AVTE 2208 Air Legislation PDF

AVTE 2208 Air Legislation Regulatory Framework Lecturer: C O’Callaghan. For training use only.  AVTE...

AVTE 2208 Air Legislation Regulatory Framework Lecturer: C O’Callaghan. For training use only.  AVTE 2208 Air legislation: Regulatory Framework Important! These lecture slides are for training use only and are not a live document. For the most up to date information and regulations, refer directly to EASA or other applicable agency. Lecturer: C O’Callaghan. For training use only.  AVTE 2208 Air legislation: Regulatory Framework Overview -Role of International Civil Aviation Organisation -EU Legal Framework, Principles and structure -Role of EASA -Role of the Member States  AVTE 2208 Air legislation: Regulatory Framework Role of the International Civil Aviation Organisation Regulatory Framework References: EASA Regulation (EC) No. 2018/1139 Aims and Objectives and further EASA Regulation (EU) No. 748/2012 In promulgating safety and airworthiness information reading material EASA Regulation (EU) No. 1321/2014 internationally, the aims and objectives of the ICAO are to EASA Regulation (EU) No. 965/2012 develop the principles and techniques of inter-national air navigation and to foster the planning and development of international air transport so as to: http://www.icao.int http://www.easa.europa.eu 1. Ensure the safe and orderly growth of international civil http://eur-lex.europa.eu aviation throughout the world. 2. Encourage the arts of aircraft design and operation for peaceful purposes. International Civil Aviation Organisation (ICAO) 3. Encourage the development of airways, airports and air navigation facilities for inter-national civil aviation. Meet History the needs of the peoples of the world for safe, regular, After the Second World War international air travel was in its efficient and economical air transport. infancy, however technological development was moving at a 4. Prevent economic waste caused by unreasonable rapid pace, not least because of the development of the Gas competition. Turbine Engine. The opportunity to transport many persons 5. Ensure that the rights of the Contracting States are fully across long distances was becoming a reality, but there were respected and that every Contracting State has a fair no common standards between countries. opportunity to operate international airlines. 6. Avoid discrimination between Contracting States. 7. Promote safety of flight in international air navigation. 8. Promote generally the development of all aspects of International civil aeronautics. 1-5 FOR TRAINING PURPOSE ONLY Regulatory Framework The ICAO Headquarters in Montreal, Canada 1-6 FOR TRAINING PURPOSE ONLY Regulatory Framework The Chicago Convention The American Government recognised this fact and brought peoples upon which the peace of the world together the allied nations in 1944 to discuss the issue. The depends; outcome of 5 weeks of discussion was the Convention on International Civil Aviation. The convention consists of a THEREFORE, the undersigned governments preface and 96 Articles. having agreed on certain principles and arrangements in order that international civil An organisation was needed to develop these articles and as a aviation may be developed in a safe and orderly result the ICAO came into existence in 1947, based in Montreal manner and that international air transport Canada. The ICAO is one of the many Agencies of the United services may be established on the basis of Nations (UN). equality of opportunity and operated soundly and economically; Convention on International Civil Aviation (also known as Chicago Convention), was signed on 7 December 1944 by 52 Have accordingly concluded this Convention to States. Pending ratification of the Convention by 26 States, the that end." Provisional International Civil Aviation Organization (PICAO) was established. It functioned from 6 June 1945 until 4 April 1947. By 5 March 1947 the 26th ratification was received. ICAO Each member country of the ICAO is known as a ‘Contracting came into being on 4 April 1947. In October of the same year, State’ due to their contractual commitment to the Chicago ICAO became a specialized agency of the United Nations Convention. linked to Economic and Social Council (ECOSOC). The Convention on International Civil Aviation set forth the purpose of ICAO: "WHEREAS the future development of international civil aviation can greatly help to create and preserve friendship and understanding among the nations and peoples of the world, yet its abuse can become a threat to the general security; and WHEREAS it is desirable to avoid friction and to promote that co-operation between nations and 1-7 FOR TRAINING PURPOSE ONLY Regulatory Framework The Convention on International Civil Aviation (also known as Chicago Convention), was signed on 7 December 1944 by 52 States 1-8 FOR TRAINING PURPOSE ONLY Regulatory Framework How it Works The constitution of ICAO is the Convention on International Civil Bureau, the Technical Co-operation Bureau, the Legal Bureau, Aviation, drawn up by a conference in Chicago in November and the Bureau of Administration and Services. In order that and December 1944, and to which each ICAO Contracting the work of the Secretariat shall reflect a truly international State is a party. According to the terms of the Convention, the approach, professional personnel are recruited on a broad Organization is made up of an Assembly, a Council of limited geographical basis. membership with various subordinate bodies and a Secretariat. The chief officers are the President of the Council and the ICAO works in close co-operation with other members of the Secretary General. United Nations family such as the World Meteorological Organization, the International Telecommunication Union, the The Assembly, composed of representatives from all Universal Postal Union, the World Health Organization and the Contracting States, is the sovereign body of ICAO. It meets International Maritime Organization. Non-governmental every three years, reviewing in detail the work of the organizations which also participate in ICAO's work include the Organization and setting policy for the coming years. It also International Air Transport Association, the Airports Council votes a triennial budget. International, the International Federation of Air Line Pilots' Associations, and the International Council of Aircraft Owner The Council, the governing body which is elected by the and Pilot Associations. Assembly for a three-year term, is composed of 36 