Licence Category A, B1, B2 and B3

10.1 Regulatory Framework

Certification statement
These Study Notes comply with the syllabus of EASA
Regulation (EU) No. 1321/2014 Annex III (Part-66) Appendix I
(as amended by Regulation (EU) No. 2018/1142), and the
associated Knowledge Levels as specified below:

Knowledge
Part-66 Levels
Objective
Ref.
A B1 B2 B3
Role of International Civil 10.1 1 1 1 1
Aviation Organization;
Role of the European
Commission;
Role of EASA;
Role of the member states
and National Aviation
Authorities;
Regulations (EU)
2018/1139, Regulation (EU)
No. 748/2012, Regulation
(EU) No. 1321/2014 and
Regulation (EU)
No. 376/2014;
Relation between the
various Annexes (Parts) of
Regulation (EU)
No. 748/2012, Regulation
(EU) No. 1321/2014 and
Regulation (EU)
No. 965/2012

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Table of Contents
International Civil Aviation Organization (ICAO) _____ 6 The European Aviation Safety Agency (EASA)______ 28
History ______________________________________ 6 General ____________________________________ 28
Aims and objectives ___________________________ 6 History _____________________________________ 28
The Chicago Convention________________________ 8 EASA member states__________________________ 30
Role of the ICAO _____________________________ 10 Before the EASA _____________________________ 30
Current membership __________________________ 10 The European Free Trade Association ____________ 30
The International Standards and Codes ___________ 11 Jurisdiction __________________________________ 32
Standards and recommended practices (SARP) ____ 12 Role of the EASA _____________________________ 34
Safety management systems (SMS) ______________ 14 The EASA’s structure__________________________ 34
The European Union (EU) ______________________ 16 Summary – EASA ____________________________ 36
Current member states of the EU ________________ 16 Aircraft exempt from EASA regulations ____________ 38
European Council ____________________________ 18 Aircraft type certification by the EASA ____________ 40
European Commission ________________________ 18
European Parliament _________________________ 20 Role of the member states and national aviation
Council of the European Union __________________ 20 authorities ___________________________________ 42
General ____________________________________ 42
Role of the European Commission (EC) ___________ 22 National aviation authorities (NAA) _______________ 43
Composition ________________________________ 22 Some examples of non-European national aviation
Proposing new laws __________________________ 22 authorities __________________________________ 44
EU regulations, directives, decisions, recommendations EU member states ____________________________ 44
and opinions ________________________________ 23
Regulations _________________________________ 23 EASA relations with the other aviation authorities __ 46
Directives __________________________________ 23 Multilateral cooperation ________________________ 46
Decisions __________________________________ 23 Bilateral cooperation __________________________ 46
Recommendations and opinions _________________ 23 Bilateral agreements and working arrangements _____ 47
Opinions ___________________________________ 23 EASA regulations _____________________________ 48
Delegated acts ______________________________ 23 Council regulations and Commission regulations ____ 48
Implementing acts ____________________________ 23 Certification specifications (CS) __________________ 50
Regulation numbering system ___________________ 24 Soft law and hard law__________________________ 52
EU functions ________________________________ 24 Amendments ________________________________ 52
EU agencies ________________________________ 26

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 Easy access rules _____________________________ 54 Scope______________________________________ 72
Accessing the regulations ______________________ 54 Mandatory reporting ___________________________ 73
EUR-Lex ___________________________________ 54 Voluntary reporting____________________________ 74
Structure of EASA regulations __________________ 58 European Central Repository ____________________ 74
Classifying occurrences ________________________ 76
Regulation (EU) No. 2018/1139 - The Basic Regulation62
Regulation (EU) No.1321/2014 and the relationship
Regulation (EU) No. 748/2012 - Initial Airworthiness 62
between its parts and others ____________________ 78
General ____________________________________ 62
Certification specifications______________________ 62
Annex-I – Part-21 ____________________________ 64
Regulation (EU) No.1321/2014 - Continuing
Airworthiness ________________________________ 66
General ____________________________________ 66
Annexes ___________________________________ 68
Annex-I – Part-M: Continuing Airworthiness Management
__________________________________________ 68
Annex II – Part-145: Maintenance Organisation Approval
__________________________________________ 68
Annex-II – Part-66: Certifying Staff _______________ 68
Annex-IV – Part-147: Training Organisation
Requirements _______________________________ 68
Annex-Va – Part-T: Continuing airworthiness of third-
country registered aircraft ______________________ 68
Annex-Vb – Part-ML: Continuing airworthiness of light
aircraft _____________________________________ 68
Annex-Vc – Part-CAMO: Continuing Airworthiness
Management Organisations ____________________ 69
Annex-Vd – Part-CAO: Combined Airworthiness
Organisation ________________________________ 69
Safety Management Systems (SMS) embodiment ___ 70
Regulation (EU) No. 376/2014 ___________________ 72
Introduction _________________________________ 72
Objectives __________________________________ 72
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References: Aims and objectives
In promulgating safety and airworthiness information
• Regulation (EU) No. 2018/1139 internationally, the aims and objectives of the ICAO are to
• Regulation (EU) No. 748/2012 develop the principles and techniques of international air
• Regulation (EU) No. 1321/2014 navigation and to foster the planning and development of
• Regulation (EU) No. 965/2012 international air transport to:
• Regulation (EU) No. 376/2014
1. Ensure the safe and orderly growth of international civil
The Regulations listed above form part of this training manual aviation throughout the world.
and should be read in conjunction with this training manual. 2. Encourage the arts of aircraft design and operation for
peaceful purposes.
The following websites provide information on the EASA 3. Encourage the development of airways, airports, and air
regulations and implementing rules as required. navigation facilities for international civil aviation. Meet
the needs of the peoples of the world for safe, regular,
https://www.icao.int efficient, and economical air transport.
http://www.easa.europa.eu 4. Prevent economic waste caused by unreasonable
https://eur-lex.europa.eu competition.
5. Ensure that the rights of the contracting states are fully
International Civil Aviation Organization respected and that every contracting state has a fair
(ICAO) opportunity to operate international airlines.
6. Avoid discrimination between contracting states.
History 7. Promote the safety of flight in international air
After the Second World War, international air travel was in its navigation.
infancy; however, technological development was moving at a 8. Promote generally the development of all aspects of
rapid pace, not least because of the development of the Gas international civil aeronautics.
Turbine Engine. The opportunity to transport many persons
across long distances was becoming a reality, but there were
no common standards between countries.

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 The ICAO Headquarters in Montreal, Canada

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The Chicago Convention
The American Government recognised this fact and brought WHEREAS it is desirable to avoid friction and to
together the allied nations in 1944 to discuss the issue. The promote that cooperation between nations and
outcome of 5 weeks of discussion was the Convention on peoples upon which the peace of the world
International Civil Aviation. The Convention consists of a depends;
preface and 96 Articles.
THEREFORE, the undersigned governments
An organisation was needed to develop these articles, and as having agreed on certain principles and
a result, the ICAO came into existence in 1947, based in arrangements in order that international civil
Montreal, Canada. The ICAO is one of the many Agencies of aviation may be developed in a safe and orderly
the United Nations (UN). manner and that international air transport
services may be established on the basis of
Convention on International Civil Aviation (also known as equality of opportunity and operated soundly and
Chicago Convention) was signed on 7 December 1944 by 52 economically;
states. Pending ratification of the Convention by 26 states, the
Provisional International Civil Aviation Organization (PICAO) Have accordingly concluded this Convention to
was established. It functioned from 6 June 1945 until 4 April that end.”
1947. By 5 March 1947, the 26th ratification was received.
ICAO came into being on 4 April 1947. In October of the same Each member country of the ICAO is known as a ‘contracting
year, ICAO became a specialised agency of the United Nations state’ due to their contractual commitment to the Chicago
linked to Economic and Social Council (ECOSOC). Convention.

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

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Role of the ICAO
The constitution of ICAO is the Convention on International The Secretariat, headed by a Secretary-General, is divided
Civil Aviation, drawn up by a conference in Chicago in into five main divisions: the Air Navigation Bureau; the Air
November and December 1944, and to which each ICAO Transport Bureau; the Technical Co-operation Bureau; the
contracting state is a party. According to the terms of the Legal Bureau; and the Bureau of Administration and Services.
Convention, the Organisation is made up of an Assembly, a
Council of limited membership with various subordinate bodies So that the work of the Secretariat shall reflect a truly
and a Secretariat. The chief officers are the President of the international approach, professional personnel are recruited on
Council and the Secretary-General. a broad geographical basis.

The Assembly, composed of representatives from all ICAO works in close cooperation with other members of the
contracting states, is the sovereign body of ICAO. It meets United Nations family such as the World Meteorological
every three years, reviewing in detail the work of the Organisation, the International Telecommunication Union, the
Organisation and setting policy for the coming years. It also Universal Postal Union, the World Health Organisation and the
votes a triennial budget. International Maritime Organization. Non-governmental
organisations which also participate in ICAO’s work include the
The Council, the governing body which is elected by the International Air Transport Association, the Airports Council
Assembly for a three-year term, is composed of 36 states. The International, the International Federation of Air Line Pilots’
Assembly chooses the Council member states under three Associations, and the International Council of Aircraft Owner
headings: states of chief importance in air transport, states and Pilot Associations.
which make the largest contribution to the provision of facilities
for air navigation and states whose designation ensures that all Current membership
major areas of the world are represented. As the governing There are currently 191 ICAO members, consisting of 190 of
body, the Council gives continuing direction to the work of the 193 UN members (all but Dominica, Liechtenstein, and
ICAO. It is in the Council that Standards and Recommended Tuvalu), plus the Cook Islands.
Practices are adopted and incorporated as Annexes to the
Convention on International Civil Aviation. The Council is Liechtenstein has delegated Switzerland to implement the
assisted by the Air Navigation Commission (technical matters), treaty to make it applicable in the territory of Liechtenstein.
the Air Transport Committee (economic matters), the
Committee on Joint Support of Air Navigation Services and the
Finance Committee.

