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ANNEX IIIU.K.ORGANISATION REQUIREMENTS FOR AIR OPERATIONS[PART-ORO]

SUBPART GENGENERAL REQUIREMENTSU.K.

SECTION IU.K.General

F1ORO.GEN.105. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ORO.GEN.110Operator responsibilitiesU.K.
[F2(a) The operator is responsible for the operation of the aircraft in accordance with Annex IV to Regulation (EC) No 216/2008, as applicable, the relevant requirements of this Annex and its air operator certificate (AOC) or specialised operation authorisation (SPO authorisation) or declaration.] U.K.

Textual Amendments

(b)Every flight shall be conducted in accordance with the provisions of the operations manual.U.K.
(c)The operator shall establish and maintain a system for exercising operational control over any flight operated under the terms of its certificate[F3, SPO authorisation] [F4or declaration.] U.K.

Textual Amendments

(d)The operator shall ensure that its aircraft are equipped and its crews are qualified as required for the area and type of operation.U.K.
(e)The operator shall ensure that all personnel assigned to, or directly involved in, ground and flight operations are properly instructed, have demonstrated their abilities in their particular duties and are aware of their responsibilities and the relationship of such duties to the operation as a whole.U.K.
[F5(f) The operator shall establish procedures and instructions for the safe operation of each aircraft type, containing ground staff and crew member duties and responsibilities, for all types of operation on the ground and in flight. Those procedures and instructions shall not require crew members to perform any activities during critical phases of flight other than those required for the safe operation of the aircraft. Procedures and instructions for a sterile flight crew compartment shall also be included.] U.K.

Textual Amendments

(g)The operator shall ensure that all personnel are made aware that they shall comply with the laws, regulations and procedures of those States in which operations are conducted and that are pertinent to the performance of their duties.U.K.
[F6(h) The operator shall establish a checklist for each aircraft type to be used by crew members in all phases of flight under normal, abnormal and emergency conditions in order to ensure that the operating procedures in the operations manual are followed. The design and the usage of checklists shall observe human factors principles and take into account the latest relevant documentation from the design approval holder.] U.K.

Textual Amendments

(i)The operator shall specify flight planning procedures to provide for the safe conduct of the flight based on considerations of aircraft performance, other operating limitations and relevant expected conditions on the route to be followed and at the aerodromes or operating sites concerned. These procedures shall be included in the operations manual.U.K.
[F7(j) The operator shall establish and maintain dangerous goods training programmes for personnel as required by the technical instructions. Such training programmes shall be commensurate with the responsibilities of personnel. Training programmes of operators performing CAT, whether they transport dangerous goods or not, and of operators conducting operations other than CAT referred to in points (b), (c) and (d) of point ORO.GEN.005 that transport dangerous goods shall be subject to review and approval by the [F8CAA]. U.K.

Textual Amendments

F8Word in Annex 3 point ORO.GEN.110(j) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 359(3) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

[F9(k) Notwithstanding point (j), operators conducting commercial operations with either of the following aircraft shall ensure that the flight crew has received an appropriate dangerous goods training or briefing, to enable them to recognise undeclared dangerous goods brought on board by passengers or as cargo: U.K.
(1)

a single-engined propeller-driven aeroplane having an MCTOM of 5 700 kg or less and an MOPSC of 5 or less, operated in a flight taking off and landing at the same aerodrome or operating site, under VFR by day;

(2)

an other-than-complex motor-powered helicopter, single-engined, with an MOPSC of 5 or less, operated in a flight taking off and landing at the same aerodrome or operating site, under VFR by day.]]

Textual Amendments

ORO.GEN.115 [F2Application for an AOC] U.K.
(a)The application for an[F3air] operator certificate or an amendment to an existing certificate shall be made in a form and manner established by the [F10CAA], taking into account the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules.U.K.

Textual Amendments

(b)Applicants for an initial certificate shall provide the [F10CAA] with documentation demonstrating how they will comply with the requirements established in Regulation (EC) No 216/2008 and its Implementing Rules. Such documentation shall include a procedure describing how changes not requiring prior approval will be managed and notified to the [F10CAA].U.K.
ORO.GEN.120Means of complianceU.K.
(a)Alternative means of compliance to those adopted by the [F11CAA] may be used by an operator to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules.U.K.