States. The Current Membership Assembly chooses the Council Member States under three headings: States of chief importance in air transport, States There are currently 191 ICAO members, consisting of 190 of which make the largest contribution to the provision of facilities the 193 UN members (all but Dominica, Liechtenstein, and for air navigation, and States whose designation will ensure that Tuvalu), plus the Cook Islands. all major areas of the world are represented. As the governing body, the Council gives continuing direction to the work of Liechtenstein has delegated Switzerland to implement the ICAO. It is in the Council that Standards and Recommended treaty to make it applicable in the territory of Liechtenstein. Practices are adopted and incorporated as Annexes to the The International Standards and Codes Convention on International Civil Aviation. The Council is assisted by the Air Navigation Commission (technical matters), Since its creation the main achievement of ICAO has been to the Air Transport Committee (economic matters), the establish a set of standards in the operation of a safe, regular Committee on Joint Support of Air Navigation Services and the and efficient service. Finance Committee. ICAO also standardizes certain functions for use in the airline The Secretariat, headed by a Secretary General, is divided into industry, such as the Aeronautical Message Handling System five main divisions: the Air Navigation Bureau, the Air Transport (AMHS), making it a standards organization. 1-9 FOR TRAINING PURPOSE ONLY Regulatory Framework Each country should have an accessible Aeronautical operator name. For example, the identifier for Japan Airlines Information Publication (AIP), based on standards defined by International is JAL and the designator is Japan Air, but Aer ICAO, containing information essential to air navigation. Lingus is EIN and Shamrock. Thus, a Japan Airlines flight Countries are required to update their AIP manuals every 28 numbered 111 would be written as "JAL111" and pronounced days and so provide definitive regulations, procedures and "Japan Air One One One" on the radio, while a similarly information for each country about airspace and aerodromes. numbered Aer Lingus would be written as "EIN111" and ICAO's standards also dictate that temporary hazards to aircraft pronounced "Shamrock One One One". are regularly published using NOTAMs. ICAO maintains the standards for aircraft registration ("tail ICAO defines an International Standard Atmosphere (also numbers"), including the alphanumeric codes that identify the known as ICAO Standard Atmosphere), a model of the country of registration. For example, airplanes registered in the standard variation of pressure, temperature, density, and United States have tail numbers starting with N. viscosity with altitude in the Earth's atmosphere. This is useful in calibrating instruments and designing aircraft. ICAO is also responsible for issuing alphanumeric aircraft type codes containing two to four characters. These codes provide ICAO is active in infrastructure management, including the identification that is typically used in flight plans. The Boeing Communication, Navigation, Surveillance / Air Traffic 747 would use B741, B742, B743, etc., depending on the Management (CNS/ATM) systems, which employ digital particular variant. Standardisation has been achieved through technologies (like satellite systems with various levels of the creation of 19 Annexes to the Convention, known as automation) in order to maintain a seamless global air traffic International Standards and Recommended Practices. The management system. difference between the two is that a standard is essential and recommended practice is desirable. If a member state has a Both ICAO and IATA have their own airport and airline code standard different from ICAO then it must inform ICAO of the systems. ICAO uses 4-letter airport codes (vs. IATA's 3-letter difference. codes). The ICAO code is based on the region and country of the airport—for example, Charles de Gaulle Airport has an Because aeronautical technology is continuously developing, ICAO code of LFPG, where L indicates Southern Europe, F, the Annexes are constantly reviewed and updated when France, PG, Paris de Gaulle. necessary. The typical content of an Annex is based upon: ICAO also assigns 3-letter airline codes (versus the more- 1. Standards intended as specifications when their familiar 2-letter IATA codes—for example, UAL vs. UA for application is considered as necessary for the safety and United Airlines). ICAO also provides telephony designators to regularity of international air navigation. aircraft operators worldwide, a one- or two-word designator used on the radio, usually, but not always, similar to the aircraft 1-10 FOR TRAINING PURPOSE ONLY Regulatory Framework 2. Recommended practices intended as specifications when their application is considered as a recommendation in the interest of safety, regularity, and efficiency of international air navigation. 3. Appendices dealing with the preceding points. 4. Definitions of the used terminology. In Europe, the applicable EASA certification standards for the certification of aircraft to be internationally recognized are issued in accordance with the ICAO Annexes. Then, from a practical point of view, the certification process is based on these airworthiness standards rather than (directly) on the ICAO International Standards. 1-11 FOR TRAINING PURPOSE ONLY Regulatory Framework The 19 Annexes are described as follows: Annex 1 Personnel Licensing - provides information on licensing of Annex 11 Air Traffic Services - includes information on establishing and flight crews, air traffic controllers, and aircraft maintenance operating ATC, flight information, and alerting services. personnel, including medical standards for flight crews and air traffic controllers. Annex 12 Search and Rescue - provides information on organization and operation of facilities and services necessary for search and Annex 2 Rules of the Air - contains rules relating to visual and instrument- rescue (SAR). aided flight. Annex 13 Aircraft Accident and Incident Investigation - provides for Annex 3 Meteorological Service for International Air Navigation - provides uniformity in notifying, investigating, and reporting on aircraft meteorological services for international air navigation and accidents. reporting of meteorological observations from aircraft. Annex 14 Aerodromes - contains specifications for the design and Annex 4 Aeronautical Charts - contains