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The International Standards and Codes
Since its creation, the main achievement of ICAO has been to The ICAO code is based on the region and country of the
establish a set of standards in the operation of a safe, regular airport – for example, Charles de Gaulle Airport has an ICAO
and efficient service. code of LFPG, where L indicates Southern Europe, F, France,
PG, Paris de Gaulle.
ICAO also standardises certain functions for use in the airline
industry, such as the aeronautical message handling system ICAO also assigns three-letter airline codes (versus the more-
(AMHS), making it a standards organisation. familiar two-letter IATA codes – for example, UAL vs UA for
United Airlines). ICAO also provides telephony designators to
Each country should have an accessible Aeronautical aircraft operators worldwide, a one- or two-word designator
Information Publication (AIP), based on standards defined by used on the radio, usually, but not always, similar to the aircraft
ICAO, containing information essential to air navigation. operator name. For example, the identifier for Japan Airlines
Countries are required to update their AIP manuals every International is JAL, and the designator is Japan Air, but Aer
28 days and so provide definitive regulations, procedures and Lingus is EIN and Shamrock. Thus, a Japan Airlines flight
information for each country about airspace and aerodromes. numbered 111 would be written as “JAL111” and pronounced
ICAO’s standards also dictate that temporary hazards to “Japan Air One One One” on the radio, while a similarly
aircraft are regularly published using NOTAMs. numbered Aer Lingus would be written as “EIN111” and
pronounced “Shamrock One One One”.
ICAO defines an International Standard Atmosphere (also
known as ICAO Standard Atmosphere), a model of the ICAO maintains the standards for aircraft registration (tail
standard variation of pressure, temperature, density, and numbers), including the alphanumeric codes that identify the
viscosity with altitude in the Earth’s atmosphere. This is useful country of registration. For example, aeroplanes registered in
in calibrating instruments and designing aircraft. the United States have tail numbers starting with N.
ICAO is active in infrastructure management, including ICAO is also responsible for issuing alphanumeric aircraft type
communication, navigation, surveillance/air traffic codes containing two to four characters. These codes provide
management (CNS/ATM) systems, which employ digital the identification that is typically used in flight plans. The Boeing
technologies (like satellite systems with various levels of 747 would use B741, B742, B743, etc., depending on the
automation) to maintain a seamless global air traffic particular variant. Standardisation has been achieved through
management system. the creation of 19 Annexes to the Convention, known as the
International Standards and Recommended Practices. The
Both ICAO and IATA have their airport and airline code difference between the two is that a standard is essential, and
systems. ICAO uses 4-letter airport codes (vs IATA’s 3-letter the recommended practice is desirable.
codes).

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If a member state has a standard different from ICAO, then it Standards and recommended practices (SARP)
must inform ICAO of the difference. The safety management SARP are intended to assist states in
managing aviation safety risks, in coordination with their
Because aeronautical technology is continuously developing, service providers. Given the increasing complexity of the global
the Annexes are continually reviewed and updated when air transportation system and its interrelated aviation activities
necessary. The typical content of an Annex is based upon: required to assure the safe operation of aircraft, the safety
management provisions support the continued evolution of a
• Standards intended as specifications when their proactive strategy to improve safety performance. The
application is considered as necessary for the safety and foundation of this proactive safety strategy is based on the
regularity of international air navigation; implementation of a state safety programme (SSP) that
• Recommended practices intended as specifications systematically addresses safety risks, in agreement with the
when their application is considered as a implementation of the safety management systems (SMS) by
recommendation in the interest of safety, regularity, and the service providers.
efficiency of international air navigation;
• Appendices dealing with the preceding points; and What is ICAO?
• Definitions of the used terminology. https://www.youtube.com/watch?v=WbjkPj8NIpE
In Europe, the applicable EASA certification standards for the
certification of aircraft to be internationally recognised are
issued per 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.

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 The 19 ICAO Annexes are:

Annex 1 Personnel Licensing - provides information on licensing of flight Annex 11 Air Traffic Services - includes information on establishing and
crews, air traffic controllers, and aircraft maintenance personnel, operating ATC, flight information, and alerting services.
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 rescue
Annex 2 Rules of the Air - contains rules relating to visual and instrument-aided (SAR).
flight.
Annex 13 Aircraft Accident and Incident Investigation - provides for uniformity in
Annex 3 Meteorological Service for International Air Navigation - provides notifying, investigating, and reporting on aircraft accidents.
meteorological services for international air navigation and reporting of
meteorological observations from aircraft. Annex 14 Aerodromes - contains specifications for the design and equipment of
aerodromes.
Annex 4 Aeronautical Charts - contains specifications for the aeronautical charts
used in international aviation. Annex 15 Aeronautical Information Services - includes methods for collecting
and disseminating aeronautical information required for flight
Annex 5 Units of Measurement to be used in Air and Ground Operations – lists operations.
dimensional systems to be used in air and ground operations.
Annex 16 Environmental Protection
Annex 6 Operation of Aircraft - enumerates specifications to ensure a level of - Volume 1 contains specifications for aircraft noise certification,
safety above a prescribed minimum in similar operations throughout noise monitoring, and noise exposure units for land-use
the world. The three parts of this Annex are as follows: planning,
- Part I. International Commercial Air Transport - Airplanes - Volume 2 contains specifications for aircraft engine emissions.
- Part II. International General Aviation - Airplanes
- Part III. International Operations - Helicopters. Annex 17 Security - Safeguarding International Civil Aviation against Acts of
Unlawful Interference - specifies methods for safeguarding
Annex 7 Aircraft Nationality and Registration Marks - specifies requirements for international civil aviation against unlawful acts of interference.
registration and identification of aircraft.
Annex 18 The Safe Transport of Dangerous Goods by Air - specifies
Annex 8 Airworthiness of Aircraft - specifies uniform procedures for requirements necessary to ensure hazardous materials are safely
certification and inspection of aircraft. transported in aircraft while providing a level of safety that protects the
aircraft and its occupants from undue risk.
Annex 9 Facilitations - provides for the standardization and simplification of border
crossing formalities. Annex 19 Safety Management - The Safety Management System (SMS)
framework applies to organizations responsible for the type
Annex 10 Aeronautical Telecommunications - design and manufacture of aircraft.
Volume 1 provides for standardizing
communications equipment and systems,
Volume 2 standardizes communications
procedures.

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Safety management systems (SMS)
A safety management system is a system which is It is important to recognise that SMS is a top-down driven
implemented into the procedures of any organisation involved system, which means that the accountable manager of the
in the maintenance and operation of aircraft. It applies to air organisation is responsible for the implementation and
operator’s certificate (AOC) holders, continuing airworthiness continuing compliance of the SMS. Without the wholehearted
management organisations, maintenance organisations, air support and ownership of the accountable manager, the SMS
navigation service providers, aerodromes and approved are not effective. However, safety is a shared responsibility
training organisations. across the whole organisation and needs the involvement of all
staff.
ICAO Annex 19 provides the requirements for such systems
although alternative means of compliance for the management ICAO SMS framework
system requirements in respect of safety management can be The ICAO SMS framework consists of four components, and
implemented. its implementation is commensurate with the size of the
organisation and the complexity of the services provided.
A safety management system is a systematic and proactive
approach to managing safety risks. As with all management • Safety policy and objectives
systems, SMS includes goal setting, planning, and measuring • Safety risk management
performance. An effective safety management system is woven • Safety assurance
into the fabric of an organisation. It becomes part of the culture; • Safety promotion
the way people do their jobs.
Annex 19 – Safety Management
Safety management goes beyond compliance with prescriptive In response to High-level Safety Conference 2010
regulations, to a systematic approach where potential safety (HLSC/2010) Recommendation 2/5, the ICAO Council
risks are identified and managed to an acceptable level. SMS supported a two-phased approach for the creation of a new
adopts a business-like approach to safety, similar to the way safety management annex:
that finances are managed, with safety plans, safety
performance indicators and targets and continuous monitoring a) the first phase to consolidate existing and overarching
of the safety performance of the organisation. It enables standards and recommended practices (SARPS),
effective risk-based decision-making processes across the currently contained in six different annexes, into a single
business. new annex; and
b) the second phase for the development of new and
enhanced safety management provisions.

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 The four SMS components

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The European Union (EU) Current member states of the EU
(year of entry)
The European Union (EU) is a politico-economic union of 28
member states that are located primarily in Europe. The EU • Austria (1995)
operates through a system of supranational institutions and • Belgium (1958)*
intergovernmental negotiated decisions by the member states. • Bulgaria (2007)
• Croatia (2013)
The institutions are: • Cyprus (2004)
• Czech Republic (2004)
• the European Commission, • Denmark (1973)
• the Council of the European Union, • Estonia (2004)
• the European Council, • Finland (1995)
• the Court of Justice of the European Union, • France (1958)*
• the European Central Bank, • Germany (1958)*
• the Court of Auditors, and • Greece (1981)
• the European Parliament. • Hungary (2004)
• Ireland (1973)
The European Parliament is elected every five years by EU • Italy (1958)*
citizens. • Latvia (2004)
• Lithuania (2004)
The EU traces its origins from the European Coal and Steel
• Luxembourg (1958)*
Community (ECSC) and the European Economic Community
• Malta (2004)
(EEC), formed by the Inner Six countries in 1951 and 1958,
• Netherlands (1958)*
respectively. In the intervening years, the Community and its
• Poland (2004)
successors have grown in size by the accession of new
• Portugal (1986)
member states and in power by the addition of policy areas to
• Romania (2007)
its remit. The Maastricht Treaty established the European
• Slovakia (2004)
Union under its current name in 1993 and introduced European
• Slovenia (2004)
Citizenship. The latest major amendment to the constitutional
• Spain (1986)
basis of the EU, the Treaty of Lisbon, came into force in 2009.
• Sweden (1995)
European Union Explained • United Kingdom (1973 – 2020)
https://www.youtube.com/watch?v=O37yJBFRrfg
*Inner Six countries

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European Council European Commission
The European Council gives direction to the EU and convenes The European Commission acts as the EU’s executive arm and
at least four times a year. It comprises the President of the is responsible for initiating legislation and the day-to-day
European Council, the President of the European Commission running of the EU. The Commission is also seen as the motor
and one representative per member state; either it’s head of of European integration. It operates as a cabinet government,
state or head of government. Some have described the with 28 Commissioners for different areas of policy, one from
European Council as the Union’s “supreme political authority”. each member state. However, Commissioners are bound to
It is actively involved in the negotiation of the treaty changes represent the interests of the EU as a whole rather than their
and defines the EU’s policy agenda and strategies. home state.

The European Council uses its leadership role to sort out The European Commission is responsible for proposing new
disputes between member states and the institutions and to directives as and when required.
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).

