Proposal for a COUNCIL DIRECTIVE establishing a Safety Assessment of Third Countries Aircraft using Community Airports
Date: 1997-02-17
Institutions: European Commission
Subjects: air safety, air traffic control, aircraft, exchange of information, third country

COMMISSION  OF THE EUROPEAN  COMMUNITIES 

Brussels,  17.02.1997 
COM(97)  55 final 

97/0039  (SYN) 

Proposal  for a 

COUNCIL  DIRECTIVE 

establishing a Safety Assessment of Third Countries Aircraft  using 
Community Airports 

(presented by the Commission) 

EXPLANATORY  MEMORANDUM 

In  February  1996,  176  European  passengers  were  killed  in  an  aircraft  accident  in  the 
Dominican  Republic.  As  a  consequence,  both  the  European  Parliament  and  the  Council 
asked the Commission to study possible measures to improve safety,  in particular  addressing 
the problem of  sub-standards carriers operating to and from the European Union. 

Accordingly  the Commission  has  established  a High  Level  Group  to  assist  it  in  considering 
various  relevant  issues  in  the  context  of  aviation  safety.  The  consultation  of  this  Group 
enabled  the  Commission  to  issue  a  Communication 
l  entitled  "Defining  a  Community 
Aviation  Safety  Improvement  Strategy".  It  describes  all  the  steps  the  participants  have 
considered  which  should  constitute  the  consistent  and  comprehensive  strategy  required  to 
meet  the  objectives  assigned  by  the  Council  and the  European  Parliament.  It presents  in  its 
conclusion  an  action  plan  which  both  meets  the  most  immediate  needs  and  embraces  the 
more fully  developed elements  of the strategy. 

In particular,  this Communication shows  that there is general agreement on the need to set in 
place,  as a matter of urgency,  a system for assessing  the levels  of  safety  actually  achieved by 
foreign air carriers operating  services  to and from EU countries. 

The  High  Level  Group has  discussed  the  FAA  procedure  of  systematically  checking,  for  all 
foreign  carriers  operating  to  the  United  States,  the  competence  of  the  relevant  national 
authorities  to  meet  their  ICAO  obligations  in  terms  of  safety  oversight.  It  concluded, 
however,  that  such  a  programme  would  not  be  suited  for  Europe,  where  it  would  make 
more  sense  instead  to  set  up  a  step-by-step  procedure  which  is  triggered  by  evidence,  or 
suspicions,  of  safety  shortcomings  of  a  foreign  airline,  described  in  this  document  as  the 
SAFA2  procedure. 

As  a consequence,  in its action plan,  the Commission  announced  its  intention  "to present  ... 
a  proposal  for  a  Council  Directive  formalising  the  SAFA  procedure  for  the  assessment  of 
foreign  air carriers  and the related co-operation mechanism to share  and analyse  information 
and draw  conclusions.  This  directive  should also  include  an obligation  on Member  States  to 
ground aircraft  found  or suspected to be dangerous". 

1  Communication  from  the Commission  to  the  Council  and  the  European  Parliament,  Report  by  the  High  Level 
Group  established  by  the  Council  Decision  of  11th  March  1966  "Defining  a  Community  Aviation  Safety 
Improvement  Strategy",  Sec(96)  1083 final, 12.06.1996. 
*' Safety  Assessment  of  Foreign  Aircraft 

X-Cf. 

The  operational  aspects  of  the  SAFA  procedure  are  presently  developed  by  the  Joint 
Aviation  Authorities  (JAA)  on  behalf  of  the  European  Civil  Aviation  Conference  (ECAC). 
As  this procedure  falls  under the  responsibilities  of  ECAC  and will  not be  issued  under  the 
JAR codes  system,  Regulation n°3922/913 does not apply. 

The  aim  of  this  proposal  is  therefore  to  set  in the  Community  the  legal  framework  for  the 
introduction  and  the  operational  application  of  such  a  safety  assessment  of  third  countries 
aircraft  while  leaving  enough  margin  to  the  Member  States  to  build  the  corresponding 
mechanisms  individually  or collectively,  for example within the JAA,  as they  see  fit. 

