The Legal and Regulatory basis in the European Union

The

Legal and Regulatory

basis in the

European Union
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The Legal and Regulatory basis in the European Union

OBIECTIVul prezentRII

SATISFACIA DE A LUCRA N AERONAUTICA CIVIL

CONTIENTIZAREA RESPONSABILITILOR

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The Legal and Regulatory basis in the European Union NAVIGABILITATE

STANDARDE AMO / CAMO / MTOA
Autorizare / Inspecie Programare Reparaii CofA (PtF) CRS

Concept
STANDARDE POA
Autorizare / Inspecie Certificat Navigabilitate C of A (inclusiv Autorizaie de Zbor - PtF)

STANDARDE OPERARE
Abiliti Piloi Proceduri

STANDARDE DOA
Autorizare Criterii Certificare TC, STC, RTC Continuitate Navigabilitate
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Sistem Management al Siguranei SMS

The Legal and Regulatory basis in the European Union

The evolution of safety thinking

1950s
Fuente: James Reason

1970s

1990s

2000s
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TODAY

HUMAN FACTORS

The Legal and Regulatory basis in the European Union

Concept of safety
Safety is the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management

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The Legal and Regulatory basis in the European Union Responsible bodies in the field of Aviation Safety

ICAO

EU regulatory bodies
EU Parliament and Council EU Commission (incl. Committees)

European Aviation Safety Agency (EASA) Member States / National Aviation Authorities JAA (no legal authority)
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The Legal and Regulatory basis in the European Union

ACQUIS comunitar
reprezinta ansamblul de drepturi si obligatii comune ce leaga toate statele membre in cadrul Uniunii Europene

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The Legal and Regulatory basis in the European Union In the field of Aviation Safety

The EU institutional framework

The EU regulatory framework

Agencys (EASA) working methods

Tasks Allocated to Competent Authorities

Standardisation Inspections Member States Responsibilities EASA Board of Appeal
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The Legal and Regulatory basis in the European Union

nainte de EASA

ICAO

Structurile de reglementare UE
JAA

Autoritile Aeronautice Naionale

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The Legal and Regulatory basis in the European Union

Documente regulatorii nainte de EASA

Convenia de la Chicago, Anexe ICAO i SARPs

(Standards and Recommended Practices)

Aranjamentele din Cipru JARs, inclusiv:

Proceduri comune de implementare Materiale temporare de ndrumare / Politici provizorii

Reglementri Naionale
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The Legal and Regulatory basis in the European Union Dup nfiinarea EASA

ICAO JAA Structurile de reglementare UE

Parlamentul

PUTERE LEGISLATIV (reglementri, directive, decizii) PUTERE DE INIIATIV LEGISLATIV I DE IMPLEMENTARE (reglementri EC, directive, decizii)

UE i Consiliul UE

Comisia European (incl. Comitetele)

EASA Statele Membre / Autoritile Aeronautice Naionale Entiti calificate

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The Legal and Regulatory basis in the European Union

Structura Instituional UE (cont.)

Cadrul

instituional fixat prin Tratatul UE (de la Roma) se bazeaz pe principiul c UE are rolul de legiuitor iar Statele Membre aplic legile Comunitare sub control Comunitar.
Comunitare sunt direct aplicabile (ca parte integrant a legislaiei Statelor Membre). legale i mijloacele de aplicare sunt furnizate de ctre sistemul juridic al Statelor Membre.
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Legile

Remediile

The Legal and Regulatory basis in the European Union

Structura Instituional UE (cont.)

Tratatul

UE prevede i posibilitatea delegrii puterilor executive ctre CE (hard law) sau ctre o Agenie executiv (soft law); n astfel de cazuri:
delegate trebuie definite strict pentru a permite controlul juridic al actelor executive; juridice disponibile i metodele de aplicare trebuie specificate atunci cnd puterile delegate permit decizii individuale.

Puterile

Remediile

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The Legal and Regulatory basis in the European Union

Documente regulatorii n Europa, dup nfiinarea EASA

(cont.)

Pn cnd CE va obine (prin amendarea Conveniei de la Chicago) dreptul de a reprezenta toate statele UE, fiecare stat UE rmne responsabil fa de ICAO pentru ndeplinirea obligaiilor ce i revin (1592, art. 4.6). Prin competenele ce i revin, EASA ndeplinete n numele statelor membre anumite funcii i sarcini conferite acestora prin Convenia de la Chicago.
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The Legal and Regulatory basis in the European Union

Documente regulatorii n Europa, dup nfiinarea EASA

(cont.)