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 The EU institutions

The EU decision process

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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
elected by EU citizens every five years based on proportional government minister from each member state and meets in
representation. Although MEPs are elected on a national basis, different compositions depending on the policy area being
they sit according to political groups rather than their addressed. Notwithstanding its different configurations, it is
nationality. considered to be one single body. In addition to its legislative
functions, the Council also exercises executive functions in
Each country has a set number of seats and is divided into sub- relations to the 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 co-decisions.
legislative procedure. This also applies to the EU budget.
How does the EU work? | CNBC Explains
Finally, the Commission is accountable to Parliament, requiring https://www.youtube.com/watch?v=9eufLQ3sew0
its approval to take office, having to report back to it and subject
to motions of censure from it. The President of the European How it works: European laws
Parliament carries out the role of speaker in Parliament and https://youtu.be/ypMvDKW5qm0
represents it externally. The EP President and Vice-Presidents
are elected by MEPs every two and a half years. How Does the EU Actually Work?
https://www.youtube.com/watch?v=idlCpZl9hQ4

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 Berlaymont building, headquarters of the European commission in Brussels
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Role of the European Commission (EC)
The European Commission is one of the central institutions of The term ‘Commission’ can be used to refer to the 27 individual
the European Union. It represents and upholds the interests of Commissioners, the permanent staff or the institution as a
the EU as a whole. whole.

The European Commission is the executive branch of the The Commission represents and upholds the interests of the
European Union, responsible for proposing legislation, EU as a whole. It oversees and implements EU policies by:
implementing decisions, upholding the EU treaties and
managing the day-to-day business of the EU; • proposing new laws to Parliament and the Council
• managing the EU’s budget and allocating funding
• presents drafts of legislation to the European Parliament • enforcing EU law (together with the Court of Justice)
and the Council, • representing the EU internationally, for example, by
• ensures that EU rules are correctly applied in all member negotiating agreements between the EU and other
states, countries.
• imposes financial penalties
Proposing new laws
Composition The Commission has the ‘right of initiative’ – it can propose
The 27 Commissioners, one from each EU country, provide the new laws to protect the interests of the EU and its citizens. It
Commission’s political leadership during their five-year term. does this only on issues that cannot be dealt with effectively at
Each Commissioner is assigned responsibility for specific the national, regional or local level (subsidiarity principle).
policy areas by the President. The European Council
nominates the President. The Council also appoints the other When the Commission proposes a law, it tries to satisfy the
Commissioners in agreement with the nominated President. broadest possible range of interests. To get the technical
details right, it consults experts through various committees
The appointment of all Commissioners, including the President, and groups. It also holds public consultations.
is subject to the approval of the European Parliament. In-office,
they remain accountable to Parliament, which has the sole The Commission’s departments produce a draft of the
power to dismiss the Commission. proposed new law. If at least 14 of the 28 Commissioners agree
with it, the draft is then sent to the Council and Parliament. After
The day-to-day running of the Commission is taken care of by debating and amending the draft, they decide whether to adopt
the Commission’s staff – administrators, lawyers, economists, it as a law.
translators, interpreters, secretarial staff – organised in
departments known as Directorates-General (DGs).

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EU regulations, directives, decisions, recommendations Recommendations and opinions
and opinions Recommendations allow the EU institutions to make their views
To exercise the Union’s competences, the institutions adopt known and to suggest a line of action without imposing any
legal obligation on those to whom it is addressed. They have
• regulations, no binding force.
• directives,
• decisions, Opinions
• recommendations and An ‘opinion’ is an instrument that allows the EU institutions to
• opinions. make a statement, without imposing any legal obligation on the
subject of the opinion. An opinion has no binding force.
Regulations
Regulations are legal acts that apply automatically and Delegated acts
uniformly to all EU countries as soon as they enter into force, Delegated acts are legally binding acts that enable the
without needing to be transposed into national law. They are Commission to supplement or amend non‑essential parts of EU
binding in their entirety on all EU countries. legislative acts, for example, to define detailed measures.

Directives The Commission adopts the delegated act, and if Parliament

Directives require EU countries to achieve a particular result and Council have no objections, it enters into force.
but leave them free to choose how to do so. EU countries must
adopt measures to incorporate them into national law Implementing acts
(transpose) to achieve the objectives set by the directive. Implementing acts are legally binding acts that enable the
National authorities must communicate these measures to the Commission – under the supervision of committees consisting
European Commission. of EU countries’ representatives – to set conditions that ensure
that EU laws are applied uniformly.
Transposition into national law must take place by the deadline
set when the directive is adopted (generally within 2 years).
When a country does not transpose a directive, the
Commission may initiate infringement proceedings.

Decisions
A decision shall be binding in its entirety. A decision which
specifies those to whom it is addressed shall be binding only
on them.

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Regulation numbering system EU functions
From 1 January 2015, the system numbering of EU legal acts
changed. A new method was defined to assign numbers to Managing the EU’s budget and allocating funding
documents published in the L (Legislation) series of the Official With the Council and Parliament, the Commission sets broad,
Journal of the European Union (OJ). According to this new long-term spending priorities for the EU in the EU ‘financial
method, which harmonises and simplifies the previous framework’. It also draws up an annual budget for approval by
divergent practices, EU legal acts bear unique, sequential Parliament and the Council and supervises how EU funds are
numbers. This facilitates access to EU law and also makes it spent – by agencies and national and regional authorities, for
easier to identify and refer to legal acts. instance. The Court of Auditors scrutinises the Commission’s
management of the budget.
From 1 January 2015, the Publications Office of the European
Union has numbered documents published in the L series of Enforcing European law
the OJ in the standardised way shown below. As ‘Guardian of the Treaties’, the Commission checks that each
member country is applying EU law correctly.

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).

How it works: Press start to legislate

https://youtu.be/E_GlgWcn4Zs

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 Domains:

• ‘EU’ for the European Union,

• ‘Euratom’ for the European Atomic
Energy Community,
• ‘EU, Euratom’ for the European
Union and the European Atomic
Energy Community,
• ‘CFSP’ for the common foreign and
security policy

Origin Example format Title

Regulation of the Regulation (EU) of the European Parliament and of the Council of 4 July 2018 on common
European Parliament and No. 2018/1139 rules in the field of civil aviation and establishing a European Union
of the Council Aviation Safety Agency
Regulation (EU) of 26 November 2014 on the continuing airworthiness of aircraft and
No. 1321/2014 aeronautical products, parts and appliances, and on the approval of
organisations and personnel involved in these tasks
Council Regulation Council Regulation (EC) Of 20 February 2008 on common rules in the field of civil aviation and
No. 216/2008 establishing a European Aviation Safety Agency
Commission Regulation Commission Regulation of 30 November 2009 laying down implementing rules for the
(EC) No. 1194/2009 airworthiness and environmental certification of aircraft and related
products, parts and appliances as well as for certification of design and
production organisations.
Commission Commission Implementing of 26 September 2012 laying down the common rules of the air and
Implementing Regulation Regulation (EU) operational provisions regarding services and procedures in air navigation
No. 923/2012
Examples of regulations applicable to aviation safety

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EU agencies
An agency of the European Union is a decentralised body of • European Foundation for the Improvement of Living
the European Union (EU), which is distinct from the institutions. and Working Conditions (EUROFOUND)
Agencies are established to accomplish specific tasks. Each • European GNSS Agency (GSA)
agency has a legal personality. Some answer the need to • European Institute for Gender Equality (EIGE)
develop scientific or technical know-how in particular fields; • European Insurance and Occupational Pensions
others bring together different interest groups to facilitate Authority (EIOPA)
dialogue at European and international level. • European Maritime Safety Agency (EMSA)
• European Medicines Agency (EMA)
There are over 40 agencies; here are some examples: • European Monitoring Centre for Drugs and Drug
Addiction (EMCDDA)
• Agency for the Cooperation of Energy Regulators • European Network and Information Security Agency
(ACER) (ENISA)
• Body of European Regulators for Electronic • European Police College (CEPOL)
Communications (BEREC) • European Police Office (EUROPOL)
• Community Plant Variety Office (CPVO) • European Public Prosecutor’s Office (in preparation)
• European Agency for Safety and Health at Work (EU- (EPPO)
OSHA) • European Railway Agency (ERA)
• European Agency for the Management of Operational • European Securities and Markets Authority (ESMA)
Cooperation at the External Borders (FRONTEX) • European Training Foundation (ETF)
• European Agency for the operational management of • European Union Agency for Fundamental Rights (FRA)
large-scale IT systems in the area of freedom, security • Office for Harmonisation in the Internal Market (OHIM)
and justice (EU-LISA) • Single Resolution Board (SRB)
• European Asylum Support Office (EASO) • The European Union’s Judicial Cooperation Unit
• European Aviation Safety Agency (EASA) (EUROJUST)
• European Banking Authority (EBA) • Translation Centre for the Bodies of the European
• European Centre for Disease Prevention and Control Union (CdT)
(ECDC)
• European Centre for the Development of Vocational
Training (Cedefop)
• European Chemicals Agency (ECHA)
• European Environment Agency (EEA)
• European Fisheries Control Agency (EFCA)
• European Food Safety Authority (EFSA)
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 • EMA relocated to
Amsterdam after
Brexit
• EBA relocated to
Paris after Brexit

EU agencies and their geographic locations

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The European Aviation Safety Agency
(EASA)
General History
The European Aviation Safety Agency (EASA) is a European On 15 July 2002, the Regulation (EC) No. 1592/2002 was
Union (EU) agency with regulatory and executive tasks in the issued to provide a basis for standard rules in the field of civil
field of civilian aviation safety. Based in Cologne, Germany, the aviation and to establish a European Aviation Safety Agency.
EASA was created on 15 July 2003, by the European It was known as the Basic Regulation.
Parliament and it reached full functionality in 2008, taking over
functions of the Joint Aviation Authorities (JAA). This was repealed on 20 February 2008, by Regulation (EC)
No. 216/2008. The Regulation had the same purpose as
The responsibilities of the EASA include conducting analysis Regulation (EC) No. 1592/2002 but had many revisions and
and research of safety, authorising foreign operators, giving amendments.
advice for the drafting of EU legislation, implementing and
monitoring safety rules (including inspections in the member On 11 September 2018, the new Regulation (EU) 2018/1139
states), giving type-certification of aircraft and components as was published which repealed Regulation (EC) No. 216/2008.
well as the approval of organisations involved in the design,
manufacture and maintenance of aeronautical products. Among other things, the Regulation (EU) 2018/1139 aims to
ensure the safe use of unmanned aerial systems (UAS). The
new Basic Regulation restates the European Aviation Safety
Agency’s role generally and expands it in drones and urban air
mobility. It gives the agency a coordinating role in cybersecurity
in aviation and greater scope in environmental protection,
research and development, and international cooperation.