By  doing  so  the  Commission  has  also  considered  the  compatibility  of  the  proposal  with  the 
principle  of  subsidiarity  by  addressing  the following  questions. 

a) What are the objectives of the proposal in relation to the obligations of the Community and what is 
the Community dimension of the problem  ? 
The  third  aviation  package  has  created  an  internal  aviation  market  where  the  rules  for  the 
operation of  air services  have been largely  harmonised thereby providing  a satisfactory  basis 
for  improving  the safety  of the Community  citizens travelling  by air on such services. 
Recent  experience  has  shown  that  carriers  from  third  countries  do  not  always  apply  the 
minimum  international  safety  standards  while  having  access  to  the  Community  airports 
thereby  creating  a  threat  for  Community  citizens  with  such  carriers  or  living  near 
Community  airports.  In  order  to  address  this  problem,  some  Member  States  already  carry 
out  ramp  inspections  of  foreign  aircraft  but  in  an  isolated  manner.  The  purpose  of  this 
Directive  is to extend this practice to the whole  Community  territory. 

b) Does competence for  the planned activities  lie solely with  the Community  or is it shared with  the 
Member States? 
The envisaged  action does  not relate to an exclusive  competence of the  Community. 

c)  Which  solution  is most efficient in comparison  between  Community measures and measures  of the 
Member States,  what added  value does the proposed  Community  action provide  and  what are the 
costs of no action? 
Measures  taken by Member States in isolation are less  efficient  than co-ordinated  action with 
exchange  of  information  enabling  an  earlier  identification  of  possible  deficiencies.  In 
addition,  Member  States  would  benefit  of  the  strength  of  a  common  stance  with  regard  to 
third  countries  and  avoid  that  unsafe  aircraft  could  be  redirected  to  neighbouring  airports 
where  such inspections  would not be carried out. 

d)  Wliat kind of action is at the disposal of the Community? 
In order  to provide  for  homogeneous,  effective  and well  co-ordinated  action,  it  is  necessary 
to introduce  legal  measures  either in the form of a Directive or a Regulation. 

Council  Regulation (EEC) n°3922/91 of  16 December  1991 on the harmonization of  technical 

requirements  and administrative  procedures  in the field  of civil  aviation,  OJ n°  L 373 of  31.12.91,  p. 4. 

e) Is uniform  regulation  necessary or is it sufficient to draft a Directive which outlines  the general 
objectives while leaving execution to the Member States? 
It is considered  sufficient  to use a framework Directive,  setting goals that the Member  States 
will  apply  with  a  degree  of  freedom.  However,  due  to  the  techmcal  nature  of  this  subject 
and  the  need  to  ensure  efficient  co-ordination  and  sharing  of  information,  it  has  been 
necessary  sometimes to look  into matters in more detail. 

Accordingly,  the Commission  reached  the conclusion  that its proposal  is  consistent  with the 
principle of  subsidiarity. 

The  international  safety  standards  the  respect  of  which  is  to  be  controlled  are  those 
contained  in the Annexes  to the Chicago Convention of  1944 to which all Member States are 
Parties.  The  Commission  has  ensured  that  its  proposal  is  consistent  with  such  international 
obligations  of  its  Member  States  under  the  Chicago  Convention  by  limiting  mandatory 
inspections  to aircraft  or  operators  for  which there  is  indication  of  possible  deficiencies  and 
by  avoiding  to  impose  systematic  random inspections  which could be considered  as contrary 
to  the  Chicago  Convention.  Detailed  examination  of  the  relevant  provisions  of  the  Chicago 
Convention  is  set  out  in  the  Communication  "Defining  a  Community  Aviation  Safety 
Improvement Strategy"  referred  to above. 

COMMENTS ON THE VARIOUS ARTICLES 

Article 1 

This Article states the objective of the Directive. 

Article 2 

This Article sets the scope of the Directive. It excludes light aircraft  which do not participate 
in commercial air transport and State  aircraft. 

Article 3 

This Article lays down the necessary  definitions 

Article 4 

This  Article  describes  all  the  information  that  the  Member  States  will  collect  in  order  to 
facilitate  the  assessment.  It  includes  the  information  that  will  generally  be  available  on 
aircraft  or  operators  when  an  abnormal  situation  arises,  the  information  concerning  ramp 
inspections  which  have  been  carried  out,  the  follow-up  information  after  initial  ramp 
inspections  and  also  the  information  that  could  be  available  from  other  sources  than  the 
competent  authorities.  It  also  suggest  to  use  a  form  similar  to  one  given  in  annex.  This 
phrasing  gives  the  necessary  flexibility  to  modify  the  form  based  on  the  operational 
experience without having to change the annex. 

Article 5 

This Article requires the Member States to proceed to ramp inspections  of aircraft  suspected 
of  non-compliance  with  international  safety  standards.  It  also  sets  out  the  procedure,  the 
framework of  which  is contained  in an Annex  which  also contains  a  suggested  form  (same 
comment  on  form  as  in  previous  Article).  The  detailed  procedure  is  left  to  the  Member 
States  and  leaves  them the  opportunity  to use the operational  procedure  presently  designed 
by the JAA on behalf of ECAC. 