Textual Amendments

(b)When an operator subject to certification wishes to use an alternative means of compliance to the acceptable means of compliance (AMC) adopted by the [F12CAA] to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules, it shall, prior to implementing it, provide the [F13CAA] with a full description of the alternative means of compliance. The description shall include any revisions to manuals or procedures that may be relevant, as well as an assessment demonstrating that the Implementing Rules are met.U.K.

The operator may implement these alternative means of compliance subject to prior approval by the [F13CAA] and upon receipt of the notification as prescribed in ARO.GEN.120(d).

Textual Amendments

[F4(c) An operator required to declare its activity shall notify to the [F14CAA] the list of alternative means of compliance it uses to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules.] U.K.

Textual Amendments

[F3(d) When an operator subject to SPO authorisation wishes to use alternative means of compliance, it shall comply with (b) whenever such alternative means of compliance affects the standard operating procedures that are part of the authorisation and with (c) for the declared part of its organisation and operation.] U.K.
ORO.GEN.125 [F2Terms of approval and privileges of an AOC holder] U.K.

A certified operator shall comply with the scope and privileges defined in the operations specifications attached to the operator’s certificate.

ORO.GEN.130 [F2Changes related to an AOC holder] U.K.
(a)Any change affecting:U.K.
(1)

the scope of the certificate or the operations specifications of an operator; or

(2)

any of the elements of the operator’s management system as required in ORO.GEN.200(a)(1) and (a)(2),

shall require prior approval by the [F15CAA].

Textual Amendments

(b)For any changes requiring prior approval in accordance with Regulation (EC) No 216/2008 and its Implementing Rules, the operator shall apply for and obtain an approval issued by the [F15CAA]. The application shall be submitted before any such change takes place, in order to enable the [F15CAA] to determine continued compliance with Regulation (EC) No 216/2008 and its Implementing Rules and to amend, if necessary, the operator certificate and related terms of approval attached to it.U.K.

The operator shall provide the [F15CAA] with any relevant documentation.

The change shall only be implemented upon receipt of formal approval by the [F15CAA] in accordance with ARO.GEN.330.

The operator shall operate under the conditions prescribed by the [F15CAA] during such changes, as applicable.

(c)All changes not requiring prior approval shall be managed and notified to the [F15CAA] as defined in the procedure approved by the [F15CAA] in accordance with ARO.GEN.310(c).U.K.
ORO.GEN.135 [F2Continued validity of an AOC] U.K.
[F6(a) The operator's certificate shall remain valid subject to all of the following: U.K.
(1)

the operator remaining in compliance with the relevant requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, taking into account the provisions related to the handling of findings as specified under point ORO.GEN.150 of this Annex;

(2)

the [F16CAA] being granted access to the operator as defined in point ORO.GEN.140 of this Annex to determine continued compliance with the relevant requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts;

(3)

the certificate not being surrendered or revoked.]

Textual Amendments

(b)Upon revocation or surrender the certificate shall be returned to the [F16CAA] without delay.U.K.
ORO.GEN.140AccessU.K.
[F6(a) For the purpose of determining compliance with the relevant requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, the operator shall grant access at any time to any facility, aircraft, document, records, data, procedures or any other material relevant to its activity subject to certification, SPO authorisation or declaration, whether it is contracted or not, to any person authorised by [F17the CAA]: U.K.
(1)

F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)

F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

F18Annex 3 point ORO.GEN.140(a)(1)(2) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 359(8)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

(b)Access to the aircraft mentioned under (a) shall [F3, in the case of CAT,] include the possibility to enter and remain in the aircraft during flight operations unless otherwise decided by the commander for the flight crew compartment in accordance with CAT.GEN.MPA.135 in the interest of safety.U.K.
ORO.GEN.150FindingsU.K.

After receipt of notification of findings, the operator shall:

(a)

identify the root cause of the non-compliance;

(b)

define a corrective action plan; and

(c)

demonstrate corrective action implementation to the satisfaction of the [F19CAA] within a period agreed with [F20the CAA] as defined in ARO.GEN.350(d).