specifications for the aeronautical equipment of aerodromes. charts used in international aviation. Annex 15 Aeronautical Information Services - includes methods for Annex 5 Units of Measurement to be used in Air and Ground Operations – collecting and disseminating aeronautical information required lists dimensional systems to be used in air and ground operations. for flight operations. Annex 6 Operation of Aircraft - enumerates specifications to ensure a level Annex 16 Environmental Protection of safety above a prescribed minimum in similar operations - Volume 1 contains specifications for aircraft noise throughout the world. The three parts of this Annex are as follows: certification, noise monitoring, and noise exposure - Part I. International Commercial Air Transport - Airplanes units for land-use planning, - Part II. International General Aviation - Airplanes - Volume 2 contains specifications for aircraft engine - Part III. International Operations - Helicopters. emissions. Annex 7 Aircraft Nationality and Registration Marks - specifies Annex 17 Security - Safeguarding International Civil Aviation against Acts requirements for registration and identification of aircraft. of Unlawful Interference - specifies methods for safeguarding international civil aviation against unlawful acts of interference. Annex 8 Airworthiness of Aircraft - specifies uniform procedures for certification and inspection of aircraft. Annex 18 The Safe Transport of Dangerous Goods by Air - specifies requirements necessary to ensure hazardous materials are Annex 9 Facilitations - provides for the standardization and simplification of safely transported in aircraft while providing a level of safety border crossing formalities. that protects the aircraft and its occupants from undue risk. Annex 10 Aeronautical Telecommunications - Volume 1 provides for Annex 19 Safety Management - The Safety Management System (SMS) standardizing communications equipment and systems, Volume 2 framework applies to organizations responsible for the type standardizes communications procedures. design and manufacture of aircraft 1-12 FOR TRAINING PURPOSE ONLY  AVTE 2208 Air legislation: Regulatory Framework EU Legal Framework, Principles and structure Regulatory Framework European Union (EU) Current Member States of the EU The European Union (EU) is a politico-economic union of 27 (year of entry) member states that are located primarily in Europe. The EU operates through a system of supranational institutions and Austria (1995) intergovernmental negotiated decisions by the member states. Belgium (1958) Bulgaria (2007) The institutions are: Croatia (2013) Cyprus (2004) the European Commission, Czech Republic (2004) the Council of the European Union, Denmark (1973) the European Council, Estonia (2004) the Court of Justice of the European Union, Finland (1995) the European Central Bank, France (1958) the Court of Auditors, and Germany (1958) the European Parliament. Greece (1981) Hungary (2004) The European Parliament is elected every five years by EU Ireland (1973) citizens. Italy (1958) Latvia (2004) The EU traces its origins from the European Coal and Steel Lithuania (2004) Community (ECSC) and the European Economic Community Luxembourg (1958) (EEC), formed by the Inner Six countries in 1951 and 1958, Malta (2004) respectively. In the intervening years, the community and its Netherlands (1958) successors have grown in size by the accession of new Poland (2004) member states and in power by the addition of policy areas to Portugal (1986) its remit. The Maastricht Treaty established the European Romania (2007) Union under its current name in 1993 and introduced the Slovakia (2004) European Citizenship. The latest major amendment to the Slovenia (2004) constitutional basis of the EU, the Treaty of Lisbon, came into Spain (1986) force in 2009. Sweden (1995) United Kingdom (1973) 1-14 FOR TRAINING PURPOSE ONLY Regulatory Framework 1-15 FOR TRAINING PURPOSE ONLY Regulatory Framework European Council The European Council gives direction to the EU, and convenes at least four times a year. It comprises the President of the European Council, the President of the European Commission and one representative per member state; either its head of state or head of government. The European Council has been described by some as the Union's "supreme political authority". It is actively involved in the negotiation of the treaty changes and defines the EU's policy agenda and strategies. The European Council uses its leadership role to sort out disputes between member states and the institutions, and to resolve political crises and disagreements over controversial issues and policies. It acts externally as a "collective head of state" and ratifies important documents (for example, international agreements and treaties). 1-16 FOR TRAINING PURPOSE ONLY Regulatory Framework European Commission The European Commission acts as the EU's executive arm and is responsible for initiating legislation and the day-to-day running of the EU. The Commission is also seen as the motor of European integration. It operates as a cabinet government, with 27 Commissioners for different areas of policy, one from each member state, though Commissioners are bound to represent the interests of the EU as a whole rather than their home state. The European Commission is responsible for proposing new directives as and when required. 1-17 FOR TRAINING PURPOSE ONLY Regulatory Framework European Parliament Council of the European Union The European Parliament forms one half of the EU's legislature The Council of the European Union (also called the "Council" (the other half is the Council of the European Union). The 751 and sometimes referred to as the "Council of Ministers") forms Members of the European Parliament (MEPs) are directly the other half of the EU's legislature. It consists of a government elected by EU citizens every five years on the basis of minister from each member state and meets in different proportional representation. Although MEPs are elected on a compositions depending on the policy area being addressed. national basis, they sit according to political groups rather than Notwithstanding its different configurations, it is considered to their nationality. be one single body. In addition to its legislative functions, the Council also exercises executive functions in relations to the Each country has a set number of seats and is divided into sub- Common Foreign and Security Policy. national constituencies where this does not affect the proportional nature of the voting system. The Council and the Parliament are together responsible for debating, drafting and adopting legislature as proposed by the The Parliament and the Council of the European Union pass European Commission. Hence the Directives are known as legislation jointly in nearly all areas under the ordinary codecisions (co-decisions). legislative procedure. This also applies to the EU budget. Finally, the Commission is accountable to Parliament, requiring How it works: European laws its approval to take office, having to report back to it and subject (https://youtu.be/ypMvDKW5qm0) to motions of censure from it. The President of the European Parliament carries out the role of speaker in parliament and represents it externally. The EP President and Vice-Presidents are elected by MEPs every two and a half years. 