Article 6 

This  Article  describes  how  the  information  should  be  exchanged  in  order  to  ensure  a 
Community-wide  coverage  for  the whole  system.  The detailed  operational  procedure  to set 
up  a compatible  data base system and to exchange  information  is left  to the  Member  States 
and  leaves  them the opportunity  to use the infrastructure  presently  designed  by  the JAA  on 
behalf of ECAC. 

Or 

Article 7 

This  Article  aims  at  protecting  the  sources  of  information,  and  in particular  the  voluntary 
contribution of the crew of the inspected aircraft,  in order to facilitate the gathering of  useful 
information  without fear  of retribution. 

Article 8 

This Article requires the Member States to ground dangerous aircraft  and details the actions 
to  be  taken  to  ensure  that  the  grounding  can  be  accomplished.  It  recognises  the  right  of 
appeal of affected  operators. 

Article 9 

This Article enables the Commission to address the problems which may have surfaced  after 
the assessment  procedure  has been  applied  and  a safety  hazard  has been  identified.  It gives 
various possible level of response according to the severity of the hazard. 

Article  10 

This Article sets out the procedures  for  the taking of measures for  the implementation  of the 
Directive. 

Article 11 

This  Article establishes  the procedure  necessary  for  the application  of  Articles  9 and  10 by 
setting up an advisory committee. 

Procedural Articles 

Articles  12 to 15 

% 

PROPOSAL FOR A COUNCIL DIRECTIVE ESTABLISHING 

A SAFETY ASSESSMENT OF THIRD COUNTRIES AIRCRAFT 
USING COMMUNITY  AIRPORTS 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community,  and in particular  Article 
84 (2) thereof, 

Having regard to the proposal from the Commission4, 

Having regard to the opinion of the Economic and Social Committee5, 

Acting  in  accordance  with  the  procedure  referred  to  in  Article  189  c  of  the  Treaty  in  co 
operation with the European Parliament6, 

Whereas  the Resolution  adopted  by the European Parliament  on  15 February  19967 and the 
Council  Conclusion  of  11 March  1996 both point  to the need  for  the  Community  to  take a 
more  active  stance  and  develop  a  strategy  to  improve  the  safety  of  its  citizens  traveling  by 
air or living near airports; 

Whereas  the  Commission  has  issued  a  Communication  to  the  Council  and  the  European 
Parliament entitled Defining  a Community Aviation Safety  Improvement Strategy8; 

Whereas  this  Communication  clearly  identifies  that  safety  may  be  effectively  enhanced  by 
ensuring  that  aircraft  comply  fully  with  the  international  safety  standards  contained  in  the 
Annexes  to  the  Convention  on  International  Civil  Aviation,  signed  in  Chicago  on  7 
December  1944; 

Whereas  experience  has  shown  that  third  countries  do  not  always  implement  and  enforce 
international  safety  standards; whereas henceforth  in order to improve transport safety  in the 
Community  it is necessary  for  the monitoring  of compliance  with  international  standards  to 
be ensured by the Community Member States themselves at their airports; 

4O J N° 
5O J N° 
6 Opinion of the European  Parliament of  ...  , Council common position of  ...  and Decision of the European 

Parliament of  ... 

7 Resolution B4-0150/96,  OJ  N°  C65 of 4.03.96,  p. 172. 
8 Communication  from  the Commission  to the Council and the European  Parliament,  Report  by the High 
Level  Group established  by the Council  Decision of  11th March  1996 addressed  to the  European 
Parliament  and to the Council,  Defining  a Community  Aviation  Safety  Improvement  Strategy.  SEC(96) 
1083 final,  12.06.1996. 

? 

Whereas,  taking  into  account  the  subsidiarity  principle,  the rules and procedures for ramp 
inspections,  including  aircraft  grounding,  should  be  harmonized  to  ensure  consistent 
effectiveness  in  all  airports,  which  in  turn  would  also  reduce  the  selective  use  of  certain 
airports  of  destination  to  avoid  proper  control;  whereas  a  harmonized  approach  to  the 
effective  enforcement  of  these  international  standards  by  the  Member  States  will  avoid 
distortions  of  competition  and  benefit  of  the  strength  of  a  common  stance  in  the  relations 
with third countries; 

Whereas  information  gathered  in  each  Member  State  should  be  made  available  to  all  the 
other Member States and the Commission in order to ensure the most efficient  monitoring of 
the compliance of foreign carriers with international safety  standards; 

Whereas  for  the  above  mentioned  reasons  there  is  a  need  for  establishing,  at  Community 
level,  a  procedure  for  the  assessment  of  foreign  aircraft  and  related  co-operation 
mechanisms between Member States to share and analyze information  and draw conclusions; 