Convenia de la Chicago

(http://www.icao.int/icao/en/m_about.html)

furnizeaz cerinele de baz ale transportului aerian pentru Statele Semnatare (191de state).
stabilete obligaiile Semnatare. de baz pentru Statele

stabilete necesitatea certificrii de navigabilitate. stabilete cerinele privind emiterea Certificatului de Navigabilitate.
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The Legal and Regulatory basis in the European Union

Documente regulatorii n Europa, dup nfiinarea EASA

Convenia de la Chicago, Anexe ICAO i SARPs Reglementarea (EC) 216/2008 i modificrile ulterioare Reglementarea (EC) 1702/2003 i modificrile ulterioare (incl. IR Part 21) AMC & GM pentru IR Part 21 Reglementarea (EC) 2042/2003 (incl. IR Parts M, 145, 147 i 66) AMC & GM pentru IR Parts M, 145, 147 i 66 Specificaii de certificare (CS) AMC - uri pentru Specificaii de certificare Proceduri ale EASA MB Proceduri ale EASA Aranjamente Bilaterale i de Lucru Reglementri naionale
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The EU regulatory the European Union The Legal and Regulatory basis in framework
http://www.europa.eu.int/abc/index_en.htm

ESAR

EASA - IR

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The Legal and Regulatory basis in the European Union The EU regulatory framework The Parliament and the Council define the scope of powers transferred from the Members States to the Community. The Parliament and Council adopt the Basic Regulation including Essential Requirements specifying the objectives to be. The Commission adopts Implementing required by the Basic Regulations. Rules as

EASA issues EASA Decisions as required by the Basic Regulation. (Contd)

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The Legal and Regulatory basis in the European Union

ER IR CS, AMC, GM, AW Codes Administrative Procedures

Legend:

Sistemul de Publicaii Parlament UE ((EC) 1592/2002) Comisia European

EASA

ER - Essential Requirements (Cerine Fundamentale) IR - Implementing Rules (Reguli de Implementare) CS - Certification Specifications (Specificaii de Certificare) AMC - Acceptable Means of Compliance (Mijloace Acceptabile de Conformare) GM - Guidance Material (Materiale de ndrumare) AW Codes - Airworthiness Codes (Coduri de Navigabilitate) EC - European Commission (Comisia European)
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The Legal and Regulatory basis in the European Union The EU regulatory framework EU Basic Regulations applicable to Airworthiness
Regulation (EC) 1592/2002 of the European Parliament and the Council of 15 July 2002 (and later modifications):

on common rules in the field of civil aviation and establishing an European Civil Aviation EASA.

Regulation (EC) 1643/2003 of the European Parliament and the Council of 22 July 2003.

amending Regulation (EC) 1592/2002 on common rules in the field of civil aviation and establishing an European Civil Aviation EASA. Note: Establishing the EASA Management Board

Regulation (EC) 1702/2003 of the European Parliament and the Council of 24 September 2003.

adopting Article 6 of Regulation (EC) No 1592/2002 of the European Parliament and of the Council on common rules in the field of civil aviation and establishing a European Aviation Safety EASA Note: Introducing ICAO Annex 16, Environmental Protection into the EU Legislation

(Contd)

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The Legal and Regulatory basis in the European Union The EU regulatory framework EU Basic Regulation

Basic Regulation
Regulation (EC) 1592/2002 of 15 July 2002 Annex I: Requirements for Airworthiness Annex II: Excluded Aircraft

(Contd)
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The Legal and Regulatory basis in the European Union

Sistemul de reglementri european Reglementarea (EC) 1592 / 2002

Principalele articole care afecteaz POA

Art. 5 Navigabilitate (+ Cerinele fundamentale din Anexa I); Art. 9 Acceptarea certificrilor statelor non-EU (aranjamentele de recunoatere mutual) Art. 18 Cooperarea n relaiile internaionale (aranjamentele de lucru) Art. 44 Proceduri pentru adoptarea deciziilor (Proceduri EASA); Art. 45 Inspecii de standardizare la Autoritile Competente ale Statelor Membre EU; Art. 46 Investigaii; Art. 55 Participarea statelor non-EU (care adopt i aplic legile Comunitii Europene)
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The Legal and Regulatory basis in the European Union The EU regulatory framework Annex I: Requirements for Airworthiness

The essential requirements are setting the minimum level of safety for Products, Parts and/or Appliances certified by EASA

Example
1. Product integrity: product integrity must be assured for all anticipated flight conditions for the operational life of the aircraft. Compliance with all requirements must be shown by assessment or analysis, supported, where necessary, by tests.

