and reliable traceability of:
(1) the management system’s documented policies and procedures;
(2) training, qualification and authorisation of its personnel;
(3) the allocation of tasks to qualified entities, covering the elements required by ADR.AR.B.010, as well as the details of tasks allocated;
(4) certification process and continuing oversight of aerodromes and aerodrome operators;
(5) declaration process and continuing oversight of providers of apron management services;
(6) the documentation regarding cases of equivalent level of safety and special conditions contained in the certification basis, as well as any Deviation Acceptance and Action Document (DAAD);
(7) the evaluation and notification to the Agency of alternative means of compliance proposed by aerodrome operators and providers of apron management services and the assessment of alternative means of compliance used by the Competent Authority itself;
(8) findings, corrective actions and date of action closure, and observations;
(9) enforcement measures taken;
(10) safety information and follow-up measures;
(11) the use of flexibility provisions in accordance with Article 71 of Regulation (EU) 2018/1139.
(b) The Competent Authority shall maintain a list of all certificates it issued and declarations it received.
(c) Records related to the certification of an aerodrome and an aerodrome operator, or the declaration of a provider of apron management services shall be kept for the lifespan of the certificate or declaration, as appropriate.
(d) Records relating to points (a)(1) to (a)(3) and points (a)(7) to (a) (11) shall be kept for a minimum period of five years, subject to applicable data protection law.
AMC1 ADR.AR.B.020(a) Record-keeping
ED Decision 2014/012/R
GENERAL
(a) The record-keeping system should ensure that all records are accessible whenever needed within a reasonable time. These records should be organised in a way that ensures traceability and retrievability throughout the required retention period.
(b) Records should be kept in paper form, or in electronic format, or a combination of both media. Records stored on microfilm or optical disc form are also acceptable. The records should remain legible and accessible throughout the required retention period. The retention period starts when the record has been created or last amended.
(c) Computer systems should have, at least, one backup system which should be updated within 24 hours of any new entry. Computer systems should include safeguards against unauthorised alteration of data.
(d) All computer hardware used to ensure data backup should be stored in a different location from that containing the working data, and in an environment that ensures they remain in good condition. When hardware or software changes take place, special care should be taken that all necessary data continue to be accessible, at least, through the full period specified in ADR.AR.B.020(c) and (d).
AMC1 ADR.AR.B.020(a)(1);(a)(2);(a)(3) Record-keeping
ED Decision 2014/012/R
COMPETENT AUTHORITY MANAGEMENT SYSTEM
Records related to the Competent Authority’s management system should include, as a minimum, and as applicable:
(a) the documented policies and procedures;
(b) the personnel files of Competent Authority personnel, with supporting documents related to their training and qualifications;
(c) the results of the Competent Authority’s internal compliance monitoring and risk assessment, including audit findings and corrective actions; and
(d) the contract(s) established with qualified entities performing certification or oversight tasks on behalf of the Competent Authority.
AMC1 ADR.AR.B.020(a)(2) Record keeping
ED Decision 2014/012/R
DURATION OF RETENTION PERIOD OF RECORDS
Records related to the training and qualification of the personnel of the Competent Authority should be kept until the end of their employment.
AMC1 ADR.AR.B.020(a)(4);(a)(5) Record keeping
ED Decision 2020/021/R
AERODROMES — AERODROME OPERATORS — ORGANISATIONS RESPONSIBLE FOR THE PROVISION OF AMS
Records related to a certified aerodrome and its aerodrome operator, or the organisation responsible for the provision of AMS should include, as appropriate to the type of organisation:
(a) the application for a certificate, approval, or declaration;
(b) the documentation based upon which:
(1) the certificate or the approval has been granted with amendments; and
(2) the declaration has been registered;
(c) the documentation related to notifications of changes by the applicant and their assessment;
(d) the certificate or approval issued, including any changes to it;
(e) a copy of the continuing oversight programme listing the dates when audits are due and when such audits were carried out;
(f) continuing oversight records, including all audit and inspection records;
(g) copies of all relevant correspondence;
(h) details of any exemption or derogation, and enforcement actions;
(i) any report from other competent authorities relating to the oversight of the aerodrome, the aerodrome operator, and the organisation responsible for the provision of AMS, if applicable; and
(j) a copy of any other document approved by the Competent Authority.
AMC1 ADR.AR.B.020(c) Record keeping
ED Decision 2020/021/R
AERODROMES — AERODROME OPERATORS — ORGANISATIONS RESPONSIBLE FOR THE PROVISION OF AMS
(a) Records which are considered related to the certification of an aerodrome, and are to be maintained for the lifetime of the certificate, include but are not limited to the following:
(1) applications submitted;
(2) notifications of the certification specifications for initial certification and any changes to them, including:
(i) any provisions for which an equivalent level of safety has been accepted; and
(ii) any special conditions;
(3) documentation related to alternative means of compliance used;
(4) documentation related to Deviation Acceptance and Action Documents (DAAD), if relevant;
(5) documentation related to exemptions or derogations granted;
(6) aeronautical studies and safety assessments;
(7) aerodrome design;
(8) declarations made by the applicant;
(9) current version of an aerodrome manual, and evidence of its evaluation; and
(10) approvals granted.
(b) Records for the aerodrome equipment or for parts of the aerodrome infrastructure which have been removed from the aerodrome need not be maintained.
(c) Records which are considered related to an organisation responsible for the provision of AMS, and which are to be maintained for the lifespan of the declaration, include but are not limited to the following:
(1) applications submitted;
(2) documentation related to alternative means of compliance used;
(3) safety assessments;
(4) declarations made by the applicant;
(5) current version of the management system manual, and evidence of its evaluation; and
(6) approvals granted.
GM1 ADR.AR.B.020 Record keeping
ED Decision 2014/012/R
GENERAL
Records are required to document results achieved, or to provide evidence of activities performed. Records become factual when recorded. Therefore, they are not subject to version control. Even when a new record is produced covering the same issue, the previous record remains valid.
GM1 ADR.AR.B.020(a) Record keeping
ED Decision 2014/012/R
MICROFILM AND OPTICAL STORAGE
Microfilming or optical storage of records may be carried out at any time. The records should be as legible as the original record, and remain so for the required retention period.
GM2 ADR.AR.B.020(a) Record keeping
ED Decision 2020/021/R
DOCUMENTATION FOR AERODROMES — AERODROME OPERATORS — ORGANISATIONS RESPONSIBLE FOR THE PROVISION OF AMS
The documentation to be kept as records in support of the certificate or approval includes the management system documentation, including any technical manuals, such as the aerodrome manual, or for the organisation responsible for the provision of AMS, the management system manual, that have been submitted with the initial application, and any amendments to them.