Whereas  aircraft  landing  in  the  Community  at  any  given  time  shall  undergo  an  inspection 
when there is suspicion that they do not comply with international safety standards; 

Whereas the sensitive nature of safety  related information  is such that the only way to ensure 
the gathering  of  such  information  is by  ensuring  its  proper  usage  and  the confidentiality  of 
its sources; 

Whereas  non-compliance  with  international  safety  standards  must  be  rectified;  whereas 
aircraft  on  which  corrective  action  is  required  must,  where  the  deficiencies  in  compliance 
are clearly  hazardous to safety,  be grounded until  such time as the non-compliance  has been 
rectified;  whereas the right of appeal against such decisions should be  foreseen; 

Whereas  the  facilities  in the  airport  of  inspection  may be  such that the competent  authority 
will  be  obliged  to  authorize  the  aircraft  to proceed  to  an appropriate  airport,  provided  that 
conditions for a safe transfer  are complied with; 

Whereas  it is necessary  to foresee  that safety  improvement  measures may be rapidly  taken 
by the Commission  in relation  to  specific  cases of  safety  hazards;  whereas  it must also be 
possible  for  the  Commission  to  take  rapidly  measures  for  the  implementation  of 
requirements  of  Articles  4,5  and  6;  whereas  a  Committee  should  be  created  for  those 
purposes  and  a  procedure  established  for  close  co-operation  between  the  Member  States 
and the Commission within that Committee. 

/^to 

HAS ADOPTED TfflS  DIRECTIVE 

Article  1 

Objective 

The  purpose  of  this  directive  is  to  contribute  to the  improvement  of  air  safety  by  checking 
third countries  aircraft  whenever  there  is  suspicion that they  are not operated  in  accordance 
with  international  safety  standards,  by  collecting  and disseminating  the  information  related 
to shortcomings  so that sufficient  evidence can be established to decide on measures  required 
to  ensure  the  safety  of  the  traveling  public;  and  by  providing  for  measures  conœrning  the 
rectification of  identified  shortcomings. 

Article  2 

Scope 

This  Directive  shall  apply  to  third  countries  aircraft  landing  at  airports  located  in  the 
Member States of the  Community. 

State  aircraft  as  defined  in  the  Chicago  Convention  and  aircraft  of  a  maximum  take  off 
weight  of  less  than  5700kg  not  engaged  in  commercial  air  transport  shall  be  excluded 
from the scope  of  this  Directive. 

This  Directive  shall  not,  however,  affect  the  Member  States'  right,  with  due  regard  to 
Community  law,  to carry out inspection of any aircraft landing at its airports. 

Article  3 

Definitions 

For the purpose of this Directive,  including  its annexes: 

"Competent authority " means  the  administration,  authority  or  any  organization  designated 
by a State to perform  inspections  of  aircraft. 

"Confidential  report"  means  a  report  submitted  voluntarily  by  a  person  involved  in  or 
observing  an  incident;  the  report  is  de-identified  by  the  receiving  organization  in  order  to 
ensure  confidentiality; 

"Grounding " means the formal  prohibition of an aircraft to leave  an airport. 

• */ 

"International safety standards" means the safety  standards contained in the Annexes to the 
Convention  on  International  Civil  Aviation  signed  in Chicago  on 7  December  1944  as  in 
force at the date of adoption of this Directive. 

"Ramp inspection " means the examination on board and around an aircraft to check both the 
validity  of  the  aircraft  documents  and those  of  its  crew  and the apparent condition  of the 
aircraft and its equipment. 

" Third countries  aircraft" means  an aircraft  operated  by  an air carrier  of  which  the  Air 
Operator Certificate  is delivered by a state which is not a Member State of the Community 

Article 4 

Collection of  information 

1.  Competent Authorities of the Member States shall collect any information deemed 
useful  for the fulfilment  of the objective stated in Article  1 of this directive,  including: 

-  Important safety  information accessible, especially, through 

Passenger complaints 
Pilots reports 
Maintenance organisation reports 
Incidents reports 

-  Information on actions taken subsequent to a Ramp Inspection, such as 

Aircraft grounded 
Aircraft or operator banned from the country 
Corrective actions required 
Contacts with operator's competent authority 

-  Follow-up information concerning the operator such as 

Corrective actions implemented 
Recurrence of discrepancy 

This  information  shall  be  kept,  using  a standard  report  form  containing  at  least  the  items 
described in the form contained in annex 1. 

2.  Other organizations,  independent  from  the competent  authorities  of  the Member States, 
whose  activities  encompass  the  collection  of  incidents  reports  (including  confidential 
reports), may also contribute to the exchange of information described in Article 6. 