EASA Legislation Part 1

https://www.youtube.com/watch?v=KkVKWhkwRlA

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 The office of the agency in Cologne, Germany The Parliament’s hemicycle (debating chamber)
during a plenary session in Strasbourg

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EASA member states Before the EASA
The member states of the EASA are (27 Members + 4 EFTA Before the EASA being formed, there was a European
Associates): organisation called the Joint Aviation Authorities (JAA). This
was an organisation of various European states that
• Austria • Latvia standardised their regulations, per the ICAO Annexes. Upon
• Belgium • Liechtenstein* the formation of the EASA, it was stated that the EASA would
• Bulgaria • Lithuania take overall functions of the JAA. By 2010 the JAA ceased to
• Croatia • Luxembourg exist. However, all of the regulations produced by the JAA are
• Cyprus • Malta incorporated into EASA regulations.
• Czech Republic • Netherlands
• Denmark • Norway* The JAA was dissolved in June 2009. Therefore, the JAA no
• Estonia • Poland longer exists, and equivalent EASA regulations have
• Finland • Portugal superseded all the Joint Aviation Regulations (JAR).
• France • Romania
The JAA was headquartered at Hoofddorp, North-Holland. One
• Germany • Slovakia
difference between the EASA and JAA is that the EASA has
• Greece • Slovenia
legal, regulatory authority within the European Union (EU)
• Hungary • Spain
through the enactment of its regulations through the European
• Iceland* • Sweden
Commission, Council of the European Union and European
• Ireland • Switzerland*
Parliament. In contrast, most of the JAA regulatory products
• Italy • United Kingdom**
were harmonised codes without the direct force of law. Also,
some JAA nations, such as Turkey, were outside the EU. In
contrast, by definition, the EASA is an agency of the EU, and
* The EFTA countries participate in the activities of other nations adopt its rules and procedures voluntarily.
EASA under Article 66 of the Basic Regulation and are
members of the Management Board without voting The European Free Trade Association
rights. The European Free Trade Association (EFTA) is the
intergovernmental organisation of Iceland, Liechtenstein,
**As of time of writing (March 2020), the UK has left Norway and Switzerland. It was set up in 1960 by its then seven
the EU. Consequently, the UK is not a member of member states for the promotion of free trade and economic
EASA. The relationship of the UK’s regulatory integration between its members.
authority with the EASA is currently being negotiated.

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European Union and
EFTA countries

The institutions

The historic former railway head office building in

Cologne, Germany is the new headquarters of the
EASA. Situated along the banks of the river rhine, the
building is an iconic part of the city’s architectural
silhouette, located within the vicinity of the main
railway station, cathedral and city centre. The EU aviation safety system
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Jurisdiction
The EASA has jurisdiction over new type certificates and other
design-related airworthiness approvals for aircraft, engines,
propellers and parts.

The 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 standardisation across the EU and
non-EU members in Europe.

The EASA is also responsible for assisting the European

Commission in negotiating international harmonisation
agreements with the ‘rest of the world’ on behalf of the EU
member states and also concludes technical agreements at a
functional level directly with its counterparts around the world
such as the US Federal Aviation Administration (FAA). The
EASA also sets policy for aeronautical repair stations (Part-145
organisations in Europe and the US – also known as Part 571
organisations 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). The EASA has developed regulations for
air operations, flight crew licensing and non-EU aircraft used in
the EU.

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Role of the EASA
The European Aviation Safety Agency (The Agency) is the • ensure that they are applied uniformly in Europe and that
centre-piece of the European Union’s strategy for aviation any necessary safeguard measures are implemented;
safety. The EASA’s mission is to promote the highest common and
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 type
• expert advice to the EU on the drafting new legislation; certificates and by conducting inspections and
• developing, implementing and monitoring safety rules, investigations; and
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 organisations 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 organisations involved in the essential requirements and implementing rules to be
the operation of aircraft; adopted.
• certification of organisations providing pan-European
services; The EASA’s structure
• certification of organisations 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 CAs are
services or training in the member states where EC law responsible for administering and enforcing the rules and
applies; regulations produced by the EASA.
• authorisation of third-country (non-EU) operators; and
• safety analysis and research, including the publication of The CAs are also responsible for maintaining an individual
an annual safety review. register of aircraft for their state, and a register of organisations
(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 What is EASA?

standards to ensure the highest possible levels of safety https://www.youtube.com/watch?v=MdNjcjETpg0
and environmental protection;

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 The EASA administrative structure
(correct in March 2020)

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Summary – EASA
The European Union Aviation Safety Agency or the EASA • to provide oversight and support to the member states
is an agency of the European Union with primary responsibility in fields where the EASA has shared competence (e.g.
for civil aviation safety. air operations, air traffic management);
• to promote the use of European and worldwide
• The EASA carries out certification, regulation, and standards; and
standardisation, and also performs investigation and • to cooperate with international actors to achieve the
monitoring. highest safety level for EU citizens globally (e.g. EU
• The EASA collects and analyses safety data, drafts and safety list, third-country operators authorisations).
advises on safety legislation, and coordinates with
similar organisations in other parts of the world. EASA Jurisdiction
• The EASA commenced operation in September 2003 • The EASA has jurisdiction over new type certificates
(TC) and other design-related airworthiness approvals
The EASA mission for aircraft, engines, propellers, and parts.
The EASA advises its current roles and responsibilities as: • The EASA works with the national competent authorities
and has taken over many of their functions in the interest
• to ensure the highest common level of safety protection of aviation standardisation across the EU.
for EU citizens; • The EASA is also responsible for assisting the European
• to ensure the highest common level of environmental Commission in negotiating international harmonisation
protection; agreements with the ‘rest of the world’ on behalf of the
• to provide a single regulatory and certification process EU member states and also concludes technical
among the member states; agreements at a functional level directly with its
• to facilitate the internal aviation single market & create a counterparts around the world such as the US Federal
level playing field; and Aviation Administration (FAA).
• to work with other international aviation organisations & • The EASA sets policy for aeronautical repair stations
regulators. (Part 145 organisations in Europe and the US – also
EASA tasks known as Part 571 organisations in Canada) and issues
The EASA advises its current primary tasks as follows: repair station certificates for repair stations located
outside the EU (which permits foreign repair stations to
• to draft implementing rules in all fields pertinent to the perform work acceptable to the European Union on EU
EASA mission; aircraft).
• to certify & approve products and organisations, in fields • The EASA has developed regulations for air operations,
where the EASA has exclusive competence (e.g. flight crew licensing and non-EU aircraft used in the EU.
airworthiness);
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 Headquarters of EASA in Cologne, Germany

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Aircraft exempt from EASA regulations
All aircraft are covered by Regulation (EU) 2018/1139 except • aircraft specifically designed or modified for research,
for those excluded by Article 2 of 2018/1139 which comprises experimental or scientific purposes, and likely to be
those engaged in military, customs, police or similar services. produced in minimal numbers;
In addition, Annex I of 2018/1139 also excludes historical • aircraft of which at least 51% is built by an amateur, or a
aircraft which are very few in number, experimental aircraft, non-profit making association of amateurs, for their own
homebuilt aircraft, microlight aircraft, gliders of very lightweight purposes and without any commercial objective;
and very light uncrewed aircraft. • aircraft that have been in the service of military forces,
unless the aircraft is of a type for which a design
The definition of the word aircraft is found in Article 2 of standard has been adopted by the Agency;
Regulation (EU) No. 1321/2014 as follows: • aeroplanes, helicopters and powered parachutes having
no more than two seats, and a maximum take-off mass
‘Aircraft’ means any machine that can derive (MTOM), of between 300 – 495 kg depending on the
support in the atmosphere from the reactions type;
of the air other than reactions of the air • aeroplanes, having the stall speed or the minimum
against the Earth’s surface. steady flight speed in landing configuration not
Aircraft used for carrying out military, customs, police, search exceeding 35 knots calibrated airspeed (CAS);
and rescue, firefighting, coastguard or similar activities or • single and two-seater gyroplanes with a maximum take-
service. These are considered ‘government aircraft’ and are not off mass not exceeding 560 kg;
operated or maintained under EASA regulations. • gliders with a maximum empty mass, of no more than
80 kg when single-seat or 100 kg when two-seat,
Annex I of Regulation (EU) 2018/1139 (the Basic Regulation) including those which are foot-launched;
defines the types of aircraft which are not required to be
legislated under EASA rules; these include the following:

• historic aircraft or aircraft having a historical significance

such as
— participation in a noteworthy historical event, or
— a significant step in the development of aviation, or
— a major role played into the armed forces of a
member state;

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 Annex I Aircraft – homebuilt aircraft and kit planes, like this 90% scale Spitfire, ¾ scale 2-seat P51D Mustang
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
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Aircraft type certification by the 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.

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 Safran Helicopter Engines received EASA engine type
certification for its Arriel 2H engine, installed in the
Avicopter AC312E.

The BelugaXL received its type certification from

EASA in November 2019

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Role of the member states and national
aviation authorities
General
Each member state has a national aviation authority (NAA). • to certificate aeronautical material and organisations.
Each NAA may or may not be a fully competent authority of the This is to declare, in a legal form, compliance with the
EASA, depending on each authority’s capability. If an NAA is applicable requirements of an aircraft or part of it, or a
not a fully competent authority, then the functions in which they change to a type certificate, or the capability of an
are not competent may be contracted to the NAA of another organisation. This also includes the licensing of aircraft
member state, or the EASA may perform these functions maintenance personnel.
directly.
Aviation regulation and policy is, as far as possible, harmonised
The member state is responsible for establishing its 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: and legislation that the member states use to protect
consumers is developed and enforced on a Europe-wide basis.
• to prescribe airworthiness requirements and procedures These predominantly originate from the European Commission
relating to those aircraft and products that are exempt or via the EASA.
from EASA regulation, and the implementation of
procedures to incorporate EASA regulations into their The member state plays an active role in assisting with the
own legislative procedures; development of these policies and regulations and has a close
• to inform the interested parties regarding the working relationship with the EC and other relevant bodies.
prescriptions as mentioned above. This is performed in
different ways. The authority publishes technical The member states work very closely with the EASA to
regulations, technical standards, circulars and other implement and enforce the regulations in their own territory.
information to be obtained on request or by other means;
• to control aeronautical material, design, and
manufacturing organisations, and aircraft operators.
This is to ensure that all appropriate prescriptions are
complied with. Control can be performed in different
ways, with the appropriate involvement of the relevant
authority; and

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National aviation authorities (NAA)
The NAA is an agency of a sovereign state, or by agreement or The NAA may also be involved in the investigation of aircraft
statute, a group of sovereign states, which is given accidents. In many cases this is left to an independent body
responsibility for determining and administering the regulatory (such as the Australian Transport Safety Bureau (ATSB) in
regime which is in place to ensure that aircraft can be operated Australia or the National Transportation Safety Board (NTSB)
safely. in the United States), to allow an independent review of
regulatory oversight.
A national aviation authority (NAA) or civil aviation authority is
a government statutory authority in each country that maintains The NAA regulates the control of air traffic, but a separate
an aircraft register and oversees the approval and regulation of agency generally carries out air traffic control functions.
civil aviation.
In some countries an NAA may build and operate airports,
Due to the inherent dangers in the use of flight vehicles, including non-airside operations such as passenger terminals;
national aviation authorities typically regulate the following the Civil Aviation Authority of Nepal and the Civil Aviation
critical aspects of aircraft airworthiness and their operation: Authority of the Philippines being among such national
authorities. In other countries, private companies or local
• design of aircraft, engines, airborne equipment and government authorities may own and operate individual
ground-based equipment affecting flight safety; airports.
• conditions of manufacture and test of aircraft and
equipment; Most aviation regulation and policy is harmonised across the
• maintenance of aircraft and equipment; world to ensure consistent levels of safety and consumer
• operation of aircraft and equipment; protection. Worldwide safety regulations are set by the ICAO
• licensing of pilots, air traffic controllers, flight dispatchers and within Europe by the EASA.
and maintenance engineers;
• licensing of airports and navigational aids; and
• standards for air traffic control.