Textual Amendments

ORO.GEN.155Immediate reaction to a safety problemU.K.

The operator shall implement:

(a)

any safety measures mandated by the [F21CAA] in accordance with ARO.GEN.135(c)F22...

(b)

F23. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F22Word in Annex 3 point ORO.GEN.155(a) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 359(10)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

ORO.GEN.160Occurrence reportingU.K.
[F6(a) The operator shall report to the [F24CAA], and to any other organisation required to be informed by the State of the operator, any accident, serious incident and occurrence as defined in Regulation (EU) No 996/2010 of the European Parliament and of the Council (1) and Regulation (EU) No 376/2014.] U.K.

Textual Amendments

[F25(b) Without prejudice to point (a) the operator shall report to the [F24CAA] and to the organisation responsible for the design of the aircraft any incident, malfunction, technical defect, exceeding of technical limitations or occurrence that would highlight inaccurate, incomplete or ambiguous information contained in the operational suitability data established in accordance with Regulation (EU) No 748/2012 or other irregular circumstance that has or may have endangered the safe operation of the aircraft and that has not resulted in an accident or serious incident.] U.K.

Textual Amendments

[F6(c) Without prejudice to Regulation (EU) No 996/2010 and Regulation (EU) No 376/2014, the reports referred in points (a) and (b) shall be made in a form and manner established by the [F24CAA] and shall contain all pertinent information about the conditions known to the operator.] U.K.
(d)Reports shall be made as soon as practicable, but in any case within 72 hours of the operator identifying the condition to which the report relates, unless exceptional circumstances prevent this.U.K.
(e)Where relevant, the operator shall produce a follow-up report to provide details of actions it intends to take to prevent similar occurrences in the future, as soon as these actions have been identified. This report shall be produced in a form and manner established by the [F24CAA].U.K.

SECTION 2U.K.Management

ORO.GEN.200Management systemU.K.
(a)The operator shall establish, implement and maintain a management system that includes:U.K.
(1)

clearly defined lines of responsibility and accountability throughout the operator, including a direct safety accountability of the accountable manager;

(2)

a description of the overall philosophies and principles of the operator with regard to safety, referred to as the safety policy;

(3)

the identification of aviation safety hazards entailed by the activities of the operator, their evaluation and the management of associated risks, including taking actions to mitigate the risk and verify their effectiveness;

(4)

maintaining personnel trained and competent to perform their tasks;

(5)

documentation of all management system key processes, including a process for making personnel aware of their responsibilities and the procedure for amending this documentation;

(6)

a function to monitor compliance of the operator with the relevant requirements. Compliance monitoring shall include a feedback system of findings to the accountable manager to ensure effective implementation of corrective actions as necessary; and

(7)

any additional requirements that are prescribed in the relevant Subparts of this Annex or other applicable Annexes.

(b)The management system shall correspond to the size of the operator and the nature and complexity of its activities, taking into account the hazards and associated risks inherent in these activities.U.K.
[F2ORO.GEN.205 Contracted activities U.K.
[F6(a) When contracting or purchasing any services or products as a part of its activities, the operator shall ensure all of the following: U.K.
(1)

that the contracted or purchased services or products comply with the applicable requirements;

(2)

that any aviation safety hazards associated with contracted or purchased services or products are considered by the operator's management system.]

(b) When the certified operator or the SPO authorisation holder contracts any part of its activity to an organisation that is not itself certified or authorised in accordance with this Part to carry out such activity, the contracted organisation shall work under the approval of the operator. The contracting organisation shall ensure that the [F26CAA] is given access to the contracted organisation, to determine continued compliance with the applicable requirements.] U.K.

Textual Amendments

ORO.GEN.210Personnel requirementsU.K.
(a)The operator shall appoint an accountable manager, who has the authority for ensuring that all activities can be financed and carried out in accordance with the applicable requirements. The accountable manager shall be responsible for establishing and maintaining an effective management system.U.K.
(b)A person or group of persons shall be nominated by the operator, with the responsibility of ensuring that the operator remains in compliance with the applicable requirements. Such person(s) shall be ultimately responsible to the accountable manager.U.K.
(c)The operator shall have sufficient qualified personnel for the planned tasks and activities to be performed in accordance with the applicable requirements.U.K.
(d)The operator shall maintain appropriate experience, qualification and training records to show compliance with point (c).U.K.
(e)The operator shall ensure that all personnel are aware of the rules and procedures relevant to the exercise of their duties.U.K.
ORO.GEN.215Facility requirementsU.K.