/IL 

Article 5 

Ramp inspection 

1.  The competent  authority  of  each Member State shall ensure that third countries  aircraft 
suspected  of  non-compliance  with  international  safety  standards  landing  at  any  of  its 
airports is subject to ramp inspections as follows: 

a) all aircraft : 
- showing signs of poor maintenance condition or with obvious damage or defect; 
-  which  have  been  reported  to  perform  abnormal  maneuvers  since  entering  the 
airspace 
-  having  been  subjected  to  a  previous  ramp  inspection  which  has  revealed 
deficiencies 

as long as such deficiencies have not been corrected; 

of a Member State; 

b) 10% of the movements, with a minimum of once a week, of : 
- an aircraft the operator of which has been the subject of a standard report according 

to Article 4; 

- an aircraft  the operator of which or the country  of  the operator of  which has been 

the subject of a decision according to Article 9; 

2.  The ramp inspection shall be performed according to the procedure described in Annex 2 
and  using  a  ramp  inspection  report  form  containing  at  least  the  items  described  in the 
form appended to this Annex.  On completion of the ramp inspection,  the commander of 
the aircraft shall be provided with a copy of the ramp inspection report. 

3.  When executing  a ramp inspection under this  Directive,  the  competent  authority  shall 

make all possible efforts  to avoid an aircraft being unduly delayed. 

Article 6 

Exchange of information 

1. The competent authorities of the Member States shall participate in a mutual exchange of 

information. 

2.  All  standard reports referred to in Article 4  (1) and the ramp inspection reports referred 
to  in Article  5  (2)  shall  be made available  without delay  to the competent  authorities of 
the Member States and the Commission, at their request. 

3.  Whenever  a standard  report  shows  the  existence  of  a potential  safety  threat  or  a ramp 
inspection  report  shows  an aircraft  does  not comply  with  international  safety  standards 
and may pose a potential  safety  threat, the report will be communicated without delay to 
each competent authority of the Member States and the Commission 

13 

Article  7 

Protection of  information 

1. The  information  exchanged  in  accordance  with  Article  6  shall  be  used  for  the  sole 
purpose  of  this  Directive  and  its  access  will  be  limited  to  the  participating  competent 
authorities and the Commission. 

2.  Confidentiality  of  information  given  voluntarily,  in  particular  by  the  crew  of  aircraft 
subjected  to ramp inspections, will be ensured by de-identifying  extensively  the source of 
such  information. 

Article 8 

Grounding of  aircraft 

1.  In  the  cases  of  non-compliance  with  international  safety  standards  which  are  clearly 
hazardous to safety,  the competent authority performing  the ramp inspection  shall ground 
the aircraft  until the hazard is removed. 

2.  In  the  event  that  an  aircraft  is  grounded,  the  competent  authority  of  the  Member  State 
where the inspection took place shall immediately  inform  the competent  authorities  of the 
countries  concerned. 

3.  If the deficiencies  referred  to in paragraph  1 above cannot be fully  rectified  at the airport 
of  inspection,  the  competent  authority  of  the  Member  State  where  the  inspection  took 
place  may,  in  co-ordination  with  the  State  responsible  for  the  operation  of  the  aircraft 
concerned,  prescribe  the  necessary  conditions  under  which  the aircraft  could  be  allowed 
to fly  safely  without fare-paying  passengers,  to an airport at which the deficiencies  could 
be corrected. 

4.  In the circumstances  referred  to  in paragraph  3, the competent  authority  of  the  Member 
State  where  the  inspection  took  place  shall  notify  the  competent  authority  of  the  States 
which  will  be  overflown  by  this  aircraft  as well as the State where the aircraft  will  land 
for  repair. 

5  The  owner  or  the  operator  of  the  aircraft  or  his  representative  in  the  member  State 
concerned  shall  have  a  right  of  appeal  against  a  grounding  decision  taken  by  the 
competent  authority  of  the  Member  State.  The  lodging  of  an  appeal  shall  not  cause  in 
itself the grounding to be suspended. 

AH 

Article 9 

Safety improvement measures 

On the  basis  of  information  made available  through articles  4,  5,  and 6,  the  Commission 
may,  in accordance with the procedure laid down in Article  11 (2), decide, according to the 
importance of the perceived safety hazard: 

-  systematic  ramp inspection  and other  surveillance  measures  of  a specific  operator  or of 

operators of a specific third country; 

-  ban,  or  impose  conditions  on  the  operation  of,  a  specific  operator  or  operators  of  a 
specific  third country from Community  airports pending  the  adoption by  the competent 
authority of that third country of satisfactory arrangements for corrective measures; 

The Commission shall  inform the Committee referred to in Article  11 on the results of any 
contacts  established  with  the  third  country  involved  in  order  to  offer  a  safety  oversight 
assessment of its competent authority by a qualified team of experts; 

Article 10 

Implementation measures 

1.  Member  States  shall  report to the Commission  the operational  measures  taken and the 

resources allocated to implement the requirements of Articles 4, 5, and 6. 