1-18 FOR TRAINING PURPOSE ONLY Regulatory Framework 1-19 FOR TRAINING PURPOSE ONLY Regulatory Framework European Commission (EC) The European Commission is one of the main institutions of the The Commission represents and upholds the interests of the European Union. It represents and upholds the interests of the EU as a whole. It oversees and implements EU policies by: EU as a whole. It drafts proposals for new European laws. It manages the day-to-day business of implementing EU policies proposing new laws to Parliament and the Council and spending EU funds. managing the EU's budget and allocating funding enforcing EU law (together with the Court of Justice) Composition representing the EU internationally, for example, by The 27 Commissioners, one from each EU country, provide the negotiating agreements between the EU and other Commission’s political leadership during their 5-year term. countries. Each Commissioner is assigned responsibility for specific policy areas by the President. Proposing new laws The Commission has the 'right of initiative' – it can propose new The President is nominated by the European Council. The laws to protect the interests of the EU and its citizens. It does Council also appoints the other Commissioners in agreement this only on issues that cannot be dealt with effectively at with the nominated President. national, regional or local level (subsidiarity principle). The appointment of all Commissioners, including the President, When the Commission proposes a law, it tries to satisfy the is subject to the approval of the European Parliament. In office, widest possible range of interests. To get the technical details they remain accountable to Parliament, which has sole power right, it consults experts through various committees and to dismiss the Commission. groups. It also holds public consultations. The day-to-day running of the Commission is taken care of by The Commission’s departments produce a draft of the the Commission’s staff – administrators, lawyers, economists, proposed new law. If at least 14 of the 27 Commissioners agree translators, interpreters, secretarial staff, etc. organised in with it, the draft is then sent to the Council and Parliament. After departments known as Directorates-General (DGs). debating and amending the draft, they decide whether to adopt it as a law. The term ‘Commission’ can be used to refer to the 27 individual Commissioners, the permanent staff or the institution as a whole. 1-20 FOR TRAINING PURPOSE ONLY Regulatory Framework Managing the EU’s budget and allocating funding With the Council and Parliament, the Commission sets broad How it works: Press start to legislate long-term spending priorities for the EU in the EU 'financial (https://youtu.be/E_GlgWcn4Zs) framework'. It also draws up an annual budget for approval by Parliament and the Council, and supervises how EU funds are spent – by agencies and national and regional authorities, for instance. The Commission’s management of the budget is scrutinised by the Court of Auditors. Enforcing European law As 'guardian of the Treaties', the Commission checks that each member country is applying EU law properly. If it thinks a national government is failing to apply EU law, the Commission first sends an official letter asking it to correct the problem. As a last resort, the Commission refers the issue to the Court of Justice. The Court can impose penalties, and its decisions are binding on EU countries and institutions. Representing the EU Internationally The Commission speaks on behalf of all EU countries in international bodies like the World Trade Organisation. It also negotiates international agreements for the EU such as the Cotonou Agreement (on aid and trade between the EU and developing countries in Africa, the Caribbean and the Pacific). Location The Commission is based in Brussels and Luxembourg and has offices (representations) in every EU country and delegations in capital cities around the world. 1-21 FOR TRAINING PURPOSE ONLY Regulatory Framework EU Agencies An agency of the European Union is a decentralised body of European Food Safety Authority (EFSA) the European Union (EU), which is distinct from the institutions. European Foundation for the Improvement of Living and Agencies are established to accomplish specific tasks. Each Working Conditions (EUROFOUND) agency has its own legal personality. Some answer the need to European GNSS Agency (GSA) develop scientific or technical know-how in certain fields, others European Institute for Gender Equality (EIGE) bring together different interest groups to facilitate dialogue at European Insurance and Occupational Pensions European and international level. Authority (EIOPA) European Maritime Safety Agency (EMSA) There are over 40 agencies. Here are some examples: European Medicines Agency (EMA) European Monitoring Centre for Drugs and Drug Agency for the Cooperation of Energy Regulators Addiction (EMCDDA) (ACER) European Network and Information Security Agency Body of European Regulators for Electronic (ENISA) Communications (BEREC) European Police College (CEPOL) Community Plant Variety Office (CPVO) European Police Office (EUROPOL) European Agency for Safety and Health at Work (EU- European Public Prosecutor's Office (in preparation) OSHA) (EPPO) European Agency for the Management of Operational European Railway Agency (ERA) Cooperation at the External Borders (FRONTEX) European Securities and Markets Authority (ESMA) European Agency for the operational management of European Training Foundation (ETF) large-scale IT systems in the area of freedom, security European Union Agency for Fundamental Rights (FRA) and justice (eu-LISA) Office for Harmonisation in the Internal Market (OHIM) European