Depending on the legal system of the jurisdiction, the NAA

derives its powers from an act of Parliament (such as the civil
or federal aviation act) and is then empowered to make
regulations within the bounds of the act.

This allows technical aspects of airworthiness to be dealt with

by subject matter experts and not politicians.

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Some examples of non-European national aviation
authorities

United States Federal Aviation Administration (FAA) The role of EASA member states is limited to providing
expertise as appropriate for rulemaking and certification tasks.
Brazil National Civil Aviation Agency of Brazil They issue individual airworthiness certificates and approvals
Canada Transport Canada to organisations and personnel in their territory. If required, the
member states act on a case by case basis to ensure safety or
China Civil Aviation Administration of China appropriate operational flexibility.
Jamaica Jamaica Civil Aviation Authority
Sharing of roles
List of civil aviation authorities Many functions of the member states are shared
https://en.wikipedia.org/wiki/National_aviation_authority#List_ responsibilities with the EASA as a whole or with the European
of_civil_aviation_authorities Commission. Others are the sole responsibility of that country’s
Civil Aviation Authority.
EU member states
A competent authority is appointed by the member states to Member state obligation
undertake their responsibilities under the requirements of the Since the Community is a supranational organisation, member
Basic Regulation. For example, in the UK, the Civil Aviation states may no longer issue their own rules, deviate from
Authority (CAA) is the competent authority. standard rules, impose additional requirements to EASA rules,
or conclude arrangements with third countries.
A member state may have more than one competent authority,
where the responsibilities are split across two or more The following is a list of the EASA member states’ competent
organisations within a member state’s structure. authorities.

A competent authority may not be fully competent. This is the

case where a competent authority does not have the resources
to fulfil some of its responsibilities. For example, a competent
authority may not have the resources necessary to provide
examinations to maintenance staff. In such a case, the task is
delegated to Part-147 organisations or even to the competent
authorities of other member states.

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Austria Austro Control GmbH Slovakia Civil Aviation Authority of the Slovak Republic
Belgium Belgian Civil Aviation Authority Slovenia Civil Aviation Agency of the Republic of Slovenia
Bulgaria Civil Aviation Administration Spain Agencia Estatal de Seguridad Aerea
Croatia Croatian Civil Aviation Agency Sweden Swedish Transport Agency
Cyprus Department of Civil Aviation Switzerland Federal Office of Civil Aviation
The Czech Republic Civil Aviation Authority
Denmark Trafikstyrelsen
Estonia Estonian Civil Aviation Administration
Finland Finnish Transport Safety Agency
France Direction Générale de l’Aviation Civile – DGAC
Germany Luftfahrt-Bundesamt
Greece Hellenic Civil Aviation Authority
Hungary National Transport Authority
Iceland Icelandic Transport Authority
Ireland Irish Aviation Authority
Italy Ente Nazionale per l’Aviazione Civile – ENAC
Latvia Civil Aviation Agency
Lichenstein Office of Economic Affairs
Lithuania Civil Aviation Administration
Luxemburg Direction de l’Aviation Civile
Malta Transport Malta – Civil Aviation
Netherlands Human Environment and Transport Inspectorate
Civil Aviation Authority – The Netherlands
Norway Civil Aviation Authority
Poland Civil Aviation Authority
Portugal Instituto Nacional de Aviação Civil – INAC
Romania Romanian Civil Aeronautical Authority

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EASA relations with the other aviation
authorities
EASA rulemaking is tightly coordinated with international The EASA works closely with representatives of other
cooperation. The development of international standards may organisations to ensure that it takes their views into account.
become EU law. There are agreements and international Examples are shown below:
arrangements in place in the European Community, which are
considered during EASA operations. The EASA works in 1) Interested parties in the industry, which are subject to
concert with member state national aviation authorities to be rules drafted by the EASA, are pivotal in ensuring the
effective. success of civil aviation safety standards by assisting in
the drafting and correct application of European
Multilateral cooperation Community and EASA rules. European aviation
The EASA helps the EU and its member states in harmonising authorities perform a critical role in assisting the EASA
its rules and standards on the international level. In particular, with the performance of its core rulemaking, certification,
specialists from the EASA regulatory directorate participate in and standardisation functions.
the work of ICAO. 2) International aviation organisations such as
EUROCONTROL and the ICAO work together with the
Bilateral cooperation EASA to promote international civil aviation standards.
The Agency acts in a way to promote the circulation of 3) International aviation authorities such as the FAA,
European products and services throughout the world. It Transport Canada, DAC/CTA (Brazil), and the Interstate
assists third country regulators with the certification of Aviation Committee (Russia) work with the EASA to
European products and service providers. Reciprocally, ensure compliance with international standards and to
European certificates may be issued based on certificates facilitate trade in aeronautical products.
having already been issued in third countries, when there is Of particular note at this time is the imminent trilateral
sufficient confidence in the standards used by those countries. agreement between the EASA, the FAA and Transport
To do this, the EU must conclude bilateral agreements or Canada to release to service components certified by
arrangements dependent on the nature of the subject. these organisations in each other’s country, without the
Functioning arrangements have been concluded with Brazil, Form 1 (or 8130-3) having a dual release requirement.
Canada, China, Israel, Japan, New Zealand, Russia, Saudi 4) Accident investigation bodies issue safety
Arabia, Singapore, United States and the Committee of recommendations and analysis that guide the agency’s
Aviation Interstates of the Community of Independent States. safety strategy.

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Bilateral agreements and working arrangements
The EASA works at facilitating the free movement of European • support the EU industry, in particular when the local
products and services worldwide. It assists non-European authorities are certifying European products.
authorities when they certify European products and services.
Reciprocally, it issues European certificates for non-European As safety does not stop at European borders, the EASA works
products. The legal tools to do so are bilateral agreements and with authorities worldwide to raise global standards. Being an
working arrangements. authority itself, it can understand and address the challenges,
and bring different stakeholders together.
A bilateral aviation safety agreement (BASA) is signed
between the EU (and its member states) and a non-EU country. To cover the full scope of aviation, the EASA implements the
It is used when the cooperation between the two sides aims at following projects together with its European partners. These
the mutual acceptance of certificates. The EASA supports the programmes are mainly funded by the European Union, or
European Commission during the negotiation and other international partners, and focus on practical and
implementation of such agreements. So far, the EU has sustainable solutions for countries and regions alike.
concluded a BASA with the US, Canada and Brazil.
In addition to its projects, the EASA supports regional
A working arrangement (WA) is usually signed between the organisations, as well as international technical cooperation
EASA and the authority of a non-EU country, or a regional or fora, such as the ICAO’s technical assistance programmes.
international organisation. It covers matters of technical nature. Through this cooperation, the EASA provides technical input
It is typically used to facilitate the EASA’s certification tasks or and expertise and ensures coordination between these
the validation by a foreign authority of EASA certificates. Unlike initiatives and its own activities/projects.
BASAs, WAs do not allow for the mutual recognition of
certificates. The EASA directly negotiates and concludes such Technical training services are an integral part of the EASA’s
arrangements. technical cooperation activities. Thanks to its expertise across
the aviation safety spectrum, EASA designs, develops and
In addition to its offices in Europe, EASA has international delivers (directly or through its partners) quality training
offices in Washington (USA), Beijing (China), Montréal programmes for the international aviation community. The
(Canada) and Singapore, to: EASA has also launched The EASA Virtual Academy, to
ensure that harmonised and high-quality training is available
• further strengthen the cooperation with the local especially to NAA staff. The training is provided by qualified
authorities and industry; external training providers.
• facilitate the exchange of safety information;
• support the implementation of agreements; and

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EASA regulations
Council regulations and Commission regulations
Regulations are legal acts that apply automatically and
uniformly to all EU countries as soon as they enter into force,
without needing to be transposed into national law. They are
binding in their entirety on all EU countries.

The European Parliament establishes council regulations. The

European Commission establishes Commission regulations.

Currently, for relevance to aviation maintenance and operation,

these regulations exist:

• Council Regulation (EU) No. 2018/1139 (Basic

Regulation)
• Commission Regulation (EU) No. 748/2012 (Initial
Airworthiness)
• Commission Regulation (EU) No. 1321/2014
(Continuing Airworthiness)

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 Established by the Council Regulation (EU) No. 2018/1139
European (Basic Regulation)
Parliament Annex I – Excluded Aircraft
Annex II – Essential Requirements

Implementing Commission Regulation (EU) No. 748/2012 Commission Regulation (EU) No. 1321/2014
Rules Articles (Initial Airworthiness) (Continuing Airworthiness) Established
5 and 6 of the Annex I – Part-21 Annex I – Part-M Annex Va – Part-T by the
Basic Annex II – Part-145 Annex Vb – Part-ML European
Regulation (Includes noise and environmental Annex III – Part-66 Annex Vc – Part- CAMO Commission
requirements) Annex IV – Part-147 Annex Vd – Part-CAO Binding
in Law

Article 19 of Soft Law

the Basic AMC and GM Certification Specifications AMC and GM Established
Regulation (Airworthiness Codes) by the
EASA

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Implementing rules (IR)
Implementing rules (IRs) are binding in their entirety and used However, NAAs and organisations may decide to show
to specify a high and uniform level of safety and uniform compliance with the requirements using other means. Both
conformity and compliance. They detail how to comply with the NAAs and the organisations may propose alternative means of
essential requirements of the Basic Regulation and regulate the compliance (AltMoC). ‘Alternative means of compliance’ are
subject matters included in its scope. The European those that propose an alternative to an existing AMC. Those
Commission adopts the IRs in the form of regulations. EU law AltMoC proposals must be accompanied by evidence of their
is directly applicable (full part of member states’ legal order). ability to meet the intent of the IR. Use of an existing AMC gives
the user the benefit of compliance with the IR.
IRs are issued as annexes contained within the respective
regulations.