(Contd)
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The Legal and Regulatory basis in the European Union The EU regulatory framework Annex II:
(a)
(b)

Excluded Aircraft

aircraft having a clear historical relevance, related to:

aircraft specifically designed or modified for research, experimental or scientific purposes, and likely to be produced in very limited numbers; aircraft of which at least 51 % is built by an amateur, or a non-profit association of amateurs, for their own purposes and without any commercial objective; aircraft whose initial design was intended for military purposes only;
(Contd)
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(c)

(d)

The Legal and Regulatory basis in the European Union The EU regulatory framework (Cont.) Annex II:
(a)
(b) (c)

Excluded Aircraft

small single / two seater aeroplanes, MTOW 300/450 kg

small single / two seater amphibian or floatplanes, MTOW 330/490 kg small single / two seater gliders, Structural mass 80 / 100 kg

(d)
(e)

unmanned aircraft with a operating mass of less than 150 kg.

any other aircraft with a total mass without pilot of less than 70 kg.

(Contd)
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The Legal and Regulatory basis in the European Union The EU regulatory framework EU Implementing Rules applicable to Airworthiness

Commission Regulation (EC) 1702/2003 of 24 September 2003: laying down implementing rules for the airworthiness

and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations

Consists of the following elements: Introduction, paragraphs (1) Amended by: through (9) Articles 1 through 5 Annex Part 21, Section A (EC) 381/2005 Requirements for applicants and (EC) 706/2006 acquired rights and obligations Annex Part 21, Section B (EC) 375/2007 Procedures for Competent Authorities Appendices EASA forms Slide 26

AACR, April 12

The Legal and Regulatory basis in the European Union The EU regulatory framework Commission Regulation 1701 and 1702
Regulation (EC) 1702/2003 adapting Art. 6 of (EC) No 1592/2002
Regulation (EC) 1702/2003 On Airworthiness and Environmental Certification Section A:
Applicant Requirements

Annex Part 21
In Article 6 of Regulation (EC) No 1592/2002, the first paragraph is replaced by the following: 1. Products, parts and appliances shall comply with the environmental protection requirements contained in Annex 16 etc.

Section B:
Comp. Authorities Procedures

Appendices:
EASA Forms

(Contd)
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The Legal and Regulatory basis in the European Union The EU regulatory framework Commission Regulation (EC) 1702/2003 Article 1; Scope and Definitions

This article is defining the scope of Commission Regulation (EC) 1702/2003.

The issuance of Type Certificates, restricted TC, STC, and changes to these certificates. Design and Production organisation approval, Repair approval, Approval of parts and appliances, Issuance of Certificates of Airworthiness, Noise Certificates, Permit to Fly and Authorized Release Certificates Issuance of Airworthiness Directives, and
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The Legal and Regulatory basis in the European Union

The EU regulatory framework

Basic Regulation (EC) 1592/ 2002 (EC) 1702/2003 Implementing Rules Part 21 EASA Forms Amended by: (EC) 1643/2003 (EC) 1701/2003 (EC) 2042/2003 Implementing Rules
Part M; Part 145; Part 66; Part 147

Amended by: (EC) 381/2005 (EC) 706/2006 (EC) 375/2007

Part 21 AMC / GM ED/2003/1/RM ED/2007/006/R ED/2007/008/R Certification Specification

ED/2003/19/RM
Part M AMC / GM Part 145 AMC / GM

Amended by: (EC) 707/2006

Part 66 AMC / GM Part 147 AMC / GM

(Airworthiness Codes)
ED/2003/12/RM AMC 20
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The Legal and Regulatory basis in the European Union

The EU regulatory framework

Annex I
Essential requirements for airworthiness

Basic Regulation (EC) 1592 / 2002 Regulation (EC) 1702 / 2003

ICAO Annex 16
Essential requirements for environmental protection

Legal / Mandatory

CS book 1
Airworthiness codes

CS-34 book 1 CS-36 book 1 AMC and GM for Part 21 AMC and GM
CS-34 book 2 CS-36 book 2
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CS book 2
AMC

The Legal and Regulatory basis in the European Union The EU regulatory framework EASA Airworthiness Directives

The EASA disseminates airworthiness directives

Reffer to: 21A.3: Failures, malfunctions and defecets. 21A.3B: Airworthiness Directives. The competent authority of the Member States have the obligation to submit to the EASA the airworthiness directives they receive from the competent authority of a non/EU member state.