Asylum Support Office (EASO) Single Resolution Board (SRB) European Aviation Safety Agency (EASA) The European Union’s Judicial Cooperation Unit European Banking Authority (EBA) (EUROJUST) European Centre for Disease Prevention and Control Translation Centre for the Bodies of the European Union (ECDC) (CdT) European Centre for the Development of Vocational Training (Cedefop) European Chemicals Agency (ECHA) European Environment Agency (EEA) European Fisheries Control Agency (EFCA) 1-22 FOR TRAINING PURPOSE ONLY Regulatory Framework 27 28 1-23 FOR TRAINING PURPOSE ONLY  AVTE 2208 Air legislation: Regulatory Framework Role of EASA Regulatory Framework European Aviation Safety Agency (EASA) General The European Aviation Safety Agency (EASA) is a European Union (EU) agency with regulatory and executive tasks in the field of civilian aviation safety. Based in Cologne, Germany, the EASA was created on 15 July 2003, by the European Parliament and it reached full functionality in 2008, taking over functions of the Joint Aviation Authorities (JAA). The responsibilities of EASA include to conduct analysis and research of safety, authorizing foreign operators, giving advice for the drafting of EU legislation, implementing and monitoring safety rules (including inspections in the member states), giving type-certification of aircraft and components as well as the approval of organizations involved in the design, manufacture and maintenance of aeronautical products. 1-25 FOR TRAINING PURPOSE ONLY Regulatory Framework 1-26 FOR TRAINING PURPOSE ONLY Regulatory Framework EASA Member States Before EASA The member states of EASA are (27 Members + 4 Associates): Prior to EASA being formed there was a European organization called the Joint Aviation Authorities (JAA). This was an Austria organization of various European states that standardized their Belgium regulations, in accordance with the ICAO Annexes. Upon Bulgaria formation of EASA it was stated that EASA would take over all Croatia Cyprus functions of the JAA. By 2010 the JAA ceased to exist, however Czech Republic all of the regulations produced by the JAA are incorporated into Denmark EASA regulations. Estonia Finland The JAA was dissolved in June 2009. Therefore, the JAA no France longer exists, and all the Joint Aviation Regulations (JARs) Germany Greece have been superseded by equivalent EASA Regulations. Hungary Iceland* The JAA was headquartered at Hoofddorp, North Holland. One Ireland * These Countries participate in the difference between EASA and JAA is that EASA has legal Italy activities of EASA under Article 66 of regulatory authority within the European Union (EU) through Latvia the Basic Regulation and are the enactment of its regulations through the European Liechtenstein* members of the Management Board Lithuania Commission, Council of the European Union and European Luxembourg without voting rights. Parliament, while most of the JAA regulatory products were Malta harmonized codes without direct force of law. Also, some JAA Netherlands nations such as Turkey were outside the EU whereas by Norway* definition, EASA is an agency of the EU and other nations adopt Poland its rules and procedures on a voluntary basis. Portugal Romania Slovakia Slovenia Spain Sweden Switzerland* 1-27 FOR TRAINING PURPOSE ONLY Regulatory Framework EASA, based in Cologne, Germany, was formed by the European Parliament 1-28 FOR TRAINING PURPOSE ONLY Regulatory Framework Jurisdiction EASA has jurisdiction over new type certificates and other design-related airworthiness approvals for aircraft, engines, propellers and parts. EASA works with the National Aviation Authorities (NAAs) of the EU members but has taken over many of their functions in the interest of aviation standardization across the EU and non-EU members in Europe. EASA is also responsible for assisting the European Commission in negotiating international harmonization agreements with the 'rest of the world' on behalf of the EU member states and also concludes technical agreements at a working level directly with its counterparts around the world such as the US Federal Aviation Administration (FAA). EASA also sets policy for aeronautical repair stations (Part-145 organizations in Europe and the US – also known as Part 571 organizations in Canada) and issues repair station certificates for repair stations located outside the EU (which permits foreign repair stations to perform work acceptable to the European Union on EU aircraft). EASA has developed regulations for air operations, flight crew licensing and non-EU aircraft used in the EU. 1-29 FOR TRAINING PURPOSE ONLY Regulatory Framework Note: The UK is no longer an EU member state or a member 27 of EASA since Jan 1st 2021. 1-30 FOR TRAINING PURPOSE ONLY Regulatory Framework Purpose of EASA The European Aviation Safety Agency (The Agency) is the Ensure that they are applied uniformly in Europe and centre-piece of the European Union’s strategy for aviation that any necessary safeguard measures are safety. EASA’s mission is to promote the highest common implemented; standards of safety and environmental protection in civil Promote the spread of standards worldwide. aviation. The Agency may adopt various types of act. It may: The agency’s responsibilities include: Take binding individual decisions by granting aircraft Expert advice to the EU on the drafting new legislation; type certificates and by conducting inspections and Developing, implementing and monitoring safety rules, investigations; including inspections in the Member States; Issue non-binding documents containing certification Type-certification of aircraft and components, as well as specifications, acceptable means of compliance and the approval of organizations involved in the design, guidance material (for use in the certification process) manufacture and maintenance of aeronautical products; and present opinions to the European Commission on Certification of personnel and organizations involved in the essential requirements and implementing rules to be the operation of aircraft; adopted. Certification of organizations providing pan-European services; EASA Structure Certification of organizations located outside the territory The National aviation authorities of the EU member states are subject to the EC law and responsible for providing known as EASA ‘Competent Authorities’ (CAs). The services or training in the Member States where EC law Competent Authorities are responsible for administering and applies; enforcing the Rules and Regulations produced by EASA. Authorization