Certification specifications (CS)

Certification specifications (CS), also known as airworthiness
codes, are non-binding technical standards adopted by the
EASA to meet the essential requirements of the Basic
Regulation. CSs are used to establish the certification basis
(CB), for example, in the design or aircraft, engines and
equipment. Should an aerodrome operator not meet the
recommendation of the CS, they may propose an Equivalent
Level of Safety (ELOS) that demonstrates how they meet the
intent of the CS. As part of an agreed CB, the CS becomes
binding on an individual basis to the applicant.

Acceptable means of compliance (AMC)

Acceptable means of compliance (AMC) are non-binding. The
AMC serves as a means by which the requirements contained
in the regulations and the IRs can be met. The AMC illustrate a
means, but not the only means, by which a requirement of an
implementing rule can be met. Satisfactory demonstration of
compliance using a published AMC shall provide for a
presumption of compliance with the related requirement; it is a
way to facilitate certification tasks for the applicant and the
competent authority.
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 Basic
Regulation

Implementing
rules (IR)

Acceptable means of compliance (AMC)

Guidance material (GM)
Certification Specifications (CS)

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Guidance material (GM)
Guidance material (GM) is non-binding explanatory and
interpretation material on how to achieve the requirements
contained in the Basic Regulation, the IRs, the AMCs and the
CSs. It contains information, including examples, to assist the
user in the correct understanding and application of the Basic
Regulation, its IRs, AMCs and the CSs.

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 the EASA is assured of acceptance of
compliance. The soft regulations are established directly by the
EASA itself.

Amendments
The regulations are occasionally reviewed, after consultation
with the industry affected, and amended. Amendments are
issued by way of another regulation, the contents of which
detail changes from the original regulation.

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 Council Regulation (EU) No. 2018/1139
(Basic Regulation)

Commission Regulation Commission Regulation Commission Regulation Other Regulations concerning

(EU) No. 748/2012 (EU) No. 1321/2014 (EU) No. 965/2012 flight crew licensing, air traffic
(Initial Airworthiness) (Continuing Airworthiness) (Air Operations) control, aerodromes etc

Annex I
Annex I
Annex I Annex I Annex III Annex Va ACL
DEF
Part-21 Part-M Part-145 Part-T
Annex IV
Annex II
Annex Vb MED
ARO
AMC AMC Part-ML
& GM & GM Annex III
Annex V
AMC Certification CC
Annex Vc ORO
& GM specifications Part-CAMO
Annex VI
Annex IV
ARA
Annex II Annex Vd CAT
Part-145 Part-CAO Annex VII
Annex V
SPA
SPA
AMC Annex IV AMC Annex VI
& GM Part-147 & GM Annex VI
ORA
NCC

AMC Annex VII

& GM NCO

Annex VIII
SPO
Basic Regulation, Initial Airworthiness, Continuing
Airworthiness and Air Operations regulatory structure AMC & GM

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Easy access rules
Accessing the regulations
When issued, the EASA regulations are published in the Official
Journal of the European Union. The Official Journal of the
European Union (OJ) is the primary source of EUR-Lex
content. It is published daily in all the official EU languages.

EUR-Lex
EUR-Lex is a website which offers easy access to EU law.
Available in 24 languages, it includes treaties, legislation,
international agreements, preparatory acts, legislative
procedures, case law, parliamentary questions and many other
types of documents. EUR-Lex also gives access to the Official
Journal of the European Union, the official compilation of all EU
legal acts.

EUR-Lex
https://eur-lex.europa.eu/homepage.html

EUR-Lex also publishes the Easy Access Regulations, which

incorporate the AMC and GM in the same document. The
following documents should be downloaded and used in
conjunction with this Module 10 Training Manual.

The Easy Access Rules are displayed in an easy-to-read

format with advanced navigation features through links and
bookmarks, and it is updated regularly to incorporate further
changes and evolutions to the content.

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 Regulation (EU) No. 2018/1139 (Basic Regulation) Regulation (EU) No. 748/2012
This document contains the This document contains the
Regulation (EU) 2018/1139 of applicable rules for airworthiness
the European Parliament and and environmental certification of
of the Council of 4 July 2018 aircraft and related products,
on standard rules in the field parts and appliances, as well as
of civil aviation and for the certification of design and
establishing a European production organisations
Union Aviation Safety
Agency. It includes Part-21 and the
associated current applicable
implementing rules (IRs),
acceptable means of compliance
(AMC) and guidance material
(GM), displayed in a
consolidated, easy-to-read format
with advanced navigation
features through links and
bookmarks.

https://www.easa.europa.eu/document-library/general- https://www.easa.europa.eu/document-library/general-
publications/easy-access-rules-basic-regulation-regulation- publications/easy-access-rules-initial-airworthiness
eu-20181139

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 Regulation (EU) No. 1321/2014 Regulation (EU) No. 1321/2014
Easy Access Rules for Easy Access Rules
Continuing Airworthiness – consolidated Regulation
Revision from April 2019 (EU) No 1321/2014 on
Continuing Airworthiness –
Incorporates Regulation (EU) Revision October 2019 –
2018/1142 amending Applicable from 24 March
Regulation (EU) 2020
No. 1321/2014, as well as ED
Decision 2019/009/R. Incorporates Regulations
(EU) 2019/1383 and (EU)
This document includes the 2019/1384 amending
current applicable Regulation (EU) No
implementing rules (IRs), 1321/2014.
acceptable means of Consolidates the current
compliance (AMC) and applicable implementing
guidance material (GM) in a rules (IRs) in an easy-to-read
consolidated, easy-to-read format, including the new
format. Part-ML, Part-CAMO and
Part-CAO annexes.
It covers all the annexes of Regulation (EU) No.1321/2014, i.e.
Part-M, Part-145, Part-66, Part-147 and Part-T and offers The document was developed to help the stakeholders
advanced navigation features through links and bookmarks as familiarise themselves with the new structure and content of
well as identification of general aviation alleviations. the regulation as amended, ahead of its applicability date.
It does not, as yet, include the applicable AMC and GM.
https://www.easa.europa.eu/document-library/general-
publications/easy-access-rules-continuing-airworthiness- This regulation was amended by Commission Implementing
regulation-eu-no-0 Regulation (EU) 2020/270 of 25 February 2020
https://www.easa.europa.eu/document-library/general-
Regulation (EU) 2019/1383 amending Regulation (EU) publications/erules-consolidated-regulation-eu-no-13212014-
No. 1321/2014 introduces a new structure and new types of continuing
organisations (Part-CAO and Part-CAMO) in the Continuing
Airworthiness domain, as of 24 March 2020.
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 Regulation (EU) No. 965/2012
Easy Access Rules for Air
Operations - Revision 14,
October 2019

https://www.easa.europa.eu/document-library/general-
publications/easy-access-rules-air-operations

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Structure of EASA regulations
The EASA regulations are written and issued, by the EASA, for
and on behalf of the EU parliament. Once done so, they are
written into the Official Journal of the European Union. This
Journal can be viewed online at http://eur-lex.europa.eu.

The drafting and approval of rules (“rulemaking”) is a lengthy

process, and involvement of the EU National Aviation
Authorities (NAAs) is maintained throughout via its Advisory
Group of National Authorities (AGNA).

Each Part consists of two sub-sections, A and B.

• Sub-section A contains the implementing rules for

personnel and organisation.
• Sub-section B contains the implementing rules to
enable the competent authorities of the EASA to carry
out their duties.

The sub-section paragraphs can be recognised by the inclusion

of the letters ‘A’ or ‘B’ as appropriate in the paragraph number,
such as 66.A.15, and 66.B.15.

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 Sub-section A contains the implementing
rules for personnel and organisation

Sub-section B contains the implementing

rules to enable the competent authorities
of the EASA to carry out their duties

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The EUR-Lex Easy Access Rules contain the AMC and the GM
embedded within the regulations. They can be identified by the
colour coding of the headings, respectively.

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Regulation (EU) No. 2018/1139 -
The Basic Regulation
The Basic Regulation establishes common essential Certification specifications
requirements to provide for a high uniform level of civil aviation Certification specifications (CS) are also provided to amplify
safety. It establishes EASA (Article 1) and Annex ll defines this regulation and provide detailed assistance to
those aircraft (types and roles) not covered by this regulation. manufacturers. These are currently:

The regulation has been amended by Commission Regulations • CS-22 (Sailplanes and Powered Sailplanes)
(EC) No. 690/2009, (EU) No. 6/2013 and (EC) No. 1108/2009. • CS-23 (Normal, Utility, Aerobatic and Commuter
The amended Regulation (EC) No. 216/2008 further Aeroplanes)
established regulations regarding: • CS-25 (Large Aeroplanes)
• CS-27 (Small Rotorcraft)
• flight crew licensing; and • CS-29 (Large Rotorcraft)
• air operations • CS-31HB (Hot Air Balloons)
• CS-34 (Aircraft Engine Emissions and Fuel Venting)
Regulation (EU) No. 748/2012 - • CS-36 (Aircraft Noise)
Initial Airworthiness • CS-APU (Auxiliary Power Units)
• CS-AWO (All Weather Operations)
General • CS-E (Engines)
This lays down implementing rules for the airworthiness and • CS-ETSO (European Technical Standard Orders)
environmental certification of aircraft and related products, • CS-Definitions (Definitions and Abbreviations)
parts and appliances, as well as for the certification of design • CS-P (Propellers)
and production organisations. It has been amended by • CS-VLA (Very Light Aeroplanes)
Commission Regulation (EU) No. 7/2013. • CS-VLR (Very Light Rotorcraft)

Regulation (EU) No. 748/2012 contains Annex I – Part-21; the These are also known as airworthiness codes and are based
implementing rules for initial certification of aircraft and upon (and in most cases are identical to) the JAA codes which
environmental standards. they replace.

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 Authority of the Basic Regulation (EC) No. 2018/1139

Annex I to Regulation (EU) No. 748/2012 (Part-21)

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Annex-I – Part-21

Part-21: Subpart J Design Organisation Approval (DOA)

Design organisation means an organisation responsible for the
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
or repairs design approvals or ETSO authorisations. A design
organisation holds design organisation approval (DOA) or, by
way of derogation, alternatives procedures to DOA. A DOA-list
listing all companies holding DOA with their capabilities can be
downloaded from the EASA website.

Part-21: Subpart G Production Organisation Approval

(POA)
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 a 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).

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Regulation (EU) No.1321/2014 -
Continuing Airworthiness
General
This is a regulation regarding the continuing airworthiness of Annex Va Part-T Continuing airworthiness of
aircraft and aeronautical products, parts and appliances, and third-country registered
on the approval of organisations and personnel involved in aircraft.
these.
Annex Vb Part-ML Continuing airworthiness
This regulation was amended by Commission Implementing standards – ‘light aircraft’
Regulation (EU) 2020/270 of 25 February 2020. not used by a licenced air
carrier.
The set of rules within the regulation are made of eight Annexes
(I, II, III, IV, Va, Vb, Vc and Vd), also named respectively Parts- Annex Vc Part-CAMO Continuing airworthiness
M, 145, 66, 147, T, ML, CAMO and CAO. management organisation
(all types of aircraft types
Consists of 8 Annexes: and operation)
Annex I Part-M Continuing Airworthiness Annex Vd Part-CAO Combined (continuing
Management airworthiness management
and maintenance)
Annex II Part-145 Approval of Maintenance organisation – non-complex
Organisations – Commercial aircraft and non-licensed air
and Large Aircraft. carrier.
Annex III Part-66 Licensing of Aircraft To assist organisations and individuals in complying with this
Maintenance Engineers and regulation, acceptable means of compliance (AMC) and
Certifying Staff. guidance material (GM) is provided where applicable, relevant
Annex lV Part-147 Approval of Training to the appropriate annex paragraph.
Organisations. 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 NAA.
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 Commission Regulation (EU) No. 1321/2014
(Continuing Airworthiness)

Established by the European Commission

Annex I Annex II Annex III Annex IV Annex Va Annex Vb Annex Vc Annex Vd Hard law
Part-M Part-66 Part-145 Part-147 Part-T Part-ML Part-CAMO Part-CAO

Established by the EASA

Soft
law
AMC & GM AMC & GM AMC & GM AMC & GM AMC & GM AMC & GM AMC & GM AMC & GM

Note: the (unofficial) denomination ‘light aircraft’ means the following non-complex motor-powered aircraft:

• aeroplanes up to 2,730 kg MTOM

• rotorcraft up to 1,200 kg MTOM/max 4 occupants
• other ELA2 aircraft.

Part-ML is the only option for ‘light aircraft’ not used by licenced air carrier. All other aircraft must follow Part-M.
It is not allowed to voluntary apply Part-M on light aircraft not used by licenced air carrier.

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Annexes

Annex-I – Part-M: Continuing Airworthiness Management Annex-Va – Part-T: Continuing airworthiness of third-
EASA Part-M consists of several subparts. The noteworthy country registered aircraft
subparts are F (Maintenance for aircraft below 5 700 kg in the Part-T relates to the definition of the continuing airworthiness
non-commercial environment), and G (Continuing requirements applicable to third-country registered aircraft dry
Airworthiness Management Organization = CAMO, leased-in by EU licensed air carriers.
coordinating the compliance of aircraft with a maintenance
program, airworthiness directives and service bulletins). Part-T applies to aircraft registered in a third country and whose
Subpart G, however, has been transferred to Part-CAMO by oversight has not been delegated to a member state.
Regulation (EU) 2019/1383 amending Regulation (EU)
No. 1321/2014. Subpart G remains applicable to those Part-T concerns the airworthiness management of aircraft
organisations already holding the approval on 24 March 2020, which are leased for a short term (identified as less than seven
until 24 September 2021. months). It accepts that for a short-term lease, the aircraft may
not be fully compliant with all EASA requirements, instead,
Annex II – Part-145: Maintenance Organisation Approval focusing on the need to demonstrate compliance with ICAO
To obtain approval to be an aeronautical repair station, an requirements.
organisation must write, submit and keep updated a
maintenance organisation exposition (MOE). To support their Annex-Vb – Part-ML: Continuing airworthiness of light
MOE, they must have a documented set of procedures. Thirdly aircraft
the organisation must have a compliance matrix to show how Part-ML applies to organisations that are responsible for the
they meet the requirements of Part-145. continuing airworthiness of aircraft other than complex motor-
powered aircraft not listed in the air operator certificate of an air
Annex-II – Part-66: Certifying Staff carrier licensed per Regulation (EC) No. 1008/2008:
In Europe, aircraft maintenance certifying personnel have to
• aeroplanes of 2,730 kg maximum take-off mass
comply with Part-66 Certifying Staff.
(MTOM) or less;
Annex-IV – Part-147: Training Organisation Requirements • rotorcraft of 1,200 kg MTOM or less, certified for a
To go with Part-66 on the issuing of licenses is the broader area maximum of up to 4 occupants; and
of setting up and gaining approval for a training school for • other ELA2 aircraft.
aircraft mechanics. Part-147 governs the broader situation of
establishing such a training school. This is for basic training and
type training.

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Annex-Vc – Part-CAMO: Continuing Airworthiness Annex-Vd – Part-CAO: Combined Airworthiness
Management Organisations Organisation
Part-CAMO provides the requirements to be met by an Part-CAO establishes the requirements to be met by an
organisation to qualify for the issue or continuation of a airworthiness organisation to be issued, upon application,
certificate for the management of continuing airworthiness of approval for the maintenance and continuing airworthiness
an aircraft and components for installation. management of aircraft and components for installation
thereon, and to continue carrying out those activities, where
The requirements were transferred from Part-M (Subpart G) by such aircraft are not classified as complex motor-powered
Regulation (EU) 2019/1383 amending Regulation (EU) aircraft and are not listed in the air operator certificate of an air
No. 1321/2014. carrier licensed per Regulation (EC) No. 1008/2008.

Regulation (EU) 2019/1383 amending Regulation (EU) No 1321/2014 introduces a new structure and new types of organisations (Part-CAO
and Part-CAMO) in the continuing airworthiness domain, as of 24 March 2020. As a consequence, from 24 March 2020, each aircraft must
follow either Part-M or Part-ML standard, and any person or organisation involved in continuing airworthiness must comply with Part-M, or
Part-ML or both, depending on the scope of activities (related type(s) of aircraft and operation(s)).

Regulation (EU) 1321/2014 does not introduce a ‘Part-ML organisation’ because Part-ML is only a standard for ‘light aircraft’. However, all
types of organisations provided for in this Regulation (Part-CAMO, Part-CAO, Part-145) may be involved in continuing airworthiness
activities for aircraft following Part-ML.

The new organisations introduced by this amendment are Part-CAO organisations and Part-CAMO organisations.

• Part-CAMO provides requirements for continuing airworthiness management organisation (CAMO): compared with Part-M
Subpart G organisation, the main difference is the introduction of SMS principles.
• Part-CAO provides a new set of requirements for a combined airworthiness organisation: such organisation may perform
CAMO activities or maintenance organisation activities, or both, but limited to non-complex aircraft not used by a licenced air
carrier.

These Part-CAMO and Part-CAO organisations are supposed to gradually replace Part-M Subpart F and Part-M Subpart G organisations.
In accordance with Article 4 of Regulation (EU) 1321/2014 as amended, after 24 September 2021, there should be no more Part-M Subpart
F and Part-M Subpart G organisations. This is why, to be able to continue their activities, the existing Part-M Subpart F and Part-M Subpart
G organisations must eventually receive a new approval.

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Safety Management Systems (SMS) embodiment
A safety management system (SMS) is a systematic and Meanwhile, the following steps towards transposition of ICAO
proactive approach to managing safety risks. Risk Annex 19 have been accomplished:
management activities are at the heart of SMS, including the
identification of safety issues, risk assessments and risk For continuing airworthiness management organisations
mitigation. It is supported by a strong assurance function that (CAMOs), the SMS alignment is already introduced by the new
monitors compliance and performance as well as managing ‘Part-CAMO’ (Annex Vc), through Regulation (EU) 2019/1383
changes. of 8 July 2019 amending and correcting Regulation (EU)
No. 1321/2014.
To be effective, the SMS needs the right policies, processes
and procedures in place, in addition to the safety leadership to Note 1: SMS requirements are not introduced in the new Part-
enable it to perform. CAO (Annex Vd to Regulation (EU) No. 1321/2014),
which regulates combined airworthiness
Training also plays a crucial role in implementing effective organisations (continuing airworthiness management
safety management systems. Training maintains personnel and maintenance privileges) for non-complex motor-
competencies, the sharing of safety information across the powered aircraft not used by a licenced air carrier.
organisation, and with external organisations where there is a
safety interface. Note 2: SMS requirements will not be introduced in EASA
Part-147 Maintenance Training Organisations,
An effective safety management system is woven into the fabric however, SMS elements will be introduced in the
of an organisation and its culture. Part-66 basic knowledge training syllabus in the
future.
The embodiment of safety management system requirements
into Commission Regulations (EU) Nos 1321/2014 and
748/2012 has already begun. This introduces SMS into the
requirements of:

• Part 21 Design (Subpart J) and Production (Subpart G)

Organisations; and
• Part-145 Maintenance Organisations.

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 Management of continuing airworthiness

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Regulation (EU) No. 376/2014
Regulation (EU) No. 376/2014 of the European Parliament and Objectives
of the Council of 3 April 2014 provides the rules regarding the Regulation (EU) No. 376/2014 aims to improve aviation safety
reporting, analysis and follow-up of occurrences in civil by ensuring that relevant safety information relating to civil
aviation. aviation is reported, collected, stored, protected, exchanged,
disseminated and analysed.
Introduction
Previously mandatory occurrence reporting (MOR) was The regulation ensures the continued availability of safety
effectively regulated by a Directive 2003/42/EC to each nation information by introducing rules on confidentiality and the
to create a compatible national regulation. That directive is now appropriate use of information and through the harmonised and
superseded by a specific, directly applicable, EU-wide enhanced protection of reporters and persons mentioned in
regulation: Regulation (EU) 376/2014. On 29 June 2015 occurrence reports.
Implementing Regulation (EU) 2015/1018 was also published,
laying down a list classifying occurrences in civil aviation to be Scope
mandatorily reported. Regulation (EU) No. 376/2014 lays down rules on:

Regulation (EU) No. 376/2014 of the European Parliament and • the reporting of occurrences which endanger or which, if
the Council was adopted on 3 April 2014, and it deals with the not corrected or addressed, would endanger an aircraft,
reporting, analysis and follow-up of occurrences in civil its occupants, any other person, equipment or
aviation. The regulation also amends Regulation (EU) installation affecting aircraft operations (mandatory
No. 996/2010 on the investigation and prevention of accidents reporting); and the reporting of other relevant safety-
and incidents in civil aviation and repeals Directive 2003/42/EC related information in that context (voluntary reporting);
on occurrence reporting in Civil Aviation and Commission • analysis and follow-up action in respect of reported
Regulations (EC) No. 1321/2007 and (EC) No. 1330/2007. occurrences and other safety-related information;
• the protection of aviation professionals;
Commission Implementing Regulation (EU) 2015/1018 of 29 • appropriate use collected safety information;
June 2015 lays down a list classifying occurrences in civil • the integration of information into the European Central
aviation to be mandatorily reported according to Regulation Repository; and
(EU) No. 376/2014. • the dissemination of anonymised information to
interested parties to provide such parties with the
information they need to improve aviation safety.

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Mandatory reporting
Occurrences which may represent a significant risk to aviation • a person engaged in designing, manufacturing,
safety are to be reported through the mandatory occurrence continuous airworthiness monitoring, maintaining or
reporting systems. modifying an aircraft, or any equipment or part thereof,
under the oversight of an EU member state or the EASA;
Each aeronautical service provider established in an EU • a person who signs an airworthiness review certificate,
member state must have in place a mandatory reporting or a release to service in respect of an aircraft or any
system to facilitate the collection of details of occurrences. equipment or part thereof, under the oversight of an EU
Each member state must have in place a mandatory reporting member state or the EASA;
system to facilitate the collection of details of occurrences • a person who performs a function which requires him or
collected by aeronautical service providers. her to be authorised by an EU member state as a staff
member of an air traffic service provider entrusted with
The EASA must have in place a mandatory reporting system to responsibilities related to air navigation services or as a
facilitate the collection of details of occurrences, including those flight information service officer;
collected by organisations which have been certified or • a person who performs a function connected with the
approved directly by the Agency. safety management of an airport to which Regulation
The following personnel are to report occurrences through the (EC) No. 1008/2008 of the European Parliament and the
system established by the aeronautical service provider which Council applies;
employs, contracts or uses the services of the reporter or, • a person who performs a function connected with the
failing that, through the system established by the member installation, modification, maintenance, repair, overhaul,
state of establishment of their organisation, or by the state flight-checking or inspection of air navigation facilities for
which issued, validated or converted the pilot’s licence, or which an EU member state ensures the oversight; or
through the system established by the EASA: • a person who performs a function connected with the
ground handling of aircraft, including fuelling, load sheet
• the pilot in command, or, in cases where the pilot in preparation, loading, de-icing and towing at an airport
command is unable to report the occurrence, any other covered by Regulation (EC) No. 1008/2008.
crew member next in the chain of command of an aircraft
registered in an EU member state or an aircraft
registered outside the EU but used by an operator for
which an EU member state ensures oversight of
operations or an operator established in the EU;

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These persons are to report occurrences within 72 hours of European Central Repository
becoming aware of the occurrence unless exceptional The European Commission manages a European Central
circumstances prevent this. Following the notification of an Repository to store all occurrence reports collected in the EU.
occurrence, any aeronautical service provider established in an Each EU member state, in agreement with the European
EU member state shall report to the competent authority of that Commission, is to update the European Central Repository by
member state, or the EASA if certified or approved by the transferring to it all information relating to safety stored in the
EASA, the details of occurrences collected as soon as possible, national databases.
and in any event no later than 72 hours after becoming aware
of the occurrence. The EASA is to agree with the European Commission the
technical protocols for transferring to the European Central
Voluntary reporting Repository of all occurrence reports collected by the EASA
Aeronautical service providers established in an EU member under Regulation (EU) No. 2018/1139 and its implementing
state must have in place a voluntary reporting system to rules, particularly for occurrences stored in the internal
facilitate the collection of details of occurrences that may not be occurrence reporting system (IORS), as well as the information
captured by the mandatory reporting system and other safety- collected according to regulation (EU) 376/2014. The European
related information which is perceived by the reporter as an Commission, through implementing acts, is to adopt the
actual or potential hazard to aviation safety. Each EU member arrangements for the management of the European Central
state and the EASA must have in place their respective Repository.
voluntary reporting systems to facilitate the collection of such
information. The EU member states and the EASA are to participate in an
exchange of information by making all information relating to
The voluntary reporting systems are to be used to facilitate the safety stored in their respective reporting databases available
collection of details of occurrences and safety-related to the competent authorities of the other EU member states,
information not subject to mandatory reporting pursuant and the EASA and the European Commission, through the
reported by persons who are not required to submit mandatory European Central Repository. Occurrence reports are to be
reports. transferred to the European Central Repository no later than
30 days after having been entered in the national database.
Each aeronautical service provider established in an EU Occurrence reports are to be updated whenever necessary,
member state is to report, on time, to the competent authority with additional information relating to safety.
of that member state, or the EASA if certified or approved by
the EASA, the details of occurrences and other safety-related
information.

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 The reporting scheme results in analysis and follow-up action in respect
of reported occurrences and other safety-related information

An occurrence is defined as anything which endangers or which, if not

corrected or addressed, would endanger an aircraft, its occupants,
any other person, equipment or installation affecting aircraft
operations (mandatory reporting); and the reporting of other relevant
safety-related information in that context (voluntary reporting).

EASA report form

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Classifying occurrences
The detailed classification to be referred to when reporting Annex IV: Occurrences related to aerodromes and ground
occurrences, through mandatory reporting systems, according services
to Regulation (EU) No. 376/2014 is set out in Annexes I to V to
Commission Implementing Regulation (EU) 2015/1018. • Safety management of an aerodrome
• Ground handling of an aircraft
Annex I: Occurrences related to the operation of the
aircraft Annex V: Occurrences related to aircraft other than
complex motor-powered aircraft, including sailplanes and
• Air operations lighter-than-air vehicles
• Technical occurrences
• Interaction with air navigation services (ANS) and air • Aircraft other than complex motor-powered aircraft
traffic management (ATM) excluding sailplanes and lighter-than-air vehicles
• Emergencies and other critical situations • Sailplanes (gliders)
• External environment and meteorology • Lighter-than-air vehicles (balloons and airships)
• Security

Annex II: Occurrences related to technical conditions,

maintenance and repair of the aircraft

• Manufacturing
• Design
• Maintenance and continuing airworthiness management

Annex III: Occurrences related to air navigation services

and facilities

• Aircraft-related occurrences
• Degradation or total loss of services or functions
• Other occurrences

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 The reporting scheme enables the analysis and identification of problem areas

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Regulation (EU) No.1321/2014 and the
relationship between its parts and others
Regulation (EU) No.1321/2014 has eight annexes (or ‘Parts’)
as previously noted: Part-M, Part-145, Part-66, Part-147,
Part-T, Part-CAMO and Part-CAO.

The regulation and its eight parts are integral to continued

airworthiness. The following diagram will assist in
understanding how they interrelate.

Part-145 organisations require licensed engineers to carry out

the release to service functions. These engineers are licensed
per 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 Organisations require liaison with Part-21

Design Organisations to enable repairs to be approved under
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.

The Air Operator Certificate is issued to the owner or the lessee

of the aircraft in conjunction with a Part-CAMO approval.

All operators of aircraft, whether used for commercial air

transport or flight training, must obtain an AOC per Regulation
(EU) 965/2012.

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 EASA Regulation (EU) 1321/2014 relationships for large aircraft

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 Non-CAT CAT
Non-CMPA CMPA Non-CMPA CMPA
Applicable to
Part-M Applicable
non-light aircraft only
Subpart-F Applicable until 2021 n/a n/a n/a
Subpart-G (CAMO) Transferred to Part-CAMO
Part-145 Applicable
Part-66 Applicable
Part-147 Applicable
Part-T n/a Applicable Applicable Applicable
Applicable to light n/a n/a n/a
Part-ML
aircraft only
Part-CAMO (with SMS) Applicable
Part-CAO Applicable n/a n/a n/a
CAT = aircraft used for commercial air transport
CMPA = complex motor-powered aircraft n/a = not applicable
The term ‘complex motor-powered aircraft’ refers to:
1. an aeroplane:
• with a maximum certificated takeoff mass exceeding 5,700 kg; or
• certificated for a maximum passenger seating configuration of more than nineteen; or
• certificated for operation with a minimum crew of at least two pilots; or
• equipped with (a) turbojet engine(s) or more than one turboprop engine; or
2. a helicopter certificated:
• for a maximum take-off mass exceeding 3,175 kg; or
• for a maximum passenger seating configuration of more than nine; or
• for operation with a minimum crew of at least two pilots; or
3. a tilt rotor aircraft.
An aircraft not meeting the above criteria is an ‘other-than-complex motor-powered aircraft’.
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 An air operators certificate held by the flying school Vliegschool Seppe of The Netherlands

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The organisational diagram below shows the relationships
between Parts- M, 145, 66, 147, T, ML, CAMO and CAO. The
specific requirements depend upon whether the aircraft is
complex motor-powered, and whether the operator of the
aircraft is a licensed air carrier or not.

The diagram can be followed either from the top-down or from

the bottom-up.

If viewed from the top down, it can be seen that Part-147 is

required to provide the necessary training for Part-66 certifying
staff. And it shows how Part-66 certifying staff are required to
support the operations of Part-145 maintenance organisations
and Part-M organisations.

Operators of aircraft are required to be approved in some form

of continuing airworthiness management organisation (Part-
CAMO, Part-ML or Part-CAO) as applicable.

The continuing airworthiness management organisation is

required to contract to a maintenance organisation (Part-145 or
Part-M as applicable) to implement the maintenance standards
as defined in Part-M Subpart-D.

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 Part-147 Approved Training Organisations

Part-66 certifying staff

Part-M Subpart F Licensed

Part-145 maintenance organisations maintenance aircraft
organisation engineer

Maintenance Standards (Part-M Subpart-D)

• Part-CAMO continuing airworthiness

• Part-ML continuing airworthiness of
management organisation
light aircraft
• Part-T Continuing airworthiness of
• Part-CAO combined airworthiness
third country registered aircraft (if
organisation
applicable)

EU Non-complex not used for

licensed Complex motor- commercial operations
carriers powered aircraft

Licensed air carriers Licensed air carriers

complex motor-powered aircraft Other than complex motor-powered aircraft
Valid Certificate of Airworthiness and Valid Certificate of Airworthiness and
Airworthiness Review Certificates Airworthiness Review Certificates

Relationships between Parts- M, 145, 66, 147, T, ML, CAMO and CAO.
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 Licence Category A, B1, B2 and B3

10.2 Certifying Staff – Maintenance