The operator shall have facilities allowing the performance and management of all planned tasks and activities in accordance with the applicable requirements.

ORO.GEN.220Record-keepingU.K.
(a)The operator shall establish a system of record-keeping that allows adequate storage and reliable traceability of all activities developed, covering in particular all the elements indicated in ORO.GEN.200.U.K.
(b)The format of the records shall be specified in the operator’s procedures.U.K.
(c)Records shall be stored in a manner that ensures protection from damage, alteration and theft.U.K.

[F27SECTION 3 U.K. Additional organisational requirements

ORO.GEN.310 Use of aircraft listed on an AOC for non-commercial operations and specialised operations U.K.
(a)

Aircraft listed on an operator's AOC may remain on the AOC if it is operated in any of the following situations:

(1)

by the AOC holder itself, for specialised operations in accordance with Annex VIII (Part-SPO);

(2)

by other operators, for non-commercial operations with motor-powered aircraft or for specialised operations performed in accordance with Annex VI (Part-NCC), Annex VII (Part-NCO) or Annex VIII (Part-SPO), provided that the aircraft is used for a continuous period not exceeding 30 days.

(b)

When the aircraft is used in accordance with point (a)(2), the AOC holder providing the aircraft and the operator using the aircraft shall establish a procedure:

(1)

clearly identifying which operator is responsible for the operational control of each flight and to describe how the operational control is transferred between them;

(2)

describing the handover procedure of the aircraft upon its return to the AOC holder.

That procedure shall be included in the operations manual of each operator or in a contract between the AOC holder and the operator using the aircraft in accordance with point (a)(2). The AOC holder shall establish a template of such contract. Point ORO.GEN.220 shall apply to the record-keeping of those contracts.

The AOC holder and the operator using the aircraft in accordance with point (a)(2) shall ensure that the procedure is communicated to the relevant personnel.

(c)

The AOC holder shall submit to the [F28CAA] the procedure referred to in point (b) for prior approval.

The AOC holder shall agree with the [F28CAA] on the means and on the frequency of providing it with information about transfers of operational control in accordance with point ORO.GEN.130(c).

(d)

The continuing airworthiness of the aircraft used in accordance with point (a) shall be managed by the organisation responsible for the continuing airworthiness of the aircraft included in the AOC, in accordance with Regulation (EU) No 1321/2014.

(e)

The AOC holder providing the aircraft in accordance with point (a) shall:

(1)

indicate in its operations manual the registration marks of the provided aircraft and the type of operations conducted with those aircraft;

(2)

remain informed at all times and keep record of each operator that holds the operational control of the aircraft at any given moment until the aircraft is returned to the AOC holder;

(3)

ensure that its hazard identification, risk assessment and mitigation measures address all the operations conducted with those aircraft.

(f)

For operations under Annex VI (Part-NCC) and Annex VIII (Part-SPO), the operator using the aircraft in accordance with point (a) shall ensure all of the following:

(1)

that every flight conducted under its operational control is recorded in the aircraft technical log system;

(2)

that no changes to the aircraft systems or configuration are made;

(3)

[F29that any defect or technical malfunction occurring while the aircraft is under its operational control is reported to the organisation referred in point (d);]

(4)

that the AOC holder receives a copy of any occurrence report related to the flights performed with the aircraft, completed in accordance with Regulation (EU) No 376/2014 and Commission Implementing Regulation (EU) 2015/1018 (2) .]

Textual Amendments

F28Word in Annex 3 point ORO.GEN.310 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 65

Textual Amendments

(1)

[F6Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC ( OJ L 295, 12.11.2010, p. 35 ).]

(2)

[F27Commission Implementing Regulation (EU) 2015/1018 of 29 June 2015 laying down a list classifying occurrences in civil aviation to be mandatorily reported according to Regulation (EU) No 376/2014 of the European Parliament and of the Council ( OJ L 163, 30.6.2015, p. 1 ).]

Textual Amendments