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The Legal and Regulatory basis in the European Union The EU regulatory framework EASA Airworthiness Directives (Cont.) Objective of an Airworthiness Directives An Airworthiness Directive is not a certificate or approval, but a document issued or adopted by the EASA which mandates actions to be performed on an aircraft to restore an acceptable level of safety, when evidence shows that the level of safety of this aircraft may otherwise be compromised (21A.3B(a))

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The Legal and Regulatory basis in the European Union The EU regulatory framework EASA Airworthiness Directives (Cont.)

Content of the Airworthiness Directives

An Airworthiness Directive shall contain at least the following information:

An identification of the unsafe condition;

An identification of the affected aircraft by serial number; The action(s) required; The compliance time for the required action(s); The date of entry into force.
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The Legal and Regulatory basis in the European Union The EU regulatory framework EASA Airworthiness Directives (Cont.)

Obligations of the approval holder

The obligations of the holders of approvals under the Regulation 1702/2002 when an AD has to be issued are:
to propose the appropriate corrective action or required inspection, or both, and submit details of these proposals to the EASA for approval.
following the approval by the EASA of the proposal above, make available to all known operators or owners of the product, part or appliance and, on request, to any person required to comply with the airworthiness directive, appropriate descriptive data and accomplishment instructions, e.g. via a Service Bulletin.
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The Legal and Regulatory basis in the European Union EASAs working methods Language Any natural or legal person is entitled to address himself/herself in written to the EASA in any of the official languages of the EU (1592, art. 47.4).

He/she has the right to receive an answer in the same language (1592/ art. 47.4).
The Management Board shall decide on the linguistic arrangements for the EASA (1592, art 24.2.k & 28.1)

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The Legal and Regulatory basis in the European Union

Tasks allocated to Competent Authority

National Aviation Authorities may conduct, through the EASAs allocation

Technical inspection associated with products, parts and appliances certification (1592, art. 15.1.e). Inspection and audits of the organisations that the EASA certifies (1592/ art. 15.2.a). The investigation of undertakings (1592, art 46.1)

These principles are based on the former JAA Lead Authority concept.
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The Legal and Regulatory basis in the European Union

Standardisation Inspections

Standardisation Inspections of Competent Authorities (1592, art. 16.1) are:

Conducted by Commission). the EASA (to assist the

To monitor the implementation of Regulation 1592/2002 and its Implementing Rules (1592/ art. 15.2.a).

Inspection of competent authorities may entail investigation of undertakings (1592, art. 45.4)
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The Legal and Regulatory basis in the European Union

Member States responsibilities

Member States can react immediately to a safety concern which involves a product, person or organisation subject to the Regulation (EC) 1592/2002 (1293, art. 10.1) if the safety problem is the result of:
An inadequate level of safety resulting of the application of Regulation (EC) 1592/2002 A shortcoming of implementing rules. (EC) 1592/2002 or its

The Member State shall notify the EASA, the Commission and the other Member States.
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The Legal and Regulatory basis in the European Union

Member States responsibilities (Cont.)

Provided the level of safety is not adversely affected (1592, art. 10.3) Member States may grant exemptions from the Basic Regulation and Implementing Rules due to:
Unforeseen urgent operational circumstances,

Operational needs of a limited duration.

If the Member State has granted such exemptions it shall notify the EASA, the Commission and other Members States when these exemptions: Become repetitive, or Are granted for periods of more than two months.
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The Legal and Regulatory basis in the European Union

Member States responsibilities (Cont.)

Member States may grant approvals in derogation of the Implementing Rules (1592, art. 10.5):
When an equivalent level of protection can be achieved by other means,

Without discrimination on grounds of nationality.

The Member State shall notify the Commission, stating:
-

That it intends to grant such approval, The reasons demonstrating the need to derogate from the rule concerned, The conditions laid down to ensure that an `equivalent level of protection is achieved
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The Legal and Regulatory basis in the European Union EASA Board of Appeal Commission Regulation (EC) 104/2004 of 22 January 2004: laying down rules on the organisation and composition of the Board
of Appeal of EASA

A board of appeal is an independent administrative body created on an ad-hoc basis to check legality of decisions taken by the EASA pursuant to:

Article 15: certificates related to airworthiness and environmental protection and organisation approvals (1592, art. 35.1),
Article 46: Investigation of undertakings (1592, art. 35.1) Article 53 (Fees and Charges) (1592, art. 35.1)
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The decision of the Board is binding for the EASA

The Legal and Regulatory basis in the European Union EASA Board of Appeal (Cont.) Appeal process

EASA decisions (1592, art. 35)

EASA decisions

Competent Authority decisions

EASA failure to act

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The Legal and Regulatory basis in the European Union

ANY QUESTIONS

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