of third-country (non EU) operators; Safety analysis and research, including publication of an The CAs are also responsible for maintaining an individual Annual Safety Review. register of aircraft for their state, and a register of organizations (such as airline companies operating under an Air Operator The Agency's tasks are to: Certificate (AOC) situated in their territories. Help the Community legislature draw up common standards to ensure the highest possible levels of safety and environmental protection; 1-31 FOR TRAINING PURPOSE ONLY Regulatory Framework The EASA administrative structure (correct at July 2019) 1-32 FOR TRAINING PURPOSE ONLY Regulatory Framework Aircraft Exempt from EASA Regulations All aircraft are covered by Regulation (EC) 2018/1139 except for those excluded by Article 2 and Annex I which comprises those engaged in military, customs, police or similar services. In addition, Annex I of 2 0 1 8 / 1 1 3 9 also excludes historical aircraft which are very few in number, experimental aircraft, homebuilt aircraft, microlight aircraft, gliders of very light weight and very light unmanned aircraft. The definition of the word ‘aircraft’ is found in Article 2 of Regulation (EC) No 1321/2014 as follows: ‘aircraft’ means any machine that can derive support in the atmosphere from the reactions of the air other than reactions of the air against the earth’s surface Aircraft used for carrying out military, customs, police, search and rescue, firefighting, coastguard or similar activities or service are considered “government aircraft” and are not operated or maintained under EASA Regulations. 1-33 FOR TRAINING PURPOSE ONLY Regulatory Framework Aircraft Exempt from EASA Regulations (2018/1139 Article 2 (3)) 1-34 FOR TRAINING PURPOSE ONLY  Regulatory Framework Aircraft Exempt from EASA Regulations (2018/1139 Annex I) 1-35 FOR TRAINING PURPOSE ONLY Regulatory Framework Homebuilt aircraft, like this 90% scale Spitfire, and this ‘historic’ aircraft, the Avro Lancaster, are “EASA exempt” under Annex I of the Basic Regulation and are therefore maintained and flown under National regulations 1-36 FOR TRAINING PURPOSE ONLY Regulatory Framework Relationships with Other Organizations The EASA works closely with representatives of other 4. Accident investigation bodies issue safety organizations to ensure that it takes their views into account. recommendations and analysis that guide the agency’s Examples are shown below: safety strategy. 1. Interested parties in industry, which are subject to rules Structure of EASA Regulations drafted by the EASA, are pivotal in ensuring the success The EASA Regulations are written and issued, by the EASA, of civil aviation safety standards by assisting in the for and on behalf of the EU parliament. Once done so, they are drafting and correct application of European Community written into the Official Journal of the European Union. This and EASA rules. European aviation authorities perform Journal can be viewed online at http://eur-lex.europa.eu. a critical role in assisting the EASA with the performance of its core rulemaking, certification, and standardization The drafting and approval of rules (“rulemaking”) is a lengthy functions. process, and involvement of the EU National Aviation Authorities (NAAs) is maintained throughout via its Advisory 2. International aviation organizations such as Group of National Authorities (AGNA). EUROCONTROL and the International Civil Aviation Organization (ICAO) work together with the EASA to Each Part consists of two sub-sections, A and B. promote international civil aviation standards. Sub-section A contains the implementing rules for personnel 3. International aviation authorities such as the Federal and organization. Aviation Administration, Transport Canada, DAC/CTA (Brazil), and the Interstate Aviation Committee (Russia) Sub-section B contains the implementing rules to enable the work with the EASA to ensure compliance with Competent Authorities of EASA to carry out their duties. international standards and to facilitate trade in aeronautical products. The Sub-section paragraphs can be recognized by the inclusion of the letters ‘A’ or ‘B’ as appropriate in the paragraph Of particular note at this time is the imminent trilateral number, such as 66.A.15, and 66.B.15. agreement between EASA, FAA and Transport Canada to release to service components certified by these organizations in each other’s country, without the Form 1 (or 8130-3) having a dual release requirement. 1-37 FOR TRAINING PURPOSE ONLY Regulatory Framework Regulation (EC) No. 2018/1139 Regulation (EU) No. 748/2012 Regulation (EU) No. 1321/2014 1-38 FOR TRAINING PURPOSE ONLY Regulatory Framework Soft Law and Hard Law EASA regulations are divided into recommendations (soft law) and standards (hard law). Hard law is binding for all member states and established by the EU Commission, EU Parliament or the EU Council; whereas soft law; Acceptable Means of Compliance (AMC), Guidance Material (GM) and Certification Specification (CS) are not binding. Acceptable means of Compliance (AMC) illustrate a means, but not the only means, by which a requirement contained in an EASA airworthiness code or an implementing rule of the Basic Regulation, can be met. An applicant correctly implementing an AMC issued by EASA is assured of acceptance of compliance. The soft regulations are established directly by EASA itself. 1-39 FOR TRAINING PURPOSE ONLY Regulatory Framework 2018/1139 Note: The ‘Basic Regulation’ 216/2008 was replaced by Regulation 2018/1139. The ‘Basic Regulation’ is now 2018/1139. 1-40 FOR TRAINING PURPOSE ONLY Regulatory Framework Regulation (EC) No 2018/1139 The Basic Regulation The basic regulation establishes common essential requirements to provide for a high uniform level of civil aviation safety. It applies to the design, production, maintenance and operation of aeronautical products parts and appliances as well as personnel and organizations involved in the design production and maintenance of products parts and appliances it also applies to personnel and organizations involved in the operation of aircraft. Regulation 2018/1139 does not apply to products, parts, appliances, personnel or organizations are engaged in military, customs, police or similar services. Regulation (EU) No 748/2012 Initial Airworthiness This lays down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations. It has been amended by Commission Regulation (EU) No 7/2013. 