2.  The  Commission  may,  in  accordance  with the procedure  laid  down  in Article  11  (2), 
take any  appropriate measures to facilitate  the implementation of  Articles 4,  5,  and 6 such 
as: 

-  establish the list of information to be collected; 
-  detail the content of,  and procedures for, ramp inspections; 
-  define the format for the storage and dissemination of data; 
-  create or support the appropriate bodies for managing or operating the tools necessary for 
the collection and exchange of information. 

Article 11 

Committee 

1.  The  Commission  shall  be  assisted  by  a committee  of  an advisory  nature composed  of 
the  representatives  of  the  Member  States  and  chaired  by  the  representative  of  the 
Commission. 

2.  The  representative  of  the  Commission  shall  submit  to  the  Committee  a  draft  of  the 
measures  to be  taken.  The  Committee  shall  deliver  its  opinion  on  the  draft,  within a 
time  limit which the chairman may lay down according to the urgency of the matter, if 
necessary by taking a vote. 

/(? 

The opinion shall be recorded in the minutes; in addition,  each Member  State shall have 
the right to ask to have its position recorded in the minutes. 

The Commission  shall take the utmost account of  the opinion delivered  by  the Committee. 
It  shall  inform  the  committee  of  the  manner  in  which  its  opinion  has  been  taken  into 
account. 

Article  12 

Penalties 

1.  Member States shall  lay down the system of penalties for breaching the national 

provisions adopted pursuant to this Directive and shall take all the measures necessary  to 
effective, 

ensure that those penalties are applied. The penalties thus provided for shall be 
proportionate and dissuasive. 

i  Member States shall notify  the relevant provisions to the Commission  not later than 

and shall notify  any subsequent changes as soon as possible. 

Article  13 

Implementation of the  Directive 

1.  Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative  provisions 
necessary  to  comply  with  this  Directive  no  later  than  1st July  1998.  They  shall  forthwith 
inform  the Commission  thereof. 

2.  When Member States adopt these provisions,  they  shall contain a reference  to this  Directive 
or shall be accompanied by  such reference  on the occasion of  their official  publication.  The 
method of making such reference  shall  be laid down by Member States. 

3.  Member  States  shall  communicate  to  the  Commission  the  text  of  the  main  provisions  of 

domestic  law which they adopt in the field  governed by this Directive. 

Article  14 

Entry into force 

This Directive  shall enter into force on the twentieth  day following  that of  its publication  in the 
Official  Journal of the European Communities. 

This Directive  is addressed to the Member States. 

Article  15 

\<o 

ANNEX  1 

National Aviation Authority (Name) 
.  (Country) 
SAFA 
Standard Report 
1NR; UJJJJJ-LLHJJJ 

I  I  !  I  I 

4 Place: 

National Aviation  Authority. 

11 Flight  number: 
13Flight  number: 

15 Charterer's  NAA: 

Registration  mark 
Construction  number.... 

Source: 
3Date:... 
5 (Unused) 

Airline: 
AOC  number: 
8Country: 

Route: from. 
Route: to 

U_i. 

14 Chartered  by Airline': 

(where applicable) 

16 Aircraft  Type 

19 Flight  crew:  Country  of  licensing: ....|_| 

20 Remarks 

J 

EX 

21 (Unused) 

J 

J. 

U 

22 National  Coordinator's  name. 

"^Sic-nature 

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I. 

The  ramp inspection  should cover all or a selection  of  the following  aspects,  according 
to the time available. 

ANNEX  2 

1. 

2. 

3. 

4. 

Checking for presence and validity of the documents necessary  for 
international  flights  such as:  registration certificate,  log book,  certificate of 
Airworthiness,  crew licenses,  radio license,  list of passengers and freight... 

Check that flight crew composition and qualification  comply with the 
requirements of Annex  1 and Annex 6 to the Chicago convention (ICAO 
annexes). 

Check of operational  documentation (flight data, operational flight plan, 
technical  log), and of flight preparation necessary to show that the flight is 
prepared according to ICAO annex 6. 

Check for presence and status of items required for international  navigation 
according to ICAO, annex 6. 

-  Air operator  certificate 
-  Noise  and Emission  Certificate 
-  Operation manual  (including  MEL9)  and flight  manual. 
-  Safety  equipment 
-  Security  cabin  equipment 
-  Equipment  necessary  for  the  specific  flight  including  radio 

communication  and radio navigation  equipment  -  Flight  recorders. 

5. 

Check  that  the  condition  of  the  aircraft  and  its  equipment  (including  damages 
and repairs) ensures continuous compliance with ICAO annex 8 standards. 

II. 

A  ramp  inspection  report  must  be  established  after  the  ramp  inspection  and  must 
include  standard general  information  described  hereunder,  and a list of  items checked 
together with an indication of any deficiencies  found  for each of  these  items,  or of any 
specific  remark is necessary. 

9 Minimum Equipment list 

ANNEX  2 

National Aviation Authority (Name) 
(Country) 
'  SAFA 
Ramp  Inspection  Report 
1NR: UJJJJJ-IJJ-LLU 

Source: 
'Date: 
'Local time: 

Rl 
I  I 

.LI 

Place: 

'Airline: 
7AOC  number:. 
8Country: 

10 Route: from. 
:Route: to 

.!_!. 

:National Aviation  Authority 

H 

13 

Flight  number: 
Fliaht  number: 

u 

Chartered  by Airline*.|  | 

15 Charterer's  NAA: 

(where  applicable) 

16 Aircraft  Type 

1sFlight crew:  Country  of licensing: 

^Remarks: 

Registration  mark 
Construction  number. 

LLLI  LI  LLLLLLLLLLLLLLLLLLLLLLLLLLLLLUJ_LLLLLLU 
LLLI  LI  IJ_LLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLU 
LLU  LMILLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLL! 
LLLI  Li  LLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLI 
LLLI  LI  LI_LLLLLLLLIJJ_LLLLLLLLLLLLUJJ_LLLLLLU_LU 
LLLI  LI  LLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLI 
LLLI  LI  LLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLI 
LLLI  LI  LLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLLUJJJJJJ 
LIJJ  LI  U J J J J J J J J J J J _ C L L L L L L L L L L L L L L U J J J J J J J J JJ 

21 

Inspectors  names: 

This report  represents  an  indication  on  which  was  found  on  this  occasion  and  must 
not  be construed  as a determination  that  the  aircraft  is fit for the intended  fiioht. 

22 National  Coordinator's  name 

23 Signature 

« 

A8NEX  2 

Checked 

Remark 

• 

• 

National Aviation Authority (Name) 

(Country) 

Insurance  certificate 

Item 
A.  Desk 
A.1  Documentation 
1.  Manuals 
2.  Certificate of registration 
3.  Noise certificate (where  applicable) 
A. 
5.  AOC 
6.  Radio  licence 
7.  CofA 
A.2  Flight  data 
8  Operational  flight  plan 
9 
Load  disthbution 
A.3  Safety  Equipment 
10  Hand  fire extinguishers 
1  "  Life jackets 
12.  Seatbelts 
13.  Oxygen  equipment 
A.4  Crew  License 
14. Flight  crew 
A.5  Technical  Log 
15.  Release  to service 
16.  Deferred  defect 
17.  Compliance  with  required  maintenance. 
18.  Preflight  inspection 

B.  Security/Cabin 
19.' First Aid  Kit 
20.  Emergency  medical  kit 
21.  Hand  fire extinguishers 
22.  Crash  axes  and  crow  bars 
23.  Life jackets 
14  Seatbelts 
25.  Emergency  exit, lighting  and  marking. 
26.  Slides 
27.  Safety  Instructions 

". Aircraft  Condition 
28.  General  external  condition.... 
29.  Doors  and hatches 
30.  Flight controls 
y.  VV?7t?e/s and  tyres 
5?  Undercarriage 
V  VVneelwcll 
34  Intake  & exhaust  nozzle 
35  Fan  blades 
36  Propellers 
37  Obvious  repairs 
38  Obvious  unrepaired  damage 
39  Lockage  ..  .  . 

«o 

FINANCIAL STATEMENT 

1 TITLE OF OPERATION 

PROPOSAL  FOR  A  COUNCIL  DIRECTIVE  ESTABLISHING  A  SAFETY  ASSESSMENT  OF 
AIRCRAFT FROM THIRD COUNTRIES USING COMMUNITY AIRPORTS 

2  BUDGET HEADING INVOLVED 

B2.702 Transport Safety 

3 LEGAL BASIS 
Article 84(2) 

4  DESCRIPTION OF OPERATION 

4.1 

General objective 
To contribute to the improvement of air safety by assessing the safety of third 
countries aircraft using Commumty airports. 

4.2 

Period covered and arrangements for renewal 

Undefinite 

5 CLASSIFICATION OF EXPENDITURE OR REVENUE 

5.1 

Non Compulsory expenditure 

5.2 

Differentiated  appropriations 

6 TYPE OF EXPENDITURE 

Subsidy for joint financing with other sources in the public sector. 