1-41 FOR TRAINING PURPOSE ONLY  Regulatory Framework Regulation (EU) No 748/2012 contains Annex I - Part-21; the implementing rules for initial certification of aircraft and environmental standards. To provide detailed assistance to manufacturers, Certification Specifications (CS) are also provided to amplify this regulation. Examples as per below are: CS-22 (Sailplanes and Powered Sailplanes) CS-23 (Normal, Utility, Aerobatic and Commuter Aeroplanes) CS-25 (Large Aeroplanes) CS-27 (Small Rotorcraft) CS-29 (Large Rotorcraft) CS-31HB (Hot Air Balloons) CS-34 (Aircraft Engine Emissions and Fuel Venting) CS-36 (Aircraft Noise) CS-APU (Auxiliary Power Units) CS-AWO (All Weather Operation) CS-E (Engines) CS-ETSO (European Technical Standard Orders) CS-Definitions (Definitions and Abbreviations) CS-P (Propellers) CS-VLA (Very Light Aeroplanes) CS-VLR (Very Light Rotorcraft) These are also known as “airworthiness codes” and are based upon (and in most cases are identical to) the JAA codes which they replace. 1-42 FOR TRAINING PURPOSE ONLY Regulatory Framework Regulation (EU) No.1321/2014 Continuing Airworthiness Regarding the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organizations and personnel involved in these. Consists of the following main Annexes: Annex I Part-M Management of Continuing Airworthiness Annex ll Part-145 Approval of Maintenance Organisations Commercial and Large Aircraft Regulation 1321/2024 will Annex lll Part-66 Licensing of Aircraft be covered in greater Maintenance Engineers and detail during the course Certifying Staff and will expand on each Annex lV Part-147 Approval of Training Annex in further detail. Organisations Annex Va Part- T Continuing Airworthiness requirements for aircraft registered in a third country To assist organisations and individuals to comply with this regulation Acceptable Means of Compliance (AMC) and Guidance Material (GM) is provided where applicable, relevant to the appropriate annex paragraph. If an organisation wishes to achieve compliance with a regulation by some alternative to the AMC as published, then it can do so providing it can demonstrate that the alternative method of compliance is acceptable to the relevant National Aviation Authority (NAA). 1-43 FOR TRAINING PURPOSE ONLY Regulatory Framework Acceptable Means of Compliance (AMC) and Guidance Material (GM) The term Acceptable Means of Compliance (AMC) as referred to in Articles 18 and 19 of the Basic Regulation and its implementing rules is primarily used to qualify technical interpretative material to be used in the EASA certification process. In this respect, the AMC serve as means by which the certification requirements contained in the Basic Regulation, and its implementing rules, and more specifically in their annexes (also referred as "Parts"), can be met by the applicant. Acceptable Means of Compliance (AMC) and Guidance Material (GM) illustrate a means, but not the only means, by which a requirement contained in an EASA airworthiness code or an implementing rule of the Basic Regulation, can be met. An applicant correctly implementing an AMC/GM issued by EASA is assured of acceptance of compliance. As such published acceptable means of compliance / guidance material are not the only means to show compliance, the applicant may decide to show compliance by other means. When so doing it does not need to justify why an alternative is used, but the burden of proof that the requirement is met relies entirely with it. 1-44 FOR TRAINING PURPOSE ONLY Regulatory Framework Part-66: Certifying Staff EASA Part-M: Continuing Airworthiness In Europe, Aircraft Maintenance Certifying Personnel have to EASA Part-M consists of several subparts. The noteworthy comply with Part-66 Certifying Staff of the EASA. subparts are F (Maintenance for aircraft below 5700 kg in non- commercial environment), and G (Continuing Airworthiness Part-66 was based on the older JAR system and the required Management Organization = CAMO, coordinating the training level followed the ATA 104 system. There are 3 levels compliance of aircraft with maintenance program, airworthiness of authorisation: directives and service bulletins). A significant difference between the US and the European systems is that in the United States, aircraft maintenance EASA Part-147: Training Organisation Requirements technicians (Part-65 Airframe and Powerplant Mechanics) are To go with Part-66 on the issuing of licenses is the larger area permitted to work under their own certificates and approve their of setting up and gaining approval for a training school for own work for return to service. European Part-66 certificate aircraft mechanics. Part-147 governs the larger situation of holders are required to perform their functions under the aegis establishing such a training school. of a Part-145 organisation for Transport Category and Large (MTOM>5700 kg) Aeroplanes. The Part-145 organisation in the EASA system has the authority to approve for return to service. EASA Part-21: Subpart J Design Organisation Approval Many non-European countries have been moving toward the Design Organisation means an organisation responsible for the European approach, most notably Canada. design of aircraft, aircraft engines, propellers, auxiliary power units, or related parts and appliances, and holding, or applying for, type-certificates, supplemental type-certificates, changes Part-145: Maintenance Organisation Approval or repairs design approvals or ETSO Authorisations. A design To obtain approval to be an aeronautical repair station, an organisation holds DOA (Design Organisation Approval) or, by organisation must write, submit and keep updated a way of derogation, Alternatives Procedures to DOA. A DOA-list Maintenance Organisation Exposition (MOE). To support their listing all companies holding DO Approval with their capabilities MOE they must have a documented set of procedures. Thirdly can be downloaded from the EASA website. the organisation must have a compliance matrix to show how they meet the requirements of Part-145. 1-45 FOR TRAINING PURPOSE ONLY Regulatory Framework EASA Part-21: Subpart G Production Organisation Approval A part built for an aircraft can be certificated with an EASA Form 1 as approved for a particular aircraft type once it has been installed as prototype to an aircraft and has been certificated by a Design Organisation with a Minor Change Approval, a Supplemental Type Certificate (STC) or a Type Certificate (TC). Aircraft Type Certification by EASA On 28 September 2003, the EASA took over responsibility for the airworthiness and environmental certification of all aeronautical products, parts, and appliances designed, manufactured, maintained or used by persons under the regulatory oversight of EU Member States. The Certification work also includes all post-certification activities, such as the approval of changes to, and repairs of, aeronautical products and their components, as well as the issuing of airworthiness directives to correct any potentially unsafe situation. All type-certificates are therefore now issued by the EASA and are valid throughout the European Union. It also carries out the same role for foreign organisations involved in the manufacture or maintenance of such products. The EASA relies on national aviation authorities who have historically filled this role and concludes contractual arrangements to this effect. 1-46 FOR TRAINING PURPOSE ONLY  AVTE 2208 Air legislation: Regulatory Framework Role of Member States Regulatory Framework Role of the Member States, and Role of the National Aviation Authorities General Each member state has a National Aviation Authority (NAA). To certificate aeronautical material and organizations. Each NAA may or may not be a fully Competent Authority of This is to declare in a legal form compliance with the EASA, depending on each Authority’s capability. If a NAA is not applicable requirements of an aircraft or part of it, or a a fully Competent Authority, then the functions in which they are change to a type certificate, the capability of an not competent, may be contracted to the NAA of another organization, and so on. This also include the licensing Member State, or the EASA may perform these functions of aircraft maintenance personnel. directly. Aviation regulation and policy is, as far as possible, harmonized The Member State is responsible for establishing their own across the world to ensure consistent levels of safety and National Aviation Authority. From a general point of view, the consumer protection. Within Europe much of the regulations National Aviation Authority has the following tasks: and legislation that the Member States use to protect consumers is developed and enforced on a Europe-wide basis. To prescribe airworthiness requirements and These predominantly originate from the European Commission procedures relating to those aircraft and products that or via the EASA. are exempt from EASA regulation, and the implementation of procedures to incorporate EASA The Member State plays an active role in assisting with the regulations into their own legislative procedures. development of these policies and regulations and has a close To inform the interested parties regarding the above- working relationship with the EC and other relevant bodies. mentioned prescriptions. This is performed in different ways. The authority publishes technical regulations, The Member States work very closely with EASA to implement technical standards, circulars, etc., to be obtained on and enforce the regulations in their own State. request or by other means. To control aeronautical material, design, and manufacturing organizations, and aircraft operators. This is to ensure that all pertinent prescriptions are complied with. Control can be performed in different ways, with the appropriate involvement of the relevant authority. 1-48 FOR TRAINING PURPOSE ONLY Regulatory Framework Some Examples of Non-European National Aviation Authorities United States Federal Aviation Administration (FAA) Brazil National Civil Aviation Agency of Brazil Canada Transport Canada China Civil Aviation Administration of China Jamaica Jamaica Civil Aviation Authority 1-49 FOR TRAINING PURPOSE ONLY Regulatory Framework Flugmálastjórn Íslands or Icelandic Civil Aviation Administration Trafi European Member States Note: The UK is no longer an Some Examples National Aviation Authorities in Europe EU member state or a member of EASA since Jan 1st 2021. 1-50 FOR TRAINING PURPOSE ONLY Regulatory Framework Regulation (EU) No.1321/2014 and the Relationship between its Parts and Others Regulation (EU) No.1321/2014 has annexes (or ‘Parts’) as previously noted. Key ones are : Part-M, Part-145, Part-66 and Part-147. The Regulation and parts are integral to continued airworthiness. The following diagram will assist in understanding how they interrelate. 1-51 FOR TRAINING PURPOSE ONLY Regulatory Framework Part-M Part-145 Maintenance Part-66 Operator Organisation Certifying Staff Approvals Part-21 Flight Crew Part-147 Design, Manufacture and Licensing Training Organisation Certification of New Requirements Products Certification Specifications (CS) EASA Regulation (EU) 1321/2014 relationships 1-52 FOR TRAINING PURPOSE ONLY Regulatory Framework An owner or a lessee must have a management organization The Air Operator Certificate is issued to the owner or approved under Part-M Subpart G to manage the airworthiness Lessee of the aircraft in conjunction with a Part-M of his aircraft. This Part-M organization is responsible for approval. contracting and monitoring the activities of those Part-145 or Part-M Subpart F Approved organizations who carry out All operators of aircraft, whether used for commercial air maintenance on aircraft and its components. transport or flight training etc., must obtain an AOC in accordance with Regulation (EU) 965/2012 (see Chapter 4). Part-145 organisations require licensed engineers to carry out release to service functions. These engineers are licensed in accordance with Part-66. To achieve the standards required by Part-66, engineers have to attend training courses of various standards at Part-147 Approved training schools. Part-145 and Part-M organizations require liaison with Part-21 Design organizations to enable repairs to be approved in accordance with Certification Specification as exemplified by CS-25 (Large Aeroplanes). Finally, flight crews have an airworthiness responsibility under Part-M in that they can be trained to carry out pre-flight inspections, which are a Part-M requirement. If the Owner is operating the aircraft for commercial air transport then he must hold an Air Operators Certificate (AOC). In this case, the Part-M approval is issued in conjunction with the issue of the AOC. The operator cannot have an AOC without an associated Part-M approval. 1-53 FOR TRAINING PURPOSE ONLY Module 10.1 Regulatory Framework 1-54 FOR TRAINING PURPOSE ONLY Further References: EASA, 2023. Regulation EU 2018/1139. [Online] Available at: https://www.easa.europa.eu/en/document-library/regulations/regulation- eu-20181139 [Accessed 25 September 2024]. Refer to Module descriptor for additional references and sources of material. Any Questions?