7 FINANCIAL IMPACT 

7.1 

Method of calculating total cost of operation 

The costs of the whole programme for next year have been calculated using the 
standards  for  National  Civil  Aviation  Authorities  in  Europe,  these  costs  are 
presently  used  for  budgetary  estimations  in  other  international  organisations 
such  as  ECAC  and  JAA  (European  Civil  Aviation  Conference  and  Joint 
Aviation Authorities). This is due to the fact that the activities covered by this 
Directive will be developed in close co-operation with these two organisations. 

The standards are as follows: -manpower:  ECU 400 per man/day;  -subsistence 
allowance ECU 200 per day; -average travel costs: ECU  1000 per journey. 

<u 

The total costs have been estimated at ECU 3.147.100 (see provisional budget 
in annex) for the first year, including set up costs. 

It is suggested that the Commission participation be limited to around 10% that 
is to say 300.000 ECU. 

7.2 

Itemised breakdown of cost 

Commitment appropriations ECU million 

(at current prices) 

Breakdown 
Subvention to set up and 1 st year of 
operation 

year 1997 

300.000 

Total 

1  300.000 

8 

FRAUD PREVENTION MEASURES 

Control on the basis of justifications by the competent services of the Commission 
and, if necessary, control on site. 

ELEMENTS OF COST-EFFECTIVENESS ANALYSIS 

9.1  Specific and quantified objectives; target population 

- The objective  is to  contribute to the  improvement  of  air  safety  by  ensuring 
that  third  countries  carriers  do  comply  with  international  safety  standards. In 
order  to  reach  this  goal,  it  will  be  necessary  to  make  inspection  of  foreign 
aircraft  landing at Community  airports, to collect and disseminate  information 
on  these  aircraft  and  to  take  measures  to  ensure  that  corrective  actions  are 
taken. 

- The subsidy  will be given to the international  organisation  (JAA) which will 
organise  and  co-ordinate  the  whole  programme  on  behalf  of  the  individual 
States. 

-  As  the  general  objective  is  to  improve  safety  by  ensuring  third  countries 
carriers  offer  acceptable  compliance  with  international  safety  standards,  the 
main target  population  will be all the European travelling  public as well as the 
populations living in the vicinity of airports. 

ex 

9.2  Grounds for the operation 

Each  individual  Member  State will  be responsible  for  the  inspections  carried 
out  on  its  airports  but  a  co-ordinated  programme  including  the  storage  and 
dissemination of data as well as supplying temporary reinforcement  inspectors 
will  be  the  most  cost-effective  way  to  ensure  an  even  application  of  the 
programme in the Community, avoiding the risk of third countries carrier using 
specific airports or Member States to circumvent the inspections. 

9.3  Monitoring and evaluation of the operation 

The Commission will be closely monitoring the management of the programme 
by participating in a specially set up Programme Steering Committee. 

10  ADMINISTRATIVE EXPENDITURE (SECTION III,  PART A  OF THE BUDGET) 

Actual  mobilisation  of  the  necessary  administrative  resources  will  depend  on  the 
Commission's  annual  decision  on the allocation of resources, taking  into account  the 
number of staff and additional amounts authorised by the budgetary authority. 

10.1  Effect on the number of posts 

Type of post 

Staff to be assigned to 
managing the operation 
Permanent 
Temporary 
posts 
posts 

Officials  or 
temporary 
staff 

A 

B 

1 

1 

C 
Other resources 

Total 

2 

Source 

Duration 

Additional 
resources 

Existing 
resources in 
the DG or 
department 
concerned 
1 

1 

2 

indefinite 

indefinite 

_ 

'  -

T— 
i 

£3 

10.2  Overall financial impact of additional human resources 

Amounts 

Method of calculation 

ECU 

Officials 
Temporary  staff 
O t h er  reSOUrceS (indicate budget heading) 

Total 

The annual expenses related to human resources required for the completion of this action will 
be made available upon mobilisation of existing resources : officials  (Titles Al, A2, A4, A5) : 
200.000 ECU/year. 

10.3  Increase in other administrative expenditure as a result of the operation 

Budget heading 

Amounts 

Method of calculation 

ECU 

The  annual  expenses  related  to  missions  required  for  the  completion  of  this  action  will  be 
made available upon mobilisation of existing resources : article A-130 / 6300 ecus/year 

Total 

<lH 

ISSN 0254-1475 

COM(97) 55 final 

DOCUMENTS 

EN 

07  11  01 

Catalogue number  :  CB-CO-97-061-EN-C 

ISBN 92-78-16170-5 

Office  for Official  Publications of the European Communities 

L